A.

Reporting Allegations
Initial allegations may be reported, in writing, to any faculty member or administrator. All such allegations must then be reported to the Vice President for Research or a designee. The term “the Vice President for Research” in the balance of this document shall mean “the Vice President for Research (VPR) or a designee.” Generally, the designee will be the Research Integrity Officer if that individual is not the VPR. The VPR will determine whether the allegations concern research, scholarship, or creative activity which is either being presently funded with federal or state funds or has been used in a grant proposal to a federal or state agency. The VPR will determine, in consultation with others if necessary, whether the person alleged to have committed scientific misconduct has external support that is reportable to the Office of Research Integrity (ORI). If the allegations concern research, scholarship, or creative activity with actual or potential federal or state funding, the procedures outlined in 5.6.V-VIII will be followed. If the allegations do not involve actual or potential federal or state funding, the procedures outlined in section 5.6.IX-XII of this Policy will be followed.

B.

Pre-Inquiry Review by the Vice President for Research (federal or state funding)
The VPR shall review, during the pre-inquiry stage, any allegation of misconduct in research, scholarship and creative activity and then determine whether:

1.

the allegation is within the purview of this Policy;

2.

other policies and procedures, such as those relevant to employment grievances, should be invoked;

3.

the allegation is outside the purview of the University;

4.

the allegation is clearly without substance;

If the VPR has a possible conflict of interest, the allegations will be referred to the VPAA of the University. If an Inquiry is determined to be unwarranted, the VPR shall prepare an internal memorandum-for-file including a statement of the allegation and the rationale for not conducting an inquiry. This memorandum shall be kept secure and destroyed, pursuant to the University’s records retention policy, six years after completion of the matter. A copy shall be given to the Respondent.

If an Inquiry is determined to be warranted, the VPR will counsel the individual(s) bringing the allegation as to the policies and procedures to be used. If the reporting individual chooses not to make a formal allegation but the VPR believes that enough information exists to warrant an inquiry, the Inquiry process will be initiated.

C.

Notification of Respondent (federal or state funding)
In the event the VPR determines that the allegation has been reviewed according to these policies and procedures, the VPR, within 20 working days of receipt of an allegation, shall:

1. complete the pre-inquiry review;

2. notify (Memo #1) the Respondent and the appropriate Dean(s) of the allegation;

3. notify all parties of the procedures that will be used to examine the allegation; and

4. notify all parties of the proposed individual responsible for the Inquiry (Inquirer) review [VI.B.1], and ask all parties to identify any real or potential conflict of interest between the proposed Inquirer and the parties involved in the allegation.

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