ࡱ> FHE M1bjbjoo "H  ')%8'D'kk"hhhPhhhhlrrrrp|rhrrr !ILr<0'rrrrrhhh :   POLICY Ethics in Research and Other Scholarly Activities Ƶ is committed to the maintenance of the highest standards of integrity, honesty, and ethical behavior in the conduct of research, scholarly, creative, and sponsored program activities. It is expected that all members of the University family-administrators, faculty, staff, and students will adhere to these standards which are essential to the University maintaining the public trust. Definitions For purposes herein, Misconduct is defined as fabrication, plagiarism, or other serious deviation from accepted practices in performing or reporting research or other scholarly activities. Inquiry means initial information gathering and fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation. Investigation means a formal examination and evaluation of all relevant facts to determine whether misconduct has taken place. Complainant is the individual(s) alleging that an act of misconduct has occurred. Respondent is the individual(s) against whom an allegation of misconduct has been made. Inquiry Committee is an ad hoc panel of at least 3 faculty/staff members including the Vice President for Research and Development to review, adjudicate as necessary, or determine whether a formal investigation of alleged misconduct is warranted. Investigation Board refers to an ad hoc panel of at least 5 faculty/staff members appointed by the Vice President for Research and Development to conduct an investigation into alleged misconduct. Confidentiality all allegations, evidence, and proceedings shall be treated as confidential materials to the extent permitted by law. These procedures for handling accusations of misconduct are designed to involve as few individuals as possible to assure prompt and fair handling of cases while maintaining confidentiality and avoiding possible harm to the character and reputation of innocent individuals. Procedure Initiation: Anyone having reason to believe that a member of the faculty, staff, student body or administration has committed an act of misconduct in research, scholarly, creative or sponsored program activity should first consult informally with the Vice President for Research and Development. If this discussion confirms that the seriousness of the allegation warrants a formal complaint, the same should be submitted to the Vice President for Research and Development in writing. Inquiry Committee The Vice President for Research and Development will appoint an ad hoc Committee consisting of the Vice President or his/her designee and 2 members judged competent to evaluate this matter. The Vice President for Research and Development or his designee will serve as Chair. The Vice President for Research and Development shall initiate the initial inquiry process by notifying the respondent orally or in writing of the allegation, the formation, and membership of the Committee. Thereafter, the Vice President for Research and Development will guide the inquiry deliberations. All deliberations and discussions of the Inquiry Committee are to be treated confidentially. The Inquiry Committee shall convene meetings with the complainant and the respondent and shall review all necessary and reasonable documentation to determine if an investigation is warranted and/or adjudicate the case at this level. If the case can't be resolved, a full inquiry with a committee of 5 persons will be constituted. At this phase, both the respondent and complainant will be allowed to have representation by legal counsel. Legal counsel may be present for the purpose of advisement of the respondent or complainant. Such counsel may not examine witnesses or argue before the Committee. Retention of legal counsel shall be at the expense of the respondent or complainant. The full inquiry shall normally take no more than thirty working days from receipt of the complaint. If needed, additional time may be requested by the Inquiry Committee via a written report citing the reason for the delay and progress to date. Upon completion of its review, the Inquiry Committee shall make a formal written report to the Vice President for Research and Development. The final report shall minimally consist of the written complaint, Committee's findings, conclusions and recommendations with support documentation; including names and testimony of all witnesses. The Committee may include: 1) the information collected during the inquiry does not substantiate the complaint, therefore no formal investigation is warranted, or 2) the preponderance of the information collected during the inquiry warrants a formal investigation. A copy of the report will be forwarded to the respondent and the complainant by the Vice President for Research and Development. Investigation Process As defined earlier, an investigation is a formal examination and evaluation of all relevant facts for the purpose of determining whether misconduct has occurred. Upon notification by Inquiry Committee that a formal investigation of misconduct is warranted, the Vice President for Research and Development shall appoint an Investigation Board consisting of five (5) employees not having conflict of interest and who are judged in the Vice President's opinion to be competent to evaluate the matter before the Board. So as to assure a thorough investigation, the Vice President for Research and Development may retain external consultants when such expertise is warranted and deemed appropriate. The Vice President for Research and Development shall notify the President, appropriate Vice President(s), Deans, the respondent, and the complainant that a formal investigation has been initiated. The Investigation Board shall conduct a prompt and thorough investigation normally within 60 days. In order to ascertain all relevant facts, the investigation will be as thorough as possible and will include an examination of all documentation, including but not limited to, relevant research data and proposal, publications, correspondence, notes, and drawings. The respondent shall be given a minimum of 10 days notice of a formal hearing at which time he/she will be afforded the opportunity to be heard by the Board through presentation of statements and/or documentation. The respondent shall have the right to call witnesses and question the complainant and other witnesses called by the Board. Legal counsel may be engaged by any individual in the investigation at his/her own expense. Retention of legal counsel shall be for the purpose of advising his/her client only; counsel shall not be permitted to examine witness or argue before the Investigation Board. All deliberations of the Investigation Board shall be conducted in a confidential manner. Upon completion of the investigation, Board shall prepare a preliminary report setting forth its findings relative to the misconduct charge and the bases for its findings. A copy of the preliminary report and support documentation shall be delivered to the respondent, who shall be permitted to present a written response to the same within fourteen(l4) calendar days of receipt. Upon receipt of the respondent's written response or expiration of the fourteen-day response period, whichever comes first, the Board shall prepare a final investigative report. The final report shall contain: the allegations, names of Board members, date of investigative hearing(s), the conclusion reached by the Committee, the rationale for the conclusion, and any document thereof. The Board shall submit its complete report to the Vice President for Research and Development. If misconduct is not substantiated by a simple majority of the Board, the Vice President of Research and Development shall so inform the Vice President of Academic Affairs, (for academic appointees) in writing, who shall give written notification to all parties to the investigation that the respondent has been exonerated by the University Investigation Board. If a majority of the Investigation Board finds that an act of misconduct has occurred, it shall recommend an appropriate course of action, which may include disciplinary sanctions as defined herein. The Vice President for Research and Development shall forward to the Vice President for Academic Affairs or President in the case of non-instructional staff a written report with his/her recommendations. The Vice President for Academic Affairs shall give written notification to all parties to the investigation of the Board's findings. Appeal Upon notification of misconduct by the Vice President for Academic Affairs/Vice President for Research and Development, the respondent shall have the right to appeal the decision to the President of the University only if he/she can present additional information that was not previously considered. The appeal must be made in writing and delivered to the President's Office within fourteen(14) calendar days of notification of the decision. Following a review of the records to determine if correct procedures were followed, if the decision is substantiated and if the disciplinary action is appropriate, the President will render a decision in a timely manner. Disciplinary Actions If a respondent is found guilty of misconduct under the provisions of this policy, the Vice President for Academic Affairs, Vice President for Research and Development in case of non-instructional staff members, shall recommend to the President of the University the appropriate disciplinary action to be taken. The following actions are neither exhaustive nor do they prelude possible criminal actions or sanctions which may be imposed by a funding agency, however, they represent a range of possible actions which may be appropriate. These are not to be construed as mutually exclusive, for the University may impose additional and/or multiple sanctions. Issue a letter of reprimand to the respondent Special monitoring of future work Removal from particular project Suspend or terminate an active grant or project Place respondent on probation Reduce the rank Reduce the salary of the respondent Suspend the respondent from the University for specific period of time Terminate the employment of the respondent with the University Reporting to the Sponsor In compliance with applicable laws, regulations and agreements, the University shall take the necessary steps to notify and keep informed appropriate research sponsors.     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