A.

Reporting Allegations (no federal or state funding)
Once the VPR has determined that the allegations do not involve any federal or state funding or grant proposals, the VPR will report the allegations to the Vice President for Academic Affairs or a designee and procedures in 5.6.IX-XII will be followed. (The term “the Vice President for Academic Affairs” in the balance of this document shall mean “the Vice President for Academic Affairs (VPAA) or a designee.”) If the VPAA has a possible conflict of interest, the allegations will be referred to the VPR of the University.

B.

Pre-Inquiry Review (no federal or state funding)
The VPAA 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 an Inquiry is determined to be unwarranted, the VPAA 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 (6) years after completion of the matter. A copy shall be given to the Respondent.

If an Inquiry is determined to be warranted, the VPAA 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 VPAA believes that enough information exists to warrant an inquiry, the Inquiry process will be initiated.

C.

Notification of Respondent (no federal or state funding)
In the event the VPAA determines that the allegation has been reviewed according to these policies and procedures, the VPAA, within 20 working days of receipt of an allegation, shall:

1. complete the pre-inquiry review;

2. notify (Memo #5) 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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