Faculty Handbook

General

Last updated: 6/19/2009

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.

V. Procedures for Conduct of  Misconduct  Proceedings - General

a. Determination of Procedures. Those charged with conducting a Misconduct Proceeding shall determine the procedures that will be followed, provided that:

(1) the procedures they adopt shall be those they deem best suited to achieve a fair and equitable review of the Allegation;

(2) the procedures they adopt shall reflect a spirit of mutual respect and collegiality, and may, therefore, be as informal as they deem appropriate under the circumstances;

(3) in Preliminary Assessments and Inquiries, testimony shall be obtained from witnesses through private interviews rather than through a formal hearing;

(4) in Investigations, the Investigative Committee may choose to obtain testimony from witnesses through a series of private interviews with witnesses, or at a hearing at which the Complainant and the Respondent shall be invited to be present, provided, however, that the Respondent may, within one week of receiving a notice that the Investigative Committee has decided to conduct private interviews, deliver a notice to the RIO requiring that a hearing be conducted instead of such interviews;

(5) at a hearing, the Respondent and the Complainant shall have the opportunity to raise questions for the Investigative Committee to pose to each witness about the testimony of that witness and the Allegation;

(6) if a Complainant who has requested that his or her identity be kept confidential declines to appear to give testimony at a hearing, the hearing may nevertheless be held, if the Investigative Committee determines that there is credible Evidence of possible Misconduct by the Respondent apart from the Complainant's Allegation and that such Evidence is sufficient to justify proceeding with the hearing;

(7) the Respondent shall have the right to be advised by Counsel in all Misconduct Proceedings;

(8) the Complainant shall have the right to be advised by an Advisor in all Misconduct Proceedings;

(9) in all Preliminary Assessments, Inquiries, and Investigations, the Respondent shall have the right to present Evidence and to identify persons who might have Evidence about the Allegation;

(10) formal rules of evidence shall not apply;

(11) each Misconduct Proceeding shall be conducted confidentially and in private except that, in the event of a hearing, the Investigative Committee may decide that it will be open if requested by the Respondent and if permissible under applicable regulations; and

(12) to the extent that a published regulation of a federal funding source requires a specific procedural element in the review and adjudication of an Allegation concerning a proposal to or an award from that federal funding source, that procedural element shall be included in the procedures adopted.

At the start of each Misconduct Proceeding, the RIO shall notify the Complainant and the Respondent of the procedures that will be followed during that Misconduct Proceeding.

b. General Counsel Advice. The Office of the General Counsel shall, when so requested, provide legal advice regarding the implementation of these Procedures and other aspects of the University's review of an Allegation under these Procedures to the RIO, the Responsible Administrator, the Inquiry Panel, the Investigative Committee, the VPRGS, a Review Panel, and the President.

c. Respondent Questions. The RIO shall contact the Respondent at the start of each Misconduct Proceeding and attempt to answer any questions about that Misconduct Proceeding.

d. Admission of Misconduct. The VPRGS shall have authority to terminate the University's review of any Allegation under the Procedures upon the admission by the Respondent that Misconduct occurred and that the Respondent was responsible for it, if the termination of the review of that Allegation would not prejudice the University's review of another Allegation against that Respondent or against a different Respondent or the University's ability to assess the extent and consequences of the Misconduct and what action should be taken in response to it.

e. Records to Agency. When the alleged Misconduct involves Research or Creative Activity supported by a federal funding source, the RIO shall make available to its authorized personnel any Misconduct Proceeding Records that such personnel request.

f. Additional Respondents. If, during the course of any Misconduct Proceeding, additional Respondents are identified, they shall be notified immediately, and the RIO and the Responsible Administrator shall, to the degree feasible, attempt to coordinate the Misconduct Proceedings against all the Respondents.