2.01 AFFIRMATIVE ACTION/EQUAL EMPLOYMENT OPPORTUNITY
Rev. 01/01/98

It is the policy of The University of Arizona to provide equal employment opportunity without regard to race, color, age, religion, sex, national origin, disability, veteran's status or sexual orientation.

The University of Arizona is also a federal government contractor and, as such, has certain obligations to take affirmative action to ensure that its policies and practices are, in fact, nondiscriminatory.

It is therefore our policy to take affirmative action to employ and advance in employment covered veterans, individuals with disabilities, women and minorities. Where required by law, The University of Arizona has established goals by which we may measure our progress in employing persons based on individual ability and merit and in the numbers reasonably expected based on their availability.

The University of Arizona makes good faith efforts to reach persons with disabilities, covered veterans, woman and minorities with information about our equal opportunity policy and, specifically, about employment opportunities at the University. This recruitment effort is particularly important for jobs where women or minorities are not currently participating in the numbers expected by their availability. It is the policy of the University of Arizona to invite all interested persons, both from outside the University and from within the University community, to apply for such opportunities.

As a matter of law and as a matter of University policy, selection for opportunities for hire, promotion, transfer or training, as well as decisions regarding demotion, termination, lay-off and other terms and conditions for employment shall occur without regard to race, color, sex, national original or other prohibited basis.

The University has formally assigned the responsibilities contained in its written Affirmative Action Plans for Women and Minorities and for individuals with Disabilities and Covered Veterans to each vice president, dean, director, department head, manager and supervisor and the University does insist that these employees adhere to the commitment made in each Affirmative Action Plan.

2.02 ALCOHOL ON UNIVERSITY PROPERTY
Rev. 3/1/2004

See the University policy on possession or consumption of alcohol as follows:

• The University of Arizona Alcohol Policy & Regulations, 1991; Revised March 1, 2004
  http://w3.arizona.edu/~policy/alcohol.shtml

2.03 DEATH AND INJURY REPORTS

All deaths and serious injuries occurring on University property should be reported immediately to the University Police Department. As soon as possible, deaths and serious injuries of employees should be reported to the Office of the President, and deaths and serious injuries of students should be reported to the Dean of Students Office. As soon as is practical, all such incidents must be reported to the Office of Risk Management and Safety, using a University accident report form.

Workers' compensation and other liability claims are filed through the Office of Risk Management and Safety. Benefits Services processes employees' health and life insurance claims, disability applications, and survivors' benefits claims.

2.04 SEEKING ADVANCED DEGREES

Administrators with the rank of dean or director, assistant or associate vice-president, vice-president, or president, together with and faculty members with the rank of assistant professor or higher, are not permitted to take advanced degrees at the University. Incoming instructors and lecturers may register for degrees at the University but must declare their intent and must start their graduate work within one year of their initial appointments. Instructors or lecturers may enroll in a graduate program only if the department in which they are employed is so remote from the department in which graduate work is proposed that there is no reasonable possibility for collusion or influence.

2.05 EDUCATIONAL RIGHTS AND PRIVACY ACT OF 1974
Rev. 9/2002

The Educational Rights and Privacy Act of 1974 (the Buckley Amendment) requires certain procedures to ensure the confidentiality of students' records, to provide rights of inspection, and to facilitate challenges of record information. University policy with regard to the Act is available online as follows:

• Compliance Manual, Family Educational Rights and Privacy Act of 1974
  http://www.registrar.arizona.edu/ferpa/

2.06 EMPLOYMENT POLICIES

2.06.01 Appointment Procedures
Each year, after the ABOR has approved the University's budget, the institution distributes notices of appointment and notices of reappointment to all appointed personnel. The notices should be signed and returned to the Department of Human Resources no later than fourteen days following the date on which the notice was posted if the appointment is for the fiscal year, and no later than thirty days following the date on which the notice was posted if the appointment is for the academic year. Academic-year appointments are effective on or about August 15, fiscal year appointments on July 1.

2.06.02 Labor Union Membership
ABOR does not oppose membership in labor organizations by employees, but views such membership as a right that in no way affects employment. However, as a public employer functioning under the provisions of Arizona Revised Statutes 15-1626, the ABOR does not have legal authority to recognize a labor organization as an employee's agent for purposes of collective bargaining.

2.06.03 Hours of Employment
Office hours of the University are from 8:00 a.m. to 5:00 p.m., Monday through Friday, holidays excluded. By virtue of their responsibilities, certain administrative units may have office hours and work weeks that differ from this schedule but, in no event, is an average full-time work week less than forty hours.

2.06.04 Employee Information: Provision of Name, Address, Highest Degree
All employees are requested to keep their local address and telephone number updated. New appointees arriving at a later date are asked to supply this information as soon as possible to their department. An employee who changes name, residence address, or telephone number should notify their department. This information should be forwarded to Systems Control on the Personnel Action form. Any employee who completes an advanced degree during the course of the year should notify the Department of Human Resources, as well as the dean of the college or other administrative head.

2.06.05 Absences from Duty
Absence from duty because of illness or accident must be reported to the department head or director, who in turn shall report it to the dean's office within three days. (See also Section 8.02, regarding health-related leaves, and Section 7.01, regarding professional conduct.) For information on sickness and accident benefits, see Chapter 10: Benefits.

2.06.06 Consulting or Other Outside Employment
Personnel on full-time appointment are compensated for full-time employment. Outside or dual employment that in any way interferes with the performance of an employee's contracted University duties and responsibilities is not permitted. However, ABOR recognizes the value of certain consulting and other external employment experiences to its personnel, to the University and to the community. Such activities may enhance the professional abilities of the individual and bring credit to both the employee and the University. Therefore, external employment which may render valuable service and provide an important on-going link between the University and business, industry, professional groups, governmental agencies, or other public or private organizations may be permitted, with the following stipulations:

1. It does not interfere in any way with the employee's regular work (the benefits to the employee's professional status is one factor determining whether outside employment interferes with or benefits University business);
2. Prior written approval is obtained from the department head, director, and dean;
3. The activity is fully consistent with all rules promulgated by the University and ABOR (See Section 2.06.08 regarding conflicts of interest and ABOR-PM 6-705 regarding outside employment); and
4. If University facilities are to be used, financial arrangements are made through the department head and dean.

Private consultant groups comprised of University personnel will not be permitted to carry out private research contracts or to render other professional services to outside individuals, corporations, or agencies.

Deans, directors, and department heads are responsible for maintaining written records of the external employment of their personnel. Each college shall formulate appropriate policies and procedures and make them generally known. Deans, directors, and other administrative heads shall submit annual written reports of the external employment activities of their personnel to the Provost no later than June 1.

The writing of books and production of other creative work is encouraged, but such work should not unduly interfere with assigned duties and responsibilities.

Full-time appointed personnel of the University may not be simultaneously employed as faculty members, professional staff, or administrators at any other postsecondary educational institution. Such employment is regarded as a prima facie conflict of interest. However, brief consultantships and collaborative research which meet the stipulations above may be permitted with other postsecondary institutions.

For policy on political service, see Section 2.10 and Section 8.04.04, regarding unpaid leaves of absence.

2.06.07 Supplemental Work for the University
Compensation in addition to the amount specified in the Notice of Appointment or Personnel Action/Notice of Reappointment is permitted only as follows.

A. Personnel on Academic Appointments

1. Supplemental compensation may be received for special administrative assignments by the President.
2. Subject to the policies of the sponsor and approval by the department head and dean, supplemental compensation from grant or contract funds may be received for services rendered.
3. Subject to approval by the department head and dean, supplemental compensation may also be received for the following activities:
   1. Instructional and other activities performed during the summer;
   2. Instruction in credit-bearing courses offered off-campus through the Extended University; and
   3. Instruction in noncredit conferences, institutes, and short courses.
4. Unless otherwise approved by the President, supplemental compensation received during any single fiscal year, from all sources, may not exceed one-third (3/9) of the academic year salary.

1. Subject to approval by the department head and dean, supplemental compensation may be received for the following activities:
   1. Instruction in credit-bearing courses offered off-campus through the Extended University; and
   2. Instruction in noncredit conferences, institutes, and short courses.
2. Unless otherwise approved by the President, supplemental compensation received from all sources during any fiscal year may not exceed one-twelfth (1/12) of the fiscal year salary.

C. Administrative Personnel on Fiscal-year Appointments
Administrative personnel on fiscal-year appointments shall not receive supplemental compensation in any amount from the University without the prior approval of the President.

Other than as specified above, there is no automatic provision for release time or supplemental compensation for work on University-generated contracts or projects that lie outside of an employee's contractual duties and responsibilities. In certain circumstances, supplemental consulting or service activities within the University may sufficiently enhance a person's regular teaching, research, or service responsibilities, in a manner considered beneficial to the institution, so as to justify the use of time and facilities otherwise committed to the University. Approval by the appropriate department head, dean or director must be obtained for each activity, and a record should be kept of time and resources used for the activity.

With one exception, supplemental compensation for work on sponsored projects during a period of appointment is not permitted for full-time personnel. On occasion, grant funds may provide a consulting fee to an employee not listed as investigator on the grant in return for special professional services or advice. Such payment requires the prior approval of the employee's department head and dean.

Part or all of the salary of an individual on an academic or fiscal appointment who is assigned to a sponsored project can be taken from a contract or grant. General operating (state) funds released by such adjustments are usually retained within the department.

2.06.08 Conflict of Interest
Rev. 9/2002

In addition, an employee may not participate in a commercial radio or television program in which there is a relationship between a product being advertised and the special field in which the employee is engaged at the University.

University employees who are working on government-supported research, advising on grants, or involved with government research activities in other ways, must avoid using information derived from their government-related work to help specific industrial concerns or enterprises in which they have an interest as consultants or otherwise. The applicable policy is the AAUP Policy Statement titled "On Preventing Conflicts of Interest in Government-Sponsored Research at Universities." To promote this policy, University employees should keep their department heads and deans informed of their government-related research activities, and seek the advice of the Vice President for Research as needed.

Further, it is a conflict of commitment when outside activities interfere with an employee's primary obligations to teaching, research or service. The University requires employees to file a disclosure of outside activities with their department head, dean or director, who is to ensure that there is no conflict of commitment. This administrator will conduct an annual review of all disclosures received, and will provide the Vice President for Research and the Provost with a written report on the potential for conflict.

University employees who believe that they or their unit is adversely affected by a colleague's outside activities may bring this matter to the attention of the University Committee on Ethics and Commitment by contacting the Faculty Center. The committee will consider such reports, contact the appropriate administrator(s) and investigate the matter. Any findings and recommendations will be provided to the employees and administrators involved, and to the Vice President for Research. The committee will report annually to the Faculty Senate concerning the number and nature of the cases investigated.

2.07 FACILITIES, EQUIPMENT, AND SUPPLIES

2.07.01 General Policies
Rev. 8/2000
The facilities, space, supplies, services and equipment owned by The University of Arizona are held for the purposes of teaching, research, and service. Other uses are sometimes permitted, on a noninterference basis with respect to these primary functions.

The unit administrator (department head, dean, director) is responsible for the proper use of facilities, space and equipment within guidelines set by higher administration. Arrangements for their use for technology transfer or related activities can be made by individual faculty or professional staff members upon approval by the unit administrator, the Vice President for Research, and the Provost. Such arrangements will be reviewed periodically by the Vice President for Research and by the Provost to ensure that they do not interfere with the primary purposes of the institution.

Any employee who perceives that such an arrangement is interfering with the University's teaching, research, or service functions may bring the matter to the attention of the University Committee on Ethics and Commitment (UCEC). UCEC will hear complaints and investigate the possible inappropriate use of space, equipment, or other facilities, and will contact the appropriate administrator(s) as an initial step in this process. The results of UCEC's investigations and its recommendations will be sent to the faculty member(s) involved, department heads and deans, and the Research Integrity Officer. UCEC will report annually to the Faculty Senate on the number and nature of the cases investigated.

2.07.02 Rooms: Privilege Cards, Keys, Scheduling, Help-dogs, Use Fees
Rev. 8/2000; 2/2006

Room Privilege Cards. Each academic year, the deans or their designated representatives issue room privilege cards to faculty, staff, and students authorizing their use of particular rooms. The use of an assigned room for a scheduled class does not require a room privilege card. Room privilege cards serve as identification cards, which the University police are authorized to check at any time. If University police are requested to open a room in any building, and the requestor does not have a key to the room, he or she must display a room privilege card showing authorization to use the room.

Keys. Keys are issued by Facilities Management. Guidelines and procedures for obtaining keys may be found online as follows:

• Key and Lock Services
  http://www.fm.arizona.edu/shops/lockshop/index.cfm

Classroom Scheduling. Scheduled classes use assigned rooms. To use rooms on the Main Campus for other purposes, individuals must obtain authorization from the Room and Course Scheduling Office, Office of Curriculum and Registration. Similar authorization to use Arizona Health Sciences Center rooms must be obtained from the Room Scheduling Office, Arizona Health Sciences Center. See online information as follows:

• Room and Course Scheduling Office, Main Campus
  http://www.registrar.arizona.edu/rooms.htm
• Room Scheduling Office, Arizona Health Sciences Center
  http://www.ahsc.arizona.edu/services/room_scheduling.html

Help-dogs. See Section 2.24 regarding animals in the workplace.

Use Fees. Appointed personnel and staff members are sometimes called upon to proctor or administer examinations or tests for organizations other than the University. When the examination is proctored or administered for another educational institution or for a nonprofit agency such as a national testing association or a governmental agency, no room rental fee will be charged. Regardless of whether the appointed personnel or staff member receives an honorarium, a rental fee must be charged for the use of campus facilities if the proctoring or administering of the test is done for a business, industry, or other for-profit organization. Arrangements for paying such fees must be made with the Room and Course Scheduling Office at the time the room is scheduled.

University facilities are primarily for instruction and research. When used for other purposes, the employee in charge assumes responsibility for proper supervision. The Room and Course Scheduling Office should be consulted about the availability of general equipment such as chairs, tables, lecterns, and blackboards. No equipment should be transferred from one room to another without authorization.

All repairs needed in classrooms, laboratories, offices, or other facilities of the University should be reported to the dean, director or other administrator in charge of the facility. If a request for alterations/renovation or painting of University facilities is approved by the dean, director, or other administrator, the request must be forwarded to Facilities Management for approval. The policy for alterations and renovations of University buildings may be found online as follows:

• Policy for Alterations and Renovations of University Buildings
  http://w3.arizona.edu/~policy/renovations.shtml

Questions about room and equipment policies should be referred to the University Teaching Center.

2.07.03 Equipment and Supplies: Purchases, Inventory, Surplus, Disposal, Loss Reports
Purchases of services, supplies, and capital equipment are accomplished by properly executed documents which have been processed through established channels. The University is not obligated to pay for such purchase unless they have been authorized by personnel designated by the Senior Vice President for Business Affairs. Requests for purchases must be initiated through the responsible department head. Materials and services obtained with University funds must not be used for purposes other than approved University educational, research, or administrative activities. Individuals will be required to reimburse the University for services and supplies used for personal purposes.

In compliance with State law, the University maintains inventory records of all capital equipment by means of assigned tag numbers. Lost and stolen items should be reported to the Campus Police and a loss report sent to the Office of Risk Management and Safety. Surplus equipment may be delivered to the Office of Materiel Management for resale to other departments or for public sale. Federal surplus equipment may be acquired from the Office of Materiel Management for only a small handling charge.

Department heads are responsible for the care and custody of capital equipment under their control. University property must not be removed from University control without prior approval by administrative personnel, authorized by the Senior Vice President for Business Affairs. Complete information about the acquisition and disposal of items may be obtained from the Property Office of Materiel Management.

Whenever it is learned that University property is missing or damaged by vandals, the University Police Department at the Main Campus or at the Arizona Health Sciences Center, as appropriate, should be notified immediately. Additionally, a Loss Report form should be completed and forwarded to the Office of Risk Management and Safety. To avoid loss, personnel should lock rooms when they are unoccupied.

2.07.04 Approved Use of University Computing and Communication Equipment
7/2003
Approved by President Likins July 14, 2003; effective July 14, 2003

Under Arizona law, A.R.S. § 38-448, a university employee may not use university owned or leased computer equipment "to access, download, print or store any information infrastructure files or services that depict nudity, sexual activity, sexual excitement or sexual acts" unless the employee has written approval from the "agency head."

The President has authorized the following classes of individuals to access, download, print and store material that would otherwise be prohibited by this statute. This approval is limited to purposes related to academic or employment duties at the University of Arizona. Uses outside of this scope may result in sanctions.

The following classes of individuals may access otherwise prohibited material, but only to the extent that the access is related to their academic appointment or job duties at the University of Arizona:

• All employees with academic appointments and graduate research and teaching assistants;
• All employees whose job duties include the provision of physical or mental health services;
• All employees whose job duties include the monitoring, management, or servicing of University of Arizona computing or communication systems or devices;
• All employees whose job duties include the analysis of legal issues or the investigation of allegations of misconduct; and
• All employees of campus museums, media services, libraries, and UAPresents.

In addition, an employee authorized under this document may authorize employees he or she directly supervises to access these materials for a purpose related to the authorized employee's academic appointment or job duties.

Employees who are not covered by this approval may seek approval from the head of their academic or administrative unit for activities related to their job duties, and such approval must be on the form approved by completing an "Approval Form for Access, Download, Print and Storage of Materials Otherwise Prohibited by A.R.S. § 38-448."

• Approval Form
  http://w3.arizona.edu/ ~policy/approval_form.pdf

I. Introduction
The University of Arizona provides a wide variety of computing and networking resources to all qualified members of the university community. Access to computers, computing systems and networks owned by The University of Arizona is a privilege which imposes certain responsibilities and obligations and which is granted subject to university policies and codes, and local, state and federal laws. All users of these resources must comply with specific policies and guidelines governing their use, and act responsibly while using shared computing and network resources including wireless. The purpose of this policy is to promote the efficient, ethical and lawful use of the University of Arizona's computer and network resources.

III. Policy Statement
Individuals using computer resources belonging to The University of Arizona must act in a responsible manner, in compliance with law and University policies, and with respect for the rights of others using a shared resource. The right of free expression and academic inquiry is tempered by the rights of others to privacy, freedom from intimidation or harassment, protection of intellectual property, ownership of data, and security of information.

Violations of this polel Policy Manual, University Handbook for Appointed Personnel, or other applicable policy or law. This is not a comprehensive list of applicable University policies. In the event of a conflict between policies, the more restrictive use policy shall govern.

See the following r Electronic Privacy Statement

Users who misuse University computing and network resources or who fail to comply with the University's written usage policies, regulations and guidelines are subject to one or more of the following consequences:

• Temporary deactivation of computer/network access
• Permanent deactivation of computer/network access
• Disciplinary actions taken by the department or Dean of Students Office up to and including expulsion from school or termination of employment
• Subpoena of data files
• Legal prosecution under applicable Federal and State laws
• Possible penalties under the law, including fines and imprisonment

Violations, complaints and questions should be reported to the University Information Security Office by email (iso@arizona.edu) or call 621-0100.

2.07.06 Misuse of University Assets at The University of Arizona
3/29/2004

I. Policy Statement
The University of Arizona is responsible for the appropriate use of its assets. In substantiated cases of misuse of those assets, it is the policy of the University to obtain full restitution, to impose administrative sanctions, and to refer violations of criminal statutes for prosecution.

II. Purpose
This policy is adopted for the purpose of

1. Defining, and delineating responsibilities relating to, the misuse of University assets.
2. Establishing protocols for reporting and handling of incidents involving alleged or actual misuse of University assets.
3. Providing guidelines for corrective actions when the investigations confirm that misuse has occurred, or is likely to occur.
4. Misuse of University assets is a violation of the Arizona Board of Regents (ABOR), University Handbook for Appointed Personnel (UHAP), Classified Staff Human Resources Policy (CSHP), the Student Code of Conduct, and other policies of the University. Therefore, this policy is in addition to, but does not substitute for other laws and policies governing employees and students at the University, whether currently in effect or whether established after the adoption of this policy. Employees and students are required to be familiar with all policies governing the appropriate use of University assets.
5. Disciplinary action against employees or students for misuse of University assets will be pursued under one or more of those policies, using the procedure applicable to that category of employees or students in connection with those policies.

III. Definitions
Unless otherwise stated, language in this policy is to be given its ordinary meaning consistent with the remedial purpose of this policy. Examples are given by way of illustration only, and specially defined terms are not limited to the examples given. As used in this policy:

1. "Employee" means an individual who is employed by the Arizona Board of Regents under classifications "faculty," "classified staff," or "academic professional," "administrative professional," or "service professional", as those terms are defined in the University Handbook for Appointed Personnel, Arizona Board of Regents' Policy Manual, and Classified Staff Employee Handbook, student employees who have authority to impose discipline on other students, graduate students with supervisory or teaching responsibilities, including instructors, whether the individual is paid or unpaid, or any individual who represents or acts on behalf of the University and whose actions may bind the University. For purposes of this policy, "employee" shall include all agents of the University.
2. "University assets" are items of tangible or intangible property owned by, leased to, licensed to, or in the possession of the University of Arizona. Examples include name, money, land, buildings, improvements, proprietary information, inventory, equipment, accounts receivable, supplies, library volumes, museum pieces, art objects, furniture, materials, intellectual property, campus electronic information resources or internet domain (arizona.edu) software, tools, vehicles, and paid employee time. University assets also include items, which should have rightfully become an asset of the University, but did not due to misuse by an employee. An example is a patent that should have been assigned by an employee but was not.
3. "Misuse" is the illegal use of University assets and/or uses that are prohibited under this or another University policy, which result in loss, damage or financial liability to the University or gain to the individual or a third party and no benefit to the University. Examples include but are not limited to using University assets for personal purposes, fraud, theft or embezzlement, which violate provisions of criminal law of the State of Arizona; acts (such as disclosure of confidential, proprietary or privileged information) that reduce the value of University assets or expose the University to legal or financial penalties, or are conflicts of interest that benefit only the employee or a third party.
4. "Corrective Action Plan" (CAP) means a written plan developed by the management of the affected unit following a determination of misuse (or risk of misuse) of University assets, in order to correct and protect the University from future losses or potential losses.

1. Employees and students may not misuse University assets.
2. Employees and students have a responsibility to report activities or significant incidents that appear to be misuse of University assets. Employees may report such suspected misuse to any manager or supervisor in the chain of authority (director, department/unit head, dean, or appropriate vice president) or may make a report directly to the Senior Vice President for Business Affairs or Executive Vice President. Employees need not report misuse to their direct supervisors, but may make a report of alleged misuse to any supervisor, vice president or Executive Vice President or to the Senior VP for Business Affairs. Good faith reports of misuse of University assets are subject to the protection of the ABOR policy against whistle blowing as outlined in ABOR Policy Manual, as amended. Reporters of violations of this policy should be aware that some misuses of University assets are de minimus, and do not rise to the level to which a University administrator, auditor or the University of Arizona Police Department (UAPD) would consider the use a violation of this policy or of criminal law. However, if, combined with other incidents of reported misuse, the incident is not de minimus, the University supervisor, auditor or UAPD may consider the incident a significant misuse of University assets, warranting an investigation.
3. Supervisors receiving reports of suspected misuse may take action to satisfy themselves that there is a reasonable basis to suspect that misuse has occurred prior to reporting to their immediate superior or supervisor in the chain of authority. However, before doing so, supervisors should consult with a representative from the Human Resources Department Consulting Services, the Chief of UAPD, the Chief Auditor or the Office of the General Counsel, whose expertise in these matters may provide helpful insights to confirm the appropriateness of a preliminary evaluation or indicate the need for additional assistance.
4. Employees and/or students involved in any aspect of a preliminary evaluation by the administrator, supervisor or manager, or an investigation under this policy, are responsible for keeping all information regarding the alleged misuse confidential.

V. Responsibilities of Administrators (Vice Presidents, Deans, Department/Unit Heads/Directors)

1. The Senior Vice President for Business Affairs has overall responsibility for matters concerning known or suspected misuse of University assets. If an allegation of misuse is made against a student, the Dean of Students shall have such responsibility. Attendant to this task is the responsibility for
   1. Ensuring that an investigation is conducted;
   2. Designating, in any case to which this policy applies, a person who is responsible for undertaking steps required under this policy;
   3. Ensuring preparation and implementation of a corrective action plan when misuse of assets is confirmed;
   4. Coordinating the investigative process with the Executive VP and Provost and other senior University officials;
   5. Notifying and updating the University President and General Counsel of confirmed misuse of assets; and
   6. Effecting appropriate reporting to ABOR.
2. Receiving reports of alleged misuse of University assets.
3. Exercising good judgment and carefully evaluating the alleged infraction to determine whether it is de minimus or whether it does not rise to the level to which a University supervisor, dean, director or department head would consider reporting the infraction to the next level.
4. Consulting with appropriate administrator(s) to determine who in the chain of authority should be advised of the reported misconduct. In the event that a report of significant misuse of University assets has occurred, the administrator to whom a report has been made shall report the misuse to the Senior Vice President of Business Affairs (SVPBA).
5. The responsibilities set forth in paragraph IV, above.
6. Ensuring that matters pertaining to reports of investigation of misuse of University assets are treated as confidential, pending the completion of an audit or investigation.
7. Where an incident of misuse is confirmed following an investigation:
   1. Administering appropriate disciplinary action in accordance with ABOR and University policies and procedures in effect at that time;
   2. Taking steps to recover assets;
   3. Taking steps to prevent recurrence; and
   4. Developing a Corrective Action Plan, which shall be reviewed and approved by an immediate supervisor.
8. When a person who is suspected or accused of misuse of University assets is the head of a department/unit/agency, consideration should be given to having all unit management responsibilities of that individual performed by the next higher authority.
9. Ensuring compliance with the provisions of this policy.
10. Seeking advice from the UA Attorney's office regarding when the individual who is suspected of misuse of assets should be informed of his or her legal rights, including the right to retain counsel.

1. ABOR Policy regarding Protection of Employees from Reprisal for Whistleblowing and University policies addressing the same;
2. Conflict of Interest and Commitment Policy;
3. Classified Staff Policy and Procedures Manual (CSPM);
4. University Handbook for Appointed Personnel (UHAP);
5. ABOR and UA Intellectual Property policies;
6. FRS Policy 9.18, Small Dollar/Direct Purchase Procedures;
7. FRS Policy 15, Security, Theft Control, Lost and Damage;
8. University of Arizona Acceptable Use of Computers and Network, if applicable;
9. University of Arizona Codes of Conduct;
10. Provisions of Arizona statutory law; and
11. Any other policies currently in effect or effected subsequent to the adoption of this policy, which address misuse of University assets.

VII. Investigative Process

1. General
   As set forth in paragraph IV (B) above, employees and students are expected to report incidents involving significant misuse of University assets.
2. Confidentiality
   
   1. Subject to applicable Arizona law, matters pertaining to reports and investigations of misuse of University assets shall be treated as confidential pending the completion of any audit or investigation. University employees responsible for conducting any phase of a confidential investigation shall inform individuals contacted that their identities, and the information they provide, will remain confidential to the extent permitted by law.
3. Investigation
   1. The Internal Audit Department may conduct an investigation of the available evidence and related circumstances to determine whether a thorough or more extensive audit is necessary. If a more thorough or extensive audit is deemed necessary the SVPBA or his/her designee will determine who should conduct that audit.
   2. If, after consulting with General Counsel, it appears to the Senior Vice President for Business Affairs (SVPBA) or the Internal Audit Department that the matter may involve criminal misconduct, s/he shall request an investigation by UAPD.
   3. The Senior Vice President for Business Affairs (SVPBA), UAPD, Internal Audit Department, Deans, Directors and department heads have authority to take immediate action as they determine necessary, to secure and protect University assets and any pertinent accounting and administrative records from misuse, destruction or alteration.
   4. An individual who is accused of misuse or misappropriation of University assets may, at his or her expense, employ and be accompanied by legal counsel during any interviews or meetings with UAPD, internal auditors or others charged by the University to investigate this matter. Should disciplinary action be initiated upon a finding of wrongdoing, the individual shall be entitled to the protections provided under applicable personnel rules of the University and ABOR policies.
   5. If permitted by applicable policies and procedures of the University of Arizona, an individual who is subject to an investigation for misuse of University assets may be placed on administrative suspension with or without pay while an investigation into wrongdoing is pending. Leave with pay, if appropriate, may be imposed by any supervisor in the chain of authority, and shall be imposed in accordance with applicable University and ABOR policies, following consultation with the Human Resources Department, the Provost and the Senior Vice President for Business Affairs.
   6. All investigations and every step thereof shall be conducted consistent with the constitutional rights of those persons being investigated.
4. Post-Investigation Actions
   1. The officials conducting the investigation shall make a written report to the SVPBA, subject to their right to expand the scope of their investigation to determine the extent of the misuse, to identify individuals responsible for the improprieties, or to include a review of internal controls of the area in which the misuse occurred.
   2. If the individuals or offices conducting the investigation determine that no further investigation is required, then they shall complete their report to the SVPBA.
   3. If, after consultation with the General Counsel, it appears from the investigation that the individual under investigation has committed a criminal act in violation of Arizona or federal law, the SVPBA shall advise the UAPD of this conclusion if the UAPD previously did not investigate the matter as a violation of criminal law, and thereafter, the UAPD, shall notify and coordinate further actions with the relevant prosecuting agency.
5. After receipt of a written final investigative report, the SVPBA will inform the Executive Vice President and Provost of the final disposition of the investigation.
6. The Executive Vice President and Provost and SVPBA shall inform appropriate subordinate supervisors, within their respective areas of responsibility, of the investigative results which affect their units, and direct, if appropriate, that they initiate disciplinary action, as set forth below in paragraph VIII.

1. ABOR Policy Manual http://www.abor.asu.edu/1_the_regents/policymanual/index.html
2. University Handbook for Appointed Personnel http://uhap.web.arizona.edu
3. Classified Staff Human Resources Policy Manual http://www.hr.arizona.edu/09_rel/clsstaffmanual.php
4. Use of University Property http://www.hr.arizona.edu/09_rel/policies/pp414.php
5. Department of Risk Management and Safety Property Loss Claims Procedures http://fp.arizona.edu/riskmgmt/property_claims.htm
6. Student Code of Conduct and Disciplinary Procedures http://w3.arizona.edu/~studpubs/policies/studcofc.htm
7. Campus Use Policy http://w3.arizona.edu/~policy/campus-use.shtml
8. Conflict of Interest Policy http://vpr2.admin.arizona.edu/rie/conflict_of_interest.htm
9. ABOR Policy Regarding Protection of Employees from Reprisal for Whistleblowing http://www.abor.asu.edu/1_the_regents/policymanual/chap6/6-914.pdf

2.08 INTERNATIONAL AGREEMENTS AND GRANT OPPORTUNITIES
Rev. 8/2000

In order that appointed personnel may compete for contracts, agreements, or grants with other countries, the Vice President for Research shall publish opportunities in Research Review and on the Research Support Office web site. Each announcement shall include the foreign country and agency involved, the University administrative unit in charge of the project, and the subject area. No hiring, contracting for, or assigning of personnel to a project, other than the project's principal or co-principal investigators, may be done for at least thirty (30) days after publication of such information.

If circumstances do not permit the use of the standard notification procedures described above, such as when a project must be undertaken within one month of the initial contact by a foreign agency, the University administrators in charge of the relevant unit(s) shall make a good faith effort to inform personnel who might be interested in such a project.

The Research Support Office and the Office of the Vice President for Research maintain a database of persons who have expressed an interest in given activities and furnish to each of these persons announcements of subsequent opportunities.

University Equal Employment Opportunity/Affirmative Action/ADA policy governs employment practices in the administration of agreements in other countries. The University of Arizona Advisory Committee on Affirmative Action has jurisdiction over hiring for such contracts, agreements, and grants involving the University and parties in other countries. At the time of signing of an agreement, contract, or grant document with a foreign agency, whether governmental or private, all signatories or their representatives must be given a copy of the EEO/AA ADA statement. (See Section 2.01.) Departments, schools, colleges, or other units must monitor compliance and report any violations to the Affirmative Action Advisory Committee.

2.09 GIFTS TO THE UNIVERSITY: SOLICITATION AND RECEIPT
Rev. 9/2002

All gifts of any kind to an administrative unit or to individuals in their capacity as University employees should be placed in University accounts or inventories. Instructions for processing gifts are contained in the Financial Records System (FRS) Departmental Manual. The University gift policy is available online as follows:

• FRS Departmental Manual, 8.12: Gifts
  http://fso.arizona.edu/fso/deptman/8/812gifts.html

Further information can be obtained from your unit Development Officer or the Central Gift Office, University of Arizona Foundation.

2.10 POLITICAL ACTIVITY

University of Arizona employees may participate in political activity outside the classroom as citizens, but must not allow their interest in a particular party candidate or political issue to affect the objectivity of their teaching or the performance of any other assigned duties and responsibilities.

Employees of The University of Arizona shall not use, directly or by implication, the name of the University or their affiliation with the University in the endorsement of political candidates, initiatives, referendums, or in supporting or opposing a position on other political issues.

Appointed personnel who desire to campaign for public office or who are elected to public office should request an appropriate full or partial leave of absence (See Section 8.04.04). The President shall determine the extent of the leave for a given case after review of recommendations by the appropriate dean or director and vice president.

2.11 PRINTED MATERIALS

2.11.01 Faculty-authored Books and Materials Assigned in Classes
There is no prohibition against the assignment of a textbook by its authors for their classes, nor against the collection of related royalties, provided the textbook has been printed and copyrighted by a recognized publishing house at its own expense, has been made available for open sale, and has been approved for such use by the dean of the college concerned. In cases where deans teach and assign the above type materials, approval shall be obtained from the Provost.

2.11.02 Sale and Distribution of Books and Materials to Students
Educational material to be copied, in any way, and sold for use in class or laboratory work at The University of Arizona is available for sale through the Student Union Fast Copy Center, as well as outside vendors, primarily to University students enrolled in the courses in which it is to be used. Neither appointed personnel nor staff members may have any financial interest in or receive compensation from the sale of such material.

Neither appointed personnel nor staff members may sell materials, books, or publications of any kind directly to students. Cooperative purchases of magazines or other literature should be handled by the students involved or by the U of A Bookstore.

2.11.03 Publications Issued by Colleges and Departments
All printed publications originating from the campus and placed in general circulation are official representations of the University, regardless of funding. Therefore, departmental and college publishing procedures must be followed. Individuals may not arrange so-called private printing for University-funded publications. All printed materials originating from campus and dealing with University curriculum and academic matters must be approved by the Director of Curriculum and Registration before typesetting is begun.

2.11.04 Reproduction of Copyrighted Material
Rev. 9/2002
Reproduction of copyrighted material for any use, including classroom use, must conform to federal law. The University advises personnel wishing to reproduce copyrighted material to obtain written permission from the copyright holder. Permission without fee is commonly granted when the proposed use is educational and non-profit.

The Main Library and Law Library maintain materials on copyright law. Also, consult "Copyright Basics" available online from the Office of Technology Transfer as follows:

• Copyright Basics
  http://www.ott.arizona.edu/copybas.htm

2.12 PUBLIC SERVICE BY EMPLOYEES

Public service to the State is one of the basic obligations of a land-grant institution such as The University of Arizona (See Chapter 1). In keeping with this obligation, the University therefore expends funds for public service activities and encourages the participation of its appointed personnel.

Public service is one element considered in promotion, tenure, continuing status, and merit raise decisions. Individuals engaged in time-demanding public service functions may be granted reductions in other assigned duties.

Departments, colleges, and ultimately the University must make annual accountability reports that reflect public service activity. Therefore, individuals should report each public service contribution to their superiors and keep their own records of all such activity.

2.13 RESEARCH-RELATED POLICIES
Rev. 8/2000

2.13.01 General
Research proposals should be routed: (1) through department heads and deans, who are informed on University policies regarding such proposals and who may allocate space and workloads in accordance with research projects; and (2) through Sponsored Projects Services, which must approve proposal budgets. Sponsored Projects Services also must sign all research proposals on behalf of the Vice President for Research.

Applications for special grants for summer and academic-year institutes and for other instructional and facility grants also should be made through the Office of the Vice President for Research.

The following procedures apply in all research involving outside funding.

1. The Vice President for Research has delegated signature authority to Sponsored Projects Services for all proposals for outside funding.
2. Any communication with a granting or contracting agency concerning a change in existing research support, such as a request for additional funds or an extension of support time (with or without additional funds), must bear the signature of Sponsored Projects Services.
3. A request for a change in category (use) of existing support funds, such as using "supplies" money for additional "personnel," can often be handled within the University. The principal investigator should contact Sponsored Projects Services to learn if the current policy of the granting or contracting agency requires that the agency approve the change, or merely be notified. Whatever the sponsoring agency's requirement, Sponsored Projects Services must be apprised of such changes in category.

2.13.02 Research Involving Human Subjects
Rev. 9/2002; 5/2006
The University is required to safeguard the rights and welfare of human subjects involved in research. Any project originated at The University of Arizona, University Medical Center, University Physicians, or the affiliated Veterans Administration Hospital which uses human subjects must be submitted for review and approval by the University's Human Subjects Protection Program (HSPP) and the Institutional Review Board (IRB).

In compliance with federal regulations, the review shall ensure: (1) that the rights and welfare of the subjects involved are adequately protected; (2) that the risks to an individual (whether physical, psychological, or social) in any activity which goes beyond the application of accepted procedures are outweighed by potential benefits; (3) that subject selection is fair; and (4) that legal, informed consent of participants is obtained by methods that are appropriate and adequate. Approval of the IRB or HSPP must be obtained before the project is initiated.

Forms and instructions for securing approval for research involving human subjects and information about the Human Subjects Protection Program are available online as follows:

• Human Subjects Protection Program
  http://www.irb.arizona.edu/index.html

Principal investigators who plan to use animal subjects as part of their research should contact a member of the Institutional Animal Care and Use Committee or a University laboratory animal veterinarian early in the project design stage to determine the appropriateness of specific species as models for the research and appropriate procedures to be used on the animals in the course of the research.

2.13.04 Research Involving Questionnaires and Surveys
All questionnaires and surveys involving possible risk to respondents must be reviewed and approved by the Human Subjects Committee (See Section 2.13.02).

University researchers should notify their department heads and deans of questionnaires and surveys being distributed off-campus. Not infrequently the University, usually the President's Office, receives inquiries concerning the legitimacy and appropriateness of such material, and will be in a better position to explain the research and its legitimacy if information is provided by the researcher in advance.

2.13.05 Secret (Classified) Research
Recognizing that the values of openness in research and of academic freedom sometimes conflict, the Faculty Senate has established the following policy on secret or classified research.

1. All accepted projects will conform to Arizona and federal statutes.
2. No secret thesis or dissertation shall be accepted as the basis for any degree, and no academic credit shall be awarded for secret research.
3. No secret research or materials shall be considered in connection with appointments, reappointments, tenure, promotions, or merit pay raises.
4. Information will be made publicly available about all research awards, including the amount of funding, the time period, the title, the nature of the project, and the sponsor.
5. In rare instances, the goals and objectives of the University may best be served by waiving parts of this policy. In such instances, and with due consideration to the fact that they must be exceptional, parts of provision 4 may be waived by the Vice President for Research, after consultation with the Faculty Senate Research Policy Committee.

For purposes of this policy, secret material is defined as any material (a) which is restricted from public access, or (b) which cannot be submitted for publication in the open literature.

2.13.06 Ownership of Scientific Collections and Research Materials
Investigators who use their own funds and their own time to develop collections retain the rights to those collections. All specimens and related research materials collected or acquired by students, staff, and appointed personnel with the use of University funds or services automatically become the property of the University, but the University reserves the right to reject such materials. By accepting a collection, the University assumes responsibility for its curatorial care and storage. Exceptions to these policies are best agreed in writing between the investigator and the appropriate University officer, usually the Vice President for Research, before work is begun.

Investigators who leave the University may request permission to remove all or part of a University collection they have developed. Such requests should be made to the appropriate department head, dean, and the Vice President for Research.

2.13.07 Patents
Rev. 7/2001; 9/2002
The University's rights and procedures regarding patented and patentable discoveries are delineated online as follows:

• Arizona Board of Regents' Intellectual Property Policy 6-908
  http://www.abor.asu.edu/1_the_regents/policymanual/chap6/chap6_part2.htm#6-908

• The University of Arizona Interim Intellectual Property Policy
  http://vpr2.admin.arizona.edu/Interim_IPP/IP-UA-interim.pdf

2.13.08 Right to Income from Publications
The University of Arizona encourages and aids appointed personnel members in publishing textbooks and other professional works. The University does not claim any portion of the royalties accruing from these publications when the publisher is a publishing house of recognized standing and has secured copyright.

2.13.09 POLICY AND PROCEDURES FOR INVESTIGATIONS OF MISCONDUCT IN SCHOLARLY, CREATIVE, AND RESEARCH ACTIVITIES AT THE UNIVERISTY OF ARIZONA

Revised version approved by the Faculty Senate, April 2, 2007

 I. INTRODUCTION

A community of scholars and researchers has an obligation to itself and to the general public to exercise integrity and ethical behavior in scholarly and research activities. The primary responsibility for scholarly and research integrity rests with the individuals who perform research

and undertake scholarship and other creative endeavors at The University of Arizona (hereafter “University”). Therefore, to ensure its obligations to the public, to the community of researchers and scholars at the University, and to the state and federal agencies involved in supporting, monitoring and partnering with the academic community, the University promulgates this Policy.

A. SCOPE

This Policy applies to all scholarship, research, and creative endeavors conducted at or for the University, whether by faculty, scientists, trainees, technicians, staff members, students, fellows, visiting scholars, guest researchers, consultants, or collaborators, and whether or not the research is funded. Even if the individual against whom an allegation of misconduct in scholarly, creative and research activities (hereafter simply “misconduct”) is made ceases to be engaged in services or responsibilities at or for the University, this Policy may nevertheless apply to determine whether the individual engaged in misconduct while at the University. If allegations are made that involve scholarship, research, and creative endeavors conducted prior to commencing services at or for the University, the Policy may likewise be used to determine whether the individual against whom an allegation is made has committed prior misconduct that may warrant any sanction or alteration in the individual’s status at the University.

B. GUIDING PRINCIPLES AND PROCEDURAL GUIDELINES

1. Researchers and scholars will maintain and further the highest standards of ethical practices in scholarship, research and creative endeavors. Individuals will exercise integrity in conducting research, recording and reporting results; they will take care in the execution of scholarship and research, and promote fairness in the recognition of the work of others.

2. Researchers and scholars will be responsible for the integrity of their own scholarship and research, and for the integrity of the scholarship and research conducted by those they supervise.

3. Researchers and scholars will keep timely, complete, thorough, and verifiable records, and will preserve those records as required by law and/or policy, acknowledging that all records of research conducted at the University remain the property of the University.

4. Anyone who witnesses or has reason to believe misconduct has occurred will report the alleged misconduct to the University Research Integrity Officer (hereafter “ RIO”). If an individual is unsure whether a suspected incident falls within the definition of misconduct as defined in paragraph C.4. below, then s/he will contact the RIO to discuss the suspected misconduct informally. If the circumstances or conduct do not meet the definition of misconduct, but may fall under the provisions of other University policies, then the RIO will refer the individual to appropriate University offices or officials with responsibility to resolve such matters.

5. University personnel assigned to address alleged charges of misconduct will do so in a fair and objective manner, respecting the rights of all involved.

6. All individuals involved in scholarly activities and research will participate in educational activities or workshops within their colleges and/or the University that are designed to inform the campus community of its obligations under this Policy, under other University policies related to research and scholarly activities, and under federal and state statutes, regulations, and guidelines for conducting research.

7. All University employees, whether paid or unpaid, will cooperate with the RIO and other institutional officials who review allegations and conduct Inquiries and Investigations. Upon reasonable request employees are obligated to provide relevant evidence to the RIO and other institutional personnel charged with investigating allegations of misconduct.

8. No one will make false allegations or bring bad faith or malicious charges against any individual, or retaliate against anyone who brings a good faith charge of misconduct, even if the allegation cannot be confirmed. An allegation made with reckless disregard for or willful ignorance of facts that would disprove the allegation is not a good faith allegation. Making false allegations or bringing bad faith or malicious charges also constitutes misconduct, which the University will address under existing policies. Individuals reporting misconduct are entitled to protection from reprisal for whistleblowing 2 as described in other University policies, in a manner consistent with state and federal requirements.

• Should it be necessary to extend any deadline beyond that which this Policy requires, the requesting party must ask the RIO for an extension, citing the reason for the request. Extensions may be granted only for good cause. No extension will be granted if doing so will prolong the period between the initial Investigation and the transmittal of the final report from the Provost to the Respondent and the President. The RIO must document the reasons for granting any extension and notify Respondent of same.

• The University recognizes that, when making an allegation of research misconduct, or when such an allegation has been made against a researcher, the reputation of both the complainant and the Respondent may be tarnished. Therefore, if at any stage of an
  Investigation, either the RIO, VPR or Provost determines that the evidence presented does not meet the evidentiary standard to support a finding of misconduct or if, after an investigation, the Provost disagrees with a Committee’s recommendations with respect to the misconduct, then the University, including the RIO, VPR and the Provost, will undertake diligent efforts to restore the reputations of persons alleged to have engaged in misconduct. They also will make diligent efforts to protect the positions and reputations of those persons who, in good faith, made those allegations.

C. DEFINITIONS

 1 . Complainant: a person who in good faith makes an allegation of misconduct in scholarly, creative or research activity.

2. Conflict of Interest: the real or apparent interference of one person’s interest with the interests of another person, where potential bias may occur due to prior or existing personal, professional or financial relationships. Generally, differences of professional opinion held in good faith and without prospect of financial gain should not be construed as conflicts of interest.

3. Employee: an individual who is employed by the Arizona Board of Regents/University under classifications “faculty,” “classified staff,” or “academic, administrative or service” professional, as those terms are defined in TheUniversity Handbook for Appointed Personnel, The Arizona Board of Regents’ Policy Manual, and The Classified Staff Human Resources Policy Manual, whether the individual is paid or unpaid. Employees comprise student employees and graduate students, including instructors, or as well as any individual who represents or acts on behalf of the University and whose actions may bind the University.

4. Misconduct: fabrication, falsification, or plagiarism in proposing, performing or reviewing scholarly, research or creative endeavors, or in reporting research results or the results of creative endeavors. Misconduct does not include honest error or differences in interpretation or judgments in evaluating research methods or results or differences of opinion.

• Fabrication is making up data or results and recording or reporting them.
• Falsification is manipulating research or scholarship materials, equipment, or processes, or changing or omitting data or results such that the scholarship or research is not accurately represented in the record.
• Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

5. Findings of Misconduct require that:

• There is a significant departure from accepted practices of the relevant research or scholarly community; and
• The misconduct is committed intentionally or knowingly or recklessly; and
• The allegation is proven by a preponderance of the evidence.

6. Inquiry: a process involving preliminary information-gathering and preliminary fact-finding by the RIO when someone makes an allegation of misconduct under this Policy, which the RIO believes is sufficiently credible and specific to identify potential evidence of misconduct and to determine whether an allegation of misconduct under this Policy warrants an Investigation.

7. Investigation: a process to formally develop a factual record and to examine that record leading to a decision: (1) either to make a recommendation that misconduct occurred, which may include a recommendation for other appropriate actions, as well as possible administrative actions; or (2) not to make a finding of misconduct.

8. Preponderance of Evidence: that quality of evidence which, when fairly considered, produces the stronger impression, and has the greater weight, and is more persuasive regarding the truth than the evidence presented in opposition. Any fact required to be proven under this Policy shall be proven by a preponderance of the evidence.

9. Pre-inquiry: an initial assessment by the RIO of an allegation of misconduct presented by a Complainant that might warrant further Inquiry.

10. Respondent: the person or persons against whom allegations of misconduct are directed and who is the subject of a misconduct Inquiry or Investigation.

11. Research: all scholarly basic, applied, and demonstration research and creative endeavors.

II. PROCEDURAL OVERVIEW

 A. RESEARCH INTEGRITY OFFICER

 The Vice President for Research (VPR), in consultation with the President, under the provisions of shared governance, will appoint the RIO, who will have primary responsibility to implement the procedures set forth in this Policy. The RIO will assist the Inquiry Panel s and, if necessary, the ad hoc Investigative Committee s and other personnel to carry out this Policy. S/he will implement any applicable standards imposed by compliance entities or government or external funding sources. As part of this assistance, the RIO will be responsible for evaluating whether applicable federal or state regulations mandate further investigation of allegations of misconduct. The RIO will notify research sponsors when the University initiates a formal Investigation in accordance with applicable law and regulations. Likewise, the RIO will notify research sponsors in the event that an Investigation, once initiated, is terminated prematurely, together with the basis for that decision.

The RIO is responsible, at any stage of an Inquiry or Investigation, for complying with reporting requirements imposed by the research sponsor and for taking appropriate interim action to protect its funds or funds provided by third parties, including federal funds.

In the case of federal sponsorship, the RIO also is responsible to ensure that the University fulfills the purposes for which the federal financial support has been provided, including, among other things, any required reporting to the Office of Research Integrity (hereafter “ORI”) of the Department of Health and Human Services, the National Science Foundation, or any other applicable agency. In particular, the RIO will notify the appropriate federal agency at any stage of an Inquiry or Investigation if: (1) there is an immediate health or safety hazard; (2) there is an immediate need to protect federal resources; (3) the allegation involves a matter of public health (e.g., a clinical trial); (4) there is a reasonable belief that a criminal violation has occurred that must be reported within 24 hours of obtaining the information; (5) there is an immediate need to protect the interests of the Complainant or of the Respondent, or any co-investigators or associates; or (6) it is probable that the alleged incident is going to be publicly reported.

The RIO will report anticipated delays in the investigation process and will notify the appropriate funding agency or agencies of the outcome of a formal Investigation. Any Inquiry Panel or ad hoc Investigative Committee appointed under this Policy will apprise the RIO of information the Panel or Committee receives related to any of these reporting requirements.

 B. ALLEGATIONS OF MISCONDUCT

Anyone with a good faith belief that a person subject to this Policy has engaged in misconduct under this Policy should submit a detailed, written report to the RIO. If the RIO believes that s/he has a conflict of ng their names and without filing an allegation. However, because of the inherent difficulty in investigating and resolving allegations from unidentified persons, the University encourages individuals to make only attributable allegations about misconduct.

The University will respond reasonably to all allegations of misconduct under this Policy. To determine the appropriate response to an anonymous allegation, the University will weigh the following factors:

The source, specificity and nature of the information provided;

d within 30 days of receipt of the complaint. If the RIO believes that the allegation does not constitute a violation of this Policy, then the RIO may dismiss the matter without further inquiry. If appropriate the RIO will notify the Complainant and Respondent of this decision in writing. If the complaint appears to raise issues other than misconduct under this Policy that other University offices could address more appropriately, then the RIO will refer the Complainant to those offices for consultation.

Although the University has a duty to consider all complaints of misconduct under this Policy, when complaints relate to misconduct that allegedly occurred more than 6 years prior to the allegation, the RIO will take the staleness of the allegation into consideration when determining whether to initiate an Inquiry.

E. NOTIFICATION; PRESERVATION OF EVIDENCE AND THE RESEARCH RECORD

  1. Notification of Respondent, VPR, Respondent’s Dean, Department Head and Chair of UCEC.

Upon receipt of allegations reasonably evidencing misconduct, the RIO will immediately notify the Respondent, VPR, Respondent’s Dean, Department Head, and the Chair of the University Committee on Ethics and Commitment (UCEC). Such notification must take the form of a written statement of the alleged violation of this Policy and must include the specific allegations raised by the Complainant.

• Preservation of Evidence and the Research Record.

The RIO will promptly take all reasonable and practical steps to obtain custody of the research records and other relevant evidence deemed necessary to conduct an Inquiry or Investigation contemplated by this Policy, inventory the records and evidence, and sequester them in a secure manner in accordance with established procedures for sequestering evidence of misconduct. If the research records or evidence encompass scientific instruments shared by a number of users, then custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments.

The RIO will prepare a list of all original research records and materials relevant to the allegation in the presence of or with the assistance of Respondent, if possible. Respondent will cooperate with the RIO to obtain and preserve that evidence. In a case where the Respondent is unwilling or unable to cooperate, the RIO will preserve the evidence without the Respondent’s assistance. The RIO will note Respondent’s unwillingness or inability to cooperate and will also note any other impediments to constructing the record of the Inquiry or Investigation.

The RIO will note the destruction, Respondent’s failure to p rovide records adequately documenting the questioned research as evidence of misconduct where the RIO establishes by a preponderance of the evidence that Respondent intentionally, knowingly or recklessly: ( 1) had research records and destroyed them; ( 2) ha d the opportunity to maintain the records but did not do so; or ( 3) maintained the records and failed to produce them in a timely manner, and the RIO determines that Respondent’s conduct constitutes a significant departure from accept ed practices of the re levant research community.

The RIO will maintain all laboratory notebooks, computer files, research and funding records, and other materials in a secure environment for the duration of the process. This includes computers, computer programs and the contents of computers belonging to, leased by or under the control or jurisdiction of the University, wherever located. The RIO will make copies of this potential evidence available on Respondent’s written request so that, if appropriate and possible, the Respondent may continue his or her scholarship, research or creative endeavors. The RIO also will maintain files of all documents and evidence gathered in the course of any Inquiry or Investigation, and will maintain the security and confidentiality of those files, to the extent permitted by law or required by the sponsor and as necessary to protect the identity of human subjects.

III. INFORMAL RESOLUTION

If at any time the University and the Respondent conclude that charges of misconduct under this Policy may be resolved in a manner satisfactory to the University, the research sponsor and the Respondent, then the University may enter into an appropriate agreement, subject to the approval of the Provost, in consultation with the VPR, and where appropriate, subject to the required approval of ORI or other appropriate agency. In such instances, the resolution must address the interests of all affected parties.

 IV. INQUIRY

  PURPOSE OF THE INQUIRY

 The purpose of the Inquiry is to gather information and make preliminary findings of fact when the RIO believes an allegation of misconduct is sufficiently credible and specific to identify potential evidence of misconduct, and to determine whether an allegation of misconduct under this Policy warrants an Investigation.

 B. INQUIRY PROCESS

 If the RIO determines that the complaint merits further investigation after completing the Pre-inquiry, then s/he will request that the Chair of the UCEC appoint an Inquiry Panel to conduct an Inquiry as set forth below. The Chair of the UCEC will appoint an Inquiry Panel composed of three UCEC members. In the event that a member of the UCEC does not have expertise in a discipline relevant to the Inquiry, then the Chair, in consultation with the RIO, may appoint an ad hoc member of the Inquiry Panel with such expertise. No member of the Inquiry Panel will have either a real or apparent conflict of interest in conducting the Inquiry. If a panel member has a conflict of interest, then the Chair of the UCEC will excuse that member and appoint a substitute.

The Inquiry will consist of information-gathering and fact-finding to determine whether an allegation of misconduct under this Policy warrants an Investigation. The Inquiry ordinarily will include interviews of the Complainant, the Respondent, and any other individuals (witnesses) possessing relevant information. The interviews must be recorded or transcribed, and thereafter provided to the witness for correction. The recording or transcript of such interviews shall be included with the record of the Inquiry and Investigation, if one ensues. The Inquiry Panel also will review any supporting documentation. The Inquiry, including preparing the written report, must be completed within sixty (60) calendar days after the UCEC Chair receives notice of the allegations, unless circumstances clearly warrant a longer period.

C. FINDINGS, CONCLUSIONS, RECOMMENDATIONS; NOTIFICATIONS

  1. Investigation Required.

The Inquiry Panel will prepare a written report that: describes the Inquiry process used and the evidence reviewed; summarizes the relevant interviews conducted; and sets forth the Inquiry Panel’s findings, conclusions, and recommendations. The written report will assess whether sufficient evidence exists to warrant a formal Investigation. An Investigation will be warranted if: (1) a reasonable basis exists to conclude that the allegation falls within the definition of misconduct; and (2) preliminary information-gathering and preliminary fact-finding from the Inquiry indicate that the allegation may have substance.

The Chair of the Inquiry Panel will provide the Respondent with a complete copy of the preliminary report and also will provide the Complainant a copy of that portion of the report directly related to the evidence s/he presented. The Respondent and Complainant may comment on the preliminary report in writing within 5 days of receiving his/her copy. All written comments will become part of the final Inquiry report. The Panel Chair will provide the final Inquiry report, together with any comments, to the RIO.

Within ten (10) days of receiving the Inquiry Panel’s report indicating sufficient evidence to warrant a formal Investigation, or if the RIO separately determines that applicable regulations require an Investigation notwithstanding the Inquiry Panel’s recommendation to the contrary, then the RIO will notify the Respondent, the Complainant, the President, the Provost, the VPR, the Dean of the college in which the Respondent holds his or her primary appointment, and Respondent’s Department Head, that the University will appoint an ad hoc Investigative Committee to initiate an Investigation.

If PHS funding is involved, then the RIO will notify ORI within thirty (30) days of receiving a report recommending an Investigation or after the RIO determines that an Investigation should take place. The RIO will provide ORI with the Respondent’s name and position; a description of the allegations; the PHS support, including for example, grant numbers, grant applications, contracts, and publications listing such support; the basis for recommending that the alleged actions warrant an Investigation; and any comments on the report that the Respondent or Complainant makes.

• Investigation Not Required.

If the RIO determines that, based on the Inquiry Panel’s findings and his or her own separate assessment, the charge does not warrant an Investigation, then s/he will notify the Respondent and Complainant in writing of the decision within seven (7) days. The RIO will direct that any reference to the charge in the alleged Respondent’s personnel file be removed promptly. If the Inquiry Panel does not find any cause for further Investigation, but determines that the allegations raise s issues that another University office should address, then the Panel may recommend that the RIO refer the Complainant to that office.

After the RIO has circulated his or her decision not to initiate an Investigation, the Inquiry Panel Chair will send all materials gathered relating to the charge, together with the Panel’s recommendation and any written comments, to the RIO, who will secure and preserve the records for at least seven (7) years.

 V. INVESTIGATION

  PURPOSE OF THE INVESTIGATION

 The purpose of an investigation is to formally develop a factual record and examine that record to determine whether or not misconduct occurred, or to make a recommendation that it did not occur, and may include a recommendation for other appropriate actions, including administrative actions.

 B. AD HOC INVESTIGATIVE COMMITTEE

If the RIO determines that an Investigation is necessary, then the University will establish a 9-member ad hoc Investigative Committee (the “Committee”), as follows: The RIO will appoint four (4) faculty members who, in the RIO’s judgment, have the appropriate expertise to carry out a thorough and authoritative evaluation of the relevant evidence. The RIO will select an additional two (2) members from names offered upon a recommendation from the Dean of the college in which Respondent holds his or her primary appointment, who are familiar with or have training in the research or scholarly discipline, or who are familiar with or have training in the ethical and financial rules applicable to the particular research, scholarly work or other creative endeavors covered by the allegation. The Provost will appoint one (1) additional faculty member who either is familiar with or has training in the research or scholarly discipline or is familiar with or has training in the ethical and financial rules applicable to the particular research, scholarly work or other creative endeavors covered by the allegation, who will serve as Chair of the Committee. Members of the Inquiry Panel may not serve on the ad hoc Investigative Committee. After consulting with the other Committee members, the Chair of the Committee will select two (2) additional Committee members who have appropriate expertise to carry out a thorough and authoritative evaluation of the relevant evidence. The two additional members ordinarily should be members of the general faculty of the University or another University under the jurisdiction of the Arizona Board of Regents (ABOR). In unusual circumstances, where warranted by the nature of the field or the allegations, outside scholars or persons with expertise in other areas may be included on the Committee where warranted by the nature of the field or allegations. The Committee may seek additional consultation from individuals outside of the ABOR system who have demonstrated expertise in the discipline or area of research or scholarship that is the subject of the Investigation.

No member will serve on the Committee if s/he has a conflict of interest. The RIO will notify the Respondent immediately of the names of the individuals who have been selected to serve on the Committee. The Respondent may make a written request to the RIO to disqualify a Committee member alleged to have a conflict of interest; however, the RIO will make the final decision related to a member’s participation.

 C. PRELIMINARY STEPS TO THE INVESTIGATION

The Investigation shall determine the responsible persons and the seriousness of the misconduct. If an Investigation reveals additional instances of possible misconduct, or if other Respondents are identified during the Pre-inquiry or Inquiry, then the RIO will decide whether to broaden the scope of the Investigation beyond the original allegation or whether s/he should initiate a new and distinct Inquiry. The Committee immediately will notify the Respondent in the event that the scope of the Investigation changes from the initial allegations. Any additional allegations will be specified in writing. At the Respondent’s request, the Investigation will include a hearing at which evidence is introduced and witnesses are subject to direct and cross-examination. The Respondent must submit a written request for a hearing to the Chair of the Committee within fifteen (15) days of receiving notice that the University initiated an Investigation. The Investigation, including a hearing, if one is requested, and an Investigation report, should be completed within 120 days of the Committee’s first meeting. The RIO, with the sponsoring agency’s concurrence, must approve any extension to the 120-day period.

When requested by the Committee, the RIO will immediately secure any additional pertinent records that were not secured previously during the Inquiry. The Committee has the right and duty to access, secure, and preserve any relevant University document, record or tangible object, however maintained, and by whomever held. This includes computers, computer programs, and the contents of computers belonging to, leased by or under the control or jurisdiction of the University, wherever located. (Paragraph I.B.3.)

If the RIO reasonably believes that anyone would suffer serious harm if an individual involved in the matter were to continue his or her duties, then the RIO will request the VPR or the Provost, as appropriate, to take interim administrative actions, including but not limited to suspending individuals from participating further in the research project in question. Any such suspension will proceed under applicable personnel rules of the University and will not interrupt payment of salary.

 D. FORMAL INVESTIGATION PROCESS

The Committee will begin its formal Investigation within thirty (30) days from receipt of the Inquiry report and recommendations from the RIO, who will charge the Committee regarding its obligations under this Policy. If Respondent requests a formal hearing, then the VPR will appoint a representative to act on behalf of the University at the hearing, and the hearing will begin not later than forty-five (45) days after the formal Investigation begins. During the Investigation, the Committee may consider all evidence it receives and will use its judgment in deciding what evidence is fair, relevant, and reliable. The Committee is not bound by formal rules of evidence applicable to courts of law.

The Committee may schedule a meeting with the Respondent to discuss the allegations in confidence, and schedule meetings with all relevant persons with whom the Respondent has collaborated. The Committee may conduct its interviews either by written questions or in person. Personal witness interviews either will be recorded or transcribed verbatim by a court-reporter, which recording or transcript thereafter will be provided to the witness for correction. The recording or transcript of such interviews will be included with the formal Investigation record. The Respondent has the right to respond in writing to the allegations, to appear before the Committee, and to provide names of any additional people with whom the Committee should meet to discuss the allegations. If the Respondent chooses not to participate in the Investigation, then the Committee will proceed in his or her absence.

If the Respondent requests a hearing, then the Chair of the Committee will notify all parties of the scheduled hearing date at least thirty (30) days in advance of the hearing. For good cause shown, upon request of the Respondent or the University representative or on the Chair’s own initiative, the Chair may reschedule or continue the hearing to another time. No fewer than ten (10) days before the scheduled hearing date, the University representative and the Respondent will exchange lists of witnesses and copies of documents to be introduced at the hearing. This 10-day rule does not limit the Committee’s right to question the parties and witnesses directly during the hearing.

The hearing will include opening statements by the University representative and Respondent, direct and cross-examination of witnesses, and closing arguments. The Respondent has a right to present testimony of witnesses, to cross-examine witnesses, and to present evidence, including documentary evidence. The University bears the burden of proving the fact of misconduct to the Committee by a preponderance of the evidence; Respondent has the burden of proving any affirmative defenses, such as “honest error,” or mitigating circumstances, by the same standard of proof.

Any University employee called to testify at a hearing is expected to testify and any University employee or University office with access to relevant documents is expected to produce them to the requesting party. If necessary, the Committee may compel the attendance and testimony of any University employee or student during an Investigation, except the Respondent. The Committee will make every reasonable effort to protect the Respondent and Complainant from third party inquiries about the Investigation; however , the Committee will inform Respondent of the identity of all witnesses the Committee contacts.

E. RECORD OF THE INVESTIGATION

The Committee will keep a written transcript or an audio-recording of the hearing, if Respondent requests one, or of any meetings at which it receives evidence or interviews witnesses. The University will provide the Respondent with a free copy of the transcripts or audio-recordings upon request. In addition to maintaining these transcripts or audio-recordings, the Committee will make and keep accurate and complete records, including originals or legible and complete photocopies, of all documents or records it obtains. The Committee will maintain a record of the manner in which such documents and evidence have been handled, in accordance with procedures established by the University for handling evidence of investigations under this Policy. The RIO will preserve the evidence of each Investigation for a minimum of seven (7) years in such a manner that it is not subject to unauthorized use or tampering.

F. REPORT OF THE INVESTIGATION

At the conclusion of the Investigation, the Committee will prepare a written report indicating the process of the Investigation, the Committee’s findings, conclusions, and recommendations for an appropriate course of action. Specifically, the report will find whether or not either the Respondent or others engaged in misconduct in violation of this Policy, and with respect to each allegation, the facts and reasons for each of the findings and conclusions. The report will include adequate steps to meet the University’s obligations to funding agencies, if any, to third parties affected by the violations, e.g., Journals . The report also may include recommended sanctions.

Within five (5) working days of completing its preliminary report, the Committee will provide the Respondent a complete copy of such report and will provide the Complainant a copy of that portion of the report directly related to the evidence that individual submitted. The Respondent may respond to the preliminary report either orally to the Committee or in writing within thirty (30) days of receiving his/her copy. The Committee will add, as an appendix to the final report, any written response the Respondent submits.

The Committee will send its final report, including any comments Respondent submits to the preliminary report, to the RIO for transmission to the VPR, and to the Provost within five (5) days of completing the final report.

G. RESOLUTION AND OUTCOME

The Provost will consider the Committee’s recommendations and, in consultation with the VPR, produce a written decision as promptly as possible, but no later than 120 days from the date the Investigation began, addressed to the Respondent. The Provost has the prerogative to accept, reject or modify all or any part of the Committee’s report, conclusions, and recommendations based upon a preponderance of the evidence. The Provost will submit the decision to the President describing the Investigation and the basis for the decision, and will provide a copy of the decision, to the Respondent, the Respondent’s Dean and Department Head.

In the event the Committee concludes that misconduct occurred in violation of this Policy and the Provost concurs, then the Provost will determine whether to notify other agencies or affected parties regarding the outcome of the matter. The Provost, in consultation with the VPR and the Dean of the college in which the Respondent holds his or her primary appointment, and the Respondent’s Department Head, will impose appropriate sanctions, up to and including termination, in accordance with established University and ABOR policies.

H. RECONSIDERATION

A Respondent who is dissatisfied with the Provost’s decision may request reconsideration of the decision by filing a written request with the Provost not later than fifteen (15) days following receipt of the decision. Any request for reconsideration must be based on one or more of the following grounds:

• irregularities in the proceedings, including any abuse of discretion or misconduct by the Committee or the RIO that deprived the Respondent of a fair and impartial hearing;
• newly discovered material evidence that with reasonable diligence could not have been presented to the Committee for consideration; or
• the decision is not justified by the evidence or is contrary to law.

If the Respondent requests reconsideration, then the Provost will issue a final decision within twenty (20) days of receiving that request, and will provide a copy of the final decision to the Respondent, the Respondent’s Dean and Department Head. If Respondent makes no request for reconsideration, then the Provost’s decision becomes final at the expiration of the fifteen-day period during which Respondent could have requested reconsideration.

VI. NOTIFICATION OF OFFICE OF RESEARCH INTEGRITY

At the conclusion of the proceedings under this Policy, the Provost will provide a copy of the Investigation Report (with attachments, appendices and appeals), along with the final decision, including findings and conclusions, and a statement of any administrative actions taken, to the ORI, if Respondent was supported by PHS grants.

VII. LEGAL REPRESENTATION

At his or her expense, the Respondent may employ and be accompanied by legal counsel during any interviews or meetings with the Inquiry Panel and ad hoc Investigative Committee. If the Respondent requests a formal hearing, then the Respondent is entitled, at his or her expense, to assistance or representation by an attorney at the hearing. The Respondent must inform the Chair of the Committee of such assistance or representation not less than fifteen (15) days before the scheduled hearing, at which time the University representative also is entitled to assistance or representation by an attorney at the hearing.

The General Counsel, or his or her designee, will advise the RIO, the Inquiry Panel, and the Investigative Committee on procedural and legal matters . The Inquiry Panel and Investigative Committee, through their respective Chairs, shall have the right to approach the Office of the General Counsel for permission to obtain independent counsel.

VIII. CONFIDENTIALITY/PRIVACY CONSIDERATIONS

To the extent possible, consistent with fair and thorough procedures, and as allowed by law, University and ABOR Policy, disclosure of the names of persons involved in the Inquiry and Investigation processes, including the identity of the Respondent and the Complainant, will be given only to those who have a legitimate need to know. In addition, the Inquiry Panel and ad hoc Investigative Committee may request a recipient of confidential information to sign a confidentiality statement or to come to the Committee offices to review information that should not be copied or openly distributed.

 IX. FURTHER ADMINISTRATIVE ACTION

Notwithstanding the results of any Investigation or disciplinary proceeding following a finding of misconduct within the University, the United States may, in its sole discretion, take additional action related to the same or different facts and allegations. Action taken by the United States may or may not be based upon the University Investigation and findings and is beyond the purview of the University. Members of the academic community will cooperate with any such federal Investigation.

On May 17, 2005, the Department of Health and Human Services promulgated final regulations related to research misconduct and investigations of such misconduct. 42 CFR 50 and 93, PHS Policies on Research Misconduct; Final Rule, Federal Register. This Policy has been amended to comply with those requirements. Other substantive and grammatical changes resulted from review and recommendations by the UA Research Integrity Officer.

2.14 RETIREMENT
Rev. 10/2005

Appointed personnel may elect to participate in either the Arizona State Retirement System or the Optional Retirement Plan within the time limits established by statute. Eligibility for retirement varies depending upon the specific retirement plan requirements.

Persons who intend to retire should notify their department head, who in turn will notify the Human Resources Department by completing a termination report. Prior to retirement employees should also consult Benefits Services for an explanation of benefit options.

Official University Retirement Benefits
To be eligible to receive official University retirement benefits, an individual must:

• Be considered in retirement status by any recognized State of Arizona retirement program in which the individual is participating;
• Be at least 50 years of age;
• Have completed five years of continuous, full-time employment in the Arizona University System (or approved leave of absence or long-term disability) immediately preceding retirement; and
• Have not been terminated for cause by the University.

Notwithstanding these provisions, university peace officers who have retired before age 50 pursuant to the provisions of the Arizona Public Safety Personnel Retirement System but have completed five years of continuous, full-time employment in the Arizona University System (or approved leave of absence or long-term disability) immediately preceding retirement shall also be eligible for this benefit.

Certain individuals have approval to sell items on campus in specific locations. Others, such as representatives of textbook publishing firms, have approval to solicit University employees at the employees' convenience. No solicitations of University employees for items unrelated to University business are permitted. This regulation applies to University employees engaged in sideline sales, as well as to outside salespeople.

2.16 SEXUAL HARASSMENT
Rev. 8/2000; 12/2000; 9/2002

The University of Arizona prohibits sexual harassment by all appointed personnel, staff and students. The Policy on Sexual Harassment, adopted December 7, 2000, is available onlin