VI. RESEARCH AND CREATIVE ENDEAVOR (Cont.)

a. Applicability. These Procedures apply to all members of the University community, including students, who engage in Research and Creative Activities.
b. Dissemination. These Procedures shall be widely disseminated in the University community.
c. Integrity of Procedures. Safeguarding the integrity of these Procedures is critical.

(1) The Complainant, the Responsible Administrator, the RIO, witnesses, and members of Review Panels, Inquiry Panels, and Investigative Committees shall act in Good Faith.
(2) No one shall attempt to prejudice or coerce the judgment or decisions of an Inquiry Panel member, an Investigative Committee member, a Review Panel member, the Responsible Administrator, or the RIO.
(3) No one shall attempt to prejudice or coerce the testimony of any witness, the Complainant, or the Respondent.
(4) No one shall engage in or threaten Retaliation.

The RIO should be informed immediately of any actual or threatened violation of the integrity of these Procedures. In addition, the VPRGS shall be informed of any complaint or report that a member of an Inquiry Panel, an Investigative Committee, or a Review Panel, the Responsible Administrator, or the RIO has not acted in Good Faith in carrying out any of his or her duties under these Procedures.

d. Indemnification. The University's policy on indemnification shall govern the indemnification of the RIO, the Responsible Administrator, unpaid Counsel and Advisors who are University employees or students, and members of Inquiry Panels, Investigative Committees, and Review Panels who are University employees or students. Indemnification shall be provided to non-University members of Inquiry Panels, Investigative Committees, and Review Panels and to witnesses (except for non-University expert witnesses appearing on a contractual basis) in accordance with the University's policy on indemnification of volunteers with respect to their activities in Good Faith.
e. Anonymous Allegations. The University shall review anonymous Allegations under these Procedures.
f. Confidentiality.

(1) Limited Disclosure of Allegation/Misconduct Proceedings. To the extent possible consistent with a fair and thorough review of an Allegation, disclosure of an Allegation and the resulting Misconduct Proceedings should be limited to those who need to know about them. In amplification, and not in limitation, of the foregoing:

(A) except as otherwise permitted or required by these Procedures, or as required by law, members of Review Panels, Inquiry Panels, and Investigative Committees, the Responsible Administrator, the RIO, and University administrators involved in the review of an Allegation under these Procedures shall make diligent efforts to preserve the confidentiality of the Allegation and resulting Misconduct Proceedings out of respect for the privacy of those involved, especially the Respondent; and
(B) if an Allegation results in an Investigation, the RIO 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 relates of the pending Investigation.

(2) Complainant Identity. The University shall make diligent efforts to honor the request of any Complainant that her or his identity be kept confidential during the University's review of his or her Allegation under these Procedures.
(3) Breaches of Confidentiality. The RIO should be informed immediately of breaches of confidentiality. The RIO will investigate the breach of confidentiality and refer the matter to the appropriate administrator for review and such further action, if any, as the administrator may deem appropriate.

g. Cooperation. To preserve the integrity of the environment for Research and Creative Activities, members of the University community are expected to cooperate in the review of Allegations under these Procedures, for example, by providing documents and testimony if requested to do so by the RIO.
h. Location of Alleged Misconduct. An Allegation may be reviewed by the University under these Procedures no matter where or when the Misconduct allegedly occurred.
i. Events Requiring Immediate Action. If, at any stage of these Procedures, the RIO obtains reasonable information about

(1) a possible criminal violation,
(2) an immediate health hazard or other imminent risk of danger to public health or safety or to experimental subjects,
(3) the need to take immediate action to protect the funds or equipment of any governmental or other sponsor of Research or Creative Activities, or to assure compliance with the terms of a contract sponsoring Research or Creative Activities,
(4) the need to take immediate action to protect any Complainant, Respondent, witness, member of an Inquiry Panel, an Investigative Committee, or a Review Panel, or other person involved in any Misconduct Proceeding,
(5) the need to take immediate action to prevent the loss, destruction, or adulteration of any Evidence,
(6) the need to take immediate action to prevent or stop an imminent or continuing violation of an applicable law, regulation, or other governmental requirement or of a University rule or policy, or
(7) the probable public disclosure of an Allegation or any Misconduct Proceeding,

the RIO shall immediately so notify the President, the Provost, the VPRGS, the General Counsel, and, if appropriate, the pertinent government official or sponsor of Research or Creative Activities, and, following consultation with the Office of the General Counsel, the RIO shall promptly make recommendations to the VPRGS, the Provost, and the President as to responsive actions. Notwithstanding any other provision of these Procedures, appropriate University administrators shall have authority to take any actions they deem necessary or appropriate to safeguard University personnel, other participants in any Misconduct Proceeding, public health or safety, experimental subjects, sponsors' funds or equipment, Evidence, or the integrity of the research environment. That any such action is taken shall not be deemed to predetermine any finding or conclusion from the University's review of an Allegation under these Procedures, but any information arising from any such action may constitute Evidence.

j. Notice. Any notice or other document issued pursuant to these Procedures shall be in writing and shall include an explanation of any decision or opinion stated therein. The RIO shall provide the Respondent copies of all such documents in a timely manner.

k. Interpretation.

(1) Time Periods. Unless otherwise specified in these Procedures:

(A) the failure to exercise any right granted under these Procedures within the stated time period shall constitute a waiver of that right; and
(B) references to days in these Procedures shall mean calendar days.

(2) Plural Usage. The text of these Procedures generally assumes a single Complainant, Respondent, witness, and Allegation. Where there are multiple Complainants, Respondents, witnesses, or Allegations, these Procedures shall be construed accordingly.
(3) Headings. Headings used in these Procedures are for convenience of reference only and shall not be used for interpreting content.

l. Challenges; Review by VPRGS/Panel

(1) Challenges. The Complainant may challenge a determination by the RIO at the end of the Preliminary Assessment that no Inquiry into the Allegation is warranted, 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.

Both the Respondent and the Complainant may challenge the RIO’s identification of the Responsible Administrator, but only on the basis of asserted Conflict of Interest on the part of the Responsible Administrator.

Both the Respondent and the Complainant may challenge the Responsible Administrator's identification of an Inquiry Panel member or an Investigative Committee member, but only on the basis of asserted Conflict of Interest on the part of the Inquiry Panel member or Investigative Committee member.

A Respondent or Complainant who wishes to file such a challenge must do so in writing, with accompanying rationale, within ten days of receiving notice of the determination or identification. The challenge shall be submitted to the RIO. The RIO or the Responsible Administrator, as appropriate, must respond to the challenge in writing within five business days, either accepting it and taking appropriate action, or rejecting it for stated cause.

(2) Reviews. If not satisfied with the RIO's or the Responsible Administrator's response to a permissible challenge, the Respondent or Complainant may have the RIO's or the Responsible Administrator’s response reviewed by the VPRGS or a Review Panel. The request for review must be in writing, must set forth the basis for the request, and must be filed with the VPRGS within five business days after the Respondent's or the Complainant's receipt of the RIO's or the Responsible Administrator's response to the challenge. A Respondent may request that the review be conducted either by a Review Panel or by the VPRGS alone. A Complainant may request that the review be conducted by the VPRGS or by a Review Panel, but the Respondent has the right to require that the review be conducted by the VPRGS.

If the review is to be conducted by a Review Panel, the VPRGS shall convene that Panel within five business days of the filing of the request for review. The Review Panel shall be composed of three members without Conflicts of Interest selected by the VPRGS from a pool of 25 individuals chosen every two years by the University Research Council. The pool may include emeritus faculty.
Within five business days of being convened, the Review Panel will review the challenge, the response, and the request for review, and render a binding decision on the challenge.

If the review is to be conducted by the VPRGS, the VPRGS will review the challenge, the response, and the request for review, and render a binding decision on the request for review within five business days of the filing of the request for review.

(3) Extensions of Time. The deadlines in this Section II(l) may be extended by the RIO through written notice to the parties for good cause shown.
(4) Other Objections and Complaints. If the Complainant or Respondent objects to any other decision, procedural or substantive, made during the current or any previous Misconduct Proceeding in the review of the Allegation, he or she may raise that objection:

(A) with the RIO during the Preliminary Assessment;
(B) with the Inquiry Panel during the Inquiry;
(C) with the Investigative Committee during the Investigation; and
(D) with the President during an internal appeal under Section IX below.

Neither procedural or substantive decisions nor findings made under these Procedures by the RIO, a Responsible Administrator, an Inquiry Panel, an Investigative Committee, a Review Panel, the VPRGS, or the President can be challenged or overturned under the Faculty Grievance Procedure, the Anti-Discrimination Policy, Graduate Student Rights and Responsibilities, or any other University policy, contract, or procedure.