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Hearing Panel

Composition

Panelist must possess relevant research expertise to evaluate the evidence, be impartial, and have no real, apparent, perceived, nor potential personal, professional, or financial conflicts of interests.The Hearing Panel will consist of five (5) members, with the option to expand to a maximum of nine (9).

  • The panel shall consist of four tenured faculty members; at least two members from the respondent’s college.
  • Two panelists nominated by the President of the Faculty Federation (or designee)
  • The remaining panelist nominated by the CRO, or designee;
  • Ex-officio experts may be appointed if disciplinary expertise is needed by the CRO.
  • The RIO (or Provost appointee) shall serve as the non-voting Presiding Officer to ensure procedural fairness. Where the Provost appoints a Presiding Officer, the RIO serves as an ex-officio non-voting member.

Duties and Powers of the Hearing Panel

Presiding Officer Responsibilities:

  • Maintain an orderly and fair presentation of all relevant evidence;
  • Ensure proceedings are recorded electronically, and then are captured in a summarized minutes;
  • Ensure that no individuals responsible for carrying out any part of the proceeding have any real, apparent, or potential personal, professional, orfinancial conflicts of interest with the complainant, respondent(s), or witnesses;
  • Ensure all aspects of the investigation are completed within 120 days of initiation, including: conducting the investigation, preparing the draftreport, providing an opportunity for respondent’s comment to draft report, and sending the final report per any applicable federal and state lawor policy concerning reporting requirements (42 CFR 93.315);
  • Ensure an impartial decision based on the evidence presented at the hearing is issued by the Hearing Panel no later than ten (10) business daysafter the conclusion of the hearing or, if written comments are submitted to the panel after the hearings conclude, within ten (10) business days after their submission. Any need for additional time to complete the hearings must be documented and approved in writing by the CRO.
  • May request that the CRO identify experts from outside the university community to serve as consultants in the panel’s review of materials,physical evidence, and the testimony of
  • May consult with and request representation from the OGC during the hearing.
  • Prior to the date of hearing, the Presiding Officer will meet with the complainant and respondent(s) to clarify the allegations and any issues, identify areas of agreement or disagreement, and streamline the hearing process. At this meeting, the presiding officer shall read the complaint and ask the respondent(s) either to admit or to challenge each and all allegation(s).

Hearing Panel Responsibilities:

  • Conduct a full, fair, and objective investigation, which ensures all the rights of all parties involved, to hear testimony and consider evidence related to the complaint, including grant or contract files, research data, reports, scholarly publications, manuscripts, correspondence, computer files, laboratory records, correspondence, memoranda, e-mail messages, and notes of telephone
  • Review previous research and scholarly activities of the affected personnel, or records of previous inquiries or investigations concerning allegations of misconduct by the respondent(s), if relevant to the investigation, including: grant files, research data, publications, lab records, correspondence, and electronic files.
  • Physical inspection/photography of laboratory spaces, clinical facilities, equipment, or materials, if necessary.
  • Review previous research and scholarly activities of the affected personnel, or records of previous inquiries or investigations concerning allegations of misconduct by the respondent(s), if relevant to the investigation.
  • Define issues of contention;
  • Receive, consider, and admit evidence pertinent to the complaint;
  • Transcribe and record for verification interviews of each respondent, complainant, and any other available person who has been reasonably identified as having information regarding any relevant aspects of the investigation, including witnesses identified by the respondent, and electronically record each interview, provide the recording or transcript to the interviewee for correction, and include the recording in the record of the investigation;
  • Add additional respondents, evidence, or testimony during the investigation if relevant and warranted, with proper documentation and notification to relevant parties.
  • Ensure that the complainant and respondent(s) have the opportunity to hear and respond orally and in writing to any testimony, to examineall evidence, present their claims orally or in writing, and to present evidence and query witnesses on the issues in contention;
  • Permit the complainant and respondent(s) to:
    • Review all testimony, examine evidence, respond, and question witnesses.
    • Be accompanied by up to two advisors, which may be attorneys, but may not address the panel.
    • Allow union-represented individuals to request union representation; otherwise, unions will be notified of the hearing and may send an observer.
    • Before the hearing, a brief opening statement from the complainant, followed by a brief opening statement from the respondent(s). The panel shall give the complainant and respondent(s) the opportunity to present all relevant evidence, beginning with the complainant. The complainant may present a brief concluding statement, followed by a brief concluding statement from the respondent(s).
    • Submit written comments within ten (10) business days after the conclusion of the hearing, provided that he or she has notified the Presiding Officer of their intention to submit written comments within two (2) business days after the conclusion of the hearing, which comments will be attached and included thereafter with the report. The Hearing Panel will consider such comments and, as appropriate, incorporate responses to such comments in the final written report of the panel.
    • Assert honest error as a defense during both inquiry and investigation.
  • Continue, adjourn, or reschedule hearings as needed. Continue the hearing to a subsequent date if necessary to permit the complainant and respondent(s) to produce additional evidence, witnesses, or other relevant materials; Change the date, time or place of the hearing on its own motion or for good reason shown by the complainant and respondent(s), and with due notice to all parties;
  • Request external experts for specialized review or legal counsel, as necessary.
  • Unless otherwise agreed by a majority of the Hearing Panel, a closed hearing will be convened within ten (10) business days after the HearingPanel has been empaneled by the CRO.
  • Record the hearing and maintain it electronically, all the records will become property of UMassD. Subsequent to the hearing, the complainant and respondent(s) may have supervised access to the records which must be authorized through the RIO and CRO.
  • Rule by a majority vote of its members on all questions of fact, interpretations of rules, regulations and policies, recommendations for sanctions or penalties, and any requests that are made during the hearing. During proceedings the Panel may deemed alternate routes appropriate to carry out the purpose of the
  • Complete all aspects of the investigation within 120 days of beginning it, including conducting the investigation, preparing the report offindings, providing the draft report for comment to respondent(s) and complainant, and sending the final report to ORI or other applicable agency. Any need for additional time to complete the investigation must be documented in writing and must be submitted by the HearingPanel for approval by the chief research officer. If unable to complete the investigation in 120 days, the chief research officer will ask ORI or other applicable agency for an extension in writing.

Note: The Hearing Panel shall pursue diligently all significant issues and leads discovered that are determined relevant to the investigation, including any evidence of additional instances of possible research misconduct, and continue the investigation to completion. The hearing, although formal, is not a court proceeding and the Hearing Panel shall not be bound by the procedures and rules of evidence of a court of law.