IV. INSTITUTIONAL POLICIES AND PROCEDURES A ...

Faculty Guide Section IV-1 

IV. INSTITUTIONAL POLICIES AND PROCEDURES 

A. CONFIDENTIALITY OF PERSONNEL AND LEGAL RECORDS 1.2.070 

View the Board of Governors Policy on Central’s website at the following URL: 

http://www.ucmo.edu/upo/bog/policy.cfm?upoID=1.2.070 

B. ADMISSION TO CAMPUS EVENTS 

Faculty members, by presenting their Identification Card, may purchase admission tickets at faculty 

rates for themselves and a spouse or guest of their choosing. 

C. ALCOHOL POLICY 1.2.130 



View the University Procedures and Guidelines, URL: 

http://www.ucmo.edu/upo/guide/policy.cfm?upoID=alcoholg 

View the alcohol statement at the following URL: 

http://www.cmsu.edu/uhc/drugfree.cfm 

D. BUSINESS AND FINANCIAL POLICIES AND PROCEDURES 

Fiscal Responsibility 

ATTACHMENT I. 

View UCM Procedures and Guidelines, Fiscal Responsibility on Central’s website at the following 

URL: http://www.ucmo.edu/upo/bog/policy.cfm?upoID=fiscal&key=fiscal 

Long-Distance Telephone Calls. Each cost center manager is responsible for charges made to 

telephones in his or her area of administrative jurisdiction. Hence, the faculty member who places a 

long-distance call at university expense should first check with the department chair or dean because 

funds to support such telephone communications are limited. Printouts of charges to the telephones are 

distributed monthly to the cost centers. 

Mail Service. Mail Service privileges are available to all faculty members in the discharge of their 

professional responsibilities. Campus mail envelopes are to be used for inter-campus communications. 

All pieces of mail, which are distributed by the United States Postal Service at university expense, must 

have the correct cost center account number as part of the corner card. For more information regarding 

bulk mailings, insurance and certified mail, call the Printing Services Office. 

Purchasing Procedures. Purchases or purchase orders, which are to be paid from university budgets, 

must be given prior approval by the appropriate cost center managers and authorized by the Purchasing 

Office. Answers to questions regarding procurement procedures can be obtained by calling the 

Purchasing Office at 4001.


E. CONFLICT OF INTEREST POLICY FOR EMPLOYEES 2.1.050 

View the Board of Governors Policy on Central’s website at the following URL: http://www.ucmo.edu/ 

upo/bog/policy.cfm?upoID=2.1.050 

F. INTELLECTUAL PROPERTY RIGHTS, EDUCATIONAL MATERIALS, AND PATENT 

POLICIES (3/1/00) 

1. Intellectual Property Rights Policy. View the Board of Governors Policy on Central’s website at the 

following URL: 


View the Board of Governors Property Rights Procedure on Central’s website at the following URL: 

http://www.ucmo.edu/upo/guide/policy.cfm?upoID=IntellectualProperty 

2. Educational Materials. (3/1/00) It is the purpose of this policy statement to clarify the respective rights 

of faculty, staff, students and the university by defining the types of educational materials which should 

be designated "university-sponsored" by establishing procedures for administering policies concerning 

these materials, and stating university-wide policies governing their ownership and use and the rights to 

income produced. 

This policy does not affect the traditional ownership rights of faculty and staff to print or non-print 

educational materials other than those which were specifically commissioned by the university and the 

preparation of which were not supported or assisted in any substantial way by or through any university 

agency. The preparation and publication of texts utilizing secretarial and/or professional time are not to 

be considered substantial support. 

Section I. Coverage of Statement of Policy 

This statement of policy governs only the ownership and use of university-sponsored educational 

materials, as defined in Section II. 

Section II. Definition of University-Sponsored Educational Materials 

a. Educational materials are University-Sponsored: 

(1) If the author or producer has employed in developmental work, and without personal expense, 

substantial university resources, excluding normal secretarial assistance; or 

(2) If the author or producer has been both commissioned in writing by the university, or one of its 

colleges, departments, or agencies to develop the materials and, in their production, has received 

released time or for which the faculty member received compensation from university-administered 

funds. 

b. The types of educational materials to which this policy is designed to apply include, but are not 

necessarily limited to: 

(1) Video and audio recordings; 

(2) Films, film strips, charts, transparencies, and other visual aids;


(3) Study guides, tests, syllabi, bibliographies and texts; 

(4) Programmed instructional materials; 

(5) Live video and audio broadcasts; 

(6) Computer programs and programmed instructional materials; 

(7) Other print and non-print materials subject to federal copyright. 

(8) Multimedia instructional material. 

(9) Inter-active television video (ITV), Internet, and distance learning materials. 

Section III. Ownership and Use of University Sponsored Educational Materials 

a. This policy is generally applicable to all University Sponsored Educational Materials unless other 

terms of agreement between the university, or one of its colleges, departments, or agencies (hereinafter 

referred to as the University) and the creator(s) (hereinafter referred to as the Creator) are specified in 

writing. Individual faculty members who intend to create educational materials or other products with 

University sponsorship are encouraged to enter into a contract or memorandum of understanding with 

the university that details the University sponsorship as well as rights to ownership and use of products 

and intellectual property created. 

b. Educational materials which do not satisfy the definition of University Sponsored Educational 

Materials (Section II of this policy) remain the property of the Creator. The University claims no 

specific rights to ownership or use of such products. 

c. Rights and limitations of the University and the Creator: 

(1) University Sponsored Educational Materials are the shared property of the University and the 

Creator. 

(2) The University maintains the right to use and to modify or revise University Sponsored Educational 

Materials for academic purposes. 

(3) In the event that the University uses, modifies, or revises University Sponsored Educational 

Materials, the original Creator shall have the option of removing his/her name from the modified/revised 

product without forfeiting his/her rights to use the original product. 

(4) The Creator retains the right to use University Sponsored Educational Materials, for noncommercial 

academic applications that do not involve violations of University Conflict of Interest or 

other policies. This includes, but is not necessarily limited to, the right to use the materials for teaching 

and/or publication in scholarly and professional journals.


(5) In the event that the Creator’s employment with the University is separated or terminated, the 

Creator retains the right to use the University Sponsored Product for non-commercial purposes, 

including teaching and publication, as described above. 

d. University Sponsored Educational Materials and Commercial Value: 

(1) In the event that University Sponsored Educational Materials are determined to have a commercial 

value, the Creator and the University will share in monetary returns from commercial use. If no other 

agreement has been established between the Creator and the University, policies set forth in this section 

will apply. Products involving patents are covered in the Board of Governors Patent Policy located at 

the following URL: http://www.ucmo.edu/upo/bog/policy.cfm?upoID=3.1.030 

(2) Neither the University nor the Creator may independently prevent the commercial use of University 

Sponsored Educational Materials unless such commercial use is in violation of the University Conflict 

of Interest and Commitment Policy. 

(3) Proceeds from the commercial use of University Sponsored Educational Materials will go first 

to compensate the University for direct expenses equal to the actual, direct University expenditure 

(variable cost) to create the product. (University fixed or overhead costs will NOT be included.) 

(4) Proceeds beyond compensation for University expenses incurred in the creation of University 

Sponsored Educational Materials will be divided between the University (20%) and the Creator (80%). 

e. In the event that the development of educational material is jointly sponsored by the University and 

any external agency (public or private), a written agreement or memorandum of understanding will 

specify the ownership and use rights of each party. Such agreements should be developed and approved 

through the office of University Sponsored Research and the University Provost. (3-1-00) 

f. University faculty and staff may use copyrighted text, images, video and audio as part of curriculum 

based instructional activities with the permission of the owner(s) or with an exception to the rights 

of the owner(s) through an educational exemption, fair use exemption, or TEACH Act excmption as 

provided in Title 17 of the United States Code. Other portions of copyright legislation, such as the 

Digital Millennium Copyright Act, may also affect the legality of using copyrighted material without 

permission as part of curriculum based instruction and should, therefore, also be considered. The 

determination to seek permission or appropriately invoke an exemption must be made with each specific 

use of any copyrighted material for which a member of faculty or staff does not own the copyright. 

In case of a challenge, documentation of each determination must be maintained by the user of the 

copyrighted material. 

Copyright and Fair Use information is located at the following URL: 

http://library.ucmo.edu/copyright/ 

3. Patent Policy. 



G. ILLEGAL AND CONTROLLED DRUGS POLICY 1.2.140 


http://www.ucmo.edu/upo/bog/policy.cfm?upoID=1.2.140


H. TOBACCO USE POLICY 1.2.120 

View the Board of Governors Policy on Central’s website at the following URL: http://www.ucmo.edu/ 

upo/bog/policy.cfm?upoID=1.2.120 

Use of Tobacco Guidelines: 

http://www.ucmo.edu/upo/bog/policy.cfm?upoID=tobaccoguide&key=tobacco 

I. IMMUNIZATION POLICY 1.2.110 



The Immunization form is located on the Admissions’ website at the following URL: 

http://www.ucmo.edu/undergrad/hs/forms.cfm 

J. SEXUAL HARASSMENT POLICY 

It is the policy of University of Central Missouri to prohibit sexual harassment. Sexual harassment is 

a form of sexual discrimination and constitutes a violation of federal and state law. This policy applies 

to employment and academic relationships among faculty, staff and students and is intended to protect 

the rights of all persons within the university by providing fair and impartial investigations of all 

complainants brought to the attention of appropriate officials. Violations may lead to disciplinary action. 

Every attempt will be made to maintain confidentiality of all parties involved. 

1. Definition. Using the definition in the 1980 EEOC guidelines as a basis for this policy, sexual 

harassment is defined as follows: 

Unwelcome sexual advances, request for sexual favors and other verbal or physical conduct of a 

sexual nature constitutes sexual harassment when: 

a. submission to such conduct is made explicitly or implicitly a term or condition of an 

individual's employment or education, 

b. submission to or rejection of such conduct by an individual is used as the basis for employment 

or academic decisions affecting that individual, 

c. such conduct has the purpose or effect of substantially interfering with an individual's academic 

or professional performance, or creating an intimidating, hostile or offensive employment, 

academic or living environment. 

Sexual harassment, as defined above, is a prohibited and culpable practice at the university. Sexual 

harassment includes a range of behaviors -- none of which is acceptable when the recipient finds 

them offensive. Sexual harassment may include actions such as the following: 

● 

● 

● 

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Sex-oriented verbal "kidding" or abuse. 

Subtle pressure for sexual activity. 

Physical contact such as patting, pinching or constant brushing against another's body. 

Expressed or insinuated requests or demands for sexual favors, accompanied by implied or overt 

promises of preferential treatment or threats concerning an individual's employment or academic 

status.

● 


Verbal or physical conduct of a sexual nature creating an intimidating, hostile or offensive 

working/academic/living environment. 

The General Counsel, Director of Human Resources, or Employee Relations Specialist will 

provide assistance in clarifying behavior, which may be interpreted as sexual harassment. 

2. Responsibilities. For this policy to be effective, communication channels must exist to inform 

students, faculty and staff about this policy. The Offices of the General Counsel and Human 

Resources, shall serve as resources with regard to sexual harassment concerns and shall work 

closely with administrators to ensure compliance with the policy. All administrators and 

supervisors are requested to take appropriate action to disseminate this policy and to inform 

persons of procedures for filing sexual harassment complaints. Accountability for compliance with 

this policy shall be the responsibility of each administrator and supervisor. 

3. Consenting Relationships. 

View the University Procedures and Guidelines on Central’s website at the following URL: 

http://www.ucmo.edu/upo/guide/policy.cfm?upoID=consentrelationships 

(Updated per Policy Office 12/10/07) 

K. DISCRIMINATION AND HARASSMENT: PROCEDURES FOR REPORTING AND 

INVESTIGATING COMPLAINTS 

View UCM Procedures and Guidelines on Central’s website at the following URL: 

http://www.ucmo.edu/upo/bog/policy.cfm?upoID=discrimination&key=discrimination 

L. TRAVEL REGULATIONS 

1. View the Policy on Central’s website at the following URL: 

http://www.ucmo.edu/upo/guide/policy.cfm?upoID=travel 

2. Definition of Reimbursable Travel Expenses. Reimbursable travel expenses are those expenses 

authorized and incurred while transacting official business away from the campus site. Basic 

reimbursable expenses are such items as: personal transportation, lodging, meals, and registration 

fees for conferences and workshops. Registration fees are considered "travel" whether paid in 

advance or claimed for reimbursement on the Travel Expense Voucher, Form F-400. 

3. Travel Planning Approval. All travel plans should be discussed and funding determined in 

advance with the appropriate cost center administrator. The appropriate cost center administrator 

may grant blanket authorization for frequent and routine business travel. The appropriate cost center 

administrator may grant exceptions to the provisions of these regulations prior to travel. 

4. Travel on University Business. It is the responsibility of both the traveler and the approving 

authority to assure that all travel charged to the University is incurred for the benefit of the 

University, and that such travel is completed at the most economical and reasonable cost. 

5. Method of Reimbursement. Travel expenses may be reimbursed for actual reasonable expenses 

not to exceed the budget allocated to the cost center for that purpose. Each cost center may elect to 

restrict reimbursement amounts less than actual expenses.


Cash Advance for Travel Expenses. Under some circumstances and within established restrictions, the 

University may make advances to individuals for certain travel expenses. 

a. Advances may be made for group/team travel. 

b. The group/team coach, leader or sponsor may request advances. 

c. Advances are not to exceed estimated expenses. 

d. Requests for advance of travel funds must be approved by the appropriate cost center 

administrator and submitted to Accounts Payable on the university Payment Request form. 

e. The approved Payment request form should reach Accounts Payable at least 5 workdays prior 

to the date the check is needed. 

f. Approved Travel Expense Vouchers (Form F-400) for completed group travel should be 

submitted to Accounts Payable within 10 workdays of returning from the trip. 

g. Any excess funds advanced must be repaid at the Revenue Office immediately following return 

from the trip and the receipt attached to the related Travel Expense Voucher (Form F-400). 

6. Transportation. The most economical available transportation, which will satisfactorily accomplish 

the University business, should be used. The following options are to be considered: 

a. Enterprise Rent-A-Car. 

A rental car should be used for all regional travel unless circumstances and conditions make 

the use of other types of transportation more advantageous to the university. A rental car is 

available by calling 660-429-3222 and accessing account G53617. Reservations must be made 

at least 24 hours in advance of travel. Specific Enterprise Rent-A-Car information is available 

on the Physical Plant web page. 

b. Use of University Vehicles. 

University-owned maxi-vans, cargo vans and people movers are available for use by groups 

of 5 or more. Reservations for university vehicle use must be made in advance by calling 

extension 4331. University gasoline credit cards are provided for the traveler’s use should 

additional fuel be needed. The cost will be charged for vehicle mileage at the appropriate 

current rate. 

c. Use of Privately-Owned Automobile. 

A privately-owned vehicle may be used in lie of using Enterprise Rent-A-Car. Reimbursement 

will be at the current rate per mile or the Enterprise car daily rate, whichever is less. Mileage is 

computed over the most commonly traveled route. Mileage will be reimbursed from and to the 

work site or residence, whichever is less. 

d. Guide for Drivers on State Business.


Drivers of University and personal vehicles should request a copy of the "Guide for Drivers on 

State Business" from HR and follow the guidance on insurance, injuries, and accidents. 

e. Use of Commercial Airlines. Travel plans should be made, when possible, to allow for 

purchase of a 21 days in advance ticket. Incorporating a Saturday night into the travel schedule 

should be done if it results in a savings, considering additional meals and lodging, and does not 

result in a disruption of duties on campus. 

Reimbursement will be made for the mode of travel, which is the most economical for the 

University; not for the mode of travel that is the most convenient or preferred by the traveler. 

For cost comparison purposes between automobile and airline travel, the cost of commercial 

airline transportation is to be computed on the basis of purchasing a 21 days in advance of 

travel ticket and staying over a Saturday night, as verified by a travel agency. 

f. Use of University Aircraft. There are times when the use of a University aircraft is more 

practical and sensible than the use of other modes of transportation. The traveler should contact 

the airport director at extension 4921 for cost and schedule arrangement. 

g. Use of Privately-Owned or Rental Aircraft. Reimbursement will be made at the current rate 

per mile for privately-owned automobiles plus 4 cents per mile. The mileage to be reimbursed 

will be determined by the number of air miles. When more than one person travels in the 

same aircraft, only the employee who owned or rented the aircraft shall receive the mileage 

allowance. 

7. Lodging. Lodging accommodations are to be arranged and paid for by the traveler. Some hotels and 

motels grant favorable rates to University employees. Travelers are urged to check the availability of 

such rates (i.e. government rates) and take advantage of them. Conference rates are often not the best 

rate available. Travelers are expected to secure the most economical rate from the hotel. A copy of 

the University State tax exemption (available from Purchasing at extension 4001) should be furnished 

to hotels/motels, in Missouri only, to eliminate the Missouri State sales tax charge. 

8. Reimbursement for Travel Expenses. 

A. Reimbursements are not to exceed reasonable and actual meal costs, actual cost of lodging for the 

employee and other actual costs as approved by the cost center administrator. 

1. The traveler may claim the actual cost of meals and lodging subject to the approval of the cost 

center administrator. 

2. Original receipts for lodging must be submitted with the Travel Expense Voucher. 

3. A receipt must be submitted for individual meals costing $25.00 or more. 

4. Travel expense for friends and relatives are not authorized. 

5. When expenses are included in a registration fee (meals, lodging, transportation fares, 

official functions) or are otherwise furnished at no additional cost to the traveler, additional 

reimbursement shall not be claimed.


B. Inclusions and Exclusions as to Authorized Expenses. In addition to meals and lodging, other 

expenses incurred as a necessary part of approved travel may be claimed: 

1. Authorized 

● 

● 

● 

● 

● 

● 

● 

● 

Registration fees (receipt required) 

Official telephone calls/fax/on-site copy costs 

Commercial transportation cost actually paid by the traveler (receipt required) 

Parking fees (receipt required) 

Mileage for use of a private vehicle or aircraft 

Rental vehicle cost (receipt required) including high deductible 

collision and comprehensive insurance coverage 

Road toll charges (receipt required) 

Tips 

2. Not authorized 

● 

● 

● 

● 

● 

Personal Entertainment expenses 

Personal expenses, such as laundry, valet service, etc. 

Alcoholic beverages 

Personal telephone calls 

Expenses for friends or relatives 

C. Contract and Grant Travel 

1. Sponsored Projects. If travel is on behalf of a sponsored grant or project and a limitation on 

the travel expenses reimbursement is set by the sponsor, then the more restrictive rate will 

apply, either that set by the university or that set by the sponsor. 

2. Combined Travel for Sponsored Projects and Other University Business. If travel is a 

combination of sponsored grant or project and other University business, University guidelines 

will apply and travel expense will be charged to both the sponsored project (but not in excess of 

the amount allowed by the sponsor) and to other University accounts as applicable. 

9. Preparation and submission of Travel Expense Voucher, Form F-400. 

a. Responsibility. Each individual who travels on University business and seeks reimbursement 

for approved expenses of that travel must submit a Travel Expense Voucher, Form F-400. 

b. Approval. In addition to the signature of the Payee, the form must be approved by the 

authorized cost center manager. If the two signatures would be the same, then the authorized 

signature of the person at the next higher level must be obtained. 

c. Submission. On proper completion including the attachment of all required original receipts, 

the form should be forwarded to Accounts Payable, Administration Building Room 304. The 

expense form is to be filed promptly, and not later than 10 days after return. Travel which 

begins and ends within a fiscal year must be budgeted for and the expenses paid and recognized 

in that fiscal year. Expenses for which reimbursement is not claimed within these parameters 

and the fiscal year is closed will not be paid.


d. Pre-Audit of Travel Expenses. The Accounts Payable Office will audit the expense 

form for compliance with regulations, mathematical accuracy, account coding and proper 

authorization(s). 

e. Payment of Travel Claims. Payment for travel reimbursement may be expected to be in 

the mail within six (6) workdays following receipt of the properly approved voucher in the 

Accounts Payable Office. 

f. Waiver of state taxes. Presentation of a tax-exempt letter to hotels and motels upon 

check-in will usually result in these charges being eliminated from the bill. A taxexempt 

letter is available from Purchasing. Additional information concerning Travel 

Guidelines may be viewed at the following link: http://www.ucmo.edu/upo/index.cfm? 

pg=policy.cfm&upoID=travel 

M. UNIVERSITY STORE DISCOUNT POLICY 

The University Store has a wide range of merchandise for sale. Upon presentation of the staff ID card, 

employees are given a 10% discount on all merchandise except required textbooks, postage stamps, 

special orders, college rings, computer hardware and software, and sale merchandise. 

N. RESPONSIBLE CONDUCT OF RESEARCH 

All research that involves human subjects must follow the policies developed by the Human Subjects 

Committee. (See Academic Procedures & Regulations Number 9) 

All research that involves animal subjects must follow the policies developed by the UCM Institutional 

Animal Care and Use Committee. 

ETHICS IN RESEARCH DOCUMENT 

1. Preamble. Integrity in scholarship and research is an essential part of University of Central 

Missouri's intellectual and social structure, and adherence to its spirit and principles must be 

maintained. These principles include commitment to truth, objectivity, fairness, honesty, and free 

inquiry. 

Although serious violations of honesty in scholarship and research may be rare, those that do occur 

strike at the very heart of the research/creative enterprise. Advances in scientific knowledge depend 

on trustworthy data and honestly reported conclusions. Advances in humanistic studies depend 

upon gathering and interpreting legitimate information in a manner which other scholars, operating 

in good faith, can judge and replicate. Artists present portfolios and performances, which reflect a 

unique artistic statement and point of view. Anything less will seriously undermine the total research/ 

creative enterprise and erode public confidence in those responsible for its conduct. Moreover, in 

any academic institution dedicated to education, scholars and researchers have a special obligation to 

exemplify the very best qualities and the highest standards of personal and professional conduct.


The integrity of the process of research and scholarship must depend largely on self-regulation; it is 

the responsibility of all who engage in search for knowledge. Advances are gleaned from vigorous 

application of scientific and scholarly methods and in compliance with ethical codes rooted in 

intellectual honesty. 

Dishonesty is often an unfortunate response to environmental temptations, and detection in advance 

of those who are most susceptible is difficult, if not impossible. Therefore, major attention should be 

directed toward the following: 

a. encouraging intellectual honesty; 

b. discouraging "success at any cost"; 

c. accepting responsibility for integrity; 

d. maintaining professional interpersonal relationships; 

e. establishing and maintaining well-defined research protocols; 

f. appropriately assigning credit and responsibility. 

2. Purpose. 

a. University of Central Missouri is responsible for the integrity of research conducted at the 

university. As a community of scholars, in which truthfulness and integrity are fundamental, 

the university must establish procedures for the investigation of allegations of scholarly or 

scientific misconduct. 

b. It is the purpose of these procedures to set forth guidelines for efficient disclosure and 

resolution of accusations of scientific or scholarly misconduct in a manner that (1) protects 

the public from the results of misconduct, (2) protects innocent scientists and scholars from 

retribution or harassment or interference with their academic freedom, and (3) protects from 

retribution the individual who unmaliciously presents evidence of misconduct. 

3. Definitions. 

a. Scientific or scholarly misconduct means willful deception or intent to deceive in any scientific 

or scholarly endeavor. 

b. The exact nature of the misconduct may vary with the discipline, but it essentially includes the 

following: 

(1) fabrication and falsification of data, 

(2) intentional use of unreliable research methods, 

(3) intentional distortion or misinterpretation of research data or results, 

(4) plagiarism,


(5) other serious deviations from accepted practices in proposing, carrying out, or reporting 

results from scientific or scholarly activities, 

(6) violation of federal, state, or institutional rules on research involving human subjects, 

animals, genetically engineered materials, new drugs and devices and radioactive materials. 

c. The misconduct may appear in the content of a grant proposal, published manuscript, work of 

art, film, news release, or any other expression of scientific or scholarly activity. 

d. Scientific or scholarly misconduct does not include honest error or honest differences in 

interpretations or judgments about data or texts. 

e. The complainant is the person who reports possible misconduct to the mediator. 

f. The mediator is the person who, in conjunction with the Dean of the Graduate School and 

Extended Studies and the President of the Faculty Senate (FS) determine whether there is 

(are) sufficient reason(s) to conduct an inquiry into the alleged misconduct and acts as a 

communications link (or conduit) between the Dean of the Graduate School and Extended 

Studies, the FS President, the complainant, respondent, and (if the matter reaches those stages) 

the bodies conducting the inquiry and investigation. 

g. The mediator is the chair of the FS Ethics in Research Committee (FSERC). If the complainant 

is dissatisfied with the mediator's response, then the alleged misconduct may be reported to the 

University Provost. The President of the University is the final institutional mediator and may 

be contacted by the complainant if responses at the other levels are found unsatisfactory. 

h. The respondent is the person accused of scientific or scholarly misconduct. This person may 

be an employee or appointee of University of Central Missouri or be under the supervision of a 

University of Central Missouri employee or appointee. 

i. The inquiry is the informal information gathering process to determine whether the allegation of 

misconduct warrants an investigation. The inquiry is conducted by the FSERC. 

j. The investigation is the formal examination of all relevant information to determine whether 

the alleged misconduct has occurred. A panel drawn from the FS Arbitration Pool conducts the 

investigation. 

4. Reporting of Alleged Scientific and Scholarly Misconduct. 

Any Central faculty member, staff member, student or person unaffiliated with University of Central 

Missouri who believes that scientific or scholarly misconduct has occurred may submit a written 

allegation to the mediator. 

5. Confidentiality


To the extent allowed by law, we shall maintain the identity of respondents and complainants securely 

and confidentially and shall not disclose and identifying information, except to: (1) those who need to 

know in order to carry out a thorough, competent, objective and fair research misconduct proceeding; 

and (2) ORI as it conducts its review of the research misconduct proceeding and any subsequent 

proceedings. 

To the extent allowed by law, any information obtained during the research misconduct proceeding that 

might identify the subjects of research shall be maintained securely and confidentially and shall not be 

disclosed, except to those who need to know in order to carry out the research misconduct proceeding. 

6. Research Misconduct Proceedings- Criteria, Reports, and Time Limitations 

Promptly after receiving an allegation of research misconduct, defined as a disclosure of possible 

research misconduct through any means of communication, we shall assess the allegation to determine 

if: (1) it meets the definition of research misconduct in 42 CFR Section 93.103; (2) it involves either the 

PHS supported research, applications for PHS research support, or research records specified in 42 CFR 

Section 93.102(b); and, (3) the allegation is sufficiently credible and specific so that potential evidence 

of research misconduct may be identified. 

If it is determined that an inquiry (i.e. an initial review of the evidence to determine if the 

criteria for conducting an investigation have been met) is warranted, we shall complete the inquiry, 

including preparation of the inquiry report and giving the respondent a reasonable opportunity to 

comment on it, within 60 calendar days of its initiation, unless the circumstances warrant a longer 

period. 

If the inquiry takes longer than 60 days to complete, we shall include the documentation of the reasons 

for the delay in the inquiry record. The inquiry report shall contain the following information: (1) The 

name and position of the respondent(s); (2) A description of the allegations of research misconduct; (3) 

The PHS support involved, including, for example, grant numbers, grant applications, contracts, and 

publications listing PHS support; (4) The basis for recommending that the alleged actions warrant an 

investigation; and (5) Any comments on the report by the respondent or the complainant. 

The mediator, in conjunction with the Dean of the Graduate School and Extended Studies and the 

President of the Faculty Senate, will make a written determination of whether an investigation is 

warranted. If the inquiry results in a determination that an investigation is warranted, we shall begin 

the investigation within 30 calendar days of that determination, and on or before the date on which the 

investigation begins, send the inquiry report and the written determination to the ORI. We shall use 

our best efforts to complete the investigation within 120 calendar days of the date on which it began, 

including conducting the investigation, preparing the report of findings, providing the draft report for 

comment, and sending the final report to ORI. 

If it becomes apparent that we cannot complete the investigation within that period, we shall promptly 

request an extension in writing from ORI. 

In the event of scientific or scholarly misconduct the university will provide the respondent with an 

appeal opportunity. A written appeal of the investigative committee’s decision is to be addressed to 

the Provost. Grounds for appeal should be limited to failure to follow appropriate procedures in the 

investigation or arbitrary and capricious decision making. The appeal must be filed within two working 

days of a finding of scientific misconduct. Evaluating of the appeal must be completed within 120 days 

of its commencement. If the appeal process cannot be completed within 120 days, the university may


request an extension in writing from ORI. (This time period does not apply to separate termination 

hearings.) The decision of the appeal is final. 

In conducting all investigations, we shall: (1) Use diligent efforts to ensure that the investigation is 

thorough and sufficiently documented and includes examination of all research records evidence 

relevant to reaching a decision on the merits of the allegations; (2) Interview each respondent, 

complainant, and any other available person who has been reasonably identified as having information 

regarding any relevant aspects of the investigation, including witnesses identified by the respondent, 

and record or transcribe each interview, provide the recording or transcript to the interviewee for 

correction, and include the recording or transcript in the record of the investigation; (3) Pursue diligently 

all significant issues and leads discovered that are determined relevant to the investigation, including 

any evidence of additional instances of possible research misconduct, and continue the investigation to 

completion; and (4) Otherwise comply with the requirements for conducting an investigation in 42 CFR 

Section 93.310 

We shall prepare the draft and final institutional investigation reports in writing and provide the draft 

report for comment as provided elsewhere in these policies and procedures and 42 CFR Section 93.312. 

The final investigation report shall: 

1. Describe the nature of the allegations of research misconduct; 

2. Describe and document the PHS support, including, for example any grant numbers, grant 

applications, contracts, and publications listing PHS support; 

3. Describe the specific allegations of research misconduct considered in the investigation; 

4. Include the institutional policies and procedures under which the investigation was conducted, if 

not already provided to ORI; 

5. Identify and summarize the research records and evidence reviewed, and indentify any evidence 

taken into custody, but not reviewed. The report should also describe any relevant records and 

evidence not taken into custody and explain why. 

6. Provide a finding as to whether research misconduct did or did not occur for each separate allegation of 

research misconduct identified during the investigation, and if misconduct was 

found, (i) identify it as falsification, fabrication, or plagiarism and whether it was intentional, knowing, 

or in reckless disregard, (ii) summarize the facts and the analysis supporting the conclusion and consider 

the merits of any reasonable explanation by the respondent and any evidence that rebuts the respondent’s 

explanations, (iii) identify the specific PHS support; (iv) identify any publications that need correction 

or retraction, (v) identify the person(s) responsible for the misconduct, and (vi) list any current support 

or known applications or proposals for support that the respondent(s) has pending with non-PHS Federal 

agencies; and (7) include and consider any comments made by the respondent and complainant on the 

draft investigation report. 

We shall maintain and provide to ORI upon request all relevant research records and records of our 

research misconduct proceeding, including results of all interviews and the transcripts or recordings of 

such interviews. 

7. Ensuring a Fair Research Misconduct Proceeding 

We shall take all reasonable steps to ensure an impartial and unbiased research misconduct 

proceeding to the maximum extent practicable. We shall select those conducting the inquiry or 

investigation on the basis of scientific expertise that is pertinent to the matter and, prior to 

selection, we shall screen them for any unresolved personal, professional, or financial conflicts 

of interest with the respondent, complainant, potential witnesses, or others involved in the


matter. Any such conflict which a reasonable person would consider to demonstrate potential 

bias shall disqualify the individual from selection. 

8. Notice to Respondent 

During the research misconduct proceeding, we shall provide the following notifications to all identified 

respondents: 

● 

● 

● 

● 

● 

● 

● 

Initiation of Inquiry. Prior to or at the beginning of the inquiry, we shall provide the 

respondent(s) written notification of the inquiry and contemporaneously sequester all research 

records and other evidence needed to conduct the research misconduct proceeding. If the inquiry 

subsequently identifies additional respondents, they shall be promptly notified in writing. 

Comment on the Inquiry Report. We shall provide the respondent(s) an opportunity to comment 

on the inquiry report in a timely fashion so that any comments can be attached to the report. 

Results of the Inquiry. We shall notify the respondent(s) of the results of the inquiry and attach 

the notification copies of the inquiry report and these institutional policies and procedures for the 

handling of research misconduct allegations. 

Initiation of Investigation. Within a reasonable time after our determination that an investigation 

is warranted, but not later than 30 calendar days after that determination, we shall notify the 

respondent(s) written notice of any new allegations within a reasonable time after determining to 

pursue allegations not addressed in the inquiry or in the initial notice of the investigation. 

Scheduling of Interview. We will notify the respondent sufficiently in advance of the scheduling 

of his/her interview in the investigation so that the respondent may prepare for the interview and 

arrange for the attendance of legal counsel, if the respondent wishes. 

Comment on Draft Investigation Report. We shall give the respondent(s) a copy of the draft 

investigation report, and concurrently, a copy of, or supervised access to, the evidence on which 

the report is based and notify the respondent(s) that any comments must be submitted within 30 

days of the date on which he/she received the draft report. We shall ensure that these comments 

are included and considered in the final investigation report. 

Appeal. We shall give the respondent timely notification of the appeal process. 

9. Notifying ORI of the Decision to Open an Investigation and of Institutional Findings and 

Actions Following the Investigation. 

On or before the date on which the investigation begins (the investigation must begin within 30 calendar 

days of our finding that an investigation is warranted), we shall provide ORI with the written finding by 

the Dean of the Graduate School and Extended Studies and a copy of the inquiry report containing the 

information required by 42 CFR Section 93.309(a) (. Upon a request from ORI we shall promptly send 

them: (1) a copy of our institutional policies and procedures under which the inquiry was conducted; (2) 

the research records and evidence reviewed, transcripts or recordings of any interviews, and copies of all 

relevant documents; and (3) the charges for the investigation to consider. 

We shall promptly provide to ORI after the investigation: (1) A copy of the investigation report, all 

attachments, and any appeals; (2) A statement of whether the institution found research misconduct,


and, if so, who committed it; (3) A statement of whether the institution accepts the findings in the 

investigation report; and (4) A description of any pending or completed administrative actions against 

the respondent. 

10. Maintenance and Custody of Research Records and Evidence 

We shall take the following specific steps to obtain, secure, and maintain the research records and 

evidence pertinent to the research misconduct proceeding: 

1. Either before or when we notify the respondent of the allegation, we shall promptly 

take all reasonable and practical steps to obtain custody of all research records and evidence 

needed to conduct the research misconduct proceeding, inventory those materials, and 

sequester them in a secure manner, except tin those cases where the research records or 

evidence encompass scientific instruments shared by a number of users, custody may be 

limited to copies of the data or evidence on such instruments, so long as those copes are 

substantially equivalent to the evidentiary value of the instruments. 

2. Where appropriate, give the respondent copies of, or reasonable, supervised access to the 

research records. 

3. Undertake all reasonable and practical efforts to take custody of additional research records 

and evidence discovered during the course of the research misconduct proceeding, including 

at the inquiry and investigation states, or if new allegations arise, subject to the exception for 

scientific instruments in (1) above. 

4. We shall maintain all records of the research misconduct proceeding, as defined in 42 

CFR Section 93.317(a) for 7 years after completion of the proceeding, or any ORI or HHS 

proceeding under Subparts D&E of 42 CFR Part 93, whichever is later, unless we have 

transferred custody of the records and evidence to HHS, or ORI has advised us that we no 

longer need to retain the records. 

11. Interim Protective Actions 

At any time during a research misconduct proceeding, we shall take appropriate interim actions to protect public 

health, federal funds and equipment, and the integrity of the PHS supported research process. The necessary 

actions will vary according to the circumstances of each case, but examples of action that may be necessary 

include delaying the publication of research results, providing for closer supervision of one or more researchers, 

requiring approvals for actions relating to the research that did not previously require approval, auditing pertinent 

records, or taking steps to contact other institutions that may be affected by an allegation of research misconduct. 

Notifying ORI of Special Circumstances that may Require Protective Actions 

At any time during a research misconduct proceeding, we shall notify ORI immediately if we have 

reason to believe that any of the following conditions exist: 

1. Health or safety of the public is at risk, including an immediate need to protect human or animal 

subjects. 

2. HHS resources or interests are threatened. 

3. Research activities should be suspended. 

4. There is a reasonable indication of violations of civil or criminal law.


5. Federal action is required to protect the interests of those involved in the research misconduct 

proceeding. 

6. We believe the research misconduct proceeding may be made public prematurely, so that HHS 

may take appropriate steps to safeguard evidence and protect the rights of those involved. 

7. We believe the research community or public should be informed. 

12. Institutional Actions in Response to Final Findings of Research Misconduct 

We will cooperate with and assist ORI and HHS, as needed, to carry out any administrative actions HHS 

may impose as a result of a final finding or research misconduct by HHS. 

13. Restoring Reputations 

Respondents. We shall undertake all reasonable, practical, and appropriate efforts to protect and restore 

the reputation of any person alleged to have engaged in research misconduct, but against whom no 

finding of research misconduct was made, if that person or his/her legal counsel or other authorized 

representative requests that we do so. 

Complainants, Witnesses, and Committee Members. We shall undertake all reasonable and practical 

efforts to protect and restore the position and reputation of any complainant, witness, or committee 

member and to counter potential or actual retaliation against those complainants, witnesses, and 

committee members. 

14. Cooperation with ORI 

We shall cooperate fully and on a continuing basis with ORI during its oversight reviews of this 

institution and its research misconduct proceedings and during the process under which the respondent 

may contest ORI findings or research misconduct and proposed HHS administrative actions. This 

includes providing, as necessary to develop a complete record of relevant evidence, all witnesses, 

research records, and other evidence under our control or custody, or in the possession of, or accessible 

to, all persons that are subject to our authority. 

Reporting to ORI. We will report to ORI any proposed settlements, admissions of research misconduct, 

or institutonal findings of misconduct that arise at any stage of a misconduct proceeding, including the 

allegation and inquiry stages. 

Related Resources 

UCM Ethics Policy 

Ethics Procedure 

Whistleblower Procedures 

O. Regulations and Guidelines Regarding Technology at UCM


Because the nature of technology is one of rapid change, Technology regulations and guidelines are 

maintained on the Office of Technology web site, www.ucmo.edu/ot. Examples of these regulations and 

guidelines include, but are not limited to, such documents as: 

Network Security Regulations 

Use, Acquisition and Support of Technology 

Email Regulations 

Copyright and the DMCA 

Purchasing Standards 

Software Support 

UCM Acceptable Use Guidelines 

Any questions about Technology regulations and guidelines at UCM may be directed to the Technology 

Support Center at 660-543-4357 or tsc@ucmo.edu."

IV. INSTITUTIONAL POLICIES AND PROCEDURES A ...

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