A.

Purpose (federal or state funding)
After review by the VPR and an assessment that there is the possibility of misconduct under this Policy, the VPR will initiate an Inquiry, which is the second step in the review process. In the Inquiry phase, factual information will be gathered and expeditiously reviewed to determine whether or not a further investigation of the charge (Investigation phase) is warranted. The Inquiry phase is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations.

B.

Process and Structure (federal or state funding)

1.

After a decision has been made to proceed with an Inquiry, the VPR will appoint an individual to conduct the Inquiry. That person, the Inquirer, must be a tenured faculty member at the rank of associate or full professor who is without conflict of interest and has appropriate expertise to evaluate the information relative to the case.

2.

The VPR will provide the individual conducting the Inquiry and the Respondent with copies of all relevant documents. During the Inquiry, the VPR and the individual conducting the inquiry will be responsible for the security of relevant documents. Originals of all documents and related communications are to be securely maintained in the Office of the Vice President for Research pursuant to the records retention policy.

3.

Responsibilities of the individual conducting the Inquiry:

a. Records of the Inquiry are to be kept and, at the end of the Inquiry, transferred to the VPR. The records are to be kept secure, and if no misconduct is found, the records should be destroyed six years after completion of the entire process.

b. If there is a need for interviews, the interviews must be tape-recorded and, upon request, made available to involved parties after the final decision in the entire process is made.

c. Information, expert opinions, records, and other pertinent data may be requested by the Inquirer. All involved individuals are expected to cooperate with the Inquirer by supplying such requested documents and information.

d. The Inquiry phase will be completed within 60 working days of its initiation unless the individual conducting the inquiry determines that circumstances clearly warrant an extension of time. In such circumstances, the Inquirer will advise the VPR who, in turn, will notify all relevant parties of the extension. The record of the Inquiry will include the rationale for exceeding the 60-working-day period.

e. As the Inquiry is intended to be expeditious, principals are expected to speak for themselves but may be accompanied by a representative for advice and counsel.

C.

As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of either the Inquiry or the Investigation may be indicated. Such action ranging from slight restrictions through complete suspension of the Respondent or the Respondent’s research and notification of external sponsors, if indicated, will be initiated by the VPR in collaboration with the VPAA.

1.

The completion of an Inquiry is marked by a determination of whether or not an investigation is warranted, thus if warranted invoking the investigation phase. The individual conducting the Inquiry shall not recommend that an investigation occur unless he/she concludes, based on the sufficient information for each allegation, that the allegation(s) have merit to call for an investigation. The report of the individual conducting the Inquiry will be conveyed in writing to the VPR who will be responsible for communicating the findings to the Respondent within 10 working days of receipt of the report. The report of the individual conducting the inquiry shall specify the information that was reviewed, summarize relevant interviews, and include the conclusions of the Inquiry. The Respondent shall be given the opportunity to comment in writing (Memo #2) upon the findings and recommendations of the individual conducting the Inquiry. If the Respondent chooses to comment, such comments shall be forwarded as soon as possible but no later than 20 working days from the date of notification of the findings by the VPR. The VPR will notify the Respondent in writing, by certified mail, return receipt requested. The Respondent’s comments will become part of the Inquiry record.

4.

If the outcome of the Inquiry indicates the need for a formal investigation, the individual conducting the Inquiry will communicate those findings to the VPR. If the VPR concurs with the recommendation of the individual conducting the Inquiry, the VPR, after notification to the appropriate Dean(s), the Vice President for Academic Affairs, and legal counsel, will initiate the Investigation phase. The VPR, through the Research Integrity Officer for the University, must notify any sponsoring agency or funding source, including the ORI at a time prior to the initiation of an Investigation. Factors to be considered in determining the timing of such notification include the following:

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