Faculty Handbook

Allegations of Misconduct and Preliminary Assessments

Last updated: 6/19/2009

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 June 28, 2002 and June 19, 2009. 

VI. Allegations of Misconduct and Preliminary Assessments

a. Allegation of Misconduct. Any member of the University community or other person who wishes to make an Allegation shall contact the RIO.

The RIO shall notify the Respondent promptly of an Allegation and of the Respondent's right to be advised by Counsel during all Misconduct Proceedings.1 The RIO shall also notify the Complainant of the Complainant's right to be advised by an Advisor during all Misconduct Proceedings.

The RIO shall advise the VPRGS and the Provost of all Allegations.

b. Preliminary Assessment. In the event of an Allegation, the RIO shall promptly conduct a Preliminary Assessment to determine whether an Inquiry is warranted.

c. Purpose and Nature of Preliminary Assessment. The Preliminary Assessment is a preliminary process whose purpose is to cull out a clearly erroneous, unsubstantiated, or Bad Faith Allegation before the Respondent is subjected to an Inquiry or an Investigation. Hence, in conducting the Preliminary Assessment, the RIO is not obligated to do any interviews on the Allegation or to engage in an exhaustive review of all Evidence relevant to such Allegation.

d. Preliminary Assessment - Standard for Determination. The RIO shall determine that an Inquiry is warranted if, in his or her judgment, (1) the Respondent's alleged conduct could constitute Misconduct or Unacceptable Research Practices, and (2) there is credible Evidence to support further review of the Allegation.

e. Inquiry Warranted. If the RIO determines that an Inquiry is warranted, the RIO shall prepare a Preliminary Assessment referral which explains the basis for his or her determination. The RIO shall transmit copies of the Preliminary Assessment referral to the Respondent and the VPRGS. The RIO shall also notify the Complainant of the outcome of the Preliminary Assessment and provide the Complainant with a brief summary of the Preliminary Assessment referral.

After completing the Preliminary Assessment referral, the RIO shall identify the Responsible Administrator, who shall then immediately initiate an Inquiry.

f. Inquiry Not Warranted.

(1) Preliminary Assessment Report. If the RIO determines that an Inquiry is not warranted, the RIO shall prepare a Preliminary Assessment report that states the basis and rationale for his or her determination. The RIO shall provide a copy of the Preliminary Assessment report to the Respondent, the Complainant, and the VPRGS.

(2) Challenge. Within ten days following receipt of the Preliminary Assessment report, the Complainant may challenge the RIO's determination that an Inquiry is not warranted, pursuant to Section II(l) above, 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.

(3) End of Review. The RIO's determination that an Inquiry is not warranted, unless overturned pursuant to Section II(l) above, shall conclude the University's review of that Allegation.

g. Bad Faith. If the RIO concludes that the Complainant acted in Bad Faith in making the Allegation, or that the Complainant or any witness acted in Bad Faith during the Preliminary Assessment, the RIO shall refer the matter for administrative review and appropriate action as set forth in Section XII(a)(1) below.


If the Respondent requests, the RIO will assist the Respondent in locating faculty members who are familiar with the Procedures and who might be willing to serve as Counsel.
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