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UNIVERSITY REGULATION
PART X – ACADEMIC POLICY
Chapter 10.07 - Research, Scholarship and Creative Activity

R10.07.020. Sponsored Projects Submittal and Acceptance

1. In accordance with Regents’ Policy 10.07.020, the University of Alaska will collaborate with external sponsors of classified or proprietary research when the relevant university chancellor or designee determines in writing that such collaboration is beneficial to national, state, or local, as well as university interests, and that such research can be conducted while protecting the basic tenets of universities. This determination shall be made in accordance with the procedures set forth in this regulation.
2. Classified or proprietary research is subject to regents’ policy, university regulation, laws, regulations, and each university’s rules and procedures applicable to research, provided, however, that the determination required by part A of this regulation, and any approvals related to the status of research as classified or proprietary, shall be subject solely to the process established by this regulation, and provided further that classified or proprietary research shall not by virtue of this regulation be subject to any policy, regulation or procedure that would require or result in unauthorized disclosure of classified or proprietary information.
3. The chancellor for each university must approve all classified and proprietary research at the respective university and may establish an appropriate process for approval of classified and proprietary research.
4. Definitions
   1. Classified Research – research conducted with or on behalf of a government agency, or service provided to or on behalf of a government agency, that will require government-issued security clearances for participation.
   2. Proprietary Research – research or services subject to a sponsorship agreement or contract which prohibits dissemination of information or delays publication or dissemination of results, or permits the sponsoring agency to prohibit or delay publication or dissemination of results, for more than 90 days after submission of the final report.
5. Nothing in this regulation is intended to create, extend, or support an obligation of any kind enforceable against the university in an administrative or legal proceeding

(10-28-16)

R10.07.035. Export Control Licensing.

Determination of applicability of export control licensing requirements and deemed export of technology for foreign nationals will be made by the hiring unit or the unit hosting a foreign visitor(s) prior to a foreign national engaging in or being given access to research, as required by the U.S. Department of State International Traffic in Arms Regulations (ITAR) and U.S. Department of Commerce Export Administration Regulations (EAR).

(08-19-14)

R10.07.050. Inventions, Patents, Copyrights, Trademarks and Other Intellectual Properties

1. Introduction
   
   This regulation is adopted to encourage and support innovation and creativity by employees and students that will result in intellectual property for the benefit of the state and the nation.
2. Administration
   
   1. All matters relating to inventions, patents, copyrights, trademarks and other intellectual properties in which the University of Alaska is in any way concerned will be administered by the president or such other person at each university as the president may designate. Through this regulation, the university president designates the chancellor at each university to administer matters relating to inventions, patents, copyrights, trademarks and other intellectual properties arising out of that university unless such designation is revoked by the president in writing.
   2. The chancellor of each university may appoint a manager of intellectual property and licensing to execute activities pertaining to all university intellectual property. The designee is empowered, with the approval of the chancellor, to:
      1. Waive university rights to an invention or other intellectual properties;
      2. In consultation with the general counsel, work with an attorney or patent agent and submit patent, copyright, trademark and license applications on behalf of the university and/or the author(s) or inventor(s);
      3. Obtain copyrights, trademarks and patents on behalf of the university and/or the author(s) or inventor(s);
      4. Grant licenses on behalf of the university;
      5. Promote university intellectual property to Alaska firms to provide opportunities for Alaskan economic development;
      6. Purchase licenses for non-university copyrighted material or patented inventions for university use and/or sub-license;
      7. Grant use of copyrighted materials and patented inventions;
      8. Execute on behalf of the university and/or the inventor(s) any agreements as may be appropriate;
      9. Obtain and maintain requisite documentation as necessary in all matters concerning the management of intellectual properties;
      10. Execute royalty division agreements with the inventor(s) or author(s) on behalf of the university.
      11. Seek out and recommend appropriate patent management and license marketing organizations, recommend to the president working contracts between such organizations and the university and transmit reports of invention(s) to such organizations;
      12. Assure appropriate involvement of the inventor(s) in licensing and other commercial development activities;
      13. Promote the marketing of university-trademarked products;
      14. Receive, account for, and properly disperse all proceeds received pursuant to this policy;
      15. Facilitate communication between all parties involved, and enforce the terms and conditions of these regulations; and
      16. Prepare an annual report on the university patent, copyright, trademark and license activities and finances to the chancellor and prepare such other reports and perform such other functions as may be requested by the chancellor.
   3. Upon accepting employment or another affiliation with the university, including affiliation as a student, and as a condition of the university’s provision of employment, services, facilities, equipment, material or other resources, all university personnel, persons not employed by the university but who use university services, facilities, equipment, material or other resources in the development of intellectual property, and persons who receive grant or contract funds through the university, agree to assign and do assign to the university title to all inventions and patents he or she conceives, develops, reduces to practice or creates, except for those resulting from permissible activities outside of university employment without the use of university services, facilities, equipment, material, or other resources not otherwise available to members of the public freely or to students as a result of their enrollment as a student. Exemptions from such assignments may be authorized in those circumstances where the mission of the university is better served by such action, provided that the overriding obligations to other parties are met and such exemptions are not inconsistent with other regents’ policy or university regulation.
   4. University personnel and all those using university services, facilities, equipment, material, or other resources in the development of intellectual property will immediately and properly disclose the conception and/or reduction to practice of potentially patentable inventions. Such disclosure will be made to the chancellor or chancellor’s designee. All persons required to make disclosures will execute such declarations, assignments or other documents provided by the university as may be necessary in the course of invention evaluation, patent prosecution, or protection of patent rights and as required to effectuate the assignment of title to the university pursuant to R10.07.050.B.3.
   5. Subject to restrictions arising from overriding obligations of the university pursuant to grants, contracts or other agreements with outside organizations, the university agrees, for and in consideration of the assignment of patent rights, to pay annually to the named inventor(s), the inventor(s)’ heirs, successors or assigns, a royalty share of the net proceeds received by the university for each patent or other intellectual property right assigned to the university, as shown below.
      
      

      Total Net Royalty Per Invention ($)	���Ա���Գٴǰ�’s Share (%)	University Share (%)
      First $10,000	100%	0%
      > $10,000	50%	50%

      
      Where there are two or more inventors, the presumption is that each inventor will share equally in the net proceeds, unless all inventors previously have agreed in writing to a differing distribution of such share.
      
      Distribution of the inventor’s share will be made no less than annually. In the event of any litigation, actual or imminent, or any other action to protect patent rights, the university may withhold distribution of all royalty proceeds until resolution of the matter. Of the remaining net proceeds, the share will be distributed as determined by the chancellor.
      
      When inventors are employees or students of two or more universities within the UA system, the presumption is that each university will share equally in the net proceeds, unless the universities previously have agreed in writing to a differing distribution of such share.
      
      University proceeds from university inventions will be used for the support of university research and scholarly activities; however, exceptions may be granted by the chancellor or chancellor’s designee.
3. Copyrights
   1. University of Alaska students, faculty, and staff will abide by federal copyright law and will refrain from using copyright–protected materials in universityrelated activities unless prior appropriate permission or licensing has been obtained or unless such use is deemed permissible under the relevant exemptions outlined in the fair use provisions of the Copyright Act or the TEACH (Technology, Education, and Copyright Harmonization) Act.
      
      Because the legal use of copyright-protected materials for instructional purposes now involves institutional responsibility and oversight, the University of Alaska also commits: (1) to educate UA students, staff, and faculty on current copyright law, focusing on the guidelines and responsibilities of fair use and the TEACH Act; (2) to adopt and support instructional technologies that give faculty members the logistical means to comply with the specific material requirements of the TEACH Act; (3) to refrain from condoning or participating in the unlawful digitization, storage, copying, or dissemination of copyright-protected materials; and (4) to coordinate and mobilize university libraries, intellectual technology departments, distance education offices, and faculty instructors in the task of implementing the institutional practices and policies called for by the TEACH Act.
   2. The chancellor or chancellor’s designee will be responsible for the administration of the university copyright regulation and for securing copyrights in the name of the university. Revenues received through the licensing of copyrights will be shared with the author as follows:
      

      Total Net Royalty Per Work ($)	Author's Share (%)	University Share (%)
      First $10,000	100%	0%
      > $10,000	50%	50%

      
      Exceptions to the above may be granted by the chancellor of the university receiving the royalty

   3. Ownership and disposition of copyrightable material: copyright ownership and the rights thereof are terms defined by federal law. The university believes that its copyright regulation objectives will best be attained within the context of the federal law by defining the equities of ownership of copyrightable material in terms of the following categories. Copyright ownership of all materials, which are developed with the university’s provision of employment, services, facilities, equipment, material or other resources, will reside with the university, except as follows:

      1. The university will not assert ownership of copyrightable materials produced by faculty members outside of their university employment or produced by faculty as part of their normal teaching and scholarly activities at the university, with the following two exceptions:
         1. the production of the copyrightable materials is funded in whole or in part by an outside sponsor and that funding is administered through the university.
         2. the university and the faculty member enter into a written agreement that the copyrightable materials will be owned by the university.
      2. Copyright ownership of all materials which are developed in the course of, or pursuant to, sponsored research or other agreement(s) will be determined in accordance with the terms of those agreement(s) or, in the absence of such terms, the copyright will be the property of the university.
      3. Copyrighted materials not within the provisions of categories “a” and “b” above will be the property of the university, except for theses; however, the author(s) of theses must, as a condition of a degree award, grant royalty-free permission to the university to reproduce and publicly distribute copies of the thesis.
4. Trademarks
   
   All university trademarks are the exclusive property of the university. No steps will be taken by university personnel for securing trademarks by usage or registration with respect to any university products resulting from the university’s scholarly, research, athletic or other activities, except with the approval of the president or president’s designee. Applications for trademarks will be made on behalf of the university by the president or president’s designee. Revenues received through the licensing of trademarks will be shared as determined by the president.
5. Other Intellectual Property
   
   Other forms of intellectual property, including those which may emerge in the future, will be administered by the president or president’s designee in accordance with the regulations governing the university’s interests in inventions, patents, trademarks and copyrights.
   
   
6. Definitions
   
   As used in this regulation, the following terms have the meaning indicated:
   
   Author - university personnel, singly or as a group, who produce written, visual or
   recorded materials.

Disclosure - a detailed, complete and accurate description of materials of an item of intellectual property.

Intellectual Property - inventions, copyrights and copyrightable material, patents, trademarks and trade secrets.

Inventions - all inventions, discoveries, processes, methods, uses, products or combinations, or other intellectual properties, whether or not patented or patentable at any time under the U.S. Patent Act and the Patent Cooperation Treaty as now existing or hereafter amended or supplemented.

Net Proceeds - the gross receipts derived from trademarks, materials, inventions, discoveries and/or intellectual properties, including but not limited to, rents, royalties, dividends, earnings, gains and sale proceeds, less all costs, expenses and losses paid or incurred by the university in connection therewith, including, but not limited to, all direct costs and expenses, indirect costs and expenses as allocated and determined by the university, costs and expenses of obtaining, securing and protecting patents, copyrights and trademarks and all attorney’s fees.

Trade Secret - any information, device, method, formula, etc., whether or not copyrightable or patentable, which is not generally known or accessible apart from the university, and which gives competitive advantage to its owner.

Trademarks - distinctive marks of authenticity such as words, letters, symbols, designs, etc., identifying the source producer or distributor of goods or services.

University Facilities - all university buildings, laboratories, classes, equipment and/or supplies, excluding libraries and residential facilities.

University Personnel - part-time, full-time, visiting and volunteer members of the faculty, staff, and all other agents and employees, undergraduate and graduate students, and postdoctoral fellows of the university.

Written Materials - all literary, dramatic and musical material or works, and all other works such as lab manuals, study guides and architectural designs published or unpublished, copyrighted or copyrightable at any time under the Federal Copyright Act as now existing or hereafter amended or supplemented.

(10-28-16)

R10.07.060. Misconduct in Research or other Scholarly Activities.

1. Definitions
   1. “Allegation” means a disclosure of possible misconduct covered under this Regulation made through any means of communication that is then brought to the attention of the Deciding Official (DO) at the appropriate university or universities or their designees or any potential misconduct that the DO or their designee otherwise is made aware of or discovers.
   2. “Assessment” means reviewing an allegation of misconduct to determine whether to move forward to the Inquiry stage. The Assessment phase seeks to determine if the allegation falls within the definition of misconduct and whether it is sufficiently credible and specific such that potential evidence of research misconduct may be identified. The Assessment stage only involves the review of readily accessible information relevant to the allegation.
   3. “Complainant” means the person or persons who make a good-faith allegation of misconduct.
   4. “Deciding Official (DO)” means the institutional official who makes the final determination regarding allegations of research misconduct and institutional recommendations and/or corrective actions after the Inquiry and Investigation stages.
   5. “Fabrication” means making up data, citations, references or results and using, recording or reporting them.
   6. “Falsification”means manipulating materials, equipment, or processes, or changing or omitting data, information or results such that the information or material is not accurately represented in the research record or in other scholarly materials.
   7. "Inquiry" means preliminary information gathering and initial fact-finding to determine whether an allegation or apparent instance of misconduct warrants an Investigation.
   8. “Intentionally” means to act with the aim of carrying out the act.
   9. "Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has taken place or, if research misconduct has already been confirmed, to assess its extent and consequences and determine appropriate action.
   10. “Knowingly” means to act with awareness of the act.
   11. “Misconduct” means recklessly, knowingly, or intentionally fabricating, falsifying, or plagiarizing in proposing, performing, or reviewing research, in reporting research results, or in the production, release, display or distribution of other scholarly materials. It does not include honest error or differences of opinion.
   12. “Plagiarism” means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. Plagiarism also includes the unattributed verbatim or nearly verbatim copying of sentences and paragraphs from another’s work that materially misleads the reader regarding the contributions of the author. Plagiarism, for the purposes of this Regulation, does not include the limited use of identical or nearly identical phrases that describe a commonly used methodology. Plagiarism also does not include self-plagiarism or authorship or credit disputes, including disputes among former collaborators who participated jointly in the development or conduct of a research project. For purposes of clarity, self-plagiarism and authorship disputes do not meet the definition of misconduct under this Regulation.
   13. “Recklessly” means to act with indifference to a known risk of fabrication, falsification, or plagiarism.
   14. “Research” means a systematic experiment, study, evaluation, demonstration, survey, or creative activity designed to develop or contribute to general knowledge (basic research) or specific knowledge (applied research) by establishing, discovering, developing, elucidating, or confirming information. Research may occur at the university in any academic discipline.
   15. “Scholarly Activity” means any laboratory, clinical, and field research, educational innovation projects, theoretical investigations, observational studies, experimentation, academic research and scholarship, as well as any and all other forms of creative expression developed or produced at the university or as a part of university-related activities. Scholarly activities may occur at the university in any academic discipline.
   16. "University resources" means all funds, gifts, grants or contracts administered by the university; all applications for such funds, gifts, grants or contracts; and university facilities, equipment and personnel. University resources include funding and resources provided to the University by federal, state, local or private sources, including specifically research efforts and programs funded by HHS/PHS federal agencies and programs. 
2. Reporting the Allegation
   1. All allegations or other evidence of possible misconduct for the individual units shall be directed to the Deciding Official (DO) for their respective units:
      1. University of Alaska Anchorage - Vice Chancellor for Research (alternate: Provost);
      2. University of Alaska Fairbanks – Vice Chancellor for Research (alternate: Provost);
      3. University of Alaska Southeast – Provost, Dean of Graduate Studies, and Dean of Research & Sponsored Programs; and
      4. ����ֱ�� Office - Vice President and Chief Academic Office
         
         If a position no longer exists at any of the units listed above, then an allegation shall be directed to the Chancellor at that institution or to the President, as appropriate.
3. Assessment Stage
   1. As soon as practicable after receiving a disclosure of possible misconduct through any means of communication, the DO shall will review and document the allegation(s) to determine if an Inquiry will be conducted. An Inquiry is warranted if:
      1. The allegation(s), if presumed to be true, would fall within the definition of misconduct as specified in this Regulation or any applicable federal regulations; and
      2. The allegation(s) are sufficiently credible and specific such that potential evidence of misconduct may reasonably be identified.
   2. In the event the DO determines that any allegation(s) should not proceed to the Inquiry stage, the Vice President and Chief Academic Officer and the University General Counsel must concur in writing with the determination prior to providing any notice dismissing the allegation(s) at the Assessment stage. If the DO at the Assessment stage is the Vice President and Chief Academic Officer, the General Counsel shall be the only required concurrence in a decision not to proceed to an Inquiry.
   3. In addition to the reasons above, the DO may dismiss any allegation(s) without proceeding to an Inquiry if the allegation(s) are brought more than six years after the alleged misconduct occurred, unless:
      1. The respondent continues or renewed any misconduct through a more recent re-use, re-publication or citation to the materials or information alleged to have been fabricated, falsified, or plagiarized;
      2. The alleged misconduct, if it occurred, would possibly have an adverse effect on the health or safety of the public; or
      3. The questioned research is sponsored by an agency that does not provide for dismissal based solely on a time limitation.
   4. If the DO determines at the Assessment stage that the allegation(s) do not meet the criteria to proceed to Inquiry, the DO shall secure and maintain sufficiently detailed documentation to justify why an Inquiry was not performed or to permit a later assessment by supporting federal agencies. These documents shall be maintained by the DO for the applicable retention period and provided to authorized federal personnel upon a receipt of a sufficient and actionable written request.
4. Inquiry Stage
   1. Upon a determination that an Inquiry is warranted as set forth above, the DO shall take all necessary actions and steps listed below to timely initiate and conduct the Inquiry.
   2. The purpose of the Inquiry is to conduct preliminary information-gathering and fact-finding to determine if an allegation of research misconduct has substance.  The purpose is not to determine whether research misconduct occurred, who was responsible, or to conduct exhaustive interviews and/or analysis.  If an allegation appears to have substance, then an Investigation is warranted.
   3. The DO shall make a good faith effort to notify the Respondent and other relevant parties, as determined by the DO, in writing of the decision to conduct an Inquiry. In addition, the DO shall make any and all other notifications required by law, regulation, or contract, including in accordance with the regulations or guidelines of any federal sponsoring entity as required below.
   4. The DO shall initiate the Inquiry by appointing a committee of three or more members, including a designated committee chair, to conduct the Inquiry. The persons appointed to the Inquiry committee must, in the determination of the DO, be generally knowledgeable in the subject matter of the type of research or scholarly activity under review and must be able to render an impartial judgment concerning the allegation. Persons possessing a real or apparent conflict of interest shall not be eligible to serve on an Inquiry committee. Upon appointment of the Inquiry committee, the DO shall provide written notice to the respondent of the names of members of the Inquiry committee.
   5. Following appointment of and notification to the respondent(s) of the composition of the Inquiry committee, the DO shall prepare a written charge to the committee, the delivery of which constitutes the formal initiation of the Inquiry, that contains the following information:
      1. A clear expression of the deadline for completion of the Inquiry stage;
      2. A description of the allegations(s) to be considered and any related issue(s) identified during the Assessment stage;
      3. A description of the purpose of the Inquiry stage and the role of the committee;
      4. A clear statement of the standard for determining whether an Investigation is warranted or not;
      5. A statement that the Inquiry committee is responsible for preparing a written report of its actions and findings in accordance with the guidance provided below in these regulations.
   6. Upon receiving notification of the composition of a proposed Inquiry committee, the Respondent shall have ten (10) calendar days to object to any member of the committee, based upon an identifiable personal, professional, or financial conflict of interest, by submitting detailed, written objections to the DO outlining the nature and basis of the claimed conflict. The DO shall review the objections of the respondent, if any, and shall make the final determination as to whether any conflict exists. In the event a conflict of interest is found, the DO shall comply with the conflict of interest provisions provided in Section G of this Regulation. The decision of the DO on issues of conflict of interest are not subject to further appeal or review under this or other BOR Policies or University Regulations.
   7. The respondent(s) shall be advised of all meetings of the Inquiry committee and shall be permitted to attend such meetings, excluding those portions of any meeting during which the committee is or will be deliberating on the committee’s determination whether any allegation(s) warrant an Investigation or during which the committee will be reviewing, evaluating and/or revising any draft version of the final committee report, to be accompanied by an advisor of respondent’s choosing, and shall be offered an opportunity to comment on any evidence presented to or considered by the committee prior to the preparation of the committee’s final report.
   8. Within 60 calendar days of the initiation of the Inquiry, unless in the determination of the DO, and as may be approved following review by any relevant external sponsors, circumstances warrant additional time, the Inquiry committee shall prepare a written report. The respondent(s) shall be notified of any extension of time granted to the Inquiry committee to complete its report. The report of the Inquiry committee should contain the following minimum information:
      1. A description of the allegation(s) of research misconduct;
      2. A listing of all relevant federal agency support, e.g., grant numbers, grant applications, contracts, and publications listing such support;
      3. A summary of the Inquiry process conducted by the committee and the records reviewed;
      4. An explanation of which allegation(s), if any, warrant an Investigation;
      5. Any written comments on the draft report by the Respondent; and
      6. whether any other actions are recommended if an Investigation is not warranted.
   9. The report of the Inquiry committee shall be signed by each member of the committee or shall include other written evidence of each committee member’s concurrence or non-concurrence with the findings and conclusions contained in the report.
   10. The respondent(s) shall be given a copy of the report and afforded not less than ten (10) calendar days to provide written responses to the report. All written responses of a respondent shall be made a part of the final report.
   11. To the extent that the Inquiry exceeded the standard 60 calendar days allotted, the report shall include an explanation necessary delay.
   12. The standard that the Inquiry committee must apply in determining whether or not an Investigation is warranted for each and every allegation is as follows: (1) whether there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct as applied through this regulation; and (2) whether the preliminary information-gathering and preliminary fact-finding by the Inquiry committee indicate that the allegation may have substance.
   13. The chair of the Inquiry committee will transmit the final report and any written comments to the DO, who will determine in writing, follow a review of the report and any comments, whether or not an Investigation is warranted.  The Inquiry stage is complete when the DO makes this determination.
       
       If the DO’s determination differs from the findings of the committee, the DO will, as part of their written determination, explain in detail the basis for rendering a decision different from the findings of the committee. Alternatively, the DO may return the report to the committee with a request for further fact-finding or analysis.
   14. When a final decision has been reached by the DO, the DO shall notify the Respondent of the DO’s determination.  This notice shall include a copy of the Inquiry report and any attachments, the DO’s written determination of whether or not an Investigation is warranted, and include a copy of or refer to this Policy and any applicable federal research misconduct policies.  The DO shall also provide any external party or parties notice of the outcome, as may be required under applicable laws, regulations, agency procedures and/or relevant contractual provisions.  The DO may, in the DO’s discretion, also notify the Complainant of the outcome of the Inquiry.
5. Investigation Stage
   1. If the DO determines that an Investigation is warranted, the Investigation shall be commenced within 30 calendar days of the determination of the DO. The DO may delay the commencement as needed, provided the DO documents in writing the basis for the needed delay and that any such delay is compliant with any applicable notice and approval requirements of any relevant and applicable government agencies or other external sponsors.
   2. The purpose of the Investigation is to develop a factual record by exploring the allegation(s) in detail and examining the evidence in depth, leading to findings on whether misconduct has been committed, by whom, and to what extent.  The Investigation will also determine whether there are additional instances of possible research misconduct that would justify broadening the scope beyond the initial allegation(s).  The findings of the Investigation shall be set forth in a written Investigation report, as described further below.
   3. Time for Completion.  The Investigation stage shall ordinarily be completed within 120 calendar days of its initiation, including conducting the Investigation, preparing the report of findings, providing the draft report to the respondent(s) for comment, and sending the final report to the DO, the respondent(s), and any applicable federal agency or external sponsor. If the Investigation committee chair determines that the Investigation will, or is likely to, require more than 120 calendar days, the committee chair shall request in writing an approval for an extension from the DO and/or any applicable federal agency or external sponsor.  If an extension has approved, the Investigation records shall include as documentation of the reasons for the extension the written request of the committee chair. The respondent(s) will be notified in writing of any extension of time granted to the Investigation committee.
   4. The DO shall initiate the Investigation by appointing a committee of three or more members, including a designated committee chair, to conduct the Investigation. Individual members of the Inquiry committee may serve on the Investigation committee, at the discretion of the DO. The DO may not serve as a member of the Investigation Committee. The persons appointed to the Investigation committee must, in the determination of the DO, be generally knowledgeable in the subject matter of the type of research or scholarly activity under review and must be able to render an impartial judgment concerning the allegation. Persons possessing a real or apparent conflict of interest shall not be eligible to serve on an Investigation committee. Upon appointment of the Investigation committee, the DO shall provide written notice to the respondent of the names of members of the Inquiry committee.
   5. Following appointment of and notification to the respondent(s) of the composition of the Investigation committee, the DO shall prepare a written charge to the committee, the delivery of which constitutes the formal initiation of the Investigation, that contains the following information:
      1. A description of the allegation(s) and related issues identified during the Inquiry;
      2. The identity of the Respondent(s);
      3. A statement informing the committee that it must conduct the Investigation as set forth in this regulation;
      4. The definition of “misconduct” as used in this regulation, as well as any other applicable definitions;
      5. A statement informing the committee of the purpose of Investigation, as described above;
      6. A statement informing the committee that it must prepare a written Investigation Report that meets the requirements of regulation; and,
      7. A statement informing the committee that the DO and the University General Counsel will be available throughout the Investigation stage to advise the Investigation committee as needed.
   6. Upon receiving notification of the composition of a proposed Investigation committee, the Respondent shall have ten (10) calendar days to object to any member of the committee, based upon an identifiable personal, professional, or financial conflict of interest, by submitting detailed, written objections to the DO outlining the nature and basis of the claimed conflict. The DO shall review the objections of the respondent, if any, and shall make the final determination as to whether any conflict exists. In the event a conflict of interest is found, the DO shall comply with the conflict of interest provisions provided in Section G of this Regulation. The decision of the DO on issues of conflict of interest are not subject to further appeal or review under this or other BOR Policies or University Regulations.
   7. Standard for Making a Finding of Misconduct. In order to make a finding of research misconduct, the Investigation Committee must find by a preponderance of the evidence that:
      1. misconduct, as defined in this regulation and/or any applicable federal agency or external sponsor regulations or policies, occurred;
      2. the misconduct constitutes a significant departure from the accepted practices of the relevant research community; and
      3. the respondent(s) committed the research misconduct recklessly, knowingly, or intentionally, as defined in this regulation.
   8. The Investigation committee shall:
      1. Use diligent efforts to ensure that the Investigation is thorough and sufficiently documented and includes examination of all relevant records and evidence necessary to reaching a decision on the merits of each allegation;
      2. Interview each respondent, complainant, and any other available person who has been reasonably identified as having information regarding any relevant aspects of the Investigation, including relevant and available witnesses identified by the respondent(s), and include the transcript and any written corrections in the record of the Investigation; and
      3. Pursue diligently all significant issues and leads discovered that are determined relevant to the Investigation, including any evidence of additional instances of possible research misconduct, and continue the Investigation to completion
   9. Investigation Report.  Within 80 days of the initiation of the Investigation, the Investigation committee shall prepare a draft written report which shall including the following:
      1. A description of the nature of the allegation(s) of misconduct considered;
      2. A description and documentation of any federal or external sponsorship funding relevant to the activities reviewed, including grant numbers, grant applications, contracts, and publications listing such support;
      3. A description of the specific allegation(s) of misconduct considered in the Investigation;
      4. A copy of or reference to this Regulation and any applicable federal regulations;
      5. A description and summary of the records and evidence reviewed.
      6. A summary of the facts and analysis that support the conclusions reached by the committee that includes, specifically, a consideration of the merits of any explanation by the respondent(s).
      7. A statement of findings for each separate allegation of misconduct identified during the Investigation, including an unambiguous statement of whether misconduct did or did not occur, as per the standards set forth in this regulation, and the parties deemed responsible for such misconduct; and,
      8. Recommendations for corrective actions as appropriate, such as retraction or correction of publications, monitoring, retraining, referral to university human resources for employment action, etc.
   10. Upon completion of the draft written report, the committee chair shall provide the Respondent with a copy of the draft Investigation Report for comment with all attachments, including a copy of this Policy and any applicable federal regulation. In the case of physical evidence sequestered by the DO and subject to review by the respondent(s), respondent(s) may individually or collectively request access to such physical evidence and the DO will provide reasonable, supervised access during normal business hours.   Respondent(s) will be given thirty (30) calendar days to review the draft report and submit written comments to the chair of the Investigation committee.  Comments by respondent(s) will be taken into consideration by the Investigation committee when preparing the final Investigation report and all such comments received in a timely fashion shall be included as an attachment to the final Investigation report.
   11. The final report of the Investigation committee shall be signed by each member of the committee or shall include other written evidence of each committee member’s concurrence or non-concurrence with the findings and conclusions contained in the report.  The final report of the Investigation committee shall be delivered to the DO, the respondent(s), and to any applicable federal agency or external sponsors within the timeline specified herein, including any approved extensions. Delivery of the final Investigation report to all those entitled to a copy shall constitute mark the completion of the Investigation stage.
   12. Upon receipt of a final Investigation report prepared in accordance with these regulations, the DO shall review the report and all relevant attachments and records and shall make the following determinations:
       1. whether the University accepts the findings of the Investigation committee; and
       2. the appropriate actions to be taken or recommended in response to any accepted findings of misconduct.
   13. If the DO’s determination differs from the findings of the Investigation committee, the DO will, as part of their written determination, explain in detail the basis for rendering a decision different from the findings of the Investigation committee.  Alternatively, the DO may return the report to the Investigation Committee with a request for further fact-finding or analysis.
   14. When a determination has been reached by the DO, the DO shall notify each respondent of the DO’s determination.  This notice shall include a copy of the DO’s determination as well as the Investigation report and any attachments and include a reference to or a copy of these regulations and any applicable federal research misconduct policy. The DO also may, in the DO’s discretion, notify the Complainant of the general outcome of the Investigation.  Unless the final determinations of the DO are appealed by a respondent in accordance with these regulations, the written determination of the DO shall be deemed the final decision of the university with regard to any findings of misconduct.
   15. If the DO determines that misconduct has occurred, the respondent(s) may appeal in writing any and all findings of misconduct for which they are deemed responsible to the senior administrator for their respective unit, i.e., the chancellor or the president, as appropriate. Any such appeal must be filed within thirty (30) days of the respondent’s receipt of the final determination by the DO. The determinations of the DO are not subject to appeal by any other interested parties, including any complainants or witnesses involved in the matter.
       
       An appeal by a respondent must be based on one of the following permissible grounds for appeal:
       1. A procedural irregularity that materially affected the outcome of a finding misconduct;
       2. The existence of new evidence that was not reasonably available to the Investigation committee prior to the committee making their final determination which could have materially affected the outcome of a finding of misconduct; or,
       3. An allegation that the determination of the Investigation committee or the DO was arbitrary, capricious, or an abuse of discretion.
   16. The chancellor or president, as appropriate, must complete the appeal process within 60 calendar days of filing by the respondent. The chancellor or president, as appropriate, may conduct their appeal review in whatever manner is deemed appropriate to the circumstances, may collect and review any evidence deemed relevant and appropriate, but shall not have any obligation to conduct additional investigative efforts or gather additional information or materials.  The chancellor or president, as appropriate, shall issue a final written decision on the appeal, which shall constitute the final decision of the university with regard to the finding of misconduct and which is not subject to further appeal or review.  In the event that the chancellor or president served as the DO for any misconduct allegation proceedings, the University General Counsel shall conduct the appeal required by these regulations.  The final written decision on the appeal shall be provided to the respondent(s) and to the DO concurrently.
   17. Upon final decision of the university, whether by the DO or on appeal, the DO is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies.  When required, the DO will provide the applicable sponsor or agency with a copy of the DO’s written determination, a copy of the Investigation Report, including all attachments, a copy of any appeal and appeal findings, and, if required by the agency, a description of any pending or completed administrative actions involving the Respondent(s).  In cases involving current or former students, the University will not release educational records of any student without receipt of a valid and enforceable subpoena unless the individual has signed a Family Educational Rights and Privacy Act (“FERPA”) release form specific to the misconduct process in question.
   18. Upon final decision of the university, whether by the DO or on appeal, the university may adopt appropriate corrective actions to rectify the misconduct that has occurred.  Corrective actions may include, but are not limited to:
       1. Training or re-training requirements for respondent(s) and/or others;
       2. Unannounced or announced audits;
       3. Required supervision or monitoring of future work, including a requirement for certification by senior personnel that an individual’s work met specified conditions;
       4. Removal of respondent(s) or others from specific programs or projects related to the misconduct;
       5. Formal notification of sponsoring agencies, funding sources, co-authors, co-investigators, collaborators or journal editors;
       6. Required withdrawal or correction of pending abstracts and papers emanating from the research where misconduct was found;
       7. Formal withdrawal of pending applications for research support;
       8. Public announcements or corrections of prior public announcements or data/information releases; and/or
       9. Required restitution of funds.
   19. Upon final decision of the university, whether by the DO or on appeal, any findings of misconduct may be available to other university officials, as may be deemed necessary, to enable the implementation of appropriate corrective employment actions.  Corrective employment actions may include, but are not limited to:
       1. Written warnings, letters of expectations, or letters of reprimand,
       2. Probation or suspension;
       3. Initiation of steps leading to possible impact on salary or financial aid;
       4. Initiation of steps leading to revocation of a degree;
       5. Initiation of steps leading to possible expulsion from the University; and/or
       6. Initiation of steps leading to possible termination of employment.
6. Notification of External Agencies
   1. In cases where the alleged misconduct requires notification, reporting, or the provision of specific information, reports, or findings to an external agency, the designated university official will comply with applicable law as follows:
      1. Department of Health and Social Services / Public Health Services Act – 42 C.F.R. Part 50; 42 C.F.R. Part 93; and all other applicable laws and regulations now in force or hereafter enacted.
      2. National Science Foundation – 45 C.F.R. Part 689; 45 C.F.R. Part 690; 7 U.S.C. §§ 2131-59; 9 C.F.R., Subchapter A, Parts 1, 2, 3 and 4; 16 U.S.C. §§1361-1421h; and all other applicable laws and regulations now in force or hereafter enacted.
      3. NASA – 14 C.F.R. Part 1275.103 and all other applicable laws and regulations now in force or hereafter enacted.
      4. U.S. Department of Agriculture – 2 C.F.R. Part 422.6
      5. The applicable laws, regulations, and rules of any external agencies not listed here now in force or hereafter enacted.
   2. In any cases where the alleged misconduct involves awards subject to notification requirements concerning misconduct related to any research or scholarly activity covered within the scope of that award, the notice requirements of the award shall be observed.
7. General Provisions
   1. This regulation constitutes the exclusive review process for matters of alleged misconduct in university research or scholarly activities, except for the academic misconduct reviews and procedures applicable to students under the student code of conduct and related student-based policies, regulations, and guidelines, and no decision arising from this regulation shall be subject to any other university review procedure, except for the discipline to be applied as a result of a finding of misconduct, which shall be subject to the appropriate policy and regulation.
   2. Confidentiality During Misconduct Proceedings.  The participants in any misconduct proceedings, including committee members, parties, witnesses, and support staff, shall, to the maximum extent possible, protect the privacy of complainant(s) and respondent(s), and to the extent practicable, maintain the confidentiality of the information collected, reviewed, and discussed during any proceedings.  Nothing in this provision shall be deemed to preclude any respondent(s) from conferring with their chosen advisor and/or taking such actions as are necessary to present their position on or response to any allegations raised provided respondent(s) act reasonably and take appropriate measures to reduce and mitigate any impacts to the privacy of others and/or general confidentiality of any records to which they obtain access. Questions concerning confidentiality or privacy which arise during any misconduct proceeding shall be directed to the University Office of General Counsel for review and to obtain a determination on whether or not specific disclosures or actions are consistent with the protections provided under this regulation.
   3. Evaluation of Committee Members and Decision-Makers – Expertise and Conflict of Interests.  To protect the fairness and impartiality of any review under this Regulation, the DO shall consider whether each member appointed to any committees created in accordance with this Regulation possess sufficient professional experience and/or subject-matter expertise to evaluate the evidence and issues related to the specific allegation(s) raised.  Furthermore, the DO shall consider whether any member of a committee created in accordance with this Regulation has any unresolved personal, professional, or financial conflicts of interest with any key parties, such as the complainant, the respondent, or any key fact witnesses, involved in the allegations. If at any stage of the process, the DO, a member of any committee, or any other person responsible for conducting, reviewing, or issuing the results of an Assessment, Inquiry, or Investigation becomes aware that they have a real or perceived conflict of interest, whether personal, professional, or financial, that individual shall notify the DO, or the University General Counsel, of the potential conflict.  Any person who is identified to possess an unresolved conflict of interest shall be deemed ineligible to participate on or recused from any committee or from any decision-making role under this Regulation.  In the event any committee member is recused after formation of a committee, the committee may continue to serve in its assigned function even if the committee, as a result of such recusal, will no longer have a sufficient number of members as otherwise required under this Regulation.
   4. Sequestration of Materials, Information and Evidence.  The DO has the authority and responsibility to secure and/or copying, or arrange for the securing and/or copying, of data, research records, and other evidence related to the allegation(s) in order to fulfill obligations under federal, state, and/or local regulations, funder-specific requirements, and University policy or regulation to thoroughly review and resolve allegations of misconduct covered under this regulation. On or before the date on which any Inquiry is commenced the DO shall take all reasonable and practical steps to obtain custody and/or control of all the original research records and evidence needed to conduct the research misconduct proceeding, inventory the records and evidence, and sequester and/or copy them in a secure manner, or otherwise arrange for the sequestering or copying of the same. If deemed appropriate, sequestration may be limited to copies of the data or evidence, so long as those copies have substantially equivalent evidentiary value. When appropriate, additional or new evidence discovered after the initial sequestration should be sequestered as soon as practicable after it is identified. Failure to provide evidence at the time of sequestration may impact the credibility of such evidence if subsequently provided. Further, while failure to provide relevant data when requested shall not be the sole basis for a finding of research misconduct, it may be a contributing factor.
   5. Interview Process.  Interviews that are conducted during any stage of the misconduct process shall be recorded and transcribed. The transcript shall be provided to the interviewee for review and will be included (with any written corrections) in the record. Respondent(s) shall have the right to review all interview transcripts during the review of the draft Investigation report and the record in the Investigation stage.  The DO may request a determination from the University General Counsel that redaction of personally identifiable information about any witness, interviewee, or other person or entity referenced in a interview transcript is warranted prior to provision of the transcript to the respondent(s), due to circumstance and concerns specific to the ongoing misconduct process under this regulation.  Interviews of the Respondent and the Complainant must be performed at the Investigation
   6. Once an Inquiry or Investigation has been initiated, it is expected that it will be completed with all issues pursued diligently. A decision to terminate an Inquiry of Investigation short of a final determination may only be made by the appropriate chancellor or the president, as appropriate.
   7. Right to an Advisor.  Respondents may consult with legal counsel or a non-lawyer personal adviser (provided the adviser is not a partyto or witness in the case) to seek advice. Any expenses related to the advisor are the sole responsibility of the respondent using such advisor. Respondents may be accompanied or advised by a representative, including legal counsel or another qualified advisor, during all stages of the process, including during any attendance at Inquiry committee meetings and/or interviews conduct of the respondent. The advisor may provide guidance to the respondent directly but does not speak on behalf of the respondent nor may engage directly with the committee or committee members in official proceedings unless expressly permitted. Any request for direct engagement by an advisor during any official proceedings may only be granted by the committee chair or the DO, as appropriate at the official proceeding in question, if it is determined that the respondent’s opportunity to present a defense would be materially and significantly affected by not permitting the advisor to speak.
   8. If additional Respondents or allegations are identified during the course of any misconduct proceedings, the DO will notify the new Respondent(s), if any, in writing of the allegations made against them. Additionally, all existing Respondents should be made aware of any new or modified allegations and any additional Respondents not included in the initial notice of the commencement of the proceedings. If appropriate, the DO shall sequester any additional relevant evidence in accordance with the provisions of these regulations.
   9. The DO may take any necessary administrative action during a pending Inquiry and Investigation as may be appropriate to adequately protect university resources.
   10. In the event no misconduct is found following the completion of a review under these regulations, the DO shall initiate reasonable and necessary efforts to restore the reputation of the respondent(s) who were alleged to have engaged in misconduct. Such efforts shall include, where applicable, notification to all Inquiry and Investigation committee members, all persons who were interviewed in any proceeding, any complainants and all other colleagues and journals whose research or publications were at issue in the course of the proceeding.
   11. Retention of Proceeding Records: The DO shall arrange for the retention, maintenance, and upon valid legal request, provide access to the records of any misconduct proceedings covered under this regulation, including at a minimum: (1) records secured for or at the Assessment, Inquiry, and Investigation stages; (2) documentation of any determination of irrelevant or duplicate records; (3) the Inquiry report and final documents produced in the course of preparing that report, including the documentation of any decision not to investigate; and (4) the Investigation report and the records in support of that report, including the recording or transcript of each interview conducted pursuant to these regulations.
       Unless custody has been transferred to the applicable federal agency or third party sponsor, or the agency or sponsor has advised the university in writing that the records no longer need to be retained, these records shall be maintained in a secure manner for seven (7) years after completion of the University proceeding or the completion of any federal agency proceeding involving the misconduct allegation, whichever is later. Any complainant who in good faith alleges misconduct by another person shall not be subject to retaliation either by the university or by the person against whom the allegation is made. Allegations of misconduct not made in good faith may subject the complainant to appropriate disciplinary action, up to and including termination for cause, in accordance with applicable BOR Policiy and University Regulation.

(04-27-26)

R10.07.080. Agreements with External Academic and Research Entities.

No unit or individual below the level of the president or chancellor may, without explicit approval of the president or chancellor, develop or sign any agreement with an external academic or research entity on behalf of the university or any of its units.

An “agreement with an external academic or research entity” as used in this regulation means:

1. any agreement that would permit or require any university resources or employee to be used by an external university, college, or other research entity to perform duties for the external academic or research entity; 
2. any agreement that would permit or require any university employee to collaborate in any research or academic activity with another university, college, or other research entity; 
3. any agreement that would permit or require any resources or employees of any external university, college, or research entity to be used by this university; 
4. any agreement between this university and an external academic or research entity to cooperate in obtaining one or more grants or conducting research or academic activities in the future; or 
5. any agreement involving academic or research activity that involves the payment of money by either this university or another academic or research entity to the other.

The chancellors for their universities and all units within them, and the president for units in statewide and for agreements at the university level, will determine the appropriate signatory authority for any agreement between any unit of the university and an external academic or research entity

All agreements with external academic or research entities will be reviewed by the university Office of the General Counsel prior to approval.

The Offices of the President or Chancellor, as appropriate, will retain original copies of all external agreements signed by themselves or representatives of their units, for a minimum of three years past the active duration of the agreement.

(10-28-16)