Policies, Union Contracts, Handbooks > Faculty & Academic Staff Handbooks > Faculty Handbook > Research and Creative Endeavor

Procedures Concerning Allegations of Misconduct - General

VI. RESEARCH AND CREATIVE ENDEAVOR (Cont.)

PROCEDURES CONCERNING ALLEGATIONS OF MISCONDUCT
IN RESEARCH AND CREATIVE ACTIVITIES (Cont.)¹

These Procedures were approved by the Board of Trustees on April 11, 1997 and revised on June 28, 2002.

II.  General

a. Applicability.These Procedures apply to all members of the University community, including students, who engage in Research and Creative Activities.

b. Dissemination.  These Procedures shall be widely disseminated in the University community.

c. Integrity of Procedures. Safeguarding the integrity of these Procedures is critical.  No one shall attempt to prejudice or coerce the judgment or decisions of any member of an Inquiry Panel, an Investigative Committee, or a Review Panel, or of the Responsible Administrator or the UIIO.  No one shall attempt to prejudice or coerce the testimony of any witness, Complainant, or Respondent.  No one shall retaliate against any Complainant or witness who has not acted in Bad Faith or against any member of an Inquiry Panel, an Investigative Committee, or a Review Panel,  or the  Responsible Administrator or the UIIO.  The UIIO shall be informed immediately of any such retaliation.

d. Indemnification.The University's policy on indemnification shall govern the indemnification of the UIIO, the Responsible Administrator, parties’ unpaid counsel who are University employees, and members of Inquiry Panels, Investigative Committees and Review Panels who are University employees or students. Indemnification shall be provided to non-University members of Inquiry Panels, Investigative Committees, and Review Panels and to witnesses (except for non-University expert witnesses appearing on a contractual basis) in accordance with the University's policy on indemnification of volunteers and in the absence of a determination that they acted in Bad Faith.

e. Anonymous Allegations. The University shall review anonymous Allegations of Misconduct under these Procedures.

f. Complainant Confidentiality.The University shall use its best efforts to honor the request of any Complainant that her or his identity be kept confidential during the University's review of his or her Allegation of Misconduct under these Procedures.

g. Cooperation.  To preserve the integrity of the environment for Research and Creative Activities, members of the University community are expected to cooperate in good faith in the review of Allegations of Misconduct under these Procedures, for example, by providing documents and testimony if requested to do so by the UIIO.

h. Location of Alleged Misconduct.  An Allegation of Misconduct may be reviewed by the University under these Procedures no matter where or when the Misconduct allegedly occurred.

i. Events Requiring Immediate Action.  If, at any stage of these Procedures, the UIIO obtains reasonable, credible evidence, in the UIIO's judgment, of

(1) a possible criminal violation,

(2) an immediate health hazard or other imminent risk of danger to public health or safety or to experimental subjects,

(3) the need to take immediate action to protect the funds or equipment of any governmental or other sponsor of Research or Creative Activities, or to assure compliance with the terms of a contract sponsoring Research or Creative Activities,

(4) the need to take immediate action to protect any Complainant, Respondent, witness, member of an Inquiry Panel, an Investigative Committee, or a Review Panel, or other person involved in any Proceeding,

(5) the need to take immediate action to prevent the loss, destruction, or adulteration of any evidence relevant to the University's review of an Allegation of Misconduct under these Procedures,

(6) the need to take immediate action to prevent or stop an imminent or continuing violation of an applicable law, regulation, or other governmental requirement or of a University rule or policy, or

(7) the probable public disclosure of an Allegation of Misconduct or of any  Proceeding,

the UIIO shall immediately so notify the President, the Provost, the VPRGS, the General Counsel, and,  if appropriate, the pertinent government official or sponsor  of Research  or Creative Activities, and, following consultation with  the  General Counsel, the UIIO shall promptly make recommendations to  the  VPRGS,   the   Provost,   and  the  President  as  to  responsive  actions.    Notwithstanding   any  other  provision  of  these   Procedures, appropriate University administrators shall have authority to take any actions they deem necessary or appropriate to safeguard University personnel, other participants in any Proceeding, public health or safety, experimental subjects, sponsors' funds or equipment, evidence relevant to the University's review of an Allegation of Misconduct under these Procedures, or the integrity of the research environment.  That any such action is taken shall not be deemed to predetermine any finding or conclusion from the University's review of an Allegation of Misconduct under these Procedures, but any evidence or information arising from any such action may be made part of the record of any Proceeding.

j. Notice.Any notice or other document issued pursuant to these Procedures shall be in writing and shall include an explanation of any decision or opinion stated therein. The UIIO shall provide the Respondent copies of all such documents in a timely manner.

k. Interpretation.

(1) Time Periods.  Unless otherwise specified in these Procedures:

(A) the failure to exercise any right granted under these Procedures within the stated time period shall constitute a waiver of that right; and

(B) references to days in these Procedures shall mean calendar days.

(2) Plural Usage.  The text of these Procedures generally assumes a single Complainant, Respondent, witness, and Allegation of Misconduct.  Where there are multiple Complainants, Respondents, witnesses, or Allegations of Misconduct, these Procedures shall be construed accordingly.

(3) Headings.  Headings used in these Procedures are for convenience of reference only and shall not be used for interpreting content.

l. Challenges; Review by VPRGS/Panel; Bad Faith.

(1) Challenges.   The Complainant may challenge a determination by the UIIO at the end of the Preliminary Assessment that no Inquiry into the Allegation of Misconduct is warranted, but only on the grounds that (A) the Respondent’s alleged conduct could constitute Misconduct, and (B) there is credible evidence to support further review of the Allegation of Misconduct.

Both the Respondent and the Complainant may challenge the UIIO’s identification of the Responsible Administrator, but only on the basis of asserted Conflict of Interest on the part of the Responsible Administrator.

Both the Respondent and the Complainant may challenge the Responsible Administrator's identification of an Inquiry Panel member or an Investigative Committee member, but only on the basis of asserted Conflict of Interest on the part of the Inquiry Panel member or Investigative Committee member.

A Respondent or Complainant who wishes to file such a challenge must do so in writing, with accompanying rationale, within ten days of receiving notice of the determination or identification.  The challenge shall be submitted to the UIIO.  The UIIO or the Responsible Administrator, as appropriate,  must respond to the challenge in writing within five business days, either accepting it and taking appropriate action, or rejecting it for stated cause.

(2) Reviews. If not satisfied with the UIIO's or the Responsible Administrator's response to a permissible challenge, the Respondent or Complainant may have the UIIO's or the Responsible Administrator’s response reviewed by the VPRGS or a Review Panel. The request for review must be in writing, must set forth the basis for the request, and must be filed with the VPRGS within five business days after the Respondent's or the Complainant's receipt of the UIIO's or the Responsible Administrator's response to the challenge. A Respondent may request that the review be conducted either by a Review Panel or by the VPRGS alone. A Complainant may request that the review be conducted by the VPRGS or by a Review Panel, but the Respondent has the right to require that the review be conducted by the VPRGS.

If the review is to be conducted by a Review Panel, the VPRGS shall convene that Panel within five business days of the filing of the request for review. The Review Panel shall be composed of three members selected by the VPRGS from a pool of 25 individuals chosen every two years by the University Research Council. The pool may include emeritus faculty.

Within five days of being convened, the Review Panel will review the challenge, the response, and the request for review, and render a binding decision on the challenge.

If the review is to be conducted by the VPRGS, the VPRGS will review the challenge, the response, and the request for review, and render a binding decision on the request for review within five business days of the filing of the request for review.

(3) Appeals of Findings of Bad Faith. Complainants and other witnesses may appeal a finding of Bad Faith made against them by the UIIO during the Preliminary Assessment or by an Inquiry Panel or an Investigative Committee.  Appeals must be filed with the UIIO within ten days of receipt of notice of a finding of Bad Faith.  The appellant should state whether the appeal is to be heard by the VPRGS or by a Review Panel.

If the appeal is to be heard by a Review Panel, the VPRGS shall convene that Panel within five business days of the filing of the appeal.  The Review Panel shall be composed of three members selected by the VPRGS from a pool of 25 individuals chosen every two years by the University Research Council.  The pool may include emeritus faculty.

Within five business days of being convened, the Review Panel will review the finding of Bad Faith and the appeal and render a decision on the appeal.  If the appeal is to be heard by the VPRGS, the VPRGS will review the finding of Bad Faith and the appeal, and render a decision on the appeal within five business days of the filing of the appeal.

If the finding of Bad Faith is overturned on appeal to the VPRGS or a Review Panel, the University's review of the finding of Bad Faith will be concluded.  If the finding of Bad Faith is sustained on appeal to the VPRGS or a Review Panel, the appellant will have an additional appeal to the President.  The appeal must be filed with the UIIO within ten days after notice of the initial appellate decision.  The President will render a final and binding decision on the appeal within five business days of receipt.

(4)  Extensions of Time.  The deadlines in this Section II(l) may be extended by the UIIO through written notice to the parties for good cause shown.

(5) Other Objections and Complaints. If the Complainant or Respondent objects to any other decision, procedural or substantive, made during the current or any previous Proceeding in the review of the Allegation of Misconduct, he or she may raise that objection: (a) with the UIIO during the Preliminary Assessment; (b) with the Inquiry Panel during the Inquiry; (c) with the Investigative Committee during the Investigation; and (d) with the President during an appeal under Section IX below.

Neither procedural or substantive decisions nor findings made under these Procedures by the UIIO, a Responsible Administrator, an Inquiry Panel, an Investigative Committee, a Review Panel operating under this Section II(l), the VPRGS, or the President can be challenged or overturned under the Faculty Grievance Procedure, the Anti-Discrimination Policy, Graduate Student Rights and Responsibilities, or any other University policy, contract, or procedure.

 Footnote:

¹ In this policy, “Provost” means “Office of the Provost” and that the Assistant Provost and Assistant Vice President for Academic Human Resources (or other administrator in the Provost’s Office) has been delegated responsibility for this role in order to clearly separate any future decision making required by the Provost pursuant to the Faculty Grievance Procedure with respect to implementation/enforcement of this policy.

============

Next:  III. Role of the UIIO

Previous:  I. Definitions

Index:  Faculty Handbook Index

TOC:  Faculty Handbook Table of Contents