Final Resolution and Outcome

Faculty Handbook

Final Resolution and Outcome

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.

X. Final Resolution and Outcome

a. Exoneration. If the Preliminary Assessment results in a determination that an Inquiry is not warranted, or if the Inquiry Panel decides that an Investigation is not warranted, or if an Investigative Committee does not find that Misconduct has occurred, or if a finding of Misconduct is reversed on appeal, the Responsible Administrator and the RIO shall make diligent efforts, if requested by the Respondent, to restore the Respondent's reputation. These efforts shall be undertaken in consultation with the Respondent, provided that they shall: (1) be reasonable and practicable under the circumstances and proportionate to the damage to the Respondent's reputation as a result of the Allegation; (2) be consistent with applicable federal funding source expectations, if the Research or Creative Activity which was the subject of the Allegation was supported by that federal funding source; and (3) not affect the University's ability to take action against the Respondent for Unacceptable Research Practices which come to the University's attention as a result of the review of the Allegation under these Procedures.

b. Misconduct Found.

(1) Actions. When there is a final nonappealable decision that Misconduct has occurred:

(A) the Responsible Administrator, after consultation with the VPRGS and the Provost, shall take appropriate actions in response to the finding of Misconduct. Such actions may include:

(i) the imposition of sanctions within the authority of the Responsible Administrator and initiating University disciplinary proceedings appropriate to the finding of Misconduct pursuant to applicable University policies, procedures, and contracts, or

(ii) referring the finding of Misconduct to another administrator who has authority to impose sanctions and initiate disciplinary proceedings; and

(B) the RIO, after consultation with the Office of the General Counsel and the VPRGS, shall attempt to correct, and/or seek retraction of, any part of the Research Record materially affected by the Misconduct. The Respondent will not interfere with the RIO's efforts in these regards.

(2) Disciplinary Action. The University views Misconduct as grounds for disciplinary action pursuant to applicable University policies, procedures, and contracts, including procedures for challenging or grieving disciplinary action.

(3) Degree Revocation. Misconduct which materially affects the original scholarly or creative work included in a master's or doctoral thesis submitted in fulfillment of degree requirements at the University constitutes grounds for the revocation of that degree.

(4) Government Sanctions. In addition to sanctions imposed by the University, certain federal funding sources may impose sanctions of their own, if the Misconduct involved Research or Creative Activities which they supported.

(5) Serious Deviation. The University may take action, including disciplinary action, in response to a finding of Misconduct based on a serious deviation from accepted practices even if an Allegation against the same Respondent based on Fabrication, Falsification, or Plagiarism has not been sustained and the University has an obligation under Section X(a)(2) above with respect to the unsustained Allegation.

c. New Evidence. If, following a final nonappealable decision that Misconduct has occurred, the Respondent learns of previously unavailable material Evidence relevant to the determination of Misconduct, the Respondent shall send that Evidence to the RIO with an explanation of its origin and importance. The RIO shall submit the new Evidence to the Investigative Committee that conducted the Investigation of the Misconduct. The Investigative Committee shall promptly consider the new Evidence and notify the President of its impact on its finding of Misconduct and on its Investigative report. The President may also consult the VPRGS about the impact of the new Evidence. Based on the new Evidence and the information from the Investigative Committee and the VPRGS, the President may reverse or affirm the previous finding of Misconduct, or remand the matter to the Investigative Committee to conduct a new Investigation in light of the new Evidence. The President shall issue that decision with stated rationale within 30 days of receiving the notice from the Investigative Committee, but may extend this period for good cause by notice to the Respondent and the RIO.

d. Termination. If the VPRGS terminates the review of any Allegation under Section IV(g)(2), Section IV(g)(4), or Section V(e), an explanation for such termination shall be included in the Misconduct Proceeding Records.