Alleged Misconduct

Alleged Misconduct in Research and Other Professional Activities
(February 26, 1994)

1. Statement of Policy.

The University of Southern Maine is committed to the highest ethical standards in research, publication, teaching, creative work, university and public service, and other professional activities. The primary responsibility for honesty in the pursuit and dissemination of knowledge, in creative work, and other professional activities rests with faculty, staff, and students directly involved in such activities. Anyone found guilty of willful misconduct, as defined below, is subject to disciplinary action by the University. Those engaged in research and other professional activities should be familiar with regulations and ethics guidelines that govern their disciplines. Faculty, staff, and students should disclose immediately what they believe to be misconduct.

Any allegation of professional misconduct made against a faculty or staff member, or a collaborator requires prompt, thorough, and fair review. The following procedures serve these objectives. Modification, however, will be necessary to accommodate those persons outside the normal structure of university governance.

2. Definitions.

Misconduct, for the purposes of this policy, includes fabrication, falsification, plagiarism, or misrepresentation with conscious intent to deceive others in proposing, conducting, and reporting research; in producing creative work; or in performing other professional activities. Misconduct does not include the expression of personal opinions, ideas, interpretations, or judgments, however flawed, unpopular, or unsubstantiated.

• An inquiry is an information-gathering and initial fact-finding process to separate allegations of misconduct deserving of further investigation from those which are frivolous, unsubstantiated, or mistaken.
• An investigation is a formal examination and evaluation of all relevant facts to determine if an instance of misconduct has taken place.
• A complainant is an individual who comes forward with an allegation of misconduct.
• A respondent is an individual against whom misconduct is alleged.
• The Conduct Officer is the University official charged by the President with implementation of these policies and procedures.
• The Committee on Professional Conduct is the University committee responsible for providing assistance to the Conduct Officer in implementing these policies and procedures.
• An Inquiry Board is an ad hoc subcommittee of the Committee on Professional Conduct that determines if a full investigation is warranted.
• A Review Panel is a panel of peers that investigates an allegation of misconduct.
• A sponsoring agency is a federal or state government agency or foundation, a private foundation, or a private organization that provides extramural support for university research and scholarly activities.

3. Guidelines for the Conduct of an Inquiry and an Investigation.

The procedures for dealing with allegations of misconduct are guided by the following:

1. Protection, to the extent possible, of the privacy of those who in good faith report apparent misconduct
2. Protection, to the extent possible, of the respondent's rights, including the right of response to all allegations and findings.
3. Confidential treatment of the allegation, to the extent possible.
4. A prompt and thorough investigation.
5. Avoidance of real or apparent conflicts of interest regarding all involved, including the Conduct Officer.
6. Safeguarding of all materials submitted to a Review Board.

4. Appointments.

A. Conduct Officer

1. The Chief Academic Officer or, in the event of a conflict of interest, another senior administrator designated by the President shall serve as Conduct Officer.
2. Responsibilities:
1. To provide education and counseling to the university community on matters related to misconduct in research, scholarship, creative work, or other professional activities.
2. To disseminate and interpret policy on such misconduct.
3. To counsel complainants.
4. To assist in the resolution of allegations.
5. To assist the complainant in the development of a formal, written complaint when these procedures are to be employed.
6. To appoint Inquiry Boards and to appoint Review Panels in consultation with the appropriate dean or administrator.
7. To maintain all records of complaints, inquiries, and investigations and to guarantee the confidentiality of these records.
8. To serve ex officio (without vote) on Inquiry Boards and Review Panels.
9. To communicate with government and other external funding agencies whenever allegations involve research supported by external funds.
10. To communicate with the Director of Sponsored Programs at all stages of the process when external funds are involved.
11. To communicate findings and decisions to the complainant and respondent.

B. Committee on Professional Conduct

1. The Committee on Professional Conduct shall include six members appointed by the Conduct Officer, normally from the tenured faculty and senior research staff, and representing a range of academic disciplines. Those appointed will be selected from lists provided by the appropriate Senates. Two members shall be appointed each year for three-year terms. Initial appointees shall serve for one, two, or three-year terms.
2. The Committee will provide, on an ad hoc basis, the membership of a three- member Inquiry Board to investigate allegations of misconduct and to determine if a full investigation is warranted.

C. Review Panel

1. When the Inquiry Board recommends a formal investigation, the Conduct Officer, in consultation with the appropriate dean or administrator, shall appoint a Review Panel of five members qualified to conduct that investigation. At least two members shall be from the respondent's discipline.
2. The respondent will be provided an opportunity to challenge Review Panel appointments for good cause, such as lack of expertise or bias.
3. Recognized scholars from other institutions who are expert in the area in question may be appointed to serve as consultants to the Review Panel.
4. Members of the Committee on Professional Conduct may not serve on Review Panels.

5. Description of Process.

A. Complaint.

Any member of the University community, perceiving professional misconduct, shall report it to the Conduct Officer who shall discuss with the complainant the allegation and procedures for inquiries and investigations. The process is initiated when a complainant or the Conduct Officer completes a formal statement of the allegation of misconduct. This statement shall include the allegation and reasons and bases for the claim of misconduct. Charges against students will be referred to the Office of Student Judicial Affairs for disposition under provisions of the Student Academic Integrity Policy.

B. Inquiry.

1. Within ten working days of the receipt of the complaint, if during the academic year, and as soon as practical in the summer, the Conduct Officer shall select an Inquiry Board, appoint a chair, and charge the Board. At the same time, the Conduct Officer shall provide the respondent a copy of the complaint and give the respondent notice of the appointment of an Inquiry Board and of its membership.
2. The respondent has a right to counsel, including a union representative, if desired, at this and every stage of the investigation; a right to answer any allegations; and a right to comment on findings of the inquiry and/or investigation. Such comments shall become a part of the record.
3. The Inquiry Board shall meet with the respondent, review information, and consult with the respondent's peers if appropriate.
4. The Inquiry Board shall prepare a written report within 30 days that includes the complaint, a statement of evidence reviewed, summaries of interviews, and conclusions. If the inquiry requires more time, a report citing cause for delay and degree of progress shall be submitted to the Conduct Officer, the respondent, and other relevant parties. If the inquiry will exceed 60 days, another report is required.
5. If an allegation, made in good faith, is found to be unsupported, the Board shall recommend no further action.
6. If an untrue allegation is found to have been made with malicious intent, the Conduct Officer shall initiate or recommend disciplinary action against the complainant in accordance with University policies and procedures.
7. If the Board establishes information supporting the allegation, if it raises questions that only a formal investigation can resolve, or if the respondent has refused full cooperation, it shall recommend that the Conduct Officer in consultation with the appropriate dean or administrator appoint a Review Panel to conduct a full investigation.
8. Copies of the Inquiry Board report shall be provided to the Conduct Officer, and to the respondent. If the Inquiry Board recommends a formal investigation, the respondent may file a written response with the Conduct Officer within ten days of receipt of the report. The Conduct Officer shall then decide whether to approve the Inquiry Board recommendation and shall inform the complainant and respondent of that decision.
9. If external funding is involved and the Board recommends a formal investigation, the sponsoring agency shall be notified prior to the commencement of the investigation. The Conduct Officer shall also notify the sponsoring agency at the commencement of the inquiry if any of the following conditions exist: immediate notification is required by an agency or contractual relationship; an immediate health hazard is involved; there is an immediate need to protect federal funds or equipment or the interests of the respondent(s) or the complainant(s); it is probable that the allegations are going to be reported publicly; or there is a reasonable indication of possible criminal violation, in which case an involved government agency shall be notified within 24 hours of receipt of the information. The Conduct Officer shall also notify the sponsoring agency and other sponsoring agencies, if appropriate, of developments that may affect current or future funding for the respondent or if that agency needs to know to ensure appropriate use of funds and to protect the public interest.
10. If the respondent, an agent of the respondent, or anyone else in the University retaliates against the complainant, the Conduct Officer shall initiate or recommend appropriate disciplinary action. 11. If anyone privy to the investigation breaches confidentiality, the conduct Officer shall initiate or recommend appropriate disciplinary action.

C. Formal Investigation

1. If a formal investigation is recommended by the Inquiry Board and deemed necessary by the Conduct Officer, the Conduct Officer shall, in consultation with the appropriate dean or administrator, appoint the Review Panel, give the Review Panel a specific statement of the complaint, and provide it with all material at hand. The Review Panel shall commence the investigation within 30 days of completion of the inquiry.
2. The respondent is obliged to provide the Review Panel with materials relevant to the alleged infraction. This might include such things as a list of persons connected with the work in question, copies of relevant grant applications and work progress reports, research notebooks, or other records, copies of relevant abstracts and papers (whether published or pending publication), and copies of all relevant correspondence and memoranda of telephone calls.
3. The Review Panel is authorized to conduct a hearing and to interview anyone who may contribute relevant information. The respondent's cooperation is required. The respondent shall be provided a full opportunity to question any witness.
4. If misconduct is substantiated, the Review Panel shall determine the seriousness of the offense and the extent of any adverse effects resulting from the misconduct.
5. The Review Panel report must be approved by a three-fifths vote of the full panel and shall be completed within 60 calendar days from commencement of the initial investigation. When the Review Panel cannot meet the deadline, it shall advise the Conduct Officer and the respondent. Should the Review Panel determine that it will not complete the investigation in 120 days and a government agency is involved, the Conduct Officer shall, when required by law, request an extension from that government agency.
6. Prior to completion of its report, the Review Panel may, by a three-fifths vote of its membership, widen the investigation to include other projects involving the respondent when the investigation suggests a substantive link with the project under investigation, establishes that the same research team was or may have been involved in other projects, indicates a pattern or practice of misconduct, or reveals other appropriate circumstances meriting expansion of the review. The Panel shall inform the Conduct Officer and respondent of its determination to widen the investigation. The expanded investigation must be completed within 60 calendar days from commencement of the initial investigation.
7. The report of the Review Panel shall describe the policies and procedures used, sources of information, findings and bases, the respondent's explanation, and sanctions recommended. A three-fifths vote of the full Review Panel that an allegation has been substantiated is required for imposition of any sanction by the university.
8. Within ten working days from receipt of the Review Panel report, the Conduct Officer shall notify the respondent and other appropriate parties of the findings, and provide the respondent with a copy of the report.

D. Disciplinary Action

1. If the allegations of misconduct are substantiated, the respondent will be subject to disciplinary action, at the discretion of the President, which may include, but is not limited to, termination of employment. The respondent may also be required to make restitution personally as appropriate.
2. The Conduct Officer shall notify any sponsoring agency or agencies of the findings. If the respondent is being supported by extramural sponsored funds, the Conduct Officer shall consult with the Director of Sponsored Programs and may notify the sponsor and apprise the sponsor of the investigation's progress. A copy of any such notification shall be provided the respondent. In the instance of governmentally-funded research, the Conduct Officer shall notify the agency of the outcome of the investigation and, if requested, shall provide the agency with the Review Panel's report. When the inquiry or investigation is terminated before completion, the Conduct Officer shall notify the appropriate agency as required by law.
3. The Conduct Officer shall notify the editors of journals that are considering or have published abstracts and papers or other work related to research determined to be the product of substantiated misconduct. Institutions and sponsoring agencies with which the Respondent has been affiliated will also be notified if there is a reason to question the validity of previous research, scholarship, or other work.

E. Appeal.

The respondent may file a written appeal of the Review Panel finding with the President. The appeal shall be filed within ten working days of receipt of the Review Panel's report and the determination of the Conduct Officer. When an appeal is upheld, the process will be repeated. The decision on appeal is final, subject to collective bargaining provisions.

6. Guidelines for the Confidentiality of Records

1. The Conduct Officer is charged with providing for the confidentiality of all records and documents submitted or generated in connection with proceedings under these policies.
2. All persons involved in administering this policy shall exercise diligence to assure compliance with confidentiality requirements.
3. Records shall be maintained for at least three years after completion of the process.
4. When there has not been a finding of misconduct or the proceeding has been terminated before completion, the file shall be sealed and may not be referenced or included in a personnel file.
5. Records of proceedings that result in a finding of misconduct shall be maintained and made accessible when required to insure compliance with the law and this policy. All access or disclosure requests and responses thereto shall be documented and maintained as part of the file.