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

Procedures Concerning Allegations of Misconduct - Other Internal or External Proceedings

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.

IV. Other Internal or External Proceedings

A case of alleged Misconduct may involve the possible violation of University policies or the policies of other institutions, and of external laws and regulations, and may occasion other internal or external adjudicatory proceedings.  The following shall govern the handling and sequencing of such proceedings.

a. Other Institution's Review. Another educational or research institution may have the right to review the same Allegation of Misconduct (or a related Allegation of Misconduct) against the same Respondent.  In such an event, the UIIO shall consult her or his counterpart at the other institution to determine whether the University or the other institution is best able to review the Allegation of Misconduct.  If the UIIO determines that the other institution is best able to review the Allegation of Misconduct, the UIIO shall so advise the VPRGS, who has authority to stay or terminate the University's review of the Allegation of Misconduct based on the review conducted at the other institution, as set forth in Section IV(g) below.  The University and the other institution may also agree to conduct a joint review of the Allegation of Misconduct.

b. Research Collaborator.   In the event of an Allegation of Misconduct involving Research or Creative Activities undertaken by a Respondent in collaboration with a colleague at another educational or research institution, the UIIO shall advise his or her counterpart at the other institution confidentially of the Allegation of Misconduct, and ask if a similar allegation has been made against the collaborator.  If it has, the University, through the UIIO, shall attempt to cooperate and share information confidentially with the other institution in their respective reviews of the Allegation of Misconduct and of the related allegation involving the collaborator.  The University and the other institution may also agree to conduct a joint review of the Allegation of Misconduct and the related allegation involving the collaborator.

c. Agency Investigation.  Certain governmental agencies, including HHS and NSF, have the option, at any stage in these Procedures, to  initiate an independent investigation of an  Allegation of Misconduct involving Research or Creative Activity supported by that agency.  In that event, the UIIO shall consult that agency regarding its investigation and shall advise the VPRGS whether the University should suspend its review of the Allegation of Misconduct during the agency's investigation, which the VPRGS shall have authority to do, as set forth in Section IV(g) below. 

d. Criminal Process.  In general, University review of an Allegation of Misconduct under these Procedures may occur in parallel with criminal processes.  If an Allegation of Misconduct is also the subject of a criminal investigation or proceeding and the pertinent governmental authority advises the University that the University's review of the Allegation of Misconduct under these Procedures may prejudice or interfere with that investigation or proceeding, the President shall have authority to stay any Proceeding until the criminal investigation or proceeding is complete.

e. Civil Litigation.  The existence of civil litigation involving the University may necessitate staying a Proceeding.  The President shall make such decisions on a case-by-case basis and promptly report them to the UIIO.

f. UIIO Stay of Proceedings.  The UIIO shall have authority to stay any Proceeding if, following consultation with the General Counsel, the UIIO determines that other University procedures mandated by law must be completed prior to the University's further review of an Allegation of Misconduct under these Procedures.  Such governmentally-mandated procedures may involve various forms of regulatory action (for example, the removal or clean-up of radioactive or other hazardous materials).

g. VPRGS Authority.  The VPRGS shall have authority to:

(1) stay any Proceeding until the completion of the review of the same Allegation of Misconduct, or of a related Allegation of Misconduct against the same Respondent, at another educational or research institution;

(2) terminate for good cause shown the review of any Allegation of Misconduct under these Procedures upon the completion of the review of the Allegation of Misconduct at another educational or research institution;

(3) stay any Proceeding until the completion of an independent investigation by a governmental agency of an Allegation of Misconduct involving Research or Creative Activities supported by that agency; and

(4) terminate for good cause shown the review of any Allegation of Misconduct under these Procedures upon the completion of an independent investigation by a governmental agency of an Allegation of Misconduct involving Research or Creative Activities supported by that agency.

h. Precedence of Proceedings. Subject to Section IV(f) above and to the University's right to take interim action under any University policy or contract, review of an Allegation of Misconduct under these Procedures shall precede all other internal University proceedings that relate to or arise out of the alleged Misconduct, including, without being limited to, disciplinary, anti-discrimination, and grievance proceedings.

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

Next:  V. Procedures for Conduct of Proceedings - General

Previous:  III. Role of the UIIO

Index:  Faculty Handbook Index

TOC:  Faculty Handbook Table of Contents