ࡱ> DFCk (4bjbj 4B[f[f+FXXXXXlll8l($>LXXXKKKFXXKKKKQ`K0(K@ @ K@ XKHKK(@ X : 鶹Ps Procedures for Handling an Allegation of Scientific Research Misconduct A. Overview 1. There are three stages in the handling of allegations of misconduct in academic research. They are the Inquiry stage, the Investigation stage, and the Summary stage. The Inquiry stage begins with the initial allegation of misconduct in academic research and ends when the Provost and Vice Chancellor for Academic Affairs determines that the case does or does not warrant further action. The Investigation stage begins if and when it is decided that the case requires a full investigation and ends with a summary of findings as to the facts of the case and a recommendation for action forwarded to the Provost and Vice Chancellor for Academic Affairs. The Summary stage involves actions taken by the Provost and Vice Chancellor for Academic Affairs based on the findings of the first two stages. 2. For purposes of consistency, a "day" is defined as a weekday during which classes are normally in session. University holidays are not to be counted toward the deadlines established in this document. Timeliness for proceedings that extend over lengthy holidays may need to be modified as circumstances require. If so, these modifications must be documented and agreed to in writing by the parties involved. B. Specific Procedures Inquiry Stage 1. An allegation of misconduct in academic research should be directed to the Provost and Vice Chancellor for Academic Affairs. The Provost and Vice Chancellor for Academic Affairs determines, in consultation with the complainant, whether the charges are of a serious nature. This decision must be dated and documented in a specific file to be retained by the Provost and Vice Chancellor for Academic Affairs. Except in cases of conflicting interest, or other sensitive or special circumstances, the department chair of the faculty member(s) named in the allegation is informed of the matter at this time. 2. Upon finding that the complaint deserves further examination, the Provost and Vice Chancellor for Academic Affairs should initiate the Inquiry stage. This stage should be concluded within 30 work days. 2.1 The Inquiry Committee is to be formed by the Provost and Vice Chancellor for Academic Affairs. This committee may include the department chair involved and members of any research oversight committees that may have an interest in the present matter. Decisions to involve or not involve other parties in the inquiry must be made in light of the need to avoid real or apparent conflicts of interest and to maintain appropriate confidentiality. 2.2 The Provost and Vice Chancellor for Academic Affairs will name one of the committee members to serve as chair. This individual will coordinate the collection of documents, correspondence, and all other appropriate materials that are necessary for conducting the inquiry. 2.3 The faculty member(s) named in the allegation must be notified of the initiation of the proceedings. 3. The accused has a right to attend the Inquiry meetings at which evidence is presented and discussed, and to examine and respond to any evidence or testimony presented. A discussion of the allegation with the accused should be one of the first elements of the Inquiry Committee proceedings. The accused may not attend the final meeting of the Inquiry Committee at which a decision is reached as to whether the allegation warrants a formal investigation. However, no new evidence used against the accused may be presented or discussed at this final meeting. Within these limits, Inquiry Committee meetings may be attended only by Inquiry Committee members, the accused, persons presenting evidence or testimony, and others who have, in the judgment of the Provost and Vice Chancellor for Academic Affairs, a substantive and demonstrable need to know. The Inquiry shall be conducted under the strictest confidentiality possible. 4. If the Inquiry Committee finds that a full investigation of the allegation is not warranted, then any reference to the allegation must be removed from the faculty or staff member's personnel file, as well as from any special files pertaining to this matter. All documentation regarding the allegation must be destroyed by the Provost and Vice Chancellor for Academic Affairs. 5. If the Inquiry Committee finds that a full investigation of the allegation is warranted, the Provost and Vice Chancellor for Academic Affairs should (a) appoint an ad hoc committee to conduct an investigation composed as described below; (b) take appropriate action to preserve and protect any data, records, or evidence pertaining to the case; (c) notify the individual(s) involved of the proceedings being initiated and of their opportunity to appear before the committee in their own defense; and (d) report the initiation of the investigation to any funding agency that may be involved. The Provost and Vice Chancellor may require that the accused individual(s) temporarily cease research activities if it is determined that a continuation of such activities may result in risk or harm to parties involved. The Provost and Vice Chancellor for Academic Affairs shall inform the 鶹P Chancellor that a formal investigation of Academic misconduct is underway. Investigation Stage 1. The Chair of the Investigating Committee is to be designated first by the Provost and Vice Chancellor for Academic Affairs. The nature of the research, possible conflicting interests, and departmental or administrative concerns will guide the choice of this individual. 2. The Investigating Committee should be composed of seven members including: (a) the appointed chair; (b) one member representing the University Senate; (c) one member representing the Faculty Development and Welfare Subcommittee; and (d) members representing the committees involved with research on the 鶹P campus. The Provost and Vice Chancellor for Academic Affairs and the Chair of the Investigating Committee will confer on the six appointments (other than the Committee Chair) to assure that the Committee includes faculty with the particular expertise relevant to the nature of the allegation. These appointments shall be full-time faculty members with no apparent conflicts of interest and who are deemed qualified and appropriate to work in this capacity. 3. The Committee shall conduct a prompt and thorough investigation in order to ascertain whether the individual has violated this policy, and if so, to what extent. Early in the course of the investigation, the Committee shall discuss the matter in confidence with the accused individual and with all persons with whom the accused has collaborated in relation to the work under review. Throughout the investigation, the Committee shall be sensitive to the effects of the proceedings on the individual, protecting the rights of the accused, and avoiding disclosure except to individuals who need to be involved in the investigation. 4. One or more hearings shall be conducted by the Investigating Committee in which information and evidence relevant to the allegation are presented, discussed and evaluated. It is the responsibility of the Committee chair to schedule and conduct the hearing(s) as well as to provide relevant evidence, documents, and recorded testimony to Committee members. Interviews with those having special knowledge relevant to the allegation may take place in the hearing(s), as well as a review of written documents, publication records, raw data or computer files, and transcripts of testimony or discussion from previous hearings and interviews. 5. The accused individual has the right to attend these hearings, to examine all documents or evidence used to question persons being interviewed, and to introduce any evidence, documents, or interviews in support of the views of the accused. At the conclusion of the hearings, a separate meeting of the Investigating Committee shall be conducted to reach a decision as to the facts of the case. The accused individual may not be present at this final meeting, and no new evidence of any sort may be presented at this meeting. The accused individual must have access to all information used by the Committee, and must be given the opportunity to respond to that information. 6. The hearings may be attended only by those whose presence is required for the proceedings to take place. This would normally include the members of the Investigating Committee, the accused individual, and persons needed to present evidence or testimony. Others may be permitted on a need-to-know basis at the discretion of the chair of the Investigating Committee in consultation with the Provost and Vice Chancellor for Academic Affairs if necessary. 7. The scope of the investigation shall be at the discretion of the Committee chair according to the charge and the facts. The Committee shall consider only such evidence as is presented at the hearing(s). The Committee shall use its judgment in deciding what evidence presented is fair and reliable. A written transcript shall be kept of all proceedings in which evidence is presented. Upon request, a copy of this transcript will be furnished to the accused faculty member at the University's expense. 8. Within 30 work days from the beginning of the official investigation, the Investigating Committee should produce a preliminary report to which the accused individual may respond, in writing, before final recommendations are made. A period of 15 work days is allowed for a response from the accused unless it is determined by the Committee chair that more time is needed to ensure fair and appropriate handling of the matter. The specifics of any agreement to alter this timing must be documented and signed by the accused, the Committee chair, and the Provost and Vice Chancellor for Academic Affairs. 9. Within 60 work days from the beginning of the Investigation stage, the Investigating Committee must submit to the Provost and Vice Chancellor for Academic Affairs a written report which describes their findings as to the acts of the matter. This report should specify whether a majority of the committee believes that the accused individual has or has not engaged in substantive academic misconduct as defined in this document. If a majority of the Committee has determined that a substantive violation has occurred, the report should address the extent and seriousness of that violation. The report should also recommend a course of action to the Provost and Vice Chancellor for Academic Affairs. Such actions may involve personnel decisions, sanctions, notification of a funding agency, notification of collaborators, or any other appropriate action. Appeal Process The individual faculty member may appeal the decision reached in the above process through the standard faculty committees: the Faculty Grievance Committee or the Faculty Hearing Committee, as appropriate. Faculty members who feel that they have cause for a grievance in any matter other than suspension, discharge, nonreappointment (including denial of permanent tenure) or termination, which are under the jurisdiction of the Faculty Hearing Committee may submit a petition for redress to the Faculty Grievance Committee.     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