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Procedures Concerning Allegations of Misconduct - Procedures for Conduct of Proceedings - General

VI. RESEARCH AND CREATIVE ENDEAVOR (Cont.)

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

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

V. Procedures for Conduct of Proceedings - General

a. Determination of Procedures.  Those charged with conducting a Proceeding shall determine the procedures that will be followed, provided that:

(1) the procedures they adopt shall be those they deem best suited to achieve a fair and equitable review of the Allegation of Misconduct;

(2) the procedures they adopt shall reflect a spirit of mutual respect and collegiality, and may, therefore, be as informal as they deem appropriate under the circumstances;

(3) in Preliminary Assessments and Inquiries, testimony shall be obtained from witnesses through private interviews rather than through a formal hearing;

(4) in Investigations, the Investigative Committee may choose to obtain testimony from witnesses through a series of private interviews with witnesses, or at a hearing at which the Complainant and the Respondent shall be invited to be present, provided, however, that the Respondent may, within one week of receiving a notice that the Investigative Committee has decided to conduct private interviews, deliver a notice to the UIIO requiring that a hearing be conducted instead of such interviews;

(5) at a hearing, the Respondent and the Complainant shall have the opportunity to raise questions for the Investigative Committee to pose to each witness about the testimony of that witness and the Allegation of Misconduct;

(6) if a Complainant who has requested that his or her identity be kept confidential declines to appear to give testimony at a hearing, the hearing may nevertheless be held, if the Investigative Committee determines that there is credible evidence of possible Misconduct by the Respondent apart from the Complainant's Allegation of Misconduct and that such evidence is sufficient to justify proceeding with the hearing;

(7) the Respondent shall have the right to be advised by counsel in all Proceedings;

(8) in all Preliminary Assessments, Inquiries, and Investigations, the Respondent shall have the right to present evidence and to identify persons who might have material information about the Allegation of Misconduct;

(9) formal rules of evidence shall not apply; and

(10) each Proceeding shall be conducted confidentially and in private except that, in the event of a hearing, the Investigative Committee may decide that it will be open if requested by the Respondent and if permissible under applicable regulations.

At the start of each Proceeding, the UIIO shall notify the Complainant and the Respondent of the procedures that will be followed during that Proceeding.

b. General Counsel Advice. The Office of the General Counsel shall, when so requested, provide legal advice regarding the implementation of these Procedures and other aspects of the University's review of an Allegation of Misconduct under these Procedures to the UIIO, the Responsible Administrator, the Inquiry Panel, the Investigative Committee, the VPRGS, the Review Panel, and the President.

c. Respondent Questions.  The UIIO shall contact the Respondent at the start of each Proceeding and attempt to answer any questions about that Proceeding.

d. Privacy of Parties.  The UIIO, the Responsible Administrator, the VPRGS, and each member of an Inquiry Panel,  an Investigative Committee and a Review Panel shall respect to the maximum extent possible the privacy of the Complainant and the Respondent.  This provision shall not be construed to limit the authority of the UIIO, the Responsible Administrator, or any other University administrator to give any notice, provide any information or record, or take any other action required by law or required or permitted under any other provision of these Procedures.  Further, if an Allegation of Misconduct results in an Investigation, the UIIO may confidentially advise any person or entity that has plans to publish or disseminate the results of the Research or Creative Activity to which the Allegation of Misconduct relates of the pending Investigation.  The UIIO shall be informed immediately of breaches of confidentiality.

e. Admission of Misconduct.  The VPRGS shall have authority to terminate the University's review of any Allegation of Misconduct under the Procedures upon the admission by the Respondent that Misconduct occurred and that the Respondent was responsible for it, if the termination of the review of that Allegation of Misconduct would not prejudice the University's review of another Allegation of Misconduct against that Respondent or against a different Respondent or the University's ability to assess the extent and consequences of the Misconduct and what action should be taken in response to it.

f. Records to Agency.  When the alleged Misconduct involves Research or Creative Activity supported by a governmental agency, the UIIO shall, if and to the degree required by law, make the records of the University's review of the Allegation of Misconduct under these Procedures available on request to authorized personnel of that agency.

 

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