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Adjudications & appeals

  1. Within ten (10) business days of receiving the Hearing Panel’s final report, the Provost—after consultation with the Presiding Officer and the Chief Research Officer (CRO)—shall render a written decision on the Panel’s recommendations, including any sanctions or administrative actions.
  2. When imposing sanctions or penalties, the Provost may take into account any prior record of violations by the respondent(s) of university policies. Sanctions or penalties imposed by the Provost on the respondent(s) will be consistent with personnel policies of the University ofMassachusetts and with collective bargaining agreements in force at the time of the decision, i.e., with the Massachusetts Board of Regentsof Higher Education and the American Federation of Teachers, Local 1895, AFL- CIO, and Faculty Federation at the University of Massachusetts Dartmouth. If other bargaining unit personnel, not covered under the above agreement, are involved, then the terms of theprevailing agreement between the Massachusetts Board of Regents of Higher Education and the bargaining unit to which the employee belongs will prevail. Any employee, not a member of a bargaining unit, found to be directly involved in misconduct, shall be disciplined in a manner to be determined by the chancellor of the
  3. The sanctions or penalties imposed may include, but are not limited to:
    1. Letter of reprimand to be included in the personnel file(s) of the respondent(s);
    2. Removing the respondent(s) from the particular research or scholarly project;
    3. Enhanced monitoring of the future research and scholarly activities of the respondent(s);
    4. Probation, suspension, or debarment from engaging in research and scholarly activities;
    5. Withdrawing or correcting pending or published materials (e.g., abstracts, reports, papers, articles, manuscripts) that resulted fromthe research and scholarly activities in which misconduct was found;
    6. Restitution of misused funds to the agency sponsoring the research and scholarly activities in which misconduct was found; or
    7. Employment probation, demotion, suspension with or without pay, rank or salary reduction, and termination of employment.
  4. Sanctions or penalties are subject to additional review or grievance only as specified in collective bargaining agreements in force at the time of the decision. Sanctions or penalties imposed by the Provost will not affect, or be affected by, any sanctions or penalties that may be imposed upon the respondent(s) separately by appropriate federal or state agencies or an external funding agency.
  5. The Provost’s written decision, including explanations for any modifications to the Hearing Panel’s recommendations, shall be distributed to the complainant, the respondent, the CRO, and the Presiding Officer. The CRO shall also notify the respondent’s department chair or supervisor and the relevant dean.

Appeals to the Chancellor

  1. A respondent may appeal the Provost’s decision to the Chancellor on grounds that the decision was arbitrary, capricious, unsupported by the record, or procedurally flawed.
    b. To appeal, the respondent must submit a written petition to the Chancellor’s Office within ten (10) business days of receipt of the Provost’s decision, clearly stating the grounds for appeal and including any supporting documentation.
    c. The Chancellor (or a designated official who has not previously participated) shall serve as Appeal Officer and may uphold, modify, or overturn the Provost’s decision. The review is confined to the existing record; no new evidence will be admitted except at the Appeal Officer’s discretion for compelling reasons.
    d. The RIO shall issue a written decision within sixty (60) business days of receiving the appeal petition. One extension of up to thirty (30) business days may be granted, with written notice to the respondent.
    e. The Chancellor’s decision constitutes the University’s final administrative determination; no further internal appeals are permitted.
  2. The CRO shall, as required under existing federal and state law or policy (including the requirements of 42 CFR Part 93, if applicable) and as may be required by the grant or contract terms and conditions of a sponsoring agency, communicate appropriate information and written records and reports to any state or federal agencies who have a right to receive the report reflecting the Provost’s and, if applicable, the Chancellor’s final decisions.