2.2  "Inquiry" means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation. 

2.3  "Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred. 

3.1  It is the policy of the university to expect the highest standards of ethical and professional behaviors from all members of the academic community as they conduct research and scholarly activities. 

3.2  UW-Stout will maintain a process to investigate allegations of scientific misconduct and intellectual dishonesty in ways that protect the institution as well as the rights and reputations of individuals involved. 

4.1.1  (a)  Allegations or reports of possible misconduct in science shall be directed initially to the person with immediate responsibility for the work of the individual against whom the allegations or reports have been made. The person receiving such a report or allegation is responsible for either resolving the matter or encouraging the submission of a formal written allegation or report. Immediate supervisors will be kept apprised of all activities at this stage. 

(b)  Upon receipt of formal written allegations or reports of scientific misconduct, the person with immediate responsibility for the work of the individual against whom the allegations or reports have been made shall immediately inform, in writing, their respective Dean and/or the Deputy Vice Chancellor, and the person against whom the allegations have been made. This report must detail the nature of the alleged misconduct and identify the individual(s) filing the allegation. 

4.1.2  The Dean or Deputy Vice Chancellor shall appoint an individual or individuals to conduct a prompt inquiry into the allegation or report of misconduct. 

(a)  The individual or individuals conducting the inquiry shall prepare a written report for the Dean and the Deputy Vice Chancellor describing the evidence reviewed, summarizing relevant interviews and including the conclusions of the inquiry. 

(b)  The inquiry must be completed within 60 calendar days of its initiation unless circumstances clearly warrant a longer period. If the inquiry takes longer than 60 days to complete, the reasons for exceeding the 60-day period shall be documented and included with the record. 

(c)  The individual against whom the allegation was made shall be given a copy of the report of the inquiry by the Dean and shall have an opportunity to respond to the report within 10 days of receipt. Any response must be in writing, and will become a part of the record of inquiry. 

(d)  To protect the privacy and reputation of all individuals involved, including the individual who in good faith reported possible misconduct and the individual against whom the report is made, information concerning the initial report, the inquiry and any resulting investigation shall be kept confidential and shall be released only to those having a legitimate need to know about the matter. 

4.1.3  If the inquiry concludes that the allegation of misconduct is unsubstantiated, and an investigation is not warranted, the reasons and supporting documentation for this conclusion shall be reported to the Deputy Vice Chancellor who shall be responsible for reviewing the conclusion of the inquiry. If the Deputy Vice Chancellor concurs in the conclusion that an investigation is not warranted, his or her determination, and all other supporting documentation from the inquiry shall be recorded and the record maintained confidentially in Research Promotion Services for a period of three years after the termination of the inquiry. The Deputy Vice Chancellor shall provide a formal letter of exoneration to the individual against whom the allegation was made. This action should be in addition to any action taken in 6.3 of this policy. If the inquiry or the Deputy Vice Chancellor determines that an investigation is warranted, the procedures in Section 4.2 shall be followed. 
 

4.2.1  If an investigation is determined to be warranted under Section 4.1, the Deputy Vice Chancellor shall so inform the Vice Chancellor and the Chancellor. The Chancellor shall immediately appoint a committee to conduct the investigation. The committee shall be composed of impartial faculty members possessing appropriate competence and research expertise for the conduct of the investigation, and no faculty member having responsibility for the research under investigation, or having any other conflict with the university's interest in securing a fair and objective investigation, may serve on the investigating committee. If necessary, individuals possessing the requisite competence and research expertise who are not affiliated with UW-Stout may be asked to serve as consultants to the investigating committee. 

4.2.2  The investigation must be initiated within 30 days of the completion of the inquiry. The investigation normally will include examination of all documentation, including but not necessarily limited to relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. Interviews should be conducted of all individuals involved either in making the allegation or against whom the allegation is made, as well as others who might have information regarding key aspects of the allegations. Summaries of interviews conducted shall be prepared, and provided to the parties interviewed for their comment or revision. These summaries shall be made a part of the record of the investigation. 

4.2.3  The individual making the allegation and the individual against whom the allegation is made, and all others having relevant information shall cooperate fully with the work of the investigating committee, and shall make available all relevant documents and materials associated with the research under investigation. 

4.2.4  The investigation should ordinarily be completed within 120 days of its initiation. This includes conducting the investigation, preparing the report of the findings, making that report available for comment by the subjects of the investigation, and submitting the report to the Chancellor. If the investigating committee determines that it cannot complete the investigation within the 120-day period, it shall submit to the Chancellor a written request for an extension explaining the need for delay and providing an estimated date of completion. 

4.2.5  The final report of the investigation shall be prepared by the Committee Chair conducting the investigation. It shall be presented to the UW System Legal Counsel, the Deputy Vice Chancellor, the Vice Chancellor and the Chancellor. It shall be the responsibility of the Assistant Dean for Research to forward the report to the office of the appropriate funding agency concerned. The report shall include: 
 

(a)  Name(s) of the individual(s) against whom the allegations were made;
(b)  The proposal(s) or grant number(s) involved; 

(c)  The nature of the allegations and the name(s) of the individual(s) who made them; 

(d)  The university policies and procedures under which the investigation was conducted; 

(e)  How and from whom the information was obtained in the investigation; 

(f)  The findings of the investigation and their basis; 

(g)  An accurate summary or the text of views of the individual(s) under investigation; 

(h)  A statement of whether the evidence of scientific misconduct is sufficient to warrant discipline or dismissal under the applicable faculty or academic staff personnel rules. 
 

4.2.6  A copy of the investigating committee's report shall be provided to the individual being investigated. The Chancellor or appropriate administrative officer shall afford the individual under investigation an opportunity to discuss the matter prior to taking action under Section 6 of this policy. 

4.2.7  Upon completion of the investigation, all documentation substantiating the findings and recommendation of the investigating committee, together with all other information comprising the record of the investigation, shall be transmitted to Research Promotion Services which shall maintain the confidential record for a period of three years.

5.1  A determination that an investigation should be initiated under Section 4.1.3 must be reported in writing to the federal ORI Director on or before the date the investigation begins by the Assistant Dean for Research. The notification should state the names of the individuals against whom the allegations of scientific misconduct have been made, the general nature of the allegations, and the PHS application or grant numbers involved. 

5.2  During the course of the investigation, the granting agency should be apprised of any significant findings that might affect current or potential funding of the individual under investigation or that might require agency interpretation of funding regulations. 

5.3  The ORI must be notified at any stage of an inquiry or investigation if the university determines that any of the following conditions exist: 
 

(a)  There is an immediate health hazard involved; 

(b)  There is an immediate need to protect federal funds or equipment; 

(c)  There is an immediate need to protect the interests of the person making the allegations or of the individual who is the subject of the allegations as well as his or her co-investigators and associates, if any; 

(d)  It is probable that the alleged incident is going to be reported publicly; 

(e)  There is a reasonable indication of possible criminal violation. In that instance, the university must inform ORI within 24 hours of obtaining that information. 
 

5.5  If the university plans to terminate an inquiry or investigation for any reason without completing all the relevant requirements, a report of such planned termination, including a description of the reasons for such termination, shall be made to the ORI which will then decide whether further investigation should be undertaken. 

5.6  Upon completion of the investigation, the Assistant Dean for Research at UW-Stout will notify ORI of the outcome through a report which shall include the information and documentation specified in Section 4.2.5 of this policy.

6.2  Where scientific misconduct is substantiated, UW-Stout will take appropriate action, which may include discipline or dismissal, with regard to the employment status of the individual or individuals involved. Applicable personnel rules, policies and procedures set forth in Chapters UWS 4, 6, 11 and 13, Wisconsin Administrative Code and related university policies shall govern discipline or dismissal actions resulting from an investigation of scientific misconduct. 

6.3  Where allegations of scientific misconduct are not substantiated by the investigation, UW-Stout shall maximize its efforts, as appropriate, to restore the reputations of persons alleged to have engaged in misconduct and to protect the positions and reputations of those persons who, in good faith, have made allegations.