Procedure No.: 19.048 Page No.: 1,2,3,4 and 5 of 5 Date Issued: 06/27/97 Issued By: Carol Blum
The vice president for research and graduate studies, in consultation with the Professional Relations Committee of the Faculty Senate or other representative committee appropriate to the employment status of the respondent, shall appoint a panel to conduct an inquiry to determine if a full investigation is warranted. The panel shall consist of no fewer than three (3) persons. The panel should include not only persons who have expertise in the discipline of the respondent(s), but also at least one other, unrelated scholarly discipline, and a member of rank or position similar to the respondent. The chair of the panel will be selected by the vice president for research and graduate studies and support staff will be provided by the vice presidentŐs office. The inquiry shall be completed and a written report submitted to the vice president for research and graduate studies within thirty (30) calendar days from the date of notification to the respondent of the allegation of misconduct.
The inquiry is the initial stage of formal information-gathering and initial fact-finding to determine whether there is sufficient credible evidence of misconduct to warrant a full-scale investigation. The written report shall state what evidence was reviewed, summarize relevant interviews, and include conclusions of the inquiry. The panel will have access to and the assistance of all units or offices at the university in conducting its review. Contact with experts or witnesses outside the university will be authorized by the chair of the panel and made by the staff members assisting the panel. The respondent(s) will be interviewed as a part of the inquiry process and shall be given a copy of the report of inquiry. If they comment on that report, their comments will be made a part of the record. If the inquiry takes longer than thirty (30) days to complete, the record of the inquiry shall include documentation of the reasons for exceeding the thirty (30) day period.
Within ten (10) days following the completion of the inquiry, the vice president for research and graduate studies will review the recommendations of the inquiry panel and the written comments of respondent, if any are made, and determine,in consultation with the provost,whether to conduct an investigation, drop the matter, or pursue some other appropriate action. The dean of the respondentŐs college will be notified of the decision of the vice president. In cases where that are procedural or bias challenges or other problems identified in the inquiry process, the university may elect to proceed with an investigation or pursue other appropriate remedies, on advice of university counsel and in consultation with any effected federal agency. The course of action chosen will be reported to the respondent. An institutional settlement at the inquiry stage cannot bind the federal government.
The investigation is the formal review of an allegation of misconduct with a formal examination and evaluation of relevant facts to draw a conclusion about whether the evidence persuasively supports a finding that misconduct has occurred. The investigation normally will include examination of documentation, including but not necessarily limited to the report of the inquiry panel, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The respondent(s) will be interviewed as part of the investigative process. Contact with experts or witnesses outside the university will be authorized by the chair of the
An investigation should ordinarily be completed within ninety (90) days of its initiation, including conducting the investigation, preparing the report of findings, and making that report available for comment by the respondent. The report, along with all documentation used in the investigation and any comments provided by the respondent(s), shall be delivered to the vice president for research and graduate studies immediately upon completion.
The vice president for research and graduate studies will review the report, all relevant documentation and any comments from the respondent(s) and forward the report with his/her recommendations to the provost for appropriate action. The provost, following review of the findings and recommendations with the respondent, shall determine what disposition to make of the case. The dean of the respondentŐs college will be informed of the provostŐs decision. The report of the investigation, and comments from the respondents, and the decision of the provost with regard to sanctions will be forwarded to any appropriate funding agency.
The individual(s) against whom the allegation of scientific misconduct has been made shall be afforded prompt and thorough investigation, confidential treatment to the maximum extent possible under Ohio law, and an opportunity to comment on allegations and findings of the inquiry and/or the investigation before recommendations are made.
It is the obligation of every employee at Ohio University to cooperate, in good faith, with inquires and investigations of possible misconduct.
It is the responsibility of the university to undertake diligent efforts, as appropriate, to restore the reputation(s) of the respondent(s) when allegations are not confirmed. These efforts may include notification of the finds to all agencies, sponsors, or other entities or individuals initially informed of the inquiry and/or investigation.
A whistleblower who wishes to receive the procedural protection described by the ORI Guidelines shall file his or her retaliation complaint with the vice president for research and graduate studies within 180 days from the date the whistleblower became aware or should have become aware of the alleged adverse action.
The university shall review and resolve all whistleblowers retaliation complaints in conformity with the processes outlined in the ORI Guidelines including notification to the whistleblower of the receipt of the complaint within ten (10) working days, and shall resolve the complaint within 180 days after receipt of the complaint. If the university fails to respond to the complaint within fifteen (15) days, the whistleblower may file the retaliation complaint directly with ORI.
Kathy Llewellyn revised this file (http://www.ohiou.edu/policy/19-048.html) on April 13, 2000.
Please E-mail any comments or suggestions to "polproc@www.ohiou.edu".