As required by the Senate bylaws, the FCC is reporting its action to the Faculty Senate. The Faculty Senate has the authority to overrule the Faculty Consultative Committee, if it so chooses.

[Additions are underlined.]

SECTION III. DEFINITIONS.

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Subd. 4. National Science Foundation (NSF). "NSF" shall mean the National Science Foundation.

Subd. 5. Office of Research Integrity (ORI). "ORI" shall mean the Office of Research Integrity, an independent entity within the United States Department of Health and Human Services reporting to the Secretary of Health and Human Services.

Subd. 6. Public Health Service (PHS). "PHS" shall mean the United States Public Health Service.

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SECTION VI. FEDERAL REQUIREMENTS.

Subd. 1. Communication with Federal Agencies. All communication with federal agencies regarding the requirements in this policy shall be conducted by the vice president for research.

Subd. 2. Application of Requirements. Subdivisions 3-7 apply at any stage in the process of inquiry, investigation, formal finding, and disposition when allegations of misconduct involve activities being considered for funding or are funded by the NSF or PHS.

Subd. 3. Notification Requirements. The NSF and the PHS have published regulations regarding the inquiry and investigation of allegations of misconduct involving activities being considered for funding or funded by those agencies. These regulations contain requirements to report to these agencies under certain conditions and at specified stages in the process (see Section VI, subds. 5 and 6).

Subd. 4. Interim Administrative Action. At any stage in the process of inquiry, investigation, formal finding, and disposition, the University may take interim administrative action to protect federal funds.

Subd. 5. Notification to ORI. PHS regulations (42 CFR, part 50, subpart A) require that the director of the ORI shall be notified when, on the basis of the initial inquiry, the University determines that an investigation is warranted or prior to the decision to initiate an investigation under the following conditions:

(1) there is an immediate health hazard involved;

(2) there is an immediate need to protect federal funds or equipment;

(3) there is an immediate need to protect the interests of the persons making the allegations or of the individuals who are the subject of the allegations, as well as the co-investigators and associates, if any;

(4) it is probable that the alleged incident is going to be reported publicly; or

(5) there is a reasonable indication of possible criminal violation. In that instance, the University must inform ORI within 24 hours of obtaining that information. ORI will immediately notify the Office of the Inspector General.

If the inquiry is to be terminated, the ORI shall be notified including a description of the reasons for termination.

Subd. 6. Notification to NSF. NSF regulations (45 CFR, part 689) require that NSF be notified or informed:

(1) immediately if an initial inquiry supports a formal investigation;

(2) during such an investigation; and

(3) even before deciding to initiate an investigation or as required during an investigation if:

(i) the seriousness of apparent misconduct warrents;

(ii) immediate health hazards are involved;

(iii) NSF's resources, reputation, or other interests need protecting;

(iv) federal action may be needed to protect the interests of a subject of the investigation or of other potentially affected; or

(v) the scientific community or the public should be informed.

Subd. 7. Final Report to Federal Agencies. A final report must be submitted to the appropriate federal agency and include:

(1) a description of the policies and procedures under which the investigation was conducted;

(2) how and from whom information was obtained relevant to the investigation;

(3) the findings;

(4) the basis for the findings;

(5) the actual text or accurate summary of the views of any individuals found to have engaged in misconduct; and

(6) a description of any sanctions taken by the institution.

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SECTION X. DETERMINATION OF RESPONSIBLE ADMINISTRATOR.

. . . . .

Subd. 2. Right to Privacy and Protection. If the senior administrator decides not to conduct an investigation, no further formal action shall be taken other than informing all parties involved. The procedures shall preserve privacy consistent with law for all parties to these procedures and make diligent efforts to protect the positions and reputations of those, who in good faith, make allegations of academic misconduct. If privacy is breached, the senior administrator shall take reasonable steps to minimize the damage to reputations that may result from inaccurate reports.

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SECTION XIII. INVESTIGATION PROCESS.

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Subd. 3. Confidentiality. All parties involved shall be afforded confidential treatment to the maximum extent possible.

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VIRGINIA GRAY, Chair

DISCUSSION:

Professor Victor Bloomfield, vice chair of the Faculty Consultative Committee (FCC), presented the above item for information. He explained that the FCC, acting on behalf of the Faculty Senate when a decision is required prior to the next scheduled meeting of the Faculty Senate, unanimously approved the above-noted amendments to the Academic Misconduct Policy at its March 6 meeting. The revisions, he said, are all additions to present policy that were required by the Office of Research Integrity of the Public Health Service and the National Science Foundation in order to be in compliance with Federal regulations. As required by the Senate bylaws, the FCC is reporting its action to the Faculty Senate which has the authority to overrule the FCC, if it so chooses.

No questions or comments were forthcoming.

ACCEPTED