Faculty Handbook

Procedures Concerning Allegations of Misconduct in Research and Creative Activities

Last updated: 6/19/2009


These Procedures were approved by the Board of Trustees on April 11, 1997 and revised June 28, 2002 and June 19, 2009.



I. Definitions

  1. Advisor
  2. Allegation
  3. Bad Faith
  4. Complainant
  5. Conflict of Interest
  6. Counsel
  7. Creative Activities
  8. Evidence
  9. Fabrication
  10. Falsification
  11. Good Faith
  12. Inquiry
  13. Inquiry Panel
  14. Investigation
  15. Investigative Committee
  16. Misconduct
  17. Misconduct Proceeding
  18. Misconduct Proceeding Records
  19. Plagiarism
  20. Preliminary Assessment
  21. Preponderance of the Evidence
  22. Procedures
  23. Questionable Research Practices
  24. Research
  25. RIO
  26. Respondent
  27. Responsible Administrator
  28. Research Record
  29. Retaliation
  30. Review Panel
  31. UGC
  32. Unacceptable Research Practices
  33. VPRGS

II. General

a. Applicability 
b. Dissemination 
c. Integrity of Procedures 
d. Indemnification 
e. Anonymous Allegations 
f.  Confidentiality 
g. Cooperation 
h. Location of Alleged Misconduct 
i. Events Requiring Immediate Action 
j. Notice 
k. Interpretation 
l. Challenges; Review by VPRGS/Panel

III. Role of the RIO

IV. Other Internal or External Proceedings

a. Other Institution's Review 
b. Research Collaborator 
c. Government Investigation 
d. Criminal Process 
e. Civil Litigation 
f. RIO Stay of Proceedings 
g. VPRGS Authority 
h. Precedence of Proceedings

V. Procedures for Conduct of Misconduct Proceedings - General

a. Determination of Procedures 
b. General Counsel Advice 
c. Respondent Questions 
d. Admission of Misconduct 
e. Records to Agency
f. Additional Respondents

VI. Allegations of Misconduct and Preliminary Assessments

a. Allegation of Misconduct 
b. Preliminary Assessment 
c. Purpose and Nature of Preliminary Assessment 
d. Preliminary Assessment - Standard for Determination 
e. Inquiry Warranted 
f. Inquiry Not Warranted 
g. Bad Faith

VII. Inquiry

a. Panel 
b. Charge 
c. Briefing 
d. Standard for Determination 
e. Purpose and Nature of Inquiry 
f. Assistance for Panel 
g. RIO and Responsible Administrator 
h. Timing 
i. Inquiry Report 
j. Determination Regarding Investigation 
k. Bad Faith 
l. Notification

VIII. Investigation

a. Committee 
b. Notifications 
c. Charge 
d. Briefing 
e. Standard for Determination 
f. Evidence Review 
g. Testimony 
h. Assistance for Committee 
i. RIO and Responsible Administrator 
j. Timing 
k. Investigation Report 
l. Bad Faith 
m. Final Report/VPRGS Overrule
n. Distribution of Final Report; Comments 
o. Notifications

IX. Appeal

a. Right 
b. External Appeal Record
c. Procedure 
d. New Evidence 
e. Decision

X. Final Resolution and Outcome

a. Exoneration 
b. Misconduct Found 
c. New Evidence 
d. Termination

XI. Unacceptable and Questionable Research Practices

a. Referral from Proceedings 
b. Discovery and Report

XII. Bad Faith

a. Complainant or Witness
b. Panel and Committee Members, Responsible Administrator, RIO

XIII. Protecting Participants in Misconduct Proceedings

a. Protection of Position and Reputation
b. Retaliation

XIV. Provisions for Changing these Procedures

Appendix: Appointment and Evaluation of the Research Integrity Officer

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