D. Harassment- Title VII & Title IX, Research Misconduct Policy - Cloned

Harassment disrupts the environment the University seeks to maintain. The University is committed to maintaining a working and learning environment that is free from harassment. The University does not approve of harassment of any type within the workplace and will not tolerate the harassment of its employees or students by anyone, including faculty, staff, managers, administrators, customers, vendors, or students. Harassment consists of unwelcome conduct that is based upon an individual’s protected status such as race, color, religion, genetic information, sex, pregnancy, national origin, citizenship, disability, veteran status, age, sexual orientation, or any other characteristic protected by law. While all forms of unlawful harassment are prohibited, sexual harassment deserves special mention.

Definition of Sexual Harassment

The Equal Employment Opportunity Commission (EEOC) has issued guidelines regarding sexual harassment in the workplace. Under these guidelines, sexual harassment will be treated as unlawful sex discrimination in violation of Title VII of the Civil Rights Act of 1964, as amended.

“Sexual Harassment” is defined by the EEOC guidelines as follows:

Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment; (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; or (3) such conduct has the purpose or effect of substantially interfering with an individual’s work performance or creating an intimidating, hostile or offensive working environment.

Sexual harassment includes threats or insinuations, either explicitly or implicitly, that an employee’s refusal to submit to sexual advances will adversely affect the employee’s employment, evaluation, wages, advancement, assigned duties, shifts, or any other conditions of employment.

Sexually harassing conduct at the University, whether committed by faculty, staff, managers, administrators, co-employees, customers, vendors, or students, is prohibited. Such conduct may include, but is not limited to, unwanted sexual flirtations, advances, or propositions; verbal abuse of a sexual nature; unwanted graphic verbal comments about an individual’s body; the display in the workplace of inappropriate and sexually suggestive objects, pictures, writing, language or drawings; or unwelcome touching or physical contact. Such conduct, whether committed by persons of the same or opposite sex, is prohibited whether or not it rises to a level that might legally constitute unlawful harassment.

Definition of Non-Sexual Harassment:

Harassment for purposes of this policy is verbal or physical conduct that is derogatory or that shows hostility toward an individual because of his or her race, color, religion, genetic information, sex, pregnancy, national origin, citizenship, disability, veteran status, age, sexual orientation, or any other characteristic protected by law, and that creates an intimidating, hostile, or offensive working environment. Harassment may include but is not limited to epithets, abusive language, slurs, jokes, or other verbal or physical conduct relating to an individual’s race, color, religion, genetic information, sex, pregnancy, national origin, citizenship, disability, veteran status, age, sexual orientation or any other characteristic protected by law.

Commitment to Academic Freedom:

As an academic institution, teaching, doing research, and learning are subject to the protection of “academic freedom.” Actions or words used in the context of the academic curriculum and teaching environments that serve legitimate and reasonable educational purposes will not be evaluated as sexual harassment or other unlawful discrimination because of the principles underlying academic freedom.

Responsibility and Complaint Procedure:

Each department head, manager, and supervisor should maintain his or her workplace free from harassment, sexual harassment, and intimidation. In addition, department heads, managers, and supervisors should discuss this policy with their department members and employees and assure them that they are not required to endure insulting, degrading, or exploitative sexual treatment or unlawful harassment of any type. Department heads, managers, and supervisors must immediately report to their Vice President and the Director of Human Resources any complaints received from employees or students concerning harassment, including, but not limited to, sexual harassment. Department heads, managers, and supervisors must also report to their Vice President or the Director of Human Resources any other potentially harassing conduct or incidents of which they might see, hear, or otherwise become aware.

Any employee or student affected by any type of visual, verbal, or physical harassing conduct, whether from faculty, staff, managers, administrators, customers, vendors, or students, should report the matter to his or her supervisor, a Dean, or the Director of Human Resources. It is your responsibility as an employee or student without fear of reprisal to bring any form of harassment, including, but not limited to, sexual harassment, to the attention of the administration or management. An investigation of the complaint will be handled with confidentiality to the fullest extent possible. Any employee who subjects another to harassment or other inappropriate conduct will be subject to disciplinary action up to and including termination. Any student who subjects another to harassment or other inappropriate conduct will be subject to disciplinary action, including the possibility of suspension or expulsion from the University. It is the responsibility of the University to make the preponderance of evidence determination of whether harassment actually has occurred and determine what, if any, disciplinary or corrective action will be taken.

If it is determined that an individual willfully made a false accusation of harassment, he or she may be subject to appropriate disciplinary action consistent with current University policies and procedures, up to and including termination of employment, or in the case of a false accusation by a student, suspension or expulsion. 

Prohibition Against Retaliation:

The University also prohibits retaliation against the person(s) who, in good faith, bring a complaint of harassment to the administration’s or management’s attention. If you believe you have been retaliated against for reporting discrimination or harassment, or for making such a complaint, or for participating in an investigation related to discrimination or harassment, you should immediately report the alleged retaliatory action to the Director of Human Resources or your Vice President.

Converse University Sex & Gender Discrimination and Harassment Policy AND Title IX Sexual Harassment Grievance Procedures

Note: The full policy can be found (https://my.converse.edu/ICS/Offices/Human_Resources/Title_IX.jnz). This excerpt serves to provide basic information to students, faculty, and staff. The full policy should be referenced for further information.

Important information for individuals who may be victims of sexual assault, dating violence, domestic violence, or stalking: If you or someone you know may have been a victim of sexual assault or any other type of sexual misconduct, you are encouraged to seek immediate assistance. Assistance can be obtained 24 hours a day, seven days a week from the Residence Director on call at 864.621.7114 or Campus Safety at 864.596.9026.

For additional information for students about seeking medical assistance and emotional support, as well as important resource information, contact a member of the Wellness Center staff at 864.596.9258 or wellnesscenter@converse.edu.

During business hours (8:30 am to 5:00 pm, Monday through Friday), you are also strongly encouraged to contact one of the following individuals:

Duties and responsibilities of the Coordinators are to monitor and oversee implementation of Title IX compliance at the University, including coordination of training, education, communication, and administration of procedures for faculty, staff, students, and other members of the University community, such as contract employees, Board members, and auxiliary staff. Complaints regarding discrimination or harassment on the basis of sex or gender, against Converse students, employees, or third-party contractors should be directed to the Title IX Coordinator or Deputy Coordinators listed above.

Statement of Purpose and Values
Converse University (“Converse”), in compliance with and as required by Title IX of the Education Amendments Act of 1972 and its implementing regulations (“Title IX”) and other civil rights laws, as well as in furtherance of its own values as a higher education institution, does not discriminate on the basis of race, color, national origin, sex, sexual orientation, gender, gender identity, pregnancy, disability, age, religion, veteran status, or any other characteristic or status protected by applicable local, state, or federal law in admission, treatment, or access to, or employment in, its programs and activities.

Discrimination and harassment are antithetical to the values and standards of the Converse community; are incompatible with the safe, healthy environment that the Converse community expects and deserves; and will not be tolerated. Converse is committed to providing programs, activities, and an education and work environment free from discrimination and harassment and to fostering a community that provides prompt reporting and fair and timely resolution of those behaviors.

Inquiries concerning discrimination or harassment on the basis of sex or gender may be referred to Converse’s Title IX Coordinator. Please see the contact information above.

Inquiries concerning discrimination or harassment based on a protected characteristic or status other than sex or gender may be referred to the Director of Community & Inclusion (for students) or the Director of Human Resources (for employees).

Individuals also may make inquiries regarding discrimination or harassment to the U.S. Department of Education’s Office for Civil Rights by contacting the District of Columbia Office, 400 Maryland Avenue, SW, Washington, D.C. 20202-1475; Phone 800-421-3481; email: OCR@ed.gov.

Policy Scope
This policy applies to any allegation of sex or gender discrimination or harassment made by or against a student or an employee of Converse or a third party, regardless of sex, sexual orientation, sexual identity, gender expression, or gender identity.

The Title IX Sexual Harassment Grievance Procedures apply only to allegations of Sexual Harassment in Converse’s Education Program or Activity (as defined herein).

Converse will address allegations of other types of sex or gender discrimination or harassment (i.e., that do not meet the definition of Sexual Harassment) (1) using other student and employee conduct disciplinary procedures deemed appropriate by the Title IX Coordinator in consultation with other Converse administrators; and/or (2) with Supportive Measures, which are defined and discussed in more detail herein.

When Converse has Actual Knowledge of Sexual Harassment (or allegations thereof) in its Education Program or Activity and against a person in the United States, Converse is obligated to respond and to follow Title IX’s specific requirements, which are addressed and incorporated in these Grievance Procedures.

Promptly upon receiving allegations of Sexual Harassment in Converse’s Education Program or Activity and against a person in the United States, the Title IX Coordinator will contact the Complainant to discuss the availability of Supportive Measures with or without the filing of a Formal Complaint and to explain to the Complainant the process for filing a Formal Complaint.

Converse University Research Misconduct Policy¹

I. Introduction

Converse University (“Converse”) holds to the highest standards of research integrity and expects all of its faculty, staff, students, and persons affiliated with Converse in the proposal or conduct of research to conduct research according to these standards.

Through the Office of the Provost and the Office of Research and Engagement, and through the academic deans, Converse supports a community of ethical conduct and research integrity. Every researcher is personally responsible for his or her conduct when performing research and will be held to the highest ethical standards.

II. Scope

This policy applies to any person who is employed by, is an agent of, is under the control of, or is affiliated by contract or agreement with Converse, and to any student of Converse who is engaged in or applying for engagement in research, as defined in Section III of this policy. This policy applies to any principal investigators, co-principal investigators, technicians, and other staff members, as well as to students engaged in independent or faculty-mentored research, including those working as laboratory or research assistants.

III. Definitions²

1. The Deciding Official means the Provost of Converse University. The Provost will make determinations on allegations of research misconduct and determine any institutional responses. At Converse, the Provost (or his/her designee) also serves as the Research Integrity Officer, who assesses allegations of research misconduct and determines when such allegations warrant inquiries and who oversees inquiries and investigations.
2. Inquiry means gathering information and initial fact-finding to determine whether an allegation or apparent instance of research misconduct warrants an investigation.
3. Investigation means the examination and evaluation of all relevant facts to determine if research misconduct has occurred, and, if so, to determine the responsible person, the seriousness of the research misconduct and to evaluate appropriate action.
4. OIG means the Office of the Inspector General, the office within the National Science Foundation (NSF) that is responsible for the research misconduct and research integrity activities.
5. ORI means the Office of Research Integrity, the office within the U.S. Department of Health and Human Services (DHHS) that is responsible for the research misconduct and research integrity activities of the U.S. Public Health Service.
6. PHS means the U.S. Public Health Service, an operating component of the DHHS.
7. PHS regulation means the Public Health Service regulation establishing standards for institutional inquiries and investigations into allegations of research misconduct, which is set forth at 42 C.F.R. Part 93.
8. Research for the purposes of this policy is defined as any systematic investigation, including research proposal development or pilot testing, designed to develop or contribute to generalizable knowledge. Generalizable knowledge includes any systematically generated products of research intended for dissemination within or beyond the institutional setting.
9. Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.
   • Fabrication is making up data or results and recording or reporting them.
   • Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
   • Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.
   • Research misconduct does not include honest error or differences of opinion. (Source: 65 FR 76260-76264; 70 FR 37010-37016; 2 CFR § 910.132; 10 CFR § 733.3)³
10. A finding of research misconduct requires that:
    • There be a significant departure from accepted practices of the relevant research community;
    • The misconduct be committed intentionally, or knowingly, or recklessly; and
    • The allegation be proven by a preponderance of evidence.
      (Source: 65 FR 76260-76264; 70 FR 37010-37016; 2 CFR § 910.132; 10 CFR § 733.3)⁴
11. Respondent means the person against whom an allegation of research misconduct is directed or the person whose actions are the subject of the inquiry or investigation. There can be more than one respondent in any inquiry or investigation.
12. Complainant means a person who makes an allegation of research misconduct.  

IV. Rights and Responsibilities

1. Deciding Official and Research Integrity Officer (DO-RIO)

The Provost will serve as the DO-RIO, who will have primary responsibility for implementation of the institution’s policies and procedures on research misconduct. The DO-RIO will:

• Receive allegations of research misconduct;
• Assess each allegation of research misconduct to determine whether it falls within the definition of research misconduct and warrants an inquiry;
• As necessary, take interim action and notify any appropriate agency (OIG, ORI, PHS, or any other) of the circumstances of the allegation;
• Sequester research data and evidence pertinent to the allegation of research misconduct and maintain it securely;
• Provide confidentiality to those involved in the research misconduct proceeding as required by 42 C.F.R. § 93.108, other applicable law, and institutional policy;
• Notify the respondent (whenever possible) and provide opportunities for him/her to review/comment/respond to allegations, evidence, and other relevant information;
• Inform respondents, complainants, and witnesses of progress in the investigation of any allegation of research misconduct;
• Adjudicate any allegations of research misconduct;
• Ensure that administrative actions taken by the institution and any granting agency are enforced and take appropriate action to notify other involved parties, such as sponsors, law enforcement agencies, professional societies, and licensing boards of those actions as the DO-RIO determines is applicable; and
• Maintain records of the research misconduct proceeding and make them available to granting or sponsoring agencies as required by terms of grant or sponsorship.

2. Complainant 
   The Complainant is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with the inquiry and investigation. As a matter of good practice, the Complainant must be interviewed during an investigation.
3. Respondent
   The Respondent is responsible for maintaining confidentiality and cooperating with the conduct of an inquiry and investigation. Whenever practicable, the Respondent is entitled to:
   • A good faith effort from the DO-RIO to notify the Respondent in writing at the time of or before beginning an inquiry;
   • An opportunity to comment on the inquiry report and have his/her comments attached to the report;
   • Notification of the outcome of the inquiry and a copy of the inquiry report;
   • Notification in writing of the allegations to be investigated within a reasonable time after the determination that an investigation is warranted; and
   • The opportunity to be interviewed during the investigation.

The Respondent should be given the opportunity to admit that research misconduct occurred and that he/she committed the research misconduct. The DO-RIO or the President of Converse may terminate the institution’s review of an allegation that has been admitted, if the admission and any proposed settlement and any action by any relevant agency is acceptable to the President of Converse.

V. Completion of Cases and Administrative Action

1. All inquiries and investigations will be carried through to completion.
2. A case may be closed at the inquiry stage on the basis of a finding by the DO-RIO that an investigation is not warranted.
3. A case may be closed by the DO-RIO at the investigation stage on the basis of a finding of no misconduct.
4. If the DO-RIO determines that research misconduct is substantiated by the findings, he/she will decide on the appropriate actions to be taken.

The administrative actions in the case of faculty, staff members or other non-student researchers affiliated with or under the control of Converse may include:

• Withdrawal or correction of all pending or published abstracts and papers emanating from the research where research misconduct was found;
• Removal of the responsible person from the particular project;
• Letter of reprimand;
• Special monitoring of future work;
• Suspension from future Converse research, either for a limited time or permanently;
• Restitution of funds to the grantor agency as appropriate;
• In egregious cases, as determined by the DO-RIO, the initiation of steps leading to termination of employment as specified in Section VII.2 of the Converse University Faculty Handbook (for faculty) or Section V-Q of the Staff and Administrative Handbook (for staff); and
• Other action appropriate to the research misconduct.

The administrative actions in the case of student researchers may include:

• Withdrawal or correction of all pending or published abstracts and papers emanating from the research where research misconduct was found;
• Removal of the responsible person from the particular project;
• Letter of reprimand;
• Special monitoring of future work;
• Suspension from future Converse research, either for a limited time or permanently;
• Restitution of funds to the grantor agency as appropriate;
• In egregious cases as determined by the DO-RIO, referral of the student to the Converse University Honor Board, as specified in the Converse University Student Handbook in the Section, “Honor System”; and Other action appropriate to the research misconduct.

¹Sections of this policy have been taken from or modeled on the SAMPLE POLICY AND PROCEDURES FOR RESPONDING TO ALLEGATIONS OF RESEARCH MISCONDUCT published by the Office of Research Integrity, U.S Department of Health and Human Services, accessed on March 18, 2019, at https://ori.hhs.gov/sites/default/files/SamplePolicyandProcedures-5-07.pdf

²Section III of this policy has been adapted in part from Clemson University’s Policy for Responding to Allegations of Research Misconduct, accessed on March 18, 2019, at http://media.clemson.edu/research/sponsored- programs/policies/research-misconduct.pdf

³From https://science.energy.gov/grants/policy-and-guidance/research-misconduct/ , accessed on March 18, 2019.

⁴From https://science.energy.gov/grants/policy-and-guidance/research-misconduct/ , accessed on March 18, 2019.