29.10 Research Ethics Violation

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If, pursuant to the University Policy on Ethics in Research, set forth in II-27.6, a determination is made that the investigation findings warrant further action, the following procedures shall apply:

  1. Executive Vice President and Provost/Academic Officer's Proposed Sanction. Any internal University sanction to be imposed shall be imposed initially by the Executive Vice President and Provost/Academic Officer. In doing so, the Executive Vice President and Provost/Academic Officer shall consider the totality of the record made in the initial inquiry conducted by the Research Integrity Officer, together with the Research Misconduct Committee written report of the findings from its own investigation. The Executive Vice President and Provost/Academic Officer shall accept the findings of the Research Misconduct Committee and shall determine an appropriate sanction to be imposed. The Executive Vice President and Provost/Academic Officer shall notify the faculty member of any sanction so determined.
  2. Faculty Member's Option. The faculty member may accept or reject the proposal of the Executive Vice President and Provost/Academic Officer. If the faculty member accepts the proposal of the Executive Vice President and Provost/Academic Officer, it shall be implemented and the case shall be closed. If the faculty member rejects the proposal of the Executive Vice President and Provost/Academic Officer, then the case shall proceed to a faculty panel solely for its recommendation for any appropriate sanction to be imposed. The faculty panel shall be appointed within three days pursuant to the procedures stated under III-29.3, Faculty Judicial Commission.
  3. Faculty Panel's Review. The faculty panel shall not hold an evidentiary hearing, and it shall not reconsider the Research Misconduct Committee's finding that further personnel action is warranted. Rather, the faculty panel shall be bound by the findings of the Research Misconduct Committee. The faculty panel shall consider the totality of the record made in the investigation conducted by the Research Integrity Officer, together with the Research Misconduct Committee's written report of its findings from that investigation. The faculty panel may hear argument by the accused faculty member and the Executive Vice President and Provost/Academic Officer and their respective counsel.
  4. Faculty Panel's Report Recommending Sanction. The faculty panel shall present its recommendations regarding any appropriate sanction in a written report. In a case arising under II-27.6, the Policy on Ethics in Research, the Presiding Officer also shall send copies of the report to the Vice President for Research.
  5. President's Review. The President shall determine what sanction, if any, the University shall impose. In no case shall the President reconsider the findings of the Research Misconduct Committee. The President's decision shall be based on: 1) the record made in the initial inquiry conducted by the Research Integrity Officer; 2) the Research Misconduct Committee's written report of its findings from its own investigation; and 3) the faculty panel's report recommending sanctions. The President shall not hold an evidentiary hearing, but may meet with the faculty panel. Furthermore, either party may submit a brief to the President within ten business days of receiving notice that the Presiding Officer has transmitted the panel's report to the President. In making the decision, the President shall be bound by the findings of the Research Misconduct Committee and shall give great weight to the recommendations of the faculty panel. The President may seek advice of legal counsel concerning the decision, and the President in consultation with the Vice President for Legal Affairs and General Counsel shall determine who shall provide that counsel.

    If the President accepts all of the faculty panel's recommendations regarding sanctions, the President shall direct that the panel's recommendations be implemented. The President shall so inform the presiding officer in writing, and shall send a copy thereof to the panel members. The presiding officer shall send copies of the President's final decision to the faculty member, the departmental executive officer, the collegiate dean, the academic officer, the University Representative, each of the members of the panel, and the investigating officer. The case will then be closed.

    If the President does not accept one or more of the faculty panel's recommendations regarding sanctions, the President shall inform the panel members in writing of the reasons for not accepting such finding(s) and/or recommendation(s) and shall send a copy thereof to the faculty member, the academic officer, the presiding officer and the investigating officer. Within five days of receiving the President's decision, the faculty member and the academic officer each may submit a brief to the investigating officer for the panel's consideration. The investigating officer shall send copies of any brief so submitted to the opposing party, each member of the judicial panel and the presiding officer. The panel then shall reconsider its findings and recommendations and shall report the result of its reconsideration to the President in a supplementary written report. The panel shall send copies of its report to the parties, the presiding officer and the investigating officer. The panel shall respond within ten business days of the date on which the panel's chair receives the President's letter or the parties' briefs, whichever is later. Within five days of receiving the panel's report, the faculty member and the academic officer each may submit a brief to the President, with copies to the opposing party, the presiding officer and the investigating officer. The President then shall make a final decision on the matter. In making this final decision, the President shall give great weight to the views of the panel.

    1. President Rejects All Findings and/or Recommendations. If, after reconsideration, the President rejects all of the panel's findings and/or recommendations for sanctions, the President shall inform the panel members in writing of the final decision and of any additional reasons supporting the decision and shall send a copy thereof to the presiding officer. The presiding officer shall send copies of the President's final decision and reasons to the faculty member, the departmental executive officer, the collegiate dean, the academic officer, the University representative, each of the members of the panel, and the investigating officer. The case will then be closed, subject only to further review by the Board of Regents.
    2. After Reconsideration, President Accepts At Least One, But Not All, Finding(s) and/or Recommendation(s). If, after reconsideration, the President accepts at least one, but not all, of the panel's findings and/or recommendations for sanctions, the President shall direct that those recommendations that the President accepts be implemented. The President shall inform the panel members in writing of those findings and/or recommendations that the President accepts, and of those that the President does not accept, and of any additional reasons supporting the decision. The President shall send a copy of the decision to the presiding officer. The presiding officer shall send copies of the President's final decision to the faculty member, the departmental executive officer, the collegiate dean, the academic officer, the University representative, and the investigating officer. The case will then be closed, subject only to a decision by the Board.
  6. Appeal to the Board of Regents. Any tenured faculty member terminated for unacceptable performance of duty shall have the right of appeal to the Board of Regents.