Faculty Handbook

Other Internal or External Proceedings

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. 

IV. Other Internal or External Proceedings

The conduct which forms the basis for an Allegation may also involve the possible violation of other University policies or the policies of other institutions, and of external laws and regulations, and may occasion other internal or external adjudicatory proceedings. The following shall govern the handling and sequencing of such proceedings.

a. Other Institution's Review. Another educational or research institution may have the right to review the same Allegation (or a related Allegation) against the same Respondent. In such an event, the RIO shall consult her or his counterpart at the other institution to determine whether the University or the other institution is best able to review the Allegation. If the RIO determines that the other institution is best able to review the Allegation, the RIO shall so advise the VPRGS, who has authority to stay or terminate the University's review of the Allegation based on the review conducted at the other institution, as set forth in Section IV(g) below. The University and the other institution may also agree to conduct a joint review of the Allegation.

b. Research Collaborator. In the event of an Allegation involving Research or Creative Activities undertaken by a Respondent in collaboration with a colleague at another educational or research institution, the RIO shall advise his or her counterpart at the other institution confidentially of the Allegation, and ask if a similar allegation has been made against the collaborator. If it has, the University, through the RIO, shall attempt to cooperate and share information confidentially with the other institution in their respective reviews of the Allegation and of the related allegation involving the collaborator. The University and the other institution may also agree to conduct a joint review of the Allegation and the related allegation involving the collaborator.

c. Government Investigation. Certain federal funding sources have the option, at any stage in these Procedures, to initiate an independent investigation of an Allegation involving Research or Creative Activity supported by the funding source. In the event a federal funding source initiates such an investigation, the RIO shall consult the federal funding source regarding its investigation and shall advise the VPRGS whether the University should suspend its review of the Allegation during the federal funding source’s investigation, which the VPRGS shall have authority to do, as set forth in Section IV(g) below.

d. Criminal Process. In general, University review of an Allegation under these Procedures may occur in parallel with criminal processes. If an Allegation is also the subject of a criminal investigation or proceeding and the pertinent governmental authority advises the University that the University's review of the Allegation under these Procedures may prejudice or interfere with that investigation or proceeding, the President shall have authority to stay any Misconduct Proceeding until the criminal investigation or proceeding is complete.

e. Civil Litigation. The existence of civil litigation involving the University may necessitate staying a Misconduct Proceeding. The President shall make such decisions on a case-by-case basis and promptly report them to the RIO.

f. RIO Stay of Proceedings. The RIO shall have authority to stay any Misconduct Proceeding if, following consultation with the Office of the General Counsel, the RIO determines that other University procedures mandated by law must be completed prior to the University's further review of an Allegation under these Procedures. Such governmentally-mandated procedures may involve various forms of regulatory action (for example, the removal or clean-up of radioactive or other hazardous materials).

g. VPRGS Authority. The VPRGS shall have authority to:

(1) stay any Misconduct Proceeding until the completion of the review of the same Allegation, or of a related Allegation against the same Respondent, at another educational or research institution;

(2) terminate for good cause shown the review of any Allegation under these Procedures upon the completion of the review of the Allegation at another educational or research institution;

(3) stay any Misconduct Proceeding until the completion of an independent investigation by a federal funding source of an Allegation involving Research or Creative Activities which it supported; and

(4) terminate for good cause shown the review of any Allegation under these Procedures upon the completion of an independent investigation by a federal funding source of an Allegation involving Research or Creative Activities which it supported.

h. Precedence of Proceedings. Subject to Section IV(f) above and to the University's right to take interim action under any University policy or contract, review of an Allegation under these Procedures shall precede all other internal University proceedings against a Respondent that relate to or arise out of the alleged Misconduct, including, without being limited to, disciplinary, anti-discrimination, and grievance proceedings.