Ethics and Responsibilities

The UAF Faculty Senate passed the following at its Meeting #72 on May 12, 1997:

MOTION PASSED
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The UAF Faculty Senate moves to establish for the UAF Faculty a Statement of Professional Ethics as given below. Thereby, the UAF faculty commit themselves severally and jointly as academic citizens both to abide by and to enforce this standard of conduct.

EFFECTIVE: Immediately

RATIONALE: This statement is an adoption of the AAUP Statement on Professional Ethics as well as portions of the AAUP Statement on Freedom and Responsibility (cf. AAUP, Policy Documents and Reports, 1995 Edition, pp. 105-106 and pp. 107-108) as given below. In addition to acknowledging various extant regulations governing faculty conduct at UAF in specific contexts (e.g. policy on plagiarism, research protocol on the use of animals and/or humans as subjects, etc.). UAF faculty may choose expressly and positively to affirm the principles and norms governing their conduct generally as members of the academic community.

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UAF FACULTY STATEMENT OF PROFESSIONAL ETHICS

I. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge.
They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.

II. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Therefore, Professors have high expectations for their students and expect students to meet those expectations to the best of their ability. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student1s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They
acknowledge significant academic or scholarly assistance from them. Professors protect students' academic freedom.

III. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates. In the exchange of criticism and ideas professors show due respect for the opinions of others. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.

IV. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision.
Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering resignation or the interruption of their service, professors recognize the effect of their decision upon the institution and give due notice of their intentions.

V. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as
private persons they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and
integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

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Policies & Regulations on the following topics can be found below:

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1. Discrimination and Sexual Harassment R04.02.020


A. Discrimination

1. Prohibition Against Discrimination

a. Discrimination is a form of misconduct which undermines the integrity of the working and learning environment and will not be tolerated on or at University of Alaska premises or functions.

b. Subject to the constraints of Regents' Policy, the broadest range of legally permissible speech and expression will be tolerated in the learning environment, student and scholarly publications, and at public forums open to public debate and the exchange of ideas.


2. Definitions

a. "Discrimination" refers to being adversely treated or affected, either intentionally or unintentionally, in a manner that unlawfully differentiates or makes distinctions on the basis of an individual's legally protected status or on some basis other than an individual's qualifications, abilities, and performance, as appropriate.

b. "Learning Environment" is defined as the premises of the University of Alaska system or any site where educational programs and activities are conducted in the name of the University of Alaska or any unit thereof.

c. "Affirmative Action Officer" refers to the regional affirmative action director or designee.

d. "Regional Personnel Officer" refers to the regional human resource or personnel director or manager or designee.

e. "Working Environment" is defined as any place where the business of the university is conducted in the name of the University of Alaska or any unit thereof.

f. "Investigator(s)" are defined as the person or persons who have the responsibility and authority to conduct an investigation of formal discrimination complaints.

g. "Advisors" are defined as individuals appointed from each MAU to advise individuals regarding discrimination, provide information on whom to contact to file a formal complaint, and outline alternatives for complaint resolution. The president and the chancellors or their designees will appoint and make available a list of university personnel to serve as discrimination prevention advisors for individuals with questions or complaints involving discrimination. Advisors must have knowledge of applicable law and Regents' Policy and University Regulation.


3. Roles and Responsibilities

a. The University administration is responsible for promoting a positive working and learning environment where all persons are free to discuss any problems or questions they may have concerning discrimination at the university, without fear of intimidation or reprisal.

b. All university employees are responsible for maintaining a positive working and learning environment. Supervisors and faculty will promptly respond to complaints of discrimination to determine what, if any, remedial action may be warranted. In resolving these complaints, supervisors and faculty will seek advice and guidance from the affirmative action officer or advisors. University employees and students must cooperate fully with efforts to resolve complaints brought to their attention.


4. Informal Resolution Process

The purpose of informal resolution is to educate and inform individuals of their offensive behavior and to allow individuals the opportunity to voluntarily correct inappropriate behavior without disciplinary action. Informal resolution will not generally have as an outcome written reports or sanctions.

a. A complainant generally should try to inform the person directly that his or her behavior is unwelcome, harmful or offensive. The complainant is also encouraged to request assistance from other university employees, regional personnel officers, advisors or affirmative action officers in the informal resolution of a complaint. These assistants will promptly attempt to resolve the complaint through consultation and guidance of the complainant or, as appropriate, mediation between all concerned parties. Successful resolution efforts will be greatly facilitated by the timely reporting and handling of complaints.

b. Informal resolution may include informing the person about the behavior and/or writing a letter concerning the behavior and requesting that the behavior be stopped.

c. If informal resolution efforts fail to achieve satisfactory results, or if informal resolution is inappropriate in consideration of the circumstances or the egregious nature of the alleged behavior, the complainant may file a formal complaint with the affirmative action officer or the regional personnel officer as the initial action.


5. Formal Resolution Process

The formal resolution process is an administrative remedy which requires an investigation and written findings. Generally two investigators will be designated to conduct a timely investigation to ensure an objective review of the allegations. The statements of the complainant, respondent and witnesses become part of a written record which will be used for administrative review and action as necessary.

a. Formal complaints alleging discrimination must be in writing and include the following information:

(1) The names of the respondent and complainant.

(2) Their affiliation to the university.

(3) A description of the offensive behavior and circumstances.


b. A formal complaint should also include the following information:

(1) A description of any attempts to resolve the problem informally.

(2) An explanation of the impact on the complainant.

(3) Specific remedies requested.


c. The investigator(s), in determining whether the alleged conduct constitutes discrimination, must give consideration, to the record as a whole, to the totality of the circumstances, and where applicable to regulatory guidelines.

d. A copy of the written findings will be distributed to the complainant, the respondent, the respondent's supervisor, the regional personnel officer, the office of General Counsel and the Statewide Office of Human Resources.

e. Any person who:

(1) commits discrimination; or

(2) fails to perform his or her investigatory or supervisory responsibilities; or

(3) makes false claims or provides false testimony against another
will be subject to appropriate disciplinary action including, but not limited to, verbal and written reprimands, probation, suspension or termination.

f. When a preponderance of the evidence is found to substantiate a complaint, disciplinary action may be taken. In determining what disciplinary action may be appropriate, the extent to which the respondent knew or reasonably should have known that his or her conduct was harmful or offensive will be considered. Sanctions for conduct will be based upon all facts and circumstances of each case.

g. A complainant or respondent who disputes the written findings of the investigation report may request a formal review of the findings within 5 working days of the release of the findings.
Such formal review will be conducted by trained individuals appointed by the chancellor or, in the case of statewide employees, the president. The purpose of this review is to provide an opportunity for the chancellor or president to obtain an objective review of the investigation findings when those findings are disputed by one of the involved parties.
The review will be scheduled as soon as practicable and the written recommendation resulting from the review will be forwarded to the chancellor to the president for a decision.

h. If a party is dissatisfied with a chancellor's decision, that party may request a discretionary review by the president. If the president elects to review a chancellor's decision, the president's decision will be the final decision of the university. If the president does not elect to accept a review within 15 working days, the decision of the chancellor then becomes the final decision of the university. In the case of Statewide Administration employees, the decision of the president is the final decision of the university. In either case, the final decision of the university is not grievable except as set forth in this regulation and is subject to appeal within 30 days pursuant to Alaska Appellate Rule 602(a)(2).


6. Identity of Complainant

The university will not accept complaints when the complainant cannot be identified to the investigative officer.
Complaints by individuals who refuse to be identified to the respondent will not be accepted for investigation unless, in the discretion of the university, persistent and pervasive allegations of discrimination warrant formal investigation. Whenever formal disciplinary action may be contemplated, alleged offenders will be advised of the identity of their accusers, the nature of the charges being brought against them, and the circumstances of the alleged offense(s).

7. Confidentiality
Investigators will make reasonable efforts to preserve the confidentiality of their investigation and resolution efforts but cannot guarantee anonymity to complaining parties or witnesses. University employees and students will make a reasonable effort to protect the legitimate privacy interests of all concerned parties.

8. Retaliation

a. All persons have the right to complain about any conduct which they reasonably believe constitutes discrimination. No university official may take disciplinary or other adverse action against a person who genuinely but mistakenly believes himself or herself to be discriminated against, even if the practices complained of do not, in fact, constitute discrimination.

b. Threats or other forms of intimidation or retaliation against complainants, respondents, witnesses or investigators will constitute a violation of this regulation and may be subject to separate administrative action, including termination for cause.

9. Bargaining Unit Employees

a. If disciplinary action may result from an investigation of a bargaining unit employee alleged to have engaged in discrimination, the employee has a right to union representation during an investigatory interview with the employee.

b. Bargaining unit employees who have been disciplined pursuant to this regulation must resolve their disputes through the dispute resolution processes provided in their collective bargaining agreement.

10. Training programs on discrimination will be designed to:

a. provide employees with current information on federal and state law, Regents' Policy, University Regulation, and administrative procedures; and

b. demonstrate appropriate techniques for the resolution of discrimination allegations.

11. Dissemination

The university administration will make reasonable efforts to inform members of the university community regarding the prohibition against discriminating conduct. In particular, this information will be communicated to new employees as an integral part of their orientation experience.


B. Sexual Harassment

1. University Prohibition Against Sexual Harassment

a. Sexual harassment is a form of employee or student misconduct which undermines the integrity of the working and learning environment and will not be tolerated on or at University of Alaska premises or functions.

b. Subject to the constraints of Regents' Policy, the broadest range of legally permissible speech and expression will be tolerated in the learning environment, student and scholarly publications, and at public forums open to public debate and the exchange of ideas.


2. Definitions

a. "Sexual Harassment" includes, but is not limited to, unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature where:

(1) submission to such conduct is made, either explicitly or implicitly, a term or condition of an individual's employment or education; or

(2) submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting that individual; or

(3) such conduct has the purpose or necessary effect of unreasonably interfering with an individual's work or creating a hostile, intimidating or offensive working or learning environment; and

(a) such conduct is known by the offender to be unwelcome, harmful or offensive; or

(b) a person of average sensibilities would clearly understand the behavior or conduct is unwelcome, harmful or offensive.


b. "Learning Environment" is defined as the premises of the University of Alaska system or any site where educational programs and activities are conducted in the name of the University of Alaska or any unit thereof.

c. "Affirmative Action Officer" refers to the regional affirmative action director or designee.

d. "Regional Personnel Officer" refers to the regional human resource or personnel director or manager or designee.

e. "Working Environment" is defined as any place where the business of the university is conducted in the name of the University of Alaska or any unit thereof.

f. "Investigator(s)" are defined as the person or persons who have the responsibility and authority to conduct an investigation of formal sexual harassment complaints.

g. "Advisors" are defined as individuals appointed from each MAU to advise individuals regarding sexual harassment, provide information on whom to contact to file a formal complaint, and outline alternatives for complaint resolution.
The president and the chancellors or their designees will appoint and make available a list of university personnel to serve as harassment prevention advisors for individuals with questions or complaints involving sexual harassment. Advisors must have knowledge of sexual harassment law and Regents' Policy and University Regulation.


3. Roles and Responsibilities

a. The university administration is responsible for promoting a positive working and learning environment where all persons are free to discuss any problems or questions they may have concerning sexual harassment at the university, without fear of intimidation or reprisal.

b. All university employees are responsible for maintaining a positive working and learning environment. Supervisors and faculty will promptly respond to complaints of sexual harassment to determine what, if any, remedial action may be warranted. In resolving sexual harassment complaints, supervisors and faculty will seek advice and guidance from the affirmative action officer or harassment prevention advisors. University employees and students must cooperate fully with efforts to resolve complaints brought to their attention.


4. Informal Resolution Process

The purpose of informal resolution is to educate and inform individuals of their offensive behavior and to allow individuals the opportunity to voluntarily correct inappropriate behavior without disciplinary action. Informal resolution will not generally have as an outcome written reports or sanctions.

a. A complainant generally should try to inform the person directly that his or her behavior is unwelcome, harmful or offensive. The complainant is also encouraged to request assistance from other university employees, regional personnel officers, advisors or affirmative action officers in the informal resolution of a complaint.
These assistants will promptly attempt to resolve the complaint through consultation and guidance of the complainant or, as appropriate, mediation between all concerned parties. Successful resolution efforts will be greatly facilitated by the timely reporting and handling of complaints.

b. Informal resolution may include informing the person about the behavior and/or writing a letter concerning the behavior and requesting that the behavior be stopped.

c. If informal resolution efforts fail to achieve satisfactory results, or if informal resolution is inappropriate in consideration of the circumstances or the egregious nature of the alleged behavior, the complainant may file a formal complaint with the affirmative action officer or the regional personnel officer as the initial action.


5. Formal Resolution Process

The formal resolution is an administrative remedy which requires an investigation and written findings. Generally, two investigators will be designated to conduct a timely investigation to insure an objective review of the allegations. The statements of the complainant, respondent and witnesses become part of a written record which will be used for administrative review and action as necessary.

a. Formal complaints alleging sexual harassment must be in writing and include the following information:

(1) The names of the respondent and complainant.

(2) Their affiliation to the university.

(3) A description of the offensive behavior and circumstances.


b. A formal complaint should also include the following information:

(1) A description of any attempts to resolve the problem informally.

(2) An explanation of the impact on the complainant.

(3) Specific remedies requested.


c. The investigator(s), in determining whether the alleged conduct constitutes sexual harassment, must give consideration to the record as a whole, to the totality of the circumstances, and to regulatory guidelines where applicable.

d. A copy of the written findings will be distributed to the complainant, the respondent, the respondent's supervisor, the regional personnel officer, the office of General Counsel and the Statewide Office of Human Resources.

e. Any person who:

(1) commits sexual harassment; or

(2) fails to perform his or her investigatory or supervisory responsibilities; or

(3) makes false claims or provides false testimony against another will be subject to appropriate disciplinary action including, but not limited to, verbal and written reprimands, probation, suspension or termination.

f. When a preponderance of the evidence is found to substantiate a complaint of sexual harassment, disciplinary action may be taken. In determining what disciplinary action may be appropriate, the extent to which the respondent knew or reasonably should have known that his or her conduct was harmful or offensive will be considered. Sanctions for conduct will be based upon all facts and circumstances of each case. Coercive behavior, such as threats or promises that academic or employment reprisals or rewards will follow the refusal or granting of sexual favors, constitutes gross misconduct and provides just cause for immediate termination.

g. A complainant or respondent who disputes the written findings of the investigation report may request a formal review of the findings within 5 working days of the release of the findings. Such formal review will be conducted by trained individuals appointed by the chancellor or, in the case of statewide employees, the president. The purpose of this review is to provide an opportunity for the chancellor or president to obtain an objective review of the investigation findings when those findings are disputed by one of the involved parties. The review will be scheduled as soon as practicable and the written recommendation resulting from the review will be forwarded to the chancellor or president for a decision.

h. If a party is dissatisfied with a chancellor's decision, that party may request a discretionary review by the president. If the president elects to review a chancellor's decision, the president's decision will be the final decision of the university. If the president does not elect to accept a review within 15 working days, the decision of the chancellor then becomes the final decision of the university. In the case of Statewide Administration employees, the decision of the president is the final decision of the university. In either case, the final decision of the university is not grievable except as set forth in this regulation and is subject to appeal within 30 days pursuant to Alaska Appellate Rule 602(a)(2).


6. Identity of Complainant

The university will not accept complaints when the complainant cannot be identified to the investigative officer. Complaints by individuals who refuse to be identified to the respondent will not be accepted for investigation unless, in the discretion of the university, persistent and pervasive allegations of sexual harassment warrant formal investigation. Whenever formal disciplinary action may be contemplated, alleged offenders will be advised of the identity of their accusers, the nature of the charges being brought against them, and the circumstances of the alleged offense(s).

7. Confidentiality

Investigators will make reasonable efforts to preserve the confidentiality of their investigation and resolution efforts but cannot guarantee anonymity to complaining parties or witnesses. University employees and students will make a reasonable effort to protect the legitimate privacy interests of all concerned parties consistent with their obligation to inform the accused.

8. Retaliation

a. All persons have the right to complain about any conduct which they reasonably believe constitutes sexual harassment. No university official may take disciplinary or other adverse action against a person who genuinely but mistakenly believes himself or herself to be harassed, even if the practices complained of do not, in fact, constitute sexual harassment.

b. Threats or other forms of intimidation or retaliation against complainants, respondents, witnesses or investigators will constitute a violation of this regulation and may be subject to separate administrative action, including termination for cause.


9. Bargaining Unit Employees

a. If disciplinary action may result from an investigation of a bargaining unit employee alleged to have engaged in sexual harassment, the employee has a right to union representation during an investigatory interview with the employee.

b. Bargaining unit employees who have been disciplined pursuant to this regulation must resolve their disputes through the dispute resolution processes provided in their collective bargaining agreement.


10. Training programs on sexual harassment will be designed to:

a. provide employees with current information on federal and state law, Regents' Policy, University Regulation, and administrative procedures; and

b. demonstrate appropriate techniques for the resolution of sexual harassment allegations.


11. Dissemination

The university administration will make reasonable efforts to inform members of the university community regarding the prohibition against sexually harassing conduct. In particular, this information will be communicated to new employees as an integral part of their orientation experience.


C. Consensual Sexual Relationships

1. Faculty-Student Relationships

a. Within the instructional context: It is considered a serious breach of professional ethics for a member of the faculty to initiate or acquiesce in a sexual relationship with a student who is enrolled in a course being taught by the faculty member or whose academic work, including work as a teaching assistant, is being supervised by the faculty member.

b. Outside the instructional context: Sexual relationships between faculty members and students occurring outside the instructional context may lead to difficulties, particularly when the faculty member and student are in the same academic unit or in units that are academically allied; relationships that the parties view as consensual may appear to others to be exploitative. Further, in such situations the faculty member may face serious conflicts of interest and should be careful to distance himself or herself from any decisions that may reward or penalize the student involved.


2. Supervisor-Employee Relationships

Consensual sexual relationships between supervisors and employees, including circumstances where a staff member has authority or control over a student's living or learning environment, are prohibited.
A staff member who fails to withdraw from participation in activities or decisions that may reward or penalize an employee or student with whom the staff member has or has had a sexual relationship will be deemed to have violated his or her ethical obligation to the employee or student, to other employees or students, to colleagues, and to the university.


3. Complaint Procedure
Complaints alleging a violation of the Consensual Sexual Relationships regulation will be handled in accordance with the regulation regarding sexual harassment.
(08-15-97)


Reasonable Accommodation - Americans with Disabilities R04.02.030
See Regents' Policy 04.02.030.
(09-27-96)


Drug-Free Workplace R04.02.040


Policy 04.02.040 regarding drug-free workplace prohibits the unlawful manufacture, distribution, dispensing, possession, or use by an employee of a controlled substance in any workplace of the university. The following steps will be taken to provide a drug-free workplace.


A. Each major administrative unit (MAU) will publish and distribute to all employees a statement notifying employees that the violation of such prohibition will subject them to appropriate disciplinary action.

B. Each MAU will establish a drug-free awareness program to inform employees about:

1. The dangers of drug abuse in the workplace;

2. The university's policy of maintaining a drug-free work-place; and

3. The availability of drug counseling, rehabilitation and employee assistance programs.


C. Each employee will be responsible as a condition of employment to abide by the terms of this regulation and must notify the university of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction.

D. Within 30 days of the receipt of notice as prescribed in paragraph C. above or other notification of such conviction the university will take one of the following personnel actions:

1. Require the employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved by the University.

2. Place the employee on suspension as prescribed by Regents' Policy regarding corrective action.

3. Dismiss the employee under the provision of Regents' Policy regarding termination for cause.
(06-20-97)


Employee Alcohol and Controlled Substances Testing R04.02.050


A. Definitions


For purposes of this regulation, the following definitions apply:

1. "Alcohol" means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl alcohol.

2. "Alcohol use (or use alcohol)" means any consumption of any beverage, mixture, or preparation, including any medication, containing alcohol.

3. "Alcohol concentration" is the alcohol in a volume of breath expressed in terms of grams of alcohol per 210 liters of breath as indicated by an evidential breath test.

4. "Commerce" means 1) any trade, traffic or transportation within the jurisdiction of the United States between a place in a state and a place outside of such state, including a place outside of the United States and 2) trade, traffic, and transportation in the United States which affects any trade, traffic, and transportation described in subsection 1) of this section.

5. "Commercial motor vehicle" or "CMV" means a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle

a. has a gross combination weight rating of 26,001 or more pounds inclusive of a towed unit with a gross vehicle weight rating of more than 10,000 pounds; or

b. has a gross vehicle weight rating of 26,001 or more pounds; or

c. is designed to transport 16 or more passengers, including the driver; or

d. is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act and which require the motor vehicle to be placarded under federal hazardous materials regulations.


6. "Confirmation test," in Controlled Substance testing, is a second analytical procedure to identify the presence of specific drug or metabolite that is independent of the screening test and that uses a different technique and chemical principle from that of the screening test in order to ensure reliability and accuracy. In alcohol testing, it is a second test, following a screening test with a result of 0.02 or greater, that provides quantitative data of alcohol concentration.

7. "Controlled Substance" means marijuana, cocaine, opiates, amphetamines and phencyclidine.

8. "Covered Employee" or "Employee" means any University of Alaska employee required to hold a CDL as a function of their employment. This includes for purposes of pre- employment testing only, applicants and current employees selected for employment in such a position. A Covered Employee may be off-duty, on-duty, pre-duty or "on call" status.

9. "Driver" means any Covered Employee who operates a CMV. This includes, but is not limited to: full-time, regularly employed drivers, casual, intermittent, temporary, part-time, or occasional drivers.

10. "Driving Time" means all time spent at the driving controls of a CMV in operation.

11. "Medical Review Officer" is a licensed physician responsible for receiving laboratory results generated by the University's controlled substance testing program who has knowledge of substance abuse disorders and has appropriate medical training to interpret and evaluate a Covered Employee's confirmed positive test result together with his/her medical history and any other relevant biomedical information.

12. "Observer" a trained supervisor or other trained university official.

13. "Performing a Safety-Sensitive Function" a Covered Employee is considered to be performing a Safety-Sensitive Function during any period in which he or she is actually performing, ready to perform, or immediately available to perform any Safety-Sensitive Functions.

14. "Safety-Sensitive Function" means:

a. All time a Covered Employee is at a carrier or shipper plant, terminal, facility, or other property, or on any public property, waiting to be dispatched, unless the Covered Employee has been relieved from duty by the Covered Employee's supervisor.

b. All time the Covered Employee is inspecting equipment as required by DOT regulations or otherwise inspecting, servicing, or conditioning any CMV at any time.

c. All driving time as defined in the term driving time in this regulation.

d. All time, other than driving time, in or upon any CMV except time spent resting in a sleeper berth as sleeper berth is defined by DOT regulations.

e. All time a Covered Employee is loading or unloading or supervising or assisting in the loading or unloading of a CMV, attending a CMV being loaded or unloaded, remaining in readiness to operate the CMV, or in giving or receiving receipts for shipments loaded or unloaded.

f. All time spent by a Covered Employee performing the driver requirements of DOT regulations relating to accidents.

g. All time spent by a Covered Employee repairing, obtaining assistance, or remaining in attendance upon a disabled CMV.

15. "Screening test (or initial test)", in controlled substance testing, is an immunoassay screen to eliminate "negative" urine specimens from further analysis. In alcohol testing, an analytic procedure to determine whether an employee may have a prohibited concentration of alcohol in a breath specimen.

16. "Substance Abuse Professional" means a licensed physician or a licensed or certified psychologist, social worker, employee assistance professional, or addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission) with knowledge of and clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders.


B. Applicability
This regulation applies to all University of Alaska employees who are required to hold a CDL as a function of their university employment ("Covered Employees").

C. Prohibitions

It is a violation of this regulation for a Covered Employee to:

1. Report or return to work within four hours after using alcohol;

2. Use alcohol on the job, including during breaks or meals;

3. Possess alcohol on the job, including during breaks or meals;

4. Have a confirmation test result indicating an alcohol concentration of 0.02 or greater;

5. Use alcohol within eight hours following an accident or until the Covered Employee is tested, whichever occurs first;

6. Report for duty or remain on duty when the Covered Employee is using or has used any controlled substance (except when the use is pursuant to the instructions of a physician who has advised the employee that the substance does not adversely affect the employee's ability to safely perform a Safety-Sensitive Function, including operating a Commercial Motor Vehicle (CMV);

7. Test positive for a controlled substance;

8. Refuse to submit to an alcohol or controlled substance test as required by federal laws or regulations or this regulation.
If a Covered Employee engages in the conduct described above, the employee is considered to have engaged in Prohibited Conduct, is immediately disqualified from performing a Safety-Sensitive Function, including operating a CMV, and is subject to disciplinary action as set forth in Section I of this regulation.

D.Required Tests

A Covered Employee is required to submit to alcohol and controlled substance testing under the circumstances set forth in this section. Before performing a test, the trained supervisor or other trained University official will notify the employee that the test is being performed pursuant to the United States Department of Transportation (DOT) regulations and at no cost to the employee.

1. Pre-Employment Testing

For the purposes of pre-employment testing only, "Covered Employee" includes applicants and current employees selected for employment in such a position. Prior to the first time a Covered Employee performs Safety-Sensitive Functions for the University, the employee will undergo testing for alcohol and controlled substances. No Covered Employee will be allowed to perform Safety-Sensitive Functions unless the employee has been administered an alcohol test with a result indicating an alcohol concentration less than 0.02 and has received a controlled substances test indicating a verified negative test result.
The applicable regional personnel office will obtain, pursuant to a Covered Employee's consent, information on the employee's alcohol tests with a concentration result of 0.04 or greater, positive controlled substances test results, and refusals to be tested, within the preceding two years, which are maintained by the employee's previous employers. This information must be obtained and reviewed by the applicable regional personnel office no later than 14 calendar days after the first time a Covered Employee performs Safety- Sensitive Functions for the university, if it is not feasible to obtain the information prior to the employee performing Safety-Sensitive Functions. A Covered Employee will not be allowed to perform Safety- Sensitive Functions more than 14 days without obtaining the information.
A Covered Employee will not be allowed to perform Safety- Sensitive Functions if the university obtains information showing an alcohol test with a concentration of 0.04 or greater, or a verified positive controlled substances test result, or refusal to be tested, unless the applicable regional personnel office obtains information on the employee's subsequent Substance Abuse Professional evaluation and associated successful return to duty testing.

2. Reasonable Suspicion Testing

A Covered Employee will submit to an alcohol and/or controlled substance test when a trained supervisor or other trained university official "Observer" has reasonable suspicion to believe that the employee has engaged in Prohibited Conduct, except for the conduct prohibited by Section C.3. of this regulation. A determination that reasonable suspicion exists must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee. The observations must be made during, just preceding, or just after the period of the work day that the employee is performing a Safety-Sensitive Function. The observations may include indications of the chronic and withdrawal effects of controlled substances. The Observer must attempt to find another trained supervisor or other trained university official to corroborate the observations in writing. The Observer must then escort the employee to the designated collection or test site.
If an alcohol test required by this section is not administered within two hours following the reasonable suspicion determination, the Observer will prepare a report stating the reasons the alcohol test was not timely administered; if the alcohol test is not administered within eight hours following the reasonable suspicion determination, there will be no further attempts to administer the test and the Observer will prepare a report stating the reasons why the test was not timely administered. The report(s) will be forwarded to the applicable regional personnel office.
A written record of the observations leading to a controlled substance reasonable suspicion test will be made by the Observer within 24 hours of the observed behavior or before the results of the controlled substance tests are released, whichever is earlier.
If an Observer is unable to obtain a reasonable suspicion alcohol test the Covered Employee may not remain on or return to duty if the employee appears to be under the influence or impaired by alcohol as indicated by specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee. In this situation, the employee will only be permitted to return to work when:

a. an alcohol test shows a concentration of less than 0.02; or

b. twenty-four hours have elapsed since the reasonable suspicion observations.


3. Post-Accident Testing

As soon as practicable following an accident involving a CMV, a Covered Employee who was performing a Safety- Sensitive Function with respect to the CMV must be tested for alcohol and controlled substances if:

a. there was a death involved; or

b. the employee received a citation for a moving traffic violation arising from the accident.

If an alcohol test is not administered within two hours following the accident, the Covered Employee's supervisor will prepare a report stating the reasons why the test was not timely administered. If an alcohol test is not administered within eight hours following the accident, there will be no further attempts to administer the test and the Covered Employee's supervisor will prepare a report stating the reasons why the test was not timely administered.
If a controlled substance test is not administered within 32 hours following the accident, there will be no further attempts to administer the test and the Covered Employee's supervisor will prepare a report stating the reasons why the test was not timely administered. The report(s) will be forwarded to the applicable regional personnel office. A Covered Employee who is subject to post-accident testing must remain readily available for the testing, or will be deemed to have refused to submit for testing. The applicable regional personnel office will ensure that each Covered Employee receives necessary information, procedures and instructions prior to performing a Safety-Sensitive Function, including operating a CMV, so that the employee is able to comply with the requirements of this Section.

4. Random Testing

The random testing of Covered Employees will be unannounced, spread reasonably throughout the year, and will be conducted to assure that all Covered Employees have an equal chance of being tested. The Covered Employees to be tested will be randomly selected using a scientifically valid method.

The minimum annual percentage rate for random alcohol testing is 25 percent of the average number of Covered Employees or such other rate as may be set annually by the Federal Highway Administration. The minimum annual percentage rate for random controlled substances testing is 50 percent of the average number of Covered Employees or such other rate as may be set annually by the Federal Highway Administration.

Upon request by a supervisor, a Covered Employee must immediately proceed to the designated collection or test site. A Covered Employee may only be tested for alcohol while the employee is performing a Safety-Sensitive Function, just before the employee is to perform a Safety-Sensitive Function, or just after the employee has ceased performing such function.

5. Return-To-Duty Testing

When a Covered Employee has engaged in Prohibited Conduct, the employee will be permitted to return to work in accordance with the following procedures:

a. The employee will receive a mandatory referral to the University's Employee Assistance Program for an evaluation by a Substance Abuse Professional who will determine what assistance, if any, the employee needs in resolving problems associated with alcohol misuse and controlled substance use; and

b. If the employee is identified as needing assistance and a rehabilitation program has been prescribed, the employee must be evaluated by the Substance Abuse Professional to determine that the employee has properly followed the recommended rehabilitation program; and

c. The employee must undergo a return-to-duty alcohol test with a result indicating an alcohol concentration of less than 0.02 or, if the Prohibited Conduct involved a controlled substance, a return-to-duty controlled substance test with a result indicating a verified negative result for controlled substance use.


6. Follow-Up Testing

Following a determination by a Substance Abuse Professional that a Covered Employee is in need of assistance in resolving problems associated with alcohol misuse and/or use of controlled substances, the Covered Employee is subject to unannounced follow-up alcohol and/or controlled substance testing. The number and frequency of the tests will be determined by the Substance Abuse Professional, but will consist of at least six tests in the first twelve months following the employee's return to duty and may continue for up to five years. Follow up testing for alcohol may only be conducted while the employee is performing a safety-sensitive function, just before the employee is to perform a safety-sensitive function, or just after the employee has ceased performing such function.


E. University Notification Obligations

1. The applicable regional personnel office will:

a. notify a Covered Employee of the results of a pre- employment controlled substance test if the employee requests such results within 60 calendar days of being notified of the disposition of the employment application;

b. notify a Covered Employee of the results of random, reasonable suspicion and post-accident tests for controlled substances;

c. inform the Covered Employee which controlled substance or substances were verified as positive;

d. make reasonable efforts to contact and request each person who submitted a specimen under the University's program, regardless of the person's employment status, to contact and discuss the results of the controlled substances test with a Medical Review Officer when the Medical Review Officer has been unable to contact the person and will immediately notify the Medical Review Officer that the person has been notified to contact the Medical Review Officer within twenty-four hours;

e. provide information on contacting alcohol and/or Substance Abuse Professionals, counseling and treatment programs; and

f. ensure that each Covered Employee receives educational materials that explain this regulation, the meaning of alcohol and controlled substance misuse, treatment programs available and alcohol and controlled substance testing procedures. Covered Employees will acknowledge in writing receipt of such information.


2. Before performing an alcohol or controlled substance test, the trained supervisor or other trained University official will notify the Covered Employee that will be tested of the nature of the test and the reasons for the test. The notice can either be written or oral.


F. Testing Procedures

1. Alcohol
Tests will be conducted under the guidance of a Breath Alcohol Technician selected by the university and in accordance with DOT regulations at one or more designated testing sites. The site(s) will afford privacy to the individual being tested. If the result of an initial test is an alcohol concentration of less than 0.02, no further testing is required and the results are transmitted to the applicable regional personnel office in a confidential manner. If the result of an initial test is an alcohol concentration of 0.02 or greater, a confirmation test will be performed within twenty minutes. The results of an initial test and the confirmation test are printed on the breath alcohol test forms, signed by both the Breath Alcohol Technician and the Covered Employee, and transmitted to the applicable regional personnel office in a confidential manner. Should a breath test show an alcohol concentration of 0.02 or greater, a blood alcohol test may be offered to the Covered Employee as an option, although not required.

2. Controlled Substances
DOT regulations require testing for marijuana, cocaine, opiates, amphetamines and phencyclidine. Tests for these substances will be conducted under the guidance of the Medical Review Officer selected by the university and in accordance with DOT regulations at one or more designated collection sites. Collection of urine samples will allow individual privacy unless there is a reason to believe that a particular individual may alter or substitute the specimen. It is a violation of federal law and these regulations to adulterate or dilute a specimen during the collection procedure.
Test results are given to the Medical Review Officer for analyzing and reporting to the applicable regional personnel office.


G. Employee Refusal To Submit to Testing


Any Covered Employee who refuses to submit to a required alcohol or controlled substance test will be immediately removed from duty and such refusal shall be treated as a positive test. Failure to provide adequate breath for testing when required without a valid medical explanation, failure to remain available for post-accident testing, failure to provide adequate urine for testing without a valid medical explanation, engaging in conduct that obstructs the testing process, or failure to sign the alcohol testing form constitutes a refusal to submit to testing.

H. If An Employee Tests Positive


If a Covered Employee has an alcohol concentration of 0.02 or greater in a confirmation test or tests positive for a controlled substance the employee is immediately disqualified from performing Safety-Sensitive Functions, including operating a CMV. The employee will also be subject to return-to-duty testing and disciplinary action as outlined in these Regulations, and may be subject to follow-up testing.

I. Disciplinary Action

1. DOT regulations establish prohibited concentrations of alcohol and controlled substances that may be in a Covered Employee's system while the Covered Employee is performing a Safety-Sensitive Function and also establish other prohibited behavior for a Covered Employee. DOT regulations also establish certain minimum penalties for a Covered Employee who has a test result which exceeds the prohibited concentration amounts or who has engaged in prohibited behavior. In general, these penalties include i) prohibitions on driving a CMV for a period of time following the prohibited behavior (with the length of time increasing as the number of instances of prohibited behavior increase), ii) referral to a Substance Abuse Professional, and iii) return to duty and follow up testing. An employer may, however, adopt stricter penalties.

2. In addition to the minimum penalties established by DOT regulations, the following disciplinary action will be imposed:

a. Covered Employees who test positive for controlled substances, who refuse to take a test or whose confirmation test result shows an alcohol concentration of 0.04 or greater will be considered to have engaged in behavior constituting grounds for dismissal for cause.

b. Covered Employees who engaged in other forms of Prohibited Conduct the first time will be relieved of duty without pay for the remainder of the employee's work day and for all of the next scheduled work day. For the second instance of Prohibited Conduct, the employee will be suspended for forty duty hours without pay. The third instance of Prohibited Conduct will constitute grounds for dismissal for cause.

c. Other violations of this regulation not described in a. and b. above will be dealt with in accordance with applicable policies, regulations or procedures.


3. The disciplinary action imposed by this section on a Covered Employee shall be in addition to any other penalties that may be imposed for violations of state or federal laws or regulations pertaining to drivers of CMV's or holders of CDL's.


J. Access to Test Results

Except as required by law, no information about specific alcohol and controlled substance testing will be released by the University to outside parties. A Covered Employee is entitled, upon written request, to obtain copies of any records pertaining to the employee's use of alcohol or controlled substances, including any records pertaining to the employee's alcohol or controlled substances tests.

K. Records Retention

The applicable regional personnel office will maintain the following records in a secure location with controlled access:

1. Five year record retention: Records of any employee alcohol test results indicating an alcohol concentration of 0.02 or greater; documentation of refusals to take required alcohol or controlled substance tests; verified positive controlled substance test results; equipment calibration documentation; documentation of Covered Employee evaluations and referrals; and a copy of the calendar year summary required by DOT regulations.

2. Two year record retention: Records related to the collection process and training.

3. One year record retention: Records of any negative and canceled controlled substance test results and alcohol tests results with a concentration of less than 0.02.
The Statewide Office of Human Resources will provide the regional personnel offices with a summary of additional records required to be maintained by DOT regulations. The regional personnel offices will be responsible for maintaining the additional records.

L. Training

All supervisors of Covered Employees and other university officials designated by the applicable chancellor to make reasonable suspicion observations will receive at least 60 minutes of training on alcohol misuse and an additional 60 minutes of training on controlled substance use to assist them in determining whether reasonable suspicion exists to require an employee to undergo testing. The training will cover the physical, behavioral, speech and performance indicators of probable alcohol misuse and use of controlled substances. It will also cover available methods of intervening when an alcohol or a controlled substances problem is suspected, including confrontation, referral to the Employee Assistance Program and/or referral to a higher management authority.

M. Self Reporting

A Covered Employee who self reports alcohol misuse or controlled substance use and requests University assistance will be immediately referred for treatment to a Substance Abuse Professional. Within 10 working days, the employee must provide proof to the employee's supervisor of having undergone assessment screening. The proof must contain the treatment recommendations of the Substance Abuse Professional. At least monthly, the employee shall furnish the supervisor with proof of their continuing participation in the recommended treatment program until completed. Reoccurences of alcohol misuse or controlled substance use shall be subject to disciplinary action.
(06-20-97)

2. Regents' PolicyPART IV - HUMAN RESOURCES, CHAPTER II


General Personnel Policies

Equal Employment Opportunity/Affirmative Action P04.02.010

A. Statement of Intent
The Board of Regents recognizes that discrimination in employment practices has in the past foreclosed economic opportunity to a substantial number of persons in the United States. The Board is committed to oppose illegal employment discrimination and to prohibit it within the University of Alaska. In addition to prohibiting illegal employment discrimination, as a part of its commitment to equal employment opportunity, the Board is committed through an affirmative action program, to recruit, employ and promote qualified "protected class" persons who have been historically under-represented in the workforce.

B. Equal Employment Opportunity Program
The program of equal employment opportunity consists of two parts: nondiscrimination and a program of affirmative action.

1. Nondiscrimination

a. Federal and State Laws and Regulations
The University of Alaska will not engage in impermissible discrimination. In accordance with federal and state law and regulation, the University of Alaska makes its programs and activities available without discrimination on the basis of race, religion, color, national origin, citizenship, age, sex, disability, marital status, changes in marital status, pregnancy, childbirth or related medical conditions or parenthood. Among the federal and state laws and regulations prohibiting discrimination in employment that pertain to the university are the Equal Pay Act of 1963, Title VI and Title VII of the 1964 Civil Rights Act as amended in 1991, Executive Order 11246, as amended, the Age Discrimination in Employment Act of 1967, Title IX of the Education Amendments of 1972, the Vocational Rehabilitation Act of 1973 as amended, the Vietnam Era Veterans' Readjustment Assistance Act of 1974, the Pregnancy Discrimination Act, the Immigration Reform & Control Act, the Civil Rights Restoration Act of 1987, the Americans with Disabilities Act of 1990, AS 14.40.050 and AS 18.80.220.

b. Consideration of Individual Merit
University of Alaska hiring decisions will be based on the individual's qualifications, demonstrated abilities and performance, as appropriate.


2. Affirmative Action

The University of Alaska seeks to hire, train and promote individuals based on qualifications and demonstrated ability to perform the job. In its commitment to affirmative action, the university is committed to recruit and retain women and minorities in positions of employment where they have been traditionally under-represented. The concept of affirmative action requires that practices that adversely impact protected classes should be eliminated unless the university can demonstrate a legally permissible basis. To accomplish the goals of its affirmative action program, the university encourages employment applications from and makes special efforts to recruit protected classes.


C. Implementation

The president of the university and the chancellor of each campus are responsible for planning, implementing, and monitoring an effective program of equal employment opportunity for, respectively, the statewide administration and their major administrative units. The president and each chancellor will provide an annual report to the Board of Regents with regard to the effectiveness of their respective equal employment opportunity program.
(04-21-95)


Discrimination and Sexual Harassment P04.02.020

A. Discrimination

1. The University of Alaska will not permit or tolerate discrimination that creates an intimidating, hostile, or offensive working or learning environment, or that interferes with an individual's performance. The university recognizes that conduct which constitutes discrimination in employment or educational programs and activities is prohibited and will be subject to corrective and/or disciplinary action. Discrimination refers to being adversely treated or affected, either intentionally or unintentionally, in a manner that unlawfully differentiates or makes distinctions on the basis of the individual's legally protected status or on some basis other than an individual's qualifications, abilities and performance, as appropriate. The university will vigorously exercise its authority to protect employees and students from discrimination by agents or employees of the university, students, visitors and guests.

2. Nothing contained in this policy will be construed or applied to limit or abridge any person's constitutional right to freedom of expression or to infringe upon the legitimate academic freedom or right of due process of any member of the university community. Principles of academic freedom and freedom of expression require tolerance of the expression of ideas and opinions even though they may be offensive to some. However, ideas and opinions must be expressed in a manner that does not create an intimidating, hostile, or offensive working or learning environment or unreasonably interferes with an individual's performance. The university upholds and adheres to principles of academic freedom and the laws prohibiting discrimination in employment and education.

3. Individuals who believe they have been subjected to discrimination are encouraged to bring this behavior or action to the attention of an employee or faculty member who is in a position to assist in addressing the concern. The affirmative action officer, personnel or student affairs officer or designee(s) will mediate disputes, receive complaints, obtain process information, or discuss resolution options regarding discrimination complaints.

4. The university cannot guarantee confidentiality in connection with complaints alleging discrimination; however, all university employees and students are expected to make a reasonable effort to protect the legitimate privacy interests of involved persons consistent with their obligation to inform the accused.

5. Nothing in this policy will be construed or applied to create a right to an award of damages or other monetary compensation against the university or university employees beyond any existing under state or federal law.


B. Sexual Harassment

The University of Alaska will not tolerate inappropriate sexual or sexually harassing behavior and seeks to prevent such conduct toward its students, employees and applicants for employment. Violation of this policy may lead to discipline of the offending party.
Since some members of the university community hold positions of authority that may involve the legitimate exercise of power over others, it is their responsibility to be sensitive to that power. Faculty and supervisors in particular, in their relationships with students and subordinates, need to be aware of potential conflicts of interest and the possible compromise of their evaluative capacity. Because there is an inherent power difference in these relationships, the potential exists for the less powerful person to perceive a coercive element in suggestions regarding activities outside those inherent in the professional relationship.
It is the responsibility of faculty and staff to behave in such a manner that their words or actions cannot reasonably be perceived as sexually coercive, abusive, or exploitative. Sexual harassment also can occur in relationships among equals as when repeated unwelcome advances, demeaning verbal behavior, or offensive physical contact interfere with an individual's ability to work and/or study productively. Consensual sexual conduct that unreasonably interferes with other employees' work or creates a hostile, intimidating or offensive working or learning environment constitutes sexual harassment for purposes of this policy.
The university is committed to providing an environment of study and work free from sexual harassment and to ensuring the accessibility of appropriate procedures for addressing all complaints regarding sexual harassment. Nothing contained in this sexual harassment policy will be construed or applied to limit or abridge any person's constitutional right to freedom of expression or to infringe upon the legitimate academic freedom or right of due process of any member of the university community.

C. Consensual Sexual Relations

Faculty members or staff who engage in sexual relations with students enrolled in their classes or subject to their supervision, even when both parties have consented to the relationship, will be engaging in unprofessional behavior.
Supervisors who have authority or control over employees and engage in sexual relations with those employees, abuse their power, even when both parties have consented to the relationship.

D. Limitation of Liability

Nothing in this policy will be construed or applied to create a right to an award of damages or other monetary compensation against the university or university employees beyond any existing under state or federal law.
(08-15-97)


Reasonable Accommodation for People with Disabilities P04.02.030


A. Prohibition Against Discrimination on the Basis of Disability

All members of the university community have a right to a working and learning environment free of all forms of illegal discrimination including discrimination against people with disabilities. It is the university's intent that no employee, or user of university facilities, be subjected to unlawful discrimination based on disability.

B. Remedies Relating to Allegations of Disability Discrimination

1. Definitions
a. "Affirmative Action Officer" (AAO) refers to the regional affirmative action officer, director, or designee, whichever reference is applicable.
b. "ADA" refers to the federal law known as the Americans with Disabilities Act of 1990 as amended.
c. "ADA coordinator" refers to the individual designated to administer the university's disability discrimina-tion compliance program.
d. "Reasonable accommodation" is the process of modifying or adjusting the work environment to reasonably accommodate the functional limitation caused by a disability.
e. "Reasonable Accommodation Resolution" is the process whereby the ADA coordinator or AAO facilitates the development of an appropriate reasonable accommodation.
f. "Complainant" is the person or persons asserting a complaint.
g. "Respondent" means the university employee(s), officer(s), agent(s) or representative(s) whose act or failure to act is being disputed.
h. "Person with a disability" refers to an individual who:
(1) has a documented physical or mental impairment that substantially limits a major life activity; or
(2) has a documented record of a physical or mental impairment that substantially limits a major life activity; or
(3) is regarded as having a physical or mental impairment that substantially limits a major life activity.


2. Request for Accommodation
The purpose of this process is to educate the person or persons involved about the applicable provisions of the law, to provide a non-retaliatory environment to determine accommodations, and to initiate change in behavior, practice, or treatment that will lead to a positive work environment.
A university employee who believes that he or she requires accommodation must present a written request to his or her immediate supervisor, with copies to the AAO or designee. The request must state the employee's name, and provide a detailed description of the practice or action that allegedly requires accommodation or constitutes discrimination on the basis of disability.
No person who acts in good faith will be subject to restraint, interference, coercion, reprisal, or retaliation for initiating a request or complaint or participating as a witness or in another capacity in any proceeding designed to foster compliance with disability discrimination Policy and/or Regulation.
In attempting to informally determine an appropriate accommodation or resolve a complaint, the AAO will obtain and clarify relevant information from the employee, the supervisor, the regional personnel director, and other involved persons. The outcome of a reasonable accommodation generally will not include documentation copied to the personnel file or widespread distribution of decisions regarding any accommodations made. However, any documentation relating to a disability complaint will be kept in a separate file apart from the employee's personnel file.


3. Formal Resolution
a. Formal Complaint
An employee who claims to have been subjected to discrimination based upon a disability and who has exhausted the reasonable accommodation process may initiate a written formal complaint. Formal complaints must be presented to the ADA coordinator and must include, at a minimum, the following information:
(1) the name of the complainant and the respondent;
(2) a clear and concise description of the event(s) and the alleged discriminatory action or conduct;
(3) an explanation of the impact upon the complainant of the alleged discriminatory action or conduct;
(4) a summary of attempts taken to resolve the complaint informally; and
(5) the remedy requested.


b. Determination of Formal Complaint
The AAO and ADA coordinator are responsible for ensuring compliance with the provisions in the Americans with Disabilities Act and other applicable laws in their efforts to coordinate disputes involving people with disabilities within the university.
The ADA coordinator will determine whether there is reasonable basis to justify relief in the form of a reasonable accommodation. If so, the ADA coordinator will identify appropriate solutions, including recommendations for reasonable accommodation, and report those recommendations to the respondent's immediate supervisor, regional personnel office, and/or other appropriate administrative officers.


c. Remedies
Unjustified delay or refusal to implement the solutions or the reasonable accommodations recommended by the ADA coordinator may lead to referral to an appropriate administrative officer to obtain proper and timely action. An employee who delays or refuses unjustifiably to implement the recommendations is subject to disciplinary action.
d. If the ADA coordinator determines that there is not just cause to support a disability discrimination complaint, he or she will notify the complainant in writing of that determination and the reason(s) therefor. The complainant may appeal the ADA coordinator's determination or the respondent's alleged improper action by submitting a grievance to the grievance council at Step 3 of the grievance resolution process contained in Regents' Policy and University Regulation 04.08. The grievance must be filed within 45 working days of the date on which the complaint received the ADA coordinator's written determination.


4. Confidentiality
The university cannot guarantee confidentiality. However, all the university employees are expected to make a reasonable effort to protect the legitimate privacy interests of involved persons.
5. Records Retention
The affirmative action officer and ADA coordinator will maintain appropriate records concerning complaints brought under the provisions of the informal and formal complaint processes. These dispute resolution records are considered confidential under federal law and will be maintained accordingly.
(05-04-99)


Drug-Free Workplace P04.02.040
The unlawful manufacture, distribution, dispensing, possession, or use by an employee of a controlled substance as defined in Schedules I through V of Section 202 of the Controlled Substances Act (21 U.S.C. 812), and as further defined by regulation at 21 C.F.R. 1308.11 - 1308.15 is prohibited in any workplace of the University. All employees will abide by the terms of this policy as a condition of their employment and shall notify the university of any criminal drug statute conviction for a violation occurring in the workplace no later than five working days after the conviction. Within 30 days of receiving the notice of conviction, the university will take appropriate personnel action as prescribed by regulation against the employee, up to and including termination, or require the employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state, or local health, law enforcement, or other appropriate agency.
The president will adopt and implement appropriate regulations to provide for publishing a statement to notify employees of this policy and to establish a drug-free awareness program to inform employees about: the dangers of drug abuse in the workplace; the university's policy of maintaining a drug-free workplace; any available drug counseling, rehabilitation, and employee assistance programs and the penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
Each employee will be provided a copy of this policy and accompanying regulation.
(06-20-97)


Employee Alcohol and Controlled Substances Testing P04.02.050
The president of the university will promulgate regulation to assure that the university complies with all applicable laws mandating alcohol and controlled substances testing of employees. Such regulation will at a minimum provide for the establishment of alcohol and controlled substances testing programs as required by law; the imposition of penalties on employees when tests exceed allowable levels; compliance with reporting and record keeping requirements; dissemination to affected employees of educational materials explaining the legal requirements, this policy and implementing regulation; and providing for appropriate staff training and employee assistance programs. Collective bargaining units representing affected university employees will be given written notice concerning the availability of this information.
All employees subject to laws mandating alcohol and controlled substances testing will comply with such laws, this policy and implementing regulation as a condition of their employment.
(06-20-97)

*******************************************************

3. Regents' PolicyPART X - Academic Policy CHAPTER VII
Research Scholarship and Creative Activity

Role of Research, Scholarship and Creative Activity P10.07.01
In recognition of the importance of research, scholarship, and creative activity as central to its mission, and as a service to the community, the University of Alaska will require a commitment to research, scholarship, or creative activity as appropriate to each faculty member's performance assignment.
The University of Alaska will foster an environment supportive of conducting research, scholarship, and creative activity and broadly disseminating its results in the tradition of academic freedom and its corresponding responsibilities. Publication and dissemination of the results of research projects will be accomplished without excessive or inappropriate prohibitions. Research techniques will not violate established professional ethics pertaining to the rights and welfare of human subjects or the infliction of pain or injury on animals.
The allocation of space, facilities, funds, and other resources for these activities will be based on the scholarly and educational merit of a proposal and the appropriateness of the work to the mission of the MAU where it will be conducted.
(04-19-96)


Sponsored Projects Submittal and Acceptance P10.07.02To strengthen its ties with government, industry, the community, and other academic institutions, the University of Alaska will engage in activities sponsored by external entities. Such sponsored research, scholarship or creative activity will be conducted in accordance with Regents' Policy, University Regulation, applicable laws and regulations, and MAU rules and procedures. Since sponsors may operate within a proprietary or classified environment while universities function on the principle of free inquiry and open expression, the President will promulgate University Regulations for collaborative work which facilitate beneficial arrangements with sponsors and protect the basic tenets of universities.
All proposed sponsored projects will be reviewed for constraints on disclosure and dissemination of the results of the work. After review of the proposed project and review of the constraints on disclosure and dissemination of the results of the work, the Chancellor or Chancellor's designee may approve entering into contractual agreements for classified or proprietary work under governmental or private sponsorship.
Faculty members and graduate students may conduct classified or proprietary research that has been approved by the Chancellor, but theses or dissertations that cannot be published or disseminated because of classified or proprietary research will not be accepted in satisfaction of degree requirements.
(04-19-96)


Security Clearances P10.07.03
Persons who must have access to classified information shall be required to obtain a security clearance prior to gaining access, and shall be required to maintain eligibility for security clearance throughout the time when access is needed. All persons not cleared shall be denied access to classified information.
04-19-96
Interaction Between University and Private Sector Research Interests P10.07.04
The University of Alaska and state and federal agencies may exercise their right to contract with each other for research and services that they are able to perform, whether or not the research or services could be performed by the private sector. The University of Alaska will support joint research and service efforts involving MAUs and the private sector when such efforts are of mutual benefit. Application for and implementation of grants and contracts which have the potential for competition for grants with the private sector will be made in accordance with Regents' Policy, University Regulation, and MAU rules and procedures on competition with the private sector.
(04-19-96)
Inventions, Patents, Copyrights, Trademarks and Other Intellectual Properties P10.07.05
In meeting the university's mission of teaching, research and public service, the Board of Regents recognizes and encourages the development of intellectual property of value to the public by university personnel and students.
The president of the university will adopt appropriate regulations to encourage and support intellectual activity by employees and students, and will detail rights and obligations concerning inventions, patents, copyrights, trademarks and other intellectual properties developed as a result of university support.
(06-20-97)
Misconduct in Research, Scholarly Work and Creative Activity in the University P10.07.06
The research, scholarship, and creative activity of the University of Alaska will be conducted in compliance with applicable laws and regulations. Instances of alleged or apparent misconduct in research, scholarly work, or creative activity will be promptly evaluated and resolved. Misconduct includes fabrication, falsification, plagiarism, or other practices that deviate from ethical standards and commonly accepted within the academic and scientific community for proposing, conducting, or reporting research, scholarly work, or creative activity. Unintentional error or good faith differences in analysis, interpretation, or judgments of data will not be considered to be instances of misconduct.
Appropriate disciplinary actions, including dismissal for cause, will be taken against any person who commits misconduct in research, scholarly work, or creative activity. An academic degree will be denied to someone who commits misconduct in scholarly work or creative activity if the misconduct contributed to that degree. When warranted, an earned degree will be revoked when misconduct is established after the award of the degree.
The President will promulgate regulations to provide an exclusive review process for investigating allegations of misconduct in research, scholarly work, or creative activities and for taking appropriate personnel action.
(04-19-96)
Human Subjects in Research P10.07.07
The University of Alaska will respect and protect the health, safety, and rights of individuals participating in research projects. All human subjects will be afforded the opportunity for informed consent prior to participating in University research. Actions of the University of Alaska will conform to applicable laws and regulations regarding research on human subjects. The President will promulgate University Regulation to implement this policy and ensure that appropriate procedures are undertaken to protect the rights and welfare of human subjects in research.

(04-19-96)

------------------------------------------------------------------------
PART X - Academic Regulation
CHAPTER VII
Research, Scholarship and Creative Activity

Role of Research, Scholarship and Creative R10.07.01
[RESERVED]
(02-16-96)
Sponsored Projects Submittal and Acceptance R10.07.02
[RESERVED]
(02-16-96)
Security Clearances R10.07.03
[RESERVED]
(02-16-96)
Interaction Between University and Private Sector Research Interests R10.07.04
[RESERVED]
(02-16-96)
Inventions, Patents, Copyrights, Trademarks and Other Intellectual Properties R10.07.05
A.
Introduction
This regulation is adopted to encourage and support creative activity by employees and students for the public benefit and shall be deemed to be a part of the conditions of employment of every employee of the University and a part of the condition of enrollment and attendance at the University for every student.

B.
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 of the University or such person as the President may designate.

2. Director of Intellectual Property and Licensing. The University President may appoint a Director of Intellectual Property and Licensing to serve as the President's designee in executing all activities pertaining to all University intellectual property. The Director of Intellectual Property and Licensing will be empowered, with the approval of the President, to:

a. Waive University rights to an invention or other intellectual properties;

b. Submit patent, copyright, trademark and license applications on behalf of the University and/or the author(s) or inventor(s);

c. Obtain copyrights, trademarks and patents on behalf of the University and/or the author(s) or inventor(s);

d. Grant licenses on behalf of the University;

e. Promote University intellectual property to Alaska firms to provide opportunities for Alaskan economic development;

f. Purchase licenses for non-University copyrighted material or patented inventions for University use and/or sub-license;

g. Grant use of copyrighted materials and patented inventions;

h. Execute on behalf of the University and/or the inventor(s) any agreements as may be appropriate;

i. Obtain and maintain requisite documentation as necessary in all matters concerning the management of intellectual properties;

j. Execute royalty division agreements with the inventor(s) or author(s) on behalf of the University.

k. Seek out and recommend appropriate patent management and license marketing organizations, recommend to the President working contracts between such organizations and the University and, after consultation with the Intellectual Property Committee, transmit reports of inventions(s) to such organizations;

l. Assure appropriate involvement of the inventor(s) in licensing and other commercial development activities;

m. Promote the marketing of University-trademarked products;

n. Receive, account for, and properly disperse all proceeds received pursuant to this policy;

o. Facilitate communication between all parties involved, and enforce the terms and conditions of these regulations; and

p. Prepare and submit an annual report on the University patent, copyright, trademark and license activities and finances to the President and the Chancellors and prepare such other reports and perform such other functions as may be requested by the President.


3. The President will appoint a University Intellectual Property Committee. The Committee will be composed of the University Director of Intellectual Property and Licensing and five members from the University faculty, and with the University General Counsel serving as an ex-officio member. The members will serve at the pleasure of the President, with the normal term of appointment to be staggered three-year terms. All members shall serve without additional compensation. The President will appoint a member to serve as Chair.

4. The University Intellectual Property Committee will have the following responsibilities:

a. To support, promote and encourage University personnel in the development of copyrightable and patentable intellectual properties, to promote the patenting of inventions and to encourage personnel in the creation of intellectual property.

b. To evaluate inventions and discoveries for patentability, and, where desirable, to consult such expertise as the Committee may require to examine the merits of each potentially patentable invention.

c. To recommend to the President or President's designee applications for patents.

d. To recommend to the President or President's designee the patent and related rights or equities held by the University of Alaska in an invention, and to review agreements with cooperating organiza-tions, with respect to patent rights or equities.

e. In the absence of overriding obligations to outside sponsors of research, recommend to the President or President's designee the release of patent rights to the inventor(s) in those circumstances where the University elects not to file a patent application and where no further research or development of that invention will be conducted involving University support or facilities. The University's decision not to elect to file a patent application will be made within a period not to exceed three months from the date of first submission of the inventor(s)' written statement of disclosure of an invention to the Intellectual Property Committee. In every instance in which the University determines not to file a patent application or to continue efforts at marketing, or fails to elect to do so within three months from the date of submission of the disclosure, all of the University's rights to the invention will be released to the inventor(s).

f. To recommend to the President or President's designee licenses and related agreements entered into with other parties concerning patent and related property rights held by the University.

g. To review the procedures for the collection of royalties and fees and their distribution, and make recommendations to the President or President's designee for modification of procedures.

h. To review situations of possible infringement of patent rights held by the University, and in association with the Office of the General Counsel, to recommend to the President or President's designee negotiations, litigation, and settlement of matters arising therefrom.

i. To assist University officers in negotiating with cooperating organizations concerning prospective rights to patentable inventions or discoveries made as a result of research carried out under grants, contracts or other agreements to be funded in whole or in part by such cooperating organizations, and assist University offices in negotiating institutional patent agreements or other agreements with Federal agencies or other organizations regarding the disposition of patent rights.

j. To recommend to the President or President's designee appropriate exemptions from the agreement to assign inventions and patents to the University.

k. To make such reports and recommendations to the University President as the University President may direct.


C. Inventions and Patents

1. he assignment of inventions and patents to the University, except for those resulting from permissible activities outside of University employment without the use of University facilities, shall be mandatory for all University personnel, for persons not employed by the University but who use University facilities in the development of intellectual property, and for those who receive grant or contract funds through the University. 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 Board of Regents' policies or University regulations.

2. University personnel and all those using University facilities in the development of intellectual property shall immediately and properly disclose the conception and/or reduction to practice of potentially patentable inventions. Such disclosure shall be made to the President or President's designee. Persons making disclosures shall 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.

3. 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 considera-tion 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
($)
Inventor's
Share
(%)
University
Share
(%)

First $10,000
100%
0%

> $10,000
50%
50%
Where there are two or more inventors, each inventor shall share equally in the inventor's share of net proceeds, unless all inventors previously have agreed in writing to a differing distribution of such share. Distribution of the inventor's share shall 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 shall be distributed as determined by the President.
University proceeds from University inventions shall be used for the support of University research and scholarly activities; however, exceptions may be granted by the President or President's designee.


D. Copyrights

1. The President or President's designee shall 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 shall be shared with the author as follows: 50% to the author, 50% to the University on all proceeds. Exceptions to the above may be granted by the President in consultation with the Intellectual Property Committee.

2. 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 use of University facilities, shall reside with the University, except as follows:

a. The University will not assert ownership of copy- rightable materials produced by faculty members as a part of their normal teaching and scholarly activities at the University and which do not result from project specifically funded in whole or in part by the University or by a sponsor of the University.

b. 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.

c. 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.


E. Trademarks

All trademarks are the exclusive property of the University. No steps shall 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 after consultation with the University Director of Intellectual Property and Licensing. 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 shall be shared as determined by the President after consultation with the Intellectual Property Committee.

F. Other Intellectual Property

Other forms of intellectual property, including those which may emerge in the future, shall be administered by the President or President's designee after consultation with the Intellectual Property Committee in accordance with the regulations governing the University's interests in inventions, patents, trademarks and copyrights.

G. 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.
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.
(06-20-97)


Misconduct in Research, Scholarly Work and Creative Activity in the University R10.07.06
Note: This regulation is still under examination for other possible changes. Should there be a real or perceived conflict between it and current Regents' Policy, Regents' Policy will prevail.


A. Definitions

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

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

3. "Misconduct" includes fabrication, falsification, plagiarism, or other practices that deviate from ethical standards and practices commonly accepted within the academic and scientific community for proposing, conducting, or reporting research, scholary work, or creative activity. Honest error or honest differences in analysis, interpretation or judgments of data will not be considered to be instances of misconduct. (06-21-96)

4. "University resources" include 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.


B. Inquiries

1. All allegations or other evidence of possible misconduct for the individual units shall be directed to the designated university officials for their respective units:

a. University of Alaska Anchorage - Provost;

b. University of Alaska Fairbanks - Provost;

c. University of Alaska Southeast - Dean of Academic Affairs and Graduate Studies; and

d. University of Alaska Statewide - Assistant Vice President for Academic Affairs.


2. Upon the receipt of an allegation or other evidence of possible misconduct, the designated university official receiving the matter shall initiate an inquiry by advising the researcher accused of misconduct of the allegation or evidence and by appointing not less than 3 nor more than 5 persons to conduct the inquiry. The persons appointed to the inquiry panel shall be generally knowledgeable in the subject matter of the type of research under review and shall be able to render an impartial judgment concerning the allegation.

3. The inquiry panel shall, to the maximum extent possible, protect the privacy of those who in good faith report apparent misconduct and afford the affected individual(s) confidential treatment. The affected individual(s) shall be advised of all meetings of the inquiry panel and shall be permitted to attend such meetings, be accompanied by an advisor of his or her choosing, and shall be offered an opportunity to comment on the evidence prior to the preparation of a report. An advisor shall be permitted to assist the affected individual(s); however, the advisor shall not be permitted to address the inquiry panel, unless, in the judgment of the panel, the opportunity of the affected individual(s) to present that person's case would be seriously affected by not permitting the advisor to speak.

4. Within 60 days of the initiation of the inquiry, unless circumstances warrant additional time, the inquiry panel shall prepare a written report stating what evidence was reviewed, summarizing relevant interviews and stating its conclusions. The individual(s) against whom the allegation was made shall be given a copy of the report and afforded not less than five (5) working days to respond. If the individual(s) responds in writing, that response shall be made a part of the record. If the inquiry exceeds 60 days, the report shall include an explanation for exceeding the 60-day period. The record of the inquiry shall be maintained by the designated university official for not less than three (3) years from its completion.

5. If the inquiry panel determines that there is no reasonable likelihood that misconduct has occurred and the designated university official concurs in the determination, the matter shall be dismissed in writing by the designated university official.


C. Investigations

1. If the designated university official determines that the findings of the inquiry panel provide sufficient basis to conclude that there is a reasonable likelihood that misconduct may have occurred, an investigation shall be undertaken within 30 days of the completion of the inquiry.

2. The designated university official shall initiate the investigation by advising the individual of the decision and by appointing not less than 5 nor more than 7 individuals possessing appropriate expertise to conduct an evaluation of the evidence. Persons possessing a real or apparent conflict of interest shall not serve. The affected individual(s) shall be afforded not less than three (3) days after the appointment of the investigation panel to seek the removal of any panel member because of an alleged conflict of interest. Such request for removal shall be submitted to the designated university official who shall decide whether removal is appropriate.

3. The investigation will normally include examination of all documentation, including, but not limited to, relevant research data and proposals, publications, correspondence and memoranda of telephone calls. Whenever possible, interviews shall be conducted of all individuals involved, either in making the allegation or against whom the allegation is made, as well as any other individual(s) who might have information regarding key aspects of the allegations. The investigation panel shall make complete summaries of the interviews, provide them to the interviewed party for comment or revision and include them as a part of the investigatory file. The affected individual(s) shall be advised of all meetings of the investigation panel and shall be permitted to attend such meetings, ask questions of persons being interviewed, present evidence and testimony on his or her own behalf, and be accompanied by an advisor of his or her choosing. An advisor shall be permitted to assist the affected individual(s); however, the advisor shall not be permitted to address the investigation panel, unless, in the judgment of the panel, the opportunity of the affected individual(s) to present that person's case would be seriously affected by not permitting the advisor to speak.

4. Within 100 days of the initiation of the investigation, the investigation panel shall prepare a written report stating how the investigation was conducted, how and from whom information was obtained relevant to the investigation, the findings, the basis for the findings, and the actual text or an accurate summary of the views of any individual found to have engaged in misconduct. This report shall include any comments of the affected individual(s) of the investigation concerning the report.

5. If the investigation panel determines that there is insufficient basis to determine by a preponderance of the evidence that misconduct has occurred, the matter shall be dismissed in writing by the designated university official. To the extent he or she can be identified, the person(s) who reported the allegation should be provided with the portions of the report that address his or her role and opinions in the investigation.

6. In the event no misconduct is found, the designated university official shall initiate efforts to restore the reputation of the person(s) alleged to have engaged in misconduct. Such efforts shall include, where applicable, notification to all inquiry and investigation panel members, all persons who were interviewed in any proceeding, any person who filed an allegation of misconduct and all other colleagues and journals whose research or publications were at issue in the course of the proceeding.

7. If the investigation panel determines that a preponderance of the evidence supports a conclusion that misconduct has occurred, the designated university official shall recommend to the appropriate chancellor or president an appropriate sanction or discipline, which may include termination. The affected individual(s) shall be advised of the recommendation and shall be afforded an opportunity to indicate to the chancellor or president in a meeting or in writing, or both, why the proposed action should not be taken. The chancellor or president shall then finally determine the appropriate sanction.


D. Notification of External Agencies

1. In cases where the alleged misconduct involves a research-related grant or cooperative agreement under the Public Health Services Act, the following notifications shall be made.

a. The designated university official shall notify the Office of Scientific Integrity in the Office of the Director of the National Institute of Health within 24 hours of obtaining any reasonable indication of a possible criminal violation.

b. The designated university official shall notify the Director of the Office of Scientific Integrity of the decision to initiate an investigation on or before the date the investigation begins. The notification should include the name of the person(s) against whom the allegation(s) has been made, the general nature of the allegation, and the Public Health Service application or grant number(s) involved.

c. The designated university official shall keep the Office of Scientific Integrity apprised of any developments during the course of the investigation which disclose facts that may affect current or potential Department of Health and Human Services funding for the individual(s) under investigation or that the Public Health Services needs to know to ensure appropriate use of federal funds and otherwise protect the public interest.

d. The designated university official shall notify the Office of Scientific Integrity if the university plans to terminate an inquiry or investigation for any reason without completing all relevant requirements set forth in 42 CFR 50.103(d) by submitting a report of such planned termination, including the reason for such termination.

e. The designated university official shall submit the final report of the investigation to the Office of Scientific Integrity within 120 days of its initiation. If the report cannot be completed within the time limit, the designated university official shall submit to the Office of Scientific Integrity a written request for an extension and an explanation for the delay that includes an interim report of the progress to date and an estimate of the date of completion of the report and other necessary steps to be taken.

f. The designated university official shall notify the Office of Scientific Integrity when it is determined that:

(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 person(s) making the allegation or of the individual(s) who is the subject of the allegation, as well as that person's co-investigators and associates, if any; or

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


2. In cases where the alleged misconduct involves awards from the National Science Foundation, the following notifications shall be made.

a. The designated university official shall notify the National Science Foundation immediate if an inquiry supports a formal investigation and shall keep the National Science Foundation informed during the investigation.

b. The designated university official shall notify the National Science Foundation when it is determined that:

(1) the seriousness of the apparent misconduct warrants notification;

(2) immediate health hazards are involved;

(3) the National Science Foundation's resources, reputation, or other interests need protecting;

(4) Federal action may be needed to protect the interests of a subject of the investigation or of others potentially affected; or

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


3. In cases where the alleged misconduct involves awards subject to notification requirements concerning misconduct related to that research, the notice requirements of the award shall be observed.


E. General Provisions

1. 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 president.

2. This Regulation constitutes the exclusive review process for matters of alleged misconduct in university research 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.

3. The designated university official shall take such administrative action during a pending inquiry and investigation as may be appropriate to protect university resources.

4. Any person 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 shall subject the person making the allegation to disciplinary action.
(01-01-90; 02-17-95; 06-21-96)


Human Subjects in Research R10.07.07
[RESERVED]

(02-19-96)

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