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diff --git a/handbook.md b/handbook.md index b031302..20a8e20 100644 --- a/handbook.md +++ b/handbook.md @@ -7794,6 +7794,2409 @@ WPI also invites all employees to voluntarily self-identify themselves to the Office of Human Resources. More information can be found on our website. +\newpage + +--------------------------------------------- + +# Chapter Ten - Faculty Conduct Policies {#chapter-10} + +## I. Policy on Faculty Conduct[^11] + +[^11]: This policy replaces and supersedes all previous Faculty Conduct +Policies, including policy entitled "Worcester Polytechnic Institute +Faculty Conduct Policy" approved by the Board of Trustees on May 11, +2018. The procedures outlined herein apply to conduct predating the +implementation date unless a proceeding is pending under the old +policy. All faculty members and instructional staff not covered by +this Policy should consult the Work Behavior/Discipline section of the +Human Resources Employee Benefits and Policies Manual. + +(Approved by the Faculty, *February 7, 2019*) + +### 1. Introduction and Applicability + +Members of the Worcester Polytechnic Institute ("WPI") faculty have +traditionally conducted themselves in accordance with high standards +of professional performance, ethical behavior and personal conduct. +Nonetheless, from time to time it may be necessary to take action with +respect to a faculty member who engages in conduct incompatible with +the responsibilities of faculty membership or who fails to meet +reasonable standards of performance or behavior. In recognition of +this need, WPI has developed the following policy to respond to +allegations of misconduct not covered by WPI's Research Misconduct +Policy and WPI's Sexual Misconduct Policy and to inform members of the +community of the appropriate channels for bringing such matters to the +attention of WPI. This Policy applies to tenured, tenure-track, and +continuing full-time non-tenure track members of the WPI faculty, +including the President, the Provost, the Vice Provost for Research, +and the Academic Deans. + +### 2. Definitions + +a. *Complainant.* The individual, department or entity alleging + misconduct. + +b. *Respondent.* The individual against whom an allegation of + misconduct is made. + +c. *Dean.* The Dean of the Respondent's School, department or program. + +d. *Investigator.* The individual responsible for conducting an + impartial investigation of the allegations of misconduct when the + process moves beyond the initial review. + +e. *Judicial Committee.* The panel of three faculty members and three + senior academic administrators responsible for determination of + responsibility and sanctions when the process moves beyond the + initial review. + +### 3. Grounds for Misconduct + +Generally, grounds for misconduct are based on violations of +professional ethics[^12] in carrying out one's responsibilities to: a) +teaching and students; b) scholarship; c) the University; d) +colleagues; and e) the community. Nothing in this policy restricts a +person's rights to privacy, academic freedom, free speech, and free +expression including the right to speak out against a policy or action +of the University. + +[^12]: See for example AAUP Statement on Professional Ethics. + +The ethical responsibilities and examples of violations in each +category are described as follows: Teaching and Students: As teachers, +professors encourage the free pursuit of learning in their +students. They hold before them the best scholarly and ethical +standards of their discipline. Professors demonstrate respect for +students as individuals and adhere to their proper roles as +intellectual guides and counselors. Professors make every reasonable +effort to foster honest academic conduct and to ensure that their +evaluations of students reflect each student's true merit. They +respect the confidential nature of the relationship between professor +and student. They avoid any exploitation, harassment, or +discriminatory treatment of students. They acknowledge significant +academic or scholarly assistance from them. They protect their +academic freedom. Examples of unacceptable behavior are: + +a. Failure to meet the responsibilities of instruction; + +b. Discrimination, including harassment against a student on grounds + described in + <https://www.wpi.edu/about/policies/equal-opportunity-anti-discrimination-harassment> + or any other arbitrary or personal reason, including disability; + +c. Violation of University instructional policies; + +d. Use of position of power to coerce the judgment or the conscience + of a student or to cause harm to a student for arbitrary or + personal reasons; + +e. Participating or deliberately abetting disruption, interference, or + intimidation in the classroom. + +*Scholarship:* Professors, guided by a deep conviction of the worth +and dignity of the advancement of knowledge, recognize the special +responsibilities placed upon them. Their primary responsibility to +their subject is to seek and to state the truth as they see it. To +this end professors devote their energies to developing and improving +their scholarly competence. They accept the obligation to exercise +critical self-discipline and judgment in using, extending, and +transmitting knowledge. They practice intellectual honesty. Although +professors may follow subsidiary interests, these interests must never +seriously hamper or compromise their freedom of inquiry. This Policy +covers misconduct related to scholarship only if it is not covered by +the Research Misconduct Policy +<https://www.wpi.edu/sites/default/files/docs/About-WPI/Policies/Research_Misconduct_Policy.pdf>. + +*The University:* As members of an academic institution, professors seek +above all to be effective teachers and scholars. Although professors +observe the stated regulations of the institution, provided the +regulations do not contravene academic freedom, they maintain their +right to criticize and seek revision. Professors give due regard to +their paramount responsibilities within their institution in +determining the amount and character of work done outside it. When +considering the interruption or termination of their service, +professors recognize the effect of their decision upon the program of +the institution and give due notice of their intentions. Examples of +unacceptable behavior are: + +a. Incitement of others to disobey University rules when such +incitement constitutes a clear and present danger that violence or +abuse against persons or property will occur; + +b. Unauthorized use of University resources or facilities on a +significant scale for personal, commercial, political, or religious +purposes; + +c. Forcible detention, threats of physical harm to, or harassment of +another member of the University community, that interferes with that +person's performance of University activities; + +d. Significant violations of institutional or departmental policies; + +e. Discrimination, including harassment against any employee, +contractor, intern on grounds described in +<https://www.wpi.edu/about/policies/equal-opportunity-anti-discrimination-harassment> +or any other arbitrary or personal reason, including disability. + +*Colleagues:* As colleagues, professors have obligations that derive +from common membership in the community of scholars. Professors do not +discriminate against or harass colleagues. They respect and defend the +free inquiry of associates, even when it leads to findings and +conclusions that differ from their own. Professors acknowledge +academic debt and strive to be objective in their professional +judgment of colleagues. Professors accept their share of faculty +responsibilities for the governance of their institution. Examples of +unacceptable behavior are: + +a. Making evaluations of the professional competence of faculty +members by criteria not directly reflective of professional +performance; + +b. Discrimination, including harassment against any employee, +contractor, intern on grounds described in +<https://www.wpi.edu/about/policies/equal-opportunity-anti-discrimination-harassment> +or any other arbitrary or personal reason, including disability; + +c. Violation of University policies related to collegiality; + +d. Breach of established rules governing confidentiality in personnel +procedures. + +*The Community:* As members of their community, professors have the +rights and obligations of other citizens. Professors measure the +urgency of these obligations in the light of their responsibilities to +their subject, to their students, to their profession, and to their +institution. When they speak or act as private persons, they avoid +creating the impression of speaking or acting for their college or +university. As citizens engaged in a profession that depends upon +freedom for its health and integrity, professors have a particular +obligation to promote conditions of free inquiry and to further public +understanding of academic freedom. Examples of unacceptable behavior +are: + +a. Intentionally misrepresenting that one's personal views are the +views, or position of the University; + +b. Illegal actions that clearly demonstrate unfitness to continue as a +faculty member; + +c. Conduct not protected by academic freedom, free speech, and freedom +of expression that significantly damages the University's reputation +or mission. + +### 4. Sanctions + +A finding of responsibility for faculty misconduct can result in a +wide range of sanctions, depending on the circumstances of a +particular case. Sanctions must be commensurate with the seriousness +of the misconduct. Seriousness, and thus the sanction, will depend on +the egregiousness of a particular action and may be affected by the +Respondent's level of cooperation with the process set forth in this +Policy, and persistence of behavior in the face of prior warnings, +counseling or sanctions. In some instances, a single instance of +unacceptable activity by a faculty member may be severe enough to +warrant sanctions, including dismissal. In other instances, only a +pattern of activity or the continuation of a particular activity or +activities may warrant sanctions. + +The circumstances that may lead to disciplinary sanctions cannot be +anticipated in precise terms and thus grounds for sanctioning faculty +members are not made the subject of a precise or comprehensive +statement. The determination of appropriate sanctions will account +for the following factors, including but not limited to: + ++ the nature and circumstances of the misconduct; + ++ the impact of the misconduct on the person who experienced the +misconduct and the WPI community; + ++ the disciplinary history of the Respondent and the Respondent's +cooperation with the process set forth in this Policy; + ++ the intent of the Respondent in committing the misconduct; and + ++ any other mitigating or aggravating circumstances in order to reach +a fair and appropriate resolution in each case. + +As with the definition of misconduct, it is not feasible or wise to +automatically assign a specific sanction to particular misconduct. +Examples showing the range of possible sanctions include, but are not +necessarily limited to[^13]: + +[^13]: The referral of a faculty member to the Employee Assistance +Program (see +<https://www.wpi.edu/offices/talent/benefits-payroll-perks/benefits-matrix/employee-assistance-program>), +training, counseling, or coaching is not considered a disciplinary +sanction under this policy. + ++ A letter of reprimand from the Dean to be placed in the personnel file ++ A formal apology from the Respondent ++ Remedial training or counseling ++ Supervision or oversight of professional activity for specified period of time ++ Reassignment of duties, facilities or support ++ Limitation of professional responsibilities for a specified period of time ++ Restitution of misappropriated funds ++ Withholding increases in compensation ++ Reduction of salary ++ Suspension for a specific time with pay ++ Suspension without pay ++ Termination of employment + +Sanctions of demotions in rank or revocation of tenure are only +appropriate in cases where appointment, promotion, or tenure were +obtained by fraud or dishonesty. + +### 5. General Matters + +a. All parties are encouraged to resolve disputes and disagreements in +a mutually acceptable manner before this Policy is invoked. After +this Policy is invoked, allegations of misconduct may be resolved at +any time by mutual agreement of the Respondent, the Complainant and +the Dean. + +b. At all times, the parties shall cooperate with the process, +preserve (and not delete or destroy) evidence, and provide information +and materials as requested. + +c. The Respondent should be provided with reasonable updates and +opportunities to respond. + +d. The Respondent shall be permitted the assistance of one (1) advisor +or legal counsel during any investigative proceeding, including any +related meeting, interview, or hearing. Advisors may communicate with +their advisee but may not speak or otherwise communicate on behalf of +a party. Advisors are subject to the same confidentiality obligations +applicable to others in attendance. + +e. The Respondent is entitled to the presumption of innocence, the +opportunity to respond to allegations of misconduct, and the +opportunity to present a defense and offer evidence. The standard of +proof in deciding that misconduct has occurred should be based on a +preponderance of the evidence standard. This standard requires the +determination of whether it is more likely than not that a fact exists +or a violation of this Policy occurred. + +f. Deadlines under this Policy may be extended upon a showing of +reasonable cause. + +### 6. Initial Review of Allegations + +a. Allegations of misconduct (a "Complaint") should be made in writing +to the Dean of the School, department or program of the Respondent +named in the Complaint. The fact that a Complaint has been received +should be made known only to the Respondent and to other persons who +need to know, based on the Dean's discretion. It should be expected +that the Dean will notify the Provost and/or the President about +allegations of misconduct. "Because the Provost and President may be +involved later in the process, they must each respect the integrity of +the process as it moves forward." + +b. Upon receiving a Complaint, the Dean shall promptly send a copy of +the Complaint and a copy of this Policy to the Respondent, and shall +take appropriate action to obtain and secure relevant evidence. + +c. The Respondent shall have an opportunity to provide a written +response to the allegations within ten (10) days of receiving the +Complaint from the Dean. + +d. Once a Complaint has been received, the Dean may explore the +possibility of a satisfactory resolution outside the scope of this +Policy. + +e. If the Dean believes the alleged misconduct poses any risk to the +community, the Dean may, in the Dean's discretion, impose appropriate +interim sanctions up to and including suspension with pay and an order +that the Respondent not enter WPI's property, or participate in WPI +activities or programs. The suspension shall become effective upon +notification in writing to the faculty member. The Secretary of the +Faculty shall be informed of the suspension. The Dean may revoke a +suspension at any time. If not revoked earlier, a suspension shall +remain in effect until the final disposition of the process set forth +in this Policy. + +f. Upon receipt of a Complaint, the Dean shall review the Complaint +and determine whether the allegations in the Complaint would, +presuming the allegations to be true, meet the definition of +misconduct as set forth in this Policy. If, presuming the allegations +to be true, the Complaint does not meet the definition of misconduct, +the Dean shall dismiss the Complaint. Otherwise, the process will +move forward as set forth herein. In either case, the Dean will +promptly provide written notice of the decision and rationale to the +Respondent and the Complainant. + +g. If the Dean concludes that the process should move forward, the +Dean shall appoint three unbiased faculty members from outside of the +Respondent's home department to: + + i. Review the written Complaint and meet with the Complainant to + get their version of the alleged misconduct and relevant events; + + ii. Review the written response from the Respondent and meet with + the Respondent to get their version of the relevant events; + + iii. Assess whether the behavior alleged constitutes a violation + of this Policy and is sufficiently credible and specific so that + potential evidence of such misconduct may be identified. + + iv. Prepare a written report summarizing the process and + information reviewed and, based on the criteria described in + [Section 7.g) iii](link) above, recommend to the Dean whether the + process under this Policy should continue or whether the Complaint + should be dismissed. The report should identify the names of the + Complainant and the Respondent, contain a description of the + allegations, explain why the faculty members recommend that the + Complaint should be dismissed or that the process should continue + under this Policy, and reflect the numerical vote (but not the + names) of the three faculty members. The report shall be sent to + the Dean. + +h. The Dean will consider the faculty's recommendation and then decide +whether the process under this Policy should continue or whether the +Complaint should be dismissed. When the allegations are within the +faculty's area of primary responsibility (i.e., curriculum, subject +matter and methods of instruction, research and those aspects of +student life which relate to the educational process), the Dean should +normally accept the faculty's decision. In rare instances and for +compelling reasons, however, the Dean may reject the faculty's +determination. Regardless of the decision, the Dean shall state in +writing the basis for the decision and promptly send a copy of both +the Dean's report and the report written by the three faculty members +to the Complainant and the Respondent. In all cases, the Dean shall +also send a copy the of the Dean's report to the three faculty +members. If the Dean decides that the process should continue, then +the Dean's report will include a sufficiently detailed description of +the allegations, the portions of this Policy that are alleged to have +been violated, and any interim measures in place about which either +party should be made aware. This written notice does not constitute a +finding or a determination of responsibility. If the Dean decides that +the process should continue, the Dean shall also provide a copy of +both reports to the Provost, and the matter shall proceed as described +below. + +i. The Dean shall make the decision about whether the Complaint will +proceed under this Policy within sixty (60) days following the Dean's +receipt of the Complaint. The Dean may extend this deadline for a +reasonable time if necessary under the circumstances. The Dean shall +notify all parties of any extensions. + +### 7. The Investigative Phase + +a. Within ten (10) days after receipt of the Dean's decision to +continue the process under this Policy, the Provost and the Secretary +of the Faculty shall collaborate in good faith, concerning the +appointment of an unbiased, qualified Investigator. Following such +good faith collaboration, the Provost and the Secretary of the Faculty +shall agree upon and appoint an unbiased, qualified Investigator +(e.g. Title IX coordinator or qualified investigator from outside the +university) charged with responsibility for conducting a prompt, fair, +and impartial investigation of the alleged conduct and presenting +evidence to the Judicial Committee (described below). The Provost +and/or the Secretary of the Faculty may consult with the Office of +General Counsel, the Vice President of Human Resources, and/or such +other persons who would be helpful in selecting the appropriate +Investigator. If the Secretary of the Faculty and the Provost cannot +agree on an Investigator, the President shall select one after +reviewing the Secretary of the Faculty's and the Provost's +recommendations. The Provost will promptly provide the Respondent with +the name of the Investigator. As soon as possible, but no later than +three (3) calendar days after delivery of the identity of the +Investigator, the Respondent should inform the Provost (in writing) of +any potential conflicts of interest about the selected +Investigator. The Provost will collaborate in good faith with the +Secretary of the Faculty in considering the nature of the potential +conflict and in determining if a change is necessary. Following such +good faith collaboration, the Provost shall determine if a change is +necessary. The Provost's decision regarding any conflicts with the +Investigator is final. + +b. The investigation conducted by the Investigator should focus on the +violation(s) alleged in the Complaint. The investigation will include +the review of documentation or other items relevant to the reported +conduct as well as separate interviews with the Complainant, the +Respondent, and any witnesses whom the Investigator believes will +provide necessary and relevant information. The Respondent will have +the opportunity to provide the Investigator with written notice of the +names and contact information of potential witnesses with whom they +would like the Investigator to speak, together with a brief +explanation of how the persons, documents, and/or items are relevant +to the reported conduct. The Respondent may also provide the +Investigator with any documentation or other items they would like to +be considered. The Investigator will exercise discretion in +determining what information and questions to consider and which +potential witnesses will be interviewed. + +c. The purpose of the investigation is not to look for evidence of +misconduct unrelated to the allegations in the Complaint. To the +contrary, the investigation should focus on the violation(s) alleged +in the Complaint. However, if in the normal course of gathering +evidence, the Investigator discovers evidence of other potential +violations of this Policy that are separate from or in addition to the +allegations in the original Complaint, then the Investigator should +inform the Dean (in writing) of the new allegation. The Dean shall +notify the Respondent of the additional potential violations and give +the Respondent ten (10) days to provide a written response to the +additional potential violations. This deadline may be extended by the +Dean as necessary under the circumstances. The Dean will treat any +new unrelated allegation as a separate Complaint starting at Section 6 +of this Policy (Initial Review of Allegations). + +### 8. Procedures Following the Investigative Phase + +a. *The Investigative Report:* After the investigation is completed, the +Investigator will deliver an Investigative Report to the Dean. The +Investigative Report shall: + + i. include a clear Statement of Charges that specifies the conduct + that allegedly violates this Policy, the particular section(s) of + this Policy allegedly violated, the time period when the conduct + allegedly occurred, and any other information necessary to give + the Respondent fair notice of the charges and alleged violations; + + ii. include a summary of the information presented during the + investigation including a section where the Investigator points + out relevant consistencies or inconsistencies (if any) between + different sources of information; + + iii. not include a recommendation or a determination as to whether + the Respondent has committed misconduct or what sanctions may be + appropriate. These determinations will be made by the Judicial + Committee (see below). + +b. *Review by the Respondent:* Within five (5) business days of +receiving the Investigative Report, the Dean will provide the +Respondent with a copy of the Investigative Report. The Respondent +shall respond in writing to the Statement of Charges included in the +Investigative Report. The Respondent will also have an opportunity to +submit written comments to the Dean about the Investigative Report +within five (5) business days of receiving the Report. The time to +submit written comments may be extended if the Dean concludes, in +his/her sole discretion, that additional time is warranted. After +reviewing the submission, if any, from the Respondent, the Dean may +determine that additional investigation is required, in which case the +Investigator will supplement the Investigative Report and submit a +final Investigative Report to the Dean. Any submissions made by the +Respondent, as well as any other documentation deemed relevant by the +Investigator, will be attached to the Investigative Report. Within +three (3) business days of receiving the final Investigative Report, +the Dean will provide the Respondent with a copy of the final +Investigative Report. + +c. *Convening the Judicial Committee:* After receipt of the final +Investigative Report, the Provost and the Secretary of the Faculty +shall appoint a six member Judicial Committee ("Committee") comprised +of three senior administrators and three faculty members from outside +the Respondent's home department. + + i. The faculty members shall be selected from the elected members + of the Faculty Review Committee (FRC) and the elected faculty + members of the Campus Hearing Board (CHB). + + ii. The senior administrators shall be selected from a pool of + senior academic administrators. Once the Committee has been + appointed, the Dean shall notify the Respondent in writing of the + names of the members of the Committee. Within five (5) days, the + Respondent may challenge the composition of the Committee based on + alleged bias or conflict of interest. If a challenge is raised, + the remaining members of the Committee shall determine whether + bias or a conflict exists. If a bias or conflict is found, the + Provost and the Secretary of the Faculty shall select a + replacement from the pool of elected FRC and CHB members or from + other academic administrators, as appropriate. + +d. *Roles and Responsibilities of the Judicial Committee:* Within ten +(10) days following the establishment of the Committee (and the +resolution of any challenge(s) based on bias or conflict of interest), +the Committee should meet and select one faculty member and one senior +academic administrator to serve as Co-Chairs. + +The Judicial Committee will obtain the Investigative Report from the +Dean and convene to review the Investigative Report. The Judicial +Committee, in its discretion, may request the Investigator to attend a +Judicial Committee meeting and answer questions. The Judicial +Committee, in its discretion, may request the Investigator to conduct +additional investigation on specific points. In addition, the +Judicial Committee must interview the Complainant and the Respondent +(where those individuals are available and willing to be interviewed) +and, in its discretion, may request to speak with any other individual +identified in the Investigative Report as well as any other individual +with relevant information including individuals identified by the +parties. + +The Judicial Committee may request the parties that participated in +the investigation to appear at a hearing to answer questions posed by +the Judicial Committee. The Respondent should indicate whether the +Respondent waives the holding of a hearing. If a hearing is to take +place, then: + + i. The Committee Co-Chairs should promptly set a schedule for the + hearing and the other disclosures and responses addressed in this + section. The hearing schedule may take place over several days, as + necessary. Before setting the schedule, the Committee Co-Chairs + should discuss the proposed schedule with the Respondent. Once + the schedule is set, the Committee Co-Chairs may allow reasonable + extensions of time upon request. + + ii. The Committee Co-Chairs shall provide the Respondent with + copies of all materials the Committee intends to use at the + hearing and the names of witnesses expected to testify. + Thereafter, the Committee Co-Chairs may supplement these materials + as necessary with adequate notice given to the Respondent. + + iii. The Respondent shall provide the Committee Co-Chairs with + copies of all materials the Respondent intends to use at the + hearing and the names of any witnesses expected to + testify. Thereafter, the Respondent may supplement these materials + as necessary with the permission of the Committee Co-Chairs. + +At the hearing: + + i. The Respondent shall have an opportunity to present the + Respondent's defense to the Committee including any documents, + witnesses or other evidence. The Respondent should be allowed, + within reasonable limits set by the Committee Co-Chairs, to + question witnesses. + + ii. The Committee will not be bound by rules of evidence + applicable in a court of law, and may admit any evidence which, in + its opinion, is of probative value in deciding the issues + involved. If any facts are in dispute, the Committee shall + determine the order in which evidence is offered at the hearing + and the process for questioning witnesses. + +The Committee shall conclude its review of the case (including the +hearing) and make a decision within sixty (60) days after the +establishment of the Committee (and the resolution of any challenge(s) +based on bias or conflict of interest). All findings and +determinations of responsibility and sanctions will be made based on a +preponderance of the evidence standard. This standard requires the +determination of whether it is more likely than not that a fact exists +or a violation of this Policy occurred. + +Upon reaching a determination by majority vote (4 to 2, 5 to 1, or 6 +to 0), the Committee shall provide a written report to the Dean, the +Provost, the Respondent and the Complainant consisting of: (i) the +Committee's factual findings; (ii) a decision as to whether the +Respondent committed misconduct; (iii) any sanction; and (iv) the +rationale for these decisions addressing the merits of any reasonable +explanation or defense provided by the Respondent; and (v) the +numerical vote of the Committee without identifying individual votes. + +In the case of a tie vote (3 to 3), the Committee shall deliver its +report (with its factual findings, with appropriate rationale both for +and against a finding of responsibility, and without a determination +of responsibility and sanctions) to the President. The Committee's +report shall indicate that the vote was tied and whether the three +faculty members all voted to find the Respondent not responsible. The +President will have access to all written reports and materials +relevant to the case. In all such cases, the President shall consider +the matter and consult with the Judicial Committee and the Secretary +of the Faculty before making a decision. + + i. If the three faculty members on the Judicial Committee did not + all vote to find the Respondent not responsible then the President + shall make a final written decision with supporting reasons about + whether the Respondent committed misconduct and any sanctions to + be imposed. The President's final written decision shall be + delivered to the Provost, the Complainant, the Respondent, and the + Judicial Committee. The Respondent, the Complainant, and the + Provost shall also receive the Judicial Committee's written + report. + + ii. If the three faculty members on the Judicial Committee did all + vote to find the Respondent not responsible and the President + agrees with the faculty position, then the President will notify + the Judicial Committee, the Dean, the Provost, the Complainant and + the Respondent that the Respondent has been found not responsible. + The Respondent, the Complainant, and the Provost shall also + receive the Judicial Committee's written report. + + iii. If the three faculty members on the Judicial Committee did + all vote to find the Respondent not responsible and the President + disagrees with the faculty position, then the President will state + the reasons for doing so, in writing, to the Judicial Committee + and the Respondent and shall provide an opportunity for a response + from the Respondent before transmitting the Judicial Committee's + report and the supporting materials relevant to the matter, to the + Board of Trustees. The Board's review will be based on the + supporting materials relevant to the case, and it will provide the + opportunity for argument, oral or written or both, at the hearing, + by the parties and one of the faculty members on the Judicial + Committee, or by their representatives. If the Board is inclined + to find the Respondent responsible, then the Board shall state the + basis for its inclination in writing and return the proceedings to + the Judicial Committee for reconsideration. The Committee will + then reconsider, taking into account the Board's comments and + receiving new evidence, if necessary. The Board of Trustees will + make a final decision only after study of the Committee's + reconsideration. The Board's final written decision shall be + delivered to the President, the Provost, the Complainant, the + Respondent, and the Judicial Committee. The Respondent shall also + receive the Committee's written report. + +### 9. Appeals + +a. The Respondent may appeal any finding of misconduct and any +sanction to the President within two (2) weeks after the Respondent +received notification of the decision. If the Respondent is appealing +from a decision made by the President (where the Committee vote had +been tied) then the appeal should be directed to the Chair of the +Board of Trustees. The President (or Board Chair) will have access to +all written reports and materials relevant to the case. + +b. Before the President (or Board Chair) decides the appeal, the +President (or Board Chair) shall consult with the Judicial Committee +Chair and the Secretary of the Faculty. The President (or Board Chair) +should issue a decision within thirty (30) days of receiving the +appeal. The President's (or Board Chair's) decision shall be final in +all cases except cases involving a sanction of termination of +employment or revocation of tenure. + +c. If the President (or Board Chair) imposes a sanction of termination +of employment or revocation of tenure, the Respondent may appeal the +finding of misconduct and the sanction to the full Board of Trustees +within two (2) weeks after the President (or Board Chair) notifies the +Respondent of the imposition of the sanction. If the Respondent +appeals to the full Board, the Chair of the Board (or Board Vice-Chair +in a case where the appeal was decided by the Chair), following good +faith collaboration with the Secretary of the Faculty, shall appoint a +committee of five (5) faculty members (who have not had prior +involvement in the case) who will make a recommendation regarding the +finding of misconduct and the sanction imposed. The faculty committee +will have access to all written reports and materials relevant to the +case. The faculty committee will summarize the basis for its +recommendation in a written report to the Board Chair (or Board +Vice-Chair) within thirty (30) days. The Board Chair (or Board +Vice-Chair) should issue a written decision within thirty (30) days of +receiving the faculty committee's report. The Board Chair's (or +Vice-Chair's) decision shall be final. + +d. Other than interim institutional actions which may already be in +effect, any finding of misconduct, and the imposition of any sanction, +will be stayed while an appeal is pending before the President or the +Board of Trustees. + +e) If a faculty member is dismissed or suspended without pay, the +faculty member's salary ends at a future time to be determined by the +Board of Trustees. + +### 10. Provisions Common to the Misconduct Review Process + +a. *No Bias or Conflicts of Interest:* To the maximum extent +practicable, steps should be taken to ensure an impartial and unbiased +process, including participation of persons who have no conflicts of +interest that could affect their ability to be objective and unbiased. + +In cases where allegations of misconduct have been brought against the +Dean or the Provost, or where there is a claim of bias or conflict of +interest involving the Dean or the Provost, then the President shall +resolve any questions of bias or conflict of interest and adjust the +process as necessary. The President's decision on such questions shall +be final. In cases where allegations of misconduct have been brought +against the President, or where there is a claim of bias or conflict +of interest involving the President, then the Provost shall resolve +any questions of bias or conflict of interest and adjust the process +as necessary. + +In the case when allegations have been brought against the Secretary +of the Faculty, the Chair of the Committee on Governance will play the +role of the Secretary of the Faculty in this policy. + +b. *Duty of Honesty:* Any person who knowingly makes a false statement +- either explicitly or by omission - in connection with any part of +the process will be subject to separate disciplinary action. A false +or unfounded report of misconduct determined to have been made in bad +faith and dishonesty is a serious offense. Such offenses should +themselves be investigated under the appropriate WPI policy and may +lead to disciplinary action, up to and including termination of +employment or other affiliation with WPI. A report made in good faith +is not considered false merely because the evidence does not +ultimately support the allegation of violation of the Policy. + +c. *Good Faith Participation by the Parties and Witnesses:* The +investigation is a neutral fact-gathering process. Although +participation in the process is not required, the Complainant, the +Respondent, and all witnesses are expected to participate in good +faith in the process set forth in this Policy, and they may be +required by WPI to attend meetings related to the process. Any person +who knowingly interferes with the reporting, investigation, or +resolution of matters under this Policy may be subject to separate +and/or additional disciplinary action. + +d. *Confidentiality:* Proceedings concerning misconduct often raise +difficult issues for those making the allegations, for those who are +the subject of the allegations, and for those responsible for +reviewing the allegations. Review of the allegations should therefore +be conducted promptly and with care and sensitivity. All participants +in the review process under this Policy are expected to maintain +confidentiality to protect the privacy of all involved, to the extent +possible and as permitted by law. Participants should keep in mind +the effect that allegations can have on reputations, even if the +allegations are not sustained by the proceedings. + +e. *No Retaliation:* Retaliation is typically a significant adverse +action taken against an individual because the individual participated +in a review process. Retaliation is a serious offense. No one shall +be retaliated against for participating in a review of a misconduct +allegation in good faith as a Complainant, a witness, a factfinder, or +investigator or in any other capacity. Reasonable efforts should be +made to counter potential or actual retaliation against these +complainants, witnesses and committee members. A complaint of +retaliation may be investigated and may lead to disciplinary action, +up to and including terminating the individual's relationship with +WPI. + +f. *Record Keeping:* The Provost should receive and maintain all +records relating to proceedings under this Policy including all +notices to and from the parties, all written reports, all decisions, +all appeals by the parties, and all decisions involved in the appeals +process under this Policy. + +g. *Special Measures:* If there is no finding of misconduct, the +University should make reasonable and practical efforts as appropriate +to restore the reputation of the Respondent. Any such concerns by the +Respondent should be directed to the Provost for follow up with other +administrators as appropriate. + + +## II. WPI Policy on Research Conduct + +(Approved by the Faculty, *December 12, 2017*) +(Approved by the Board of Trustees, *December 15, 2017*) + +### Introduction + +The integrity of the University and its academic endeavors require +that teachers, researchers, advisors and other members of its +community be dedicated to maintaining the highest ethical standards in +their professional activities. Unethical behavior in research and +scholarship strikes at the heart of the scholarly and educational +enterprise. A shared understanding of expectations and +responsibilities is, therefore, critical - not only to the quality of +the research enterprise but also to the collegial life of this +community. + +Supervisors must enforce the highest standards for conducting research +and creating and maintaining records of the research. The risk of +misconduct increases in an environment where there is a lack or +deficiency of supervision. Specifically, faculty supervisors, +principal investigators, laboratory and center directors and +Department Heads, should clearly articulate standards and protocols +for research, scholarship, and creative work, through discussion and +review of research, and, when possible, with written guidelines and +training that adhere to best practices. + +In recognition of the need to maintain the highest standards in +research conduct, WPI has developed the following policy to respond to +allegations of research misconduct[^14] and to inform members of the +community of the appropriate channels for bringing such matters to the +attention of the University.[^15] This policy applies to Research +Activities conducted at WPI or by WPI faculty, staff, fellows, +students. + +[^14]: This policy is based upon the federal regulations governing +research misconduct in connection with United States Public Health +Service ("PHS")-supported activities and will be interpreted and +applied so as to be in compliance with those regulations. WPI has +also determined that this policy will be applied as the minimum +standard to all allegations of research misconduct, regardless of the +funding source(s) or whether the scholarly activity is funded. +Institutional response to research misconduct allegations in areas not +PHS-supported will follow the same general principles except for the +actual involvement of PHS. In the event another research sponsor has +additional requirements beyond those covered by this policy, all +research funded by that source will be subject to those additional +requirements. + +[^15]: This policy replaces the prior policy entitled "Policy and +Procedure for Removal of Tenured Faculty Member for Cause" adopted in +1969 as it relates to matters concerning research misconduct. This +policy also replaces the Research Misconduct Policy passed by the +Board of Trustees on December 13, 2013 and the Research Misconduct +Policy passed by the Faculty on January 23, 2014. + +The appropriate institutional response to research misconduct will +vary with the facts and circumstances of each case. In addition to +requiring correction of the research record, WPI has recourse to a +variety of disciplinary actions against individuals whose conduct +violates this policy, including, in severe cases and following +applicable procedures, expulsion of a student, termination of an +employee, or revocation of tenure. + +The procedures described in this policy are consistent with +requirements that apply to the review and reporting of allegations of +research misconduct arising in the context of certain federally +sponsored research. This Policy should be reviewed and updated +periodically in order to ensure compliance with applicable legal +requirements. + +### Students + +If a student is involved in the review of an allegation of Research +Misconduct (whether as a Complainant, as a Respondent, or as a person +from whom information about allegations is obtained), fact finders and +investigators must seek guidance from the Office of the Vice Provost +for Research regarding the legal and policy requirements that may +apply. + +Except as they may be subject to the requirements of grants, sponsored +research or research funded by a governmental authority, allegations +of Research Misconduct committed by students will be addressed in +accordance with provisions of the Student Code of Conduct dealing with +Student Academic Dishonesty. + +### Definitions + +Research Activities are proposing, conducting, processing, reviewing, +or reporting the results of research or other scholarly inquiry. + +Research Misconduct is Fabrication, Falsification, or Plagiarism in +Research Activities or Deliberate Interference. It does not include +honest error or differences of opinion. + ++ *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. + ++ *Research Record* is the record of data or results that embody the +facts resulting from scientific or other scholarly inquiry and +includes, but is not limited to, research proposals, laboratory +records (both physical and electronic), progress reports, abstracts, +theses, oral presentations, internal reports, and journal articles. + ++ *Plagiarism* is the appropriation of another person's ideas, +processes, results, or words without giving appropriate credit. + ++ *Deliberate Interference* is intentionally causing material harm to +the research or scholarly work of others, and may include damaging or +destroying the property of others, such as research equipment or +supplies; disrupting active experiments; or altering or deleting +products of research, including data and program codes. + +*Complainant* is an individual who reports allegations of Research +Misconduct. + +*Respondent* is an individual who is the subject of allegations of +Research Misconduct at WPI. + +*WPI Advisor* is a WPI community member of the Respondent's choice, not +the Respondent's family member or subordinate, who may participate and +provide support to a Respondent in any meeting in connection with a +review under this Policy. The role of the WPI Advisor is to provide +support and guidance, not to be a substitute for the Respondent, who +is the primary participant. + +*Preponderance of the Evidence* is proof by information that, compared +with the information opposing it, leads to a conclusion that the fact +at issue is more probably true than not. + +*Impartial and Unbiased Persons* are those who do not have unresolved +personal, professional, or financial conflicts of interest with those +involved with the inquiry or investigation. + +### Duty to Report + +Each member of the WPI community has a responsibility to report any +conduct that they believe in good faith to be Research Misconduct at +WPI. There may be circumstances in which, prior to taking that action, +it would be appropriate for the Complainant to discuss any concerns +with the prospective Respondent. Consultation and guidance is always +available from the Vice Provost for Research or from senior academic +officers (e.g. Deans, Department Heads, laboratory Directors), who +themselves are bound by a Duty to Report. + +All allegations of Research Misconduct, wherever initially received, +must be conveyed promptly to the Vice Provost for Research. A +supervisor who becomes aware of possible Research Misconduct, either +from the supervisor's own observations or because of reports, has a +responsibility to bring allegations of Research Misconduct directly to +the Vice Provost for Research in order to ensure that proper +procedures are followed. + +If a supervisor feels that the Vice Provost for Research is not the +appropriate official to whom to report allegations in a particular +case, the allegations may be reported to the Provost. If a Complainant +reports allegations to a supervisor and the supervisor fails to +forward the allegations to the Office of the Vice Provost for Research +or the Provost, then the Complainant should report the allegations to +the Vice Provost for Research or the Provost directly. + +### Standard of Proof for a Finding of Research Misconduct + +In order to enter a finding of Research Misconduct, WPI must determine +by a preponderance of the evidence that: + ++ the Respondent engaged in Research Misconduct; and ++ the Research Misconduct marked a significant departure from accepted + practices of the relevant academic community; and ++ the Respondent committed the Research Misconduct intentionally, + knowingly, or recklessly. + +### Assessment and Review Process + +#### Initial Assessment + +Upon receipt of an allegation of Research Misconduct, within 5 +business days the Vice Provost for Research will conduct an initial +assessment of the allegations, to determine whether the alleged +misconduct falls within the scope of this Policy. The Vice Provost for +Research may appoint an impartial fact finder with appropriate +expertise to conduct this initial assessment and to make a +recommendation to the Vice Provost for Research. + +If the Vice Provost for Research determines that the allegations do +not fall within this Policy, the Vice Provost for Research will either +close the matter or refer it to another office at WPI with authority +or responsibility over the matter. + +If the Vice Provost for Research determines that the allegations do +fall within this Policy, the Vice Provost for Research will initiate a +two-stage review process under this Policy. The decision of the Vice +Provost for Research to initiate or not to initiate a review is final. + +#### Subsequent Two-Stage Review Process + ++ The first stage of review (the "Inquiry") under this Policy consists +of preliminary fact-finding stage to decide whether to recommend to +the Provost a further, formal review. The Inquiry should begin within +30 days after the Vice Provost for Research's initial assessment of +the allegations. Once initiated, the Inquiry normally must be +completed within 60 calendar days. + ++ If after the Inquiry, there is a decision by the Provost to initiate +a further review, WPI will proceed to a second stage of review (the +"Investigation"), which entails a formal review leading to a +recommendation to the Provost whether or not WPI should make a finding +of Research Misconduct and, if so, what the appropriate sanction +should be. If a formal investigation is warranted, it shall begin +within 21 days of the conclusion of the Inquiry, and it is normally to +be completed within 120 days once it has begun. + +#### Interim Institutional Actions + +At any point in the process, the Vice Provost for Research may +institute appropriate interim institutional actions to protect the +community, public health, federal or other governmental funds and +equipment, and the integrity of the Public Health Services (PHS) +supported research process. For such actions, the Vice Provost for +Research should state the basis for such decision in a document +maintained with records relating to the case and provided to the +Respondent. + +### First Stage of Review: Inquiry + +The Inquiry consists of information gathering and fact-finding to +determine as a preliminary matter whether an allegation of Research +Misconduct warrants further, formal review. The Inquiry should begin +within 30 days, if called for, after the Vice Provost for Research's +initial assessment of the allegations. + +The Vice Provost for Research will appoint three impartial fact +finders to conduct the Inquiry. If necessary, fact finders may be +found from outside the WPI community. At this time, the Vice Provost +for Research will provide written notice to the Respondent that an +Inquiry has been initiated. The written notice ordinarily summarizes +the allegations under review and advises the Respondent of the right +to select a WPI Advisor to support the Respondent in the course of the +proceedings. The Respondent will be given an opportunity to respond, +in writing, to the Vice Provost for Research within 10 days following +the Respondent's receipt of the allegation. The Respondent may, in +lieu of a WPI Advisor, have legal counsel for assistance or support +during the Inquiry stage of the process. + +Either before or when the Respondent is notified, the Office of the +Vice Provost for Research will promptly take all reasonable and +practical steps to obtain custody of all the records and other +evidence needed to conduct proceedings under this Policy and will +sequester them in a secure manner. The Office of the Vice Provost for +Research will provide Respondent with reasonable, supervised access to +the records or, when appropriate, copies of the records. The Office +of the Vice Provost for Research may seek additional records or other +materials that may be potentially relevant during the course of the +review. + +Oversight for the Inquiry process will be provided by the Office of +the Vice Provost for Research. The Inquiry should, to the extent +reasonably possible, be limited to a review of documentary materials, +including the Respondent's written response to the allegations. The +fact that an Inquiry has been initiated should be made known only to +the Respondent and other persons with a need to know. + +At the conclusion of the Inquiry, the Inquiry Committee will prepare a +draft written report summarizing the process and information reviewed +and recommending whether to proceed with an Investigation. The draft +Inquiry report should identify the name and position of the +Respondent, a description of the allegations, the PHS support (if +any), including the specific grant or contract, and should explain why +the allegations do or do not warrant an investigation. + +A recommendation to proceed should be based on whether there are +reasonable grounds to conclude that the allegations may have substance +and that Research Misconduct may have occurred based on the +information reviewed. In either case, the Respondent will be given a +copy of the draft Inquiry report and an opportunity to respond within +a reasonable time period set by the Vice Provost for Research. Such +response will be reviewed by the Inquiry Committee before finalizing +the Inquiry report. In addition, any comments provided by the +Respondent will be included as an appendix to the final Inquiry +report. The final Inquiry report should state the number (but not the +names) of the members of the Inquiry Committee who voted that an +allegation warrants further review. The final Inquiry report will be +forwarded to the Vice Provost for Research. + +The Vice Provost for Research will review the Inquiry report and may +ask the fact-finding committee for additional review or explanation. +If this additional review by the fact-finding committee results in +revisions to the report, the Respondent will have a further +opportunity to submit written comments before any supplemental final +Inquiry report is resubmitted to the Vice Provost for Research. + +The Vice Provost for Research will submit a final Inquiry report to +the Provost along with a written recommendation whether or not to +proceed with an Investigation. The Provost will then decide whether +or not to proceed with an Investigation. Before the Provost decides +to proceed with an investigation, the Provost shall consult with the +fact-finding committee and with the Secretary of the Faculty. If a +majority of the Inquiry Committee voted not to proceed with an +Investigation, but the Provost decides that there should be an +Investigation, then the Provost should state the basis for such +decision in a document maintained with records relating to the +Investigation. + +Following these consultations, the Vice Provost for Research will send +written notice to the Respondent of the Provost's decision whether or +not to proceed with an Investigation. The Complainant, if known, will +be informed whether an Investigation will or will not be initiated. + +The Inquiry, including preparation of the final Inquiry Report and the +decision of the Provost on whether an investigation is warranted, must +be completed within 60 calendar days of initiation of the Inquiry, +unless the Vice Provost for Research determines that circumstances +clearly warrant a longer period. If the Vice Provost for Research +approves an extension, the inquiry record must include documentation +of the reasons for exceeding the 60 day period. + +Within 30 days of a finding by the Provost that an investigation is +warranted, the Provost shall provide ORI (and any other funding agency +or authority required to be notified) with a copy of the Inquiry +report, regardless of the vote of the Inquiry Committee. + +### Second Stage of Review: Investigation + +If a formal investigation is warranted, it shall begin within 21 days +of the conclusion of the Inquiry. The Vice Provost for Research +initiates the Investigation by requesting the Secretary of the Faculty +(SOF) and the Chair of the Faculty Review Committee (FRC) to appoint a +five member investigation committee ("the Committee") to be selected +from elected FRC members who have the expertise to evaluate the +particular issues and evidence involved in the alleged misconduct. +The faculty members must be unbiased toward the Complainant, +Respondent and witnesses. (If there are not five unbiased elected FRC +members with the required expertise, then the SOF and FRC chair will +appoint the required number of qualified faculty from outside the +FRC. If the Respondent or Complainant is either the SOF or FRC Chair, +then the other will appoint the Committee.) The Committee shall elect +its own Chair who shall be responsible for determining the manner in +which the witness interviews and other procedures will be conducted by +the Committee. + +The Vice Provost for Research will provide written notice to the +Respondent that the Investigation has been initiated. The written +notice will: + ++ summarize the allegations; ++ advise the Respondent of the Respondent's right to the support of a + WPI Advisor or legal counsel in the Investigation; and ++ identify the members of the investigation Committee. + +The Respondent may challenge the composition of the Committee, if s/he +believes that one or more of its members is biased. The remaining +members of the Committee shall determine whether bias exists and +otherwise act to ensure its own credibility. The Committee shall +request that the Chair of the FRC and the Secretary of the Faculty +replace a committee member when appropriate. + +The Investigation consists of a formal examination and evaluation of +all relevant information to determine if Research Misconduct occurred. +The Investigation will typically include an examination of all +relevant documentation and interviews of individuals who may have +relevant information about the research in question. The +Investigation Committee may review the Inquiry findings but is not +bound by the findings of the Inquiry. + +Oversight of the Investigation and specific guidance as it proceeds +will be provided by the Office of the Vice Provost for Research. + +As the Investigation proceeds, the Office of the Vice Provost for +Research should provide the Respondent with reasonable updates and +opportunities to respond to information obtained in the investigation. + +Throughout the Committee Investigation process, the Respondent is +entitled to the presumption of innocence, and: + ++ shall have the opportunity to respond to allegations of Research + Misconduct; ++ shall have the opportunity to present a defense; ++ shall have the opportunity to offer witnesses to be interviewed by + the Committee; and ++ may, in lieu of a WPI Advisor, have legal counsel for assistance or + support. + +Once the Investigation is completed, the Committee will prepare a +draft written report offering a judgment based on the evidence as to +whether the Respondent has committed Research Misconduct, and if so, +its level of severity. If the Committee determines Respondent has +committed Research Misconduct, it shall also recommend disciplinary +action. The report should summarize the facts and analysis that +support those conclusions, addressing the merits of any reasonable +explanation or defense provided by the Respondent, and including the +numerical vote of the Committee without identifying individual votes. + +The Respondent will be provided with a copy of the draft Investigation +report with an opportunity to respond within a reasonable time period +set by the Vice Provost for Research. Such response will be considered +by the Committee before the Committee takes a final vote, makes its +final recommendation for disciplinary action, and issues its final +Investigation report. In addition, any comments provided by the +Respondent will be included as an appendix to the final Investigation +report. The final Investigation report will be forwarded to the Vice +Provost for Research. + +The Vice Provost for Research will review the Investigation report and +may ask the Investigation Committee for additional review or +explanation. If this results in revisions to the report, the +Respondent will have a further opportunity to submit written comments +before any supplemental final Investigation report is resubmitted to +the Vice Provost for Research. + +The Vice Provost for Research will submit the final Investigation +report to the Provost and the Respondent along with a written +recommendation whether or not WPI should make a finding of Research +Misconduct. If the Vice Provost for Research recommends a finding of +Research Misconduct, he or she will also recommend disciplinary +actions to be taken. Before the Provost makes a finding of Research +Misconduct, the Provost shall consult with the Committee and with the +Secretary of the Faculty. + +If the Provost finds that Research Misconduct has been committed, the +Provost shall decide on appropriate disciplinary actions, which may +include, but are not limited to, formal reprimand, suspension, +expulsion, revocation of degree, change in WPI status, revocation of +tenure and termination of employment. If a majority of the +Investigation Committee voted that the Respondent did not commit +Research Misconduct but the Provost decides that the Respondent did, +or if the Provost decides on a disciplinary action that is different +than the action recommended by the Investigation Committee, then the +Provost should state the basis for such decisions in a document +maintained with records relating to the investigation. + +The Vice Provost for Research will provide written notice of the +Provost's decision to the Respondent. The Complainant, if known, will +be informed whether there was a finding of Research +Misconduct. However, WPI officials will not notify the Complainant of +any disciplinary action taken. The Vice Provost for Research will send +the final report to ORI (and any other funding agency or authority +required to be notified), regardless of the vote or the disciplinary +action recommended by the Investigation Committee. + +The Investigation is to be completed within 120 days of beginning it, +including conducting the Investigation, preparing the report of +findings, providing the draft report for comment and sending the final +report to ORI. However, if the Vice Provost for Research determines +that the Investigation will not be completed within this 120-day +period, the Vice Provost for Research will submit to ORI a written +request for an extension, setting forth the reasons for the delay. + +### Appeals + +The Respondent may appeal any finding of Research Misconduct, and any +sanction other than termination of employment or revocation of tenure +to the President within two weeks after the Provost notifies the +Respondent of the imposition of the sanction. The grounds of any +appeal of a finding of Research Misconduct shall be limited to two +instances: + +a. when there are alleged procedural violations that are substantial +and material and which would have changed the outcome of the case; and + +b. when the Investigation Committee voted that the Respondent did not +commit Research Misconduct but the Provost finds that Research +Misconduct has occurred. + +Before the President decides the appeal, the President shall consult +with the Provost and the Secretary of the Faculty. The President +should issue a decision within thirty days of receiving the appeal. +The President's decision shall be final. + +If the Provost imposes a sanction of termination of employment or +revocation of tenure, the Respondent may appeal the sanction to the +Board of Trustees within two weeks after the Provost notifies the +Respondent of the imposition of the sanction (or within two weeks +after the President decides an appeal of a finding of Research +Misconduct based on grounds a) or b) described above. If the +Respondent appeals to the Board, the Chair of the Board, in +collaboration with the Secretary of the Faculty, shall appoint a +committee of five faculty members who will make a recommendation +regarding the sanction imposed by the Provost. The faculty committee +will have access to all written reports and materials relevant to the +case. The faculty committee will summarize the basis for its +recommendation in a written report to the Board Chair within thirty +days. The Board Chair should issue a written decision within thirty +days of receiving the faculty committee's report. The Board Chair's +decision shall be final. + +Other than interim institutional actions which may already be in +effect, any finding of Research Misconduct, and the imposition of any +sanction imposed by the Provost, will be stayed while an appeal is +pending before the President or the Board of Trustees. + +### Special Measures + +The Provost has the authority to mitigate the effects of the +misconduct, including withdrawing WPI's name and sponsorship from +pending abstracts and papers, notifying individuals known to have +relied upon research that was affected by the misconduct, and taking +formal steps to correct or retract publications and the Research +Record. + +If there is no finding of Research Misconduct, all reasonable and +practical efforts if requested and as appropriate, should be made to +protect and restore the reputation of the Respondent. All reasonable +and practical efforts should be made to protect or restore the +position and reputation of any complainant, witness or committee +member and to counter potential or actual retaliation against these +individuals. + +### Provisions Common to Misconduct Review Process + +#### No Conflicts of Interest + +To the maximum extent practicable, steps should be taken to ensure an +impartial and unbiased process, including participation of persons +(including fact-finders and investigators) who: (1) have sufficient +expertise to carry out a thorough evaluation of the relevant +information; and (2) have no real or perceived unresolved personal, +professional, or financial conflicts of interest with those involved +with the inquiry or investigation that could affect their ability to +be objective reviewers. + +In cases where the Provost has a conflict of interest, the President +shall serve in the Provost's role. In cases where the Vice Provost +for Research has a conflict of interest, the Provost will serve in +that role. In cases where allegations of Research Misconduct have +been brought against the Vice Provost for Research, the Provost or the +President, then the process outlined in this policy will be adjusted +accordingly to avoid any conflicts of interest. The President shall +resolve any questions of bias or conflict of interest. The +President's decision on such questions shall be final. + +#### Confidentiality + +Proceedings concerning Research Misconduct often raise difficult +issues for those making the allegations, for those who are the subject +of the allegations, and for those responsible for reviewing the +allegations. Review of the allegations should therefore be conducted +promptly and with care and sensitivity. + +All participants in the review process under this Policy are expected +to maintain confidentiality to protect the privacy of all involved, to +the extent possible and as permitted by law. Participants should keep +in mind the effect that allegations can have on reputations, even if +the allegations are not sustained by the proceedings. Thus, only +those people with a need to know should be informed of a complaint. + +#### No Retaliation + +No one shall be retaliated against for participating in a review of a +misconduct allegation in good faith as a Complainant, a witness, a +factfinder, or investigator or in any other capacity. Reasonable +efforts should be made to counter potential or actual retaliation +against these complainants, witnesses and committee +members. Retaliation is typically a significant adverse action taken +against an individual because the individual participated in a review +process. Retaliation is a serious offense. A complaint of +retaliation may be investigated and may lead to disciplinary action, +up to and including terminating the individual's relationship with +WPI. + +#### False Accusations or Testimony + +A false or unfounded report of misconduct determined by the Institute +to have been made in bad faith and dishonesty in the context of an +Inquiry or Investigation are serious offenses. Such offenses may +themselves be investigated and may lead to disciplinary action, up to +and including termination of employment or other affiliation with WPI. + +#### Duty to Cooperate and Preserve and Produce Information + +All members of the WPI community must cooperate with efforts to review +allegations of Research Misconduct. + +While the destruction or absence of, or failure to provide upon +request, information relating to allegations of Research Misconduct is +not misconduct per se, such failure may be considered to be evidence +supporting a finding of Research Misconduct when the evidence shows +the Respondent had relevant information and intentionally, knowingly, +or recklessly destroyed it; had the opportunity to maintain the +information but did not do so; or maintained the information and +failed to produce it in a timely manner in connection with a Research +Misconduct proceeding, with the result that the Respondent +significantly departed from accepted practices of the relevant +academic community. + +#### Record Keeping + +The Office of the Vice Provost for Research is the custodian of +records relating to proceedings under this Policy. + +#### Notice to Sponsors + +To the extent a sponsor requires notification from WPI that research +it funded has become the subject of proceedings under this Policy, the +Vice Provost for Research will supply that notification. In addition, +the Vice Provost for Research will give applicable sponsors written +notice of any decision of the Provost entering a finding of Research +Misconduct at WPI. + + +## III. WPI Sexual Misconduct Policy[^16] + +[^16]: This Policy supersedes all WPI policies dealing with Sexual +Misconduct including the "Sexual Misconduct Policy" in the Student +Responsibilities and Code of Conduct, the "Sexual Harassment Policy" +in the WPI Employee Benefits and Policies Manual, and the "Sexual +Harassment Policy" in the Faculty Handbook. + +(Approved by the Faculty, *May 8, 2018*) +*Approved by the Board of Trustees, *May 11, 2018*) + +### Introduction: WPI's Commitment to a Campus Free from Sexual Misconduct + +WPI is committed to maintaining a learning and working environment +that is free from sexual misconduct, remedying the effects of such +misconduct when it occurs, and preventing its re-occurrence. The +prohibition of sexual misconduct applies to everyone at WPI, including +all faculty members (including academic administrators), staff members +(including non-academic administrators), students, trustees, alumni +and all visitors to the WPI campus.[^17] + +[^17]: Probationary staff, part-time employees, visitors, and +employees subject to a letter of appointment or a collective +bargaining agreement may be subject to a different disciplinary +process in accordance with applicable policies and terms of their +appointment. + +### Application of this Policy + +This Policy applies whenever sexual misconduct occurs: a) on WPI +property; or b) off WPI property if: i) the sexual misconduct was in +connection with a WPI or WPI-recognized program or activity; or ii) +the sexual misconduct may have the effect of creating a hostile +environment for a member of the WPI community. + +### Definitions + +#### a. Sexual Misconduct + +"Sexual misconduct" is prohibited under this Policy. Sexual +misconduct is a broad term that includes sexual harassment, sexual +assault, sexual exploitation, gender motivated stalking, relationship +abuse, engaging in certain inappropriate relationships, and +retaliation against a person reporting sexual misconduct or +participating in any investigation or proceeding related to this +policy, all as defined below. This definition of sexual misconduct +includes sexual assault (e.g. rape, fondling, incest, or statutory +rape) as defined by the Clery Act, a federal law on campus safety and +security. Sexual misconduct can occur between individuals who know +each other, individuals who do not know each other, individuals who +have an established relationship, and individuals who have previously +engaged in consensual sexual activity. Sexual misconduct can be +committed by persons of any gender identity, and it can occur between +people of the same or different sex. Use of alcohol or other drugs +will not excuse any behavior that violates this policy. + +1. *Sexual Harassment* + +Sexual Harassment is unwelcome conduct of a sexual nature, including +sexual advances, requests for sexual favors, or other verbal, +nonverbal, or physical conduct of a sexual nature, when: + + Submission to such conduct is made either explicitly or implicitly + a term or condition of an individual's employment or academic + standing; + + Submission to or rejection of such conduct by an individual is + used as the basis for significant employment decisions (such as + advancement, performance evaluation, or work schedule) or academic + decisions (such as grading or letters of recommendation) affecting + that individual; + + The conduct is sufficiently severe or pervasive that a reasonable + person would consider it intimidating, hostile, or abusive and it + adversely affects an individual's educational, work, or living + environment. + +A partial list of examples of conduct that might be deemed to constitute sexual harassment if sufficiently severe or pervasive include: + + Examples of verbal sexual harassment may include unwelcome conduct + such as sexual flirtation, advances or propositions or requests + for sexual activity or dates; asking about someone else's sexual + activities, fantasies, preferences, or history; discussing one's + own sexual activities, fantasies, preferences, or history; verbal + abuse of a sexual nature; suggestive comments; sexually explicit + jokes; turning discussions at work or in the academic environment + to sexual topics. + + Examples of nonverbal sexual harassment may include unwelcome + conduct such as displaying sexual objects, pictures, or other + images; invading a person's personal body space, such as standing + closer than appropriate or necessary or hovering; displaying or + wearing objects or items of clothing which express sexually + offensive content; making sexual gestures with hands or body + movements; looking at a person in a sexually suggestive or + intimidating manner; or delivering unwanted letters, gifts, or + other items of a sexual nature. + +2. *Sexual Assault* + +Sexual assault is any intentional sexual contact or activity that +occurs without the consent of any individual involved. + +3. *Sexual Exploitation* + +Sexual Exploitation is purposefully taking sexual advantage of another +person without consent. Examples of sexual exploitation include: + ++ Sexual voyeurism, such as watching a person undressing, using the + bathroom or engaged in sexual activity without the consent of the + person observed. + ++ Taking pictures or video or an audio recording of another person + engaging in sexual activity or exceeding the boundaries of consent + (such as allowing another person to hide in a closet and observe + sexual activity or disseminating sexual pictures without the + photographed person's consent). ++ Engaging in sexual activity with another person while knowingly + infected with human immunodeficiency virus (HIV) or other sexually + transmitted disease (STD) without informing the other person of the + infection. ++ Administering alcohol or drugs (such as "date rape" drugs) to + another person without their knowledge or consent. + +4. *Gender-motivated Stalking* + +Stalking is defined as a pattern of actions or course of conduct +directed at a specific person over time that would cause a reasonable +person to feel fear. This policy covers those instances where the +stalking of a person is motivated by the person's real or perceived +gender, sex, or sexual orientation. For the purposes of this +definition, "course of conduct" means two or more acts, including, but +not limited to, acts in which the stalker directly, indirectly, or +through third parties, by any action, method, device, or means, +follows, monitors, observes, surveils, threatens, or communicates to +or about a person, or interferes with a person's property. + +Stalking can take many forms. Examples include, but are not limited +to, two or more instances of the following conduct (that also meet the +definition of stalking above): following a person; appearing at a +person's home, class or work; continuing to contact a person after +receiving requests not to; leaving written messages, objects, or +unwanted gifts; vandalizing a person's property; photographing a +person; and other threatening, intimidating, or intrusive +conduct. Stalking may also involve the use of electronic media such as +the internet, social networks, blogs, cell phones, texts, or other +similar devices (often referred to as cyber-stalking). Such conduct +may include, but is not limited to, non-consensual communication, +telephone calls, voice messages, emails, texts, letters, notes, gifts, +or any other communication that are repeated and undesired. + +5. *Relationship Abuse* + +Relationship abuse is defined as behavior that serves to exercise +control and power in an intimate relationship. The behaviors can be +physical, sexual, psychological, verbal and/or emotional. Relationship +abuse can occur between current or former intimate partners who have +dated, lived together, have a child together, currently reside +together on or off campus, or who have otherwise connected through a +past or existing relationship. It can occur in opposite-sex and +same-sex relationships. + +Examples of relationship abuse include but are not limited to: +attempting to cause or causing bodily injury by hitting, slapping, +punching, hair pulling, kicking, sexual assault and/or other forms of +unwanted physical contact that cause harm; knowingly restricting the +movements of another person; isolating or confining a person for a +period of time; controlling or monitoring behavior; being verbally +and/or emotionally abusive; and exhibiting extreme possessiveness or +jealousy. + +6. *Sexual or Romantic Relationships in the Workplace or Academic Environment* + +*With undergraduate students.* Except in rare and unusual circumstances +involving preexisting relationships, sexual and romantic relationships +between WPI employees3 and undergraduate students are inappropriate +and are prohibited. + +*With graduate students.* Implicit in the area of professionalism is +the recognition by those in positions of authority that in +relationships with graduate students there is always an element of +power and consent to a romantic relationship that may not be valid +where either person in the relationship has direct or indirect power +or control over any aspect of the other person's academic or +employment environment. Therefore, sexual and romantic relationships +between employees and graduate students are prohibited where there is +a supervisory relationship between the employee and the graduate +student. + +*With supervisees.* It is incumbent upon members of the WPI community +to refrain from abusing, and seeming to abuse, the power with which +they are entrusted, because relationships between supervisors +(including TA's and RA's) and supervisees are fundamentally asymmetric +in nature, may be the product of subtle or not-so-subtle coercion, or +may lead to favoritism for the subordinate. If a student employee +(i.e. TA, RA, PLA, undergraduate student assistant, or work-study +student) is assigned to a course and has a preexisting sexual or +romantic relationship with one of the enrolled students, he or she is +obligated to inform the instructor of the course so that alternative +arrangements can be made. + +7. *Retaliation* + +Retaliation means any materially adverse action or threat taken or +made against an individual, including through third parties and/or +legal counsel, for making a report of misconduct or participating in +any investigation or proceeding related to this policy. Retaliation +includes threatening, intimidating, harassing, or any other conduct +that would discourage a reasonable person from engaging in activity +protected under this policy, such as seeking services, receiving +interim protective measures and accommodations, and/or reporting +misconduct. Retaliation includes maliciously and purposefully +interfering with, threatening, or damaging the academic and/or +professional career of another individual before, during or after the +investigation and resolution of a report of misconduct under this +policy in response to and/or on account of the report of +misconduct. This provision only applies to reports made or information +provided in good faith, even if the facts alleged in the report are +determined not to be accurate. + +#### b. Consent + +1. *What is Consent?* + +Consent is the positive, unambiguous, and voluntary agreement to +engage in specific sexual activity throughout a sexual encounter. +Consent must be an informed, deliberate and voluntary decision to +engage in mutually acceptable sexual activity. It is the +responsibility of the person who initiates sexual activity to make +sure consent is received from any other person(s) involved. WPI +recognizes that there are a wide variety of sexual interactions, that +there is no single way to communicate consent, and that context +matters. At all times, each party is free to choose where, when, and +how they participate in sexual activity. Accordingly, when evaluating +whether sexual activity was consensual, WPI will consider the entirety +of the sexual interaction and the relevant circumstances. + +Consent is active not passive. Individuals should be able to clearly +articulate why and how they believed they received consent and what +they considered to be indications of consent as they engaged in sexual +activity. Consent must be received for each sexual act. It is +important to remember: + ++ Consent to one sexual act does not constitute or imply consent to + another act. ++ Previous consent does not imply consent to future sexual activity. ++ Consent cannot be assumed based on the parties' relationship or + sexual history. ++ Consent can be withdrawn at any time before or during sexual + activity. + +2. *What is Not Consent?* + +Consent may not be inferred from silence, passivity or a lack of +objection. The absence of a negative response, such as silence or a +failure to resist, does not equal consent. Some behaviors and comments +that do not indicate affirmative consent include but are not limited +to: + ++ "I don't know" ++ "Maybe" ++ A head shake ++ Lack of objection ++ Not fighting back ++ A verbal "no" that may sound indecisive or insincere + +3. *Consent Can Never Be Given By:* + ++ *Someone who is incapacitated.* It is a violation of this Policy to +engage in sexual activity with a person who an individual knew or +should have known was incapacitated. A person can be incapacitated +through the use of drugs, alcohol or any other intoxicating substance, +medications or when they are unconscious, asleep or otherwise unaware +that sexual activity is occurring. + ++ *Someone under the legal age of consent.* The legal age of consent +in the Commonwealth of Massachusetts is sixteen (16). + ++ *Someone who is mentally disabled or cognitively impaired.* It is a +violation of this Policy to engage in sexual activity with a person +whose mental disability or cognitive impairment renders them incapable +of giving consent and the disability/impairment is known or should +have been known to the non-disabled sexual partner. + +4. *Consent and the Use of Alcohol or Drugs* + +The use of alcohol or drugs does not relieve an individual of the +obligation to obtain consent before initiating and/or engaging in +sexual activity. + +### Obligations of Employees to Report Sexual Misconduct + +#### a. Responsible Employees + +1. All employees (except Confidential Resource Advisors; identified +below) who learn of a violation of this Policy involving students are +required to immediately report such information to the Title IX +Coordinator or a Deputy Coordinator. + +2. All supervisors (except Confidential Resource Advisors) who learn +of a violation of this Policy are required to immediately report such +information to the Title IX Coordinator or Deputy Coordinator. + +3. Employees will receive regular training in their duty to report +sexual misconduct. + +#### b. Confidential Resource Advisors + +The following employees, who will receive regular training, may serve +as confidential advisors for students and are not required to report +violations of this Policy: + +1. Employees of Student Health Services. +2. Employees of the Student Development and Counseling Center. +3. A chaplain or religious advisor working at WPI. +4. WPI Ombudspersons and any other individual with appropriate + training who is specifically appointed by WPI for the purpose of + serving as a confidential resource advisor. + +### Resources Available in Cases of Sexual Misconduct + +Anyone who has experienced sexual misconduct or is aware of someone +who may have been the victim of sexual misconduct is strongly +encouraged to report such misconduct and to take advantage of +resources available on campus and in the community. + +a. Reporting Sexual Misconduct Immediately After a Sexual Assault If +you or someone you know has recently been assaulted: + + + Go to a safe place as soon as you can. + + + In an emergency, call campus police at 508-831-5555, or 5555 + from a campus phone or via a blue light phone on campus. If it is + not an emergency, then call the WPI Police Department at + 508-831-5433. + + + *Seek medical attention.* The WPI Student Development and + Counseling Center offers counseling appointments to all students. + The Emergency Room at UMass Medical Center offers services and + support for people who have experienced sexual assault. WPI + Police can provide students with an escort to the hospital. + + + Try to preserve all physical evidence. + + + If you are the victim of a sexual assault, try not to wash your + face or hands, bathe, brush your teeth, drink or eat, douche, or + change clothes if you can avoid it. If you do change your clothes, + put all clothing you were wearing at the time of the assault in + individual paper bags (not plastic). It is important to preserve + as much evidence as possible should you later decide to press + criminal charges. + +b. Reporting Sexual Misconduct to the Title IX Coordinator and or Deputy Title IX Coordinators + +The Title IX Coordinator plays an integral role in carrying out the +University's commitment to provide a positive learning, teaching and +working environment free from sexual misconduct and +discrimination. Any student, faculty member, or staff member who has +concerns about sexual misconduct is encouraged to seek the assistance +of those listed below. They will provide information on resources for +assistance and options to address concerns. Those options may vary +depending on the nature of the situation, whether the individuals +involved are students, faculty, or staff members, the wishes of the +individuals involved regarding confidentiality, and whether the +individuals involved prefer to proceed formally or informally. + +During business hours, anyone who has experienced sexual misconduct or +is aware of someone who may have been the victim of sexual misconduct +may contact the Title IX Coordinator or any Deputy Title IX +Coordinator. Contact information for the Title IX Coordinator and +Deputy Coordinators can be found [HERE](link). + +c. Reporting Sexual Misconduct Anonymously + +If you are concerned about a visitor, student, faculty, or staff +member who may have experienced a Title IX violation or may have +committed a Title IX violation, you may report the situation +anonymously by clicking [HERE](link). In that case, you will not be +contacted and will remain anonymous. If you wish, you may include +your contact information, so we may contact you if we have additional +questions. + +NOTE: This is not a system to use for emergencies. In case of an +emergency, regardless of time of day, in which someone's well-being is +in jeopardy, please contact Campus Police at +1-508-831-5555. + +### Initial Steps and Investigation of Reports of Sexual Misconduct + +#### a. Initial Steps + +All reports of alleged sexual misconduct will be referred to the Title +IX Coordinator. Within five business days of receiving such a report, +the Title IX Coordinator or their designee[^18] will take several +initial steps. These initial steps will include, but are not limited +to, the following: + +[^18]: As necessary and appropriate, the Title IX Coordinator may +designate a Deputy Title IX Coordinator or another qualified person to +assume the Title IX Coordinator's responsibilities under this Policy. + + 1. Encouraging the person who has allegedly experienced sexual + misconduct (the "Complainant")[^19] to meet with the Title IX + Coordinator to discuss the nature and circumstances of the + reported conduct. If the person who has reported the alleged + sexual misconduct is not the person who has experienced the sexual + misconduct, then the person who has made the report should have + the opportunity to meet with the Title IX Coordinator to discuss + the nature and circumstances of the reported conduct. + +[^19]: Throughout this Policy, the term "Complainant" refers to the +person who experienced sexual misconduct regardless of who reported +the misconduct. + + 2. Notifying the Complainant about their rights and options under + this Sexual Misconduct Policy, including the right to report and + the right to decline to report the matter to campus police and/or + to local law enforcement, the options for reporting to WPI, and + the availability of medical treatment, counseling, and other + resources, both on and off campus. + + 3. Meeting with the person who has allegedly committed sexual + misconduct (the "Respondent") to explain the allegation and to get + their version of events, and providing that person with the option + and adequate opportunity to provide a written response to the + allegations. The Respondent should be notified about their rights + under this Sexual Misconduct Policy, and about the availability of + counseling and other on- and off-campus resources. + + 4. If the Complainant requests that the process not move forward, + the Title IX Coordinator will weigh that request against WPI's + obligation to address any risk of harm to the Complainant or other + individuals in the community, and the nature of the incident or + conduct at issue. If, following the receipt of an alleged + violation of this Policy, the person who allegedly experienced + sexual misconduct declines to participate in the investigation or + resolution process or requests that the process not proceed, the + Title IX Coordinator may decide to close the investigation or + choose to continue the process without the person's participation. + + 5. Assessing the reported conduct to determine whether the + circumstances warrant appropriate interim measures including, but + not limited to, no-contact orders, interim suspension of a + student, deadline extensions, reassignment of housing, or placing + an employee on paid leave prior to completing an + investigation. Failure to comply with an interim measure may lead + to additional disciplinary action. + + 6. Assessing whether the behavior alleged constitutes a violation + of this Policy and is sufficiently credible and specific so that + potential evidence of such misconduct may be identified. If the + Title IX Coordinator determines that the reported conduct would + not trigger this Policy, they will advise both the Complainant and + the Respondent in writing, and based on the information gathered + may also refer the reported conduct to the appropriate + administrator or department for handling consistent with any other + applicable policy. If the Title IX Coordinator determines that + the reported conduct does fall under this Policy, then the case + will proceed to the Investigation Phase, as described below. + +#### b. The Investigation Phase + +1. *Notice of an Investigation:* If it is determined that an +investigation is required, the Title IX Coordinator will send a +written notice to the Complainant (or "party") and to the Respondent +(or "party") (collectively, the "parties"). The notice will include a +sufficiently detailed description of the allegations, the portions of +this Policy that are alleged to have been violated, and any interim +measures in place about which either party should be made aware. This +written notice does not constitute a finding or a determination of +responsibility. + +The notice will also state that if either party requires any kind of +accommodation due to disability pursuant to the ADA or Section 504 of +the Rehabilitation Act, it is the responsibility of that party to make +the Title IX Coordinator aware of the need for an accommodation. The +Title IX Coordinator will work with each of the parties and as +applicable, Office of Disability Services (for students) and/or the +504 Coordinator (for employees) to ensure that appropriate +accommodations are available. + +2. *Information about Advisors:* Each party may have a single advisor +present during any investigative proceeding, including any related +meeting, interview, or hearing. Any person may serve as an advisor, +including an attorney. Each party must provide the name and contact +information of their advisor to the Title IX Coordinator within five +business days of receiving notice of an investigation. Advisors may +communicate with their advisee but may not may not speak or otherwise +communicate on behalf of a party. Advisors are subject to the same +confidentiality obligations applicable to others in attendance. + +3. *Designation of Role of the Investigator:* The Title IX Coordinator +shall designate at least one unbiased, qualified investigator(s)[^20] +to conduct a prompt, fair, and impartial investigation of the reported +conduct and prepare a report of investigative findings (the +"Investigative Report").[^21] More than one investigator may be +designated or the investigation may be conducted by the Title IX +Coordinator. Investigator(s) need not be employees of WPI. The Title +IX Coordinator will provide each of the parties with the name of the +Investigator(s). As soon as possible, but no later than three (3) +calendar days after delivery of the identity of the Investigator(s), +the parties should inform the Title IX Coordinator (in writing) of any +potential conflicts of interest about the selected Investigator(s). +The Title IX Coordinator will consider the nature of the potential +conflict and determine if a change is necessary.[^22] The Title IX +Coordinator's decision (in appropriate collaboration with the +Secretary of the Faculty, as described in footnote 9) regarding any +conflicts regarding the investigator(s) is final. + +[^20] The investigator shall be deemed "qualified" if the individual +has received training in conducting Title IX investigations and has +the requisite professional experience to conduct the investigation. + +[^21] If the Respondent is a faculty member, the Title IX Coordinator +will collaborate with the Secretary of the Faculty, in appointing the +Investigator and in rendering a decision regarding any potential +conflicts of interest involving the investigator. + +[^22] If the Respondent is a faculty member, the Title IX Coordinator +will collaborate with the Secretary of the Faculty in making a +decision about whether or not to disqualify an Investigator when the +faculty member objects based on a potential conflict of interest. If +a party raises an objection based on a potential conflict of interest +involving the Title IX Coordinator serving as investigator, the role +of the Title IX Coordinator in deciding about whether a conflict +exists, and whether another investigator should be designated, will be +assumed by the President. + +4. *Nature of the Investigation:* The investigation will include +separate interviews with the Complainant (unless that person chooses +not to participate in the investigation), the Respondent, and any +witnesses whom the Investigator(s) believe will provide necessary and +relevant information. The investigation will include the review of +documentation or other items relevant to the reported conduct. + +5. *Identification of Potential Witnesses and Documentation:* The +parties will have the opportunity to provide the Investigator(s) with +written notice of the names and contact information of potential +witnesses with whom they would like the Investigator(s) to speak +together with a brief explanation of how the persons, documents, +and/or items are relevant to the reported conduct. The parties may +also provide the Investigator(s) with any documentation or other items +or questions they would like to be considered or posed to any witness +or the other party. The Investigator(s) will exercise discretion in +determining what information and questions to consider and which +potential witnesses will be interviewed. + +6. *Participation in the Investigation:* Participation in the process +(by providing information to the Investigator(s), responding to +questions from the Investigator(s), responding to information provided +by a party or a witness, etc.) is not required, but the Investigation +will proceed even if a party or witness declines to +participate. During the investigation, the parties will have an equal +opportunity to participate. If a party initially declines but then +later in the Investigation decides to participate, the Investigator(s) +may consider that timing when determining the credibility of the +information/evidence offered and the weight to give that +information/evidence. + +7. *Investigation Prohibitions:* The Investigator(s) will not gather +or consider information related to either party's sexual history with +other persons except as relevant to the alleged violation, as +determined in the sole discretion of the Investigator(s). + +8. *Coordination with Law Enforcement:* The Investigator or designee +may contact any law enforcement agency that is conducting its own +investigation to inform them that a WPI investigation is also in +progress; to ascertain the status of the criminal investigation; and +to determine the extent to which any evidence collected by law +enforcement may be available to WPI in its investigation. At the +request of law enforcement, the Investigator may delay the +investigation temporarily while an external law enforcement agency is +gathering evidence. The Investigator will generally resume the +investigation when notified that law enforcement has completed the +evidence-gathering stage of its criminal investigation. + +#### c. Optional Informal Resolution Procedure + +At any time prior to convening a Judicial Panel (defined below), a +Party may contact the Title IX Coordinator to request an informal +resolution of a complaint. All parties and the Title IX Coordinator +must agree to informal resolution for this option to be used. If the +Title IX Coordinator determines that informal resolution is +appropriate, the Title IX Coordinator will attempt to reach a +resolution. The allegation will be deemed resolved when the parties +expressly agree to an outcome that is acceptable to them and is +approved by the Title IX Coordinator in consultation with other +appropriate administrators. + +### Procedures Following the Investigative Phase of a Title IX Investigation + +#### a. The Investigative Report + +After the Investigation Phase, the Investigator(s) will deliver an +Investigative Report to the Title IX Coordinator. The Investigative +Report should include a description of the alleged sexual misconduct, +and a summary of the information presented during the Investigation +Phase including a section where the Investigator(s) point out relevant +consistencies or inconsistencies (if any) between different sources of +information. The Investigative Report will not include a +recommendation or a determination as to whether a party has violated +the Sexual Misconduct Policy or what sanctions may be appropriate. +These determinations will be made by the Judicial Panel, as described +below. + +#### b. Review by the Parties + +Within five (5) business days of receiving the Investigative Report, +the Title IX Coordinator will provide each party with a copy of the +Investigative Report. Each party will have an opportunity to submit +written comments to the Title IX Coordinator about the Investigative +Report within five (5) business days of receiving the report. The +time to submit written comments may be extended if the Title IX +Coordinator concludes, in his/her sole discretion, that additional +time is warranted. After reviewing the submissions, if any, from the +parties, the Title IX Coordinator may determine that additional +investigation is required, in which case the Investigator will +supplement the Investigative Report and submit a final Investigative +Report to the Title IX Coordinator. Any submissions made by either +party, as well as any other documentation deemed relevant by the +Investigator(s), will be attached to the Investigative Report. Within +three (3) business days of receiving the final Investigative Report, +the Title IX Coordinator will provide each party with a copy of the +final Investigative Report. + +#### c. Convening the Judicial Panel + +The Title IX Coordinator will convene a five-member Judicial Panel +(the "Judicial Panel") from a previously established pool of WPI +faculty members elected by the Faculty to the Campus Hearing Board, +staff members and students trained to decide sexual misconduct +cases. The process for selecting staff members and students for the +pool and the training process for all members of the pool is set by +the Title IX Coordinator in collaboration with the Dean of Students +Office, the Secretary of the Faculty, and the Human Resources +Department. Students will only serve on panels where the Respondent +is a student. If the Respondent is a student, the Judicial Panel +should include a student member unless either party elects not to have +a student serve on the Judicial Panel. If the Respondent is a faculty +member, the Judicial Panel should include at least three faculty +members. If the Respondent is a staff member, the Judicial Panel +should include at least three staff members. The Title IX Coordinator +will provide the parties with the names of the persons assigned as the +Judicial Panel members for their case. As soon as possible, but no +later than three (3) business days after delivery of the identity of +the assigned Judicial Panel members, the parties should inform the +Title IX Coordinator in writing of any conflicts of interest regarding +the members assigned to the Judicial Panel. If a conflict of interest +is raised regarding any of the individuals assigned to the Judicial +Panel, the Title IX Coordinator will consider the nature of the +conflict and determine if different individuals should be assigned to +the Judicial Panel. The Title IX Coordinator should consult with +other WPI personnel (and shall collaborate with the Secretary of the +Faculty in the case of any conflict of interest raised by a faculty +member who is a party in the case or with respect to a proposed +Judicial Panel member who is a faculty member) to assess any conflicts +of interest. The Title IX Coordinator's decision (in appropriate +collaboration with the Secretary of the Faculty) regarding any +conflicts is final. The Title IX Coordinator will then submit the +Investigative Report to the Judicial Panel members who will set a +schedule for the Judicial Panel to convene a hearing or hearings. + +#### d. Training Members of the Judicial Panel + +Proper training is a vital aspect of the integrity of the judicial +process. Therefore, all members of the Judicial Panel shall receive +appropriate orientation and training, in keeping with applicable law +and national best practices. Training and orientation shall be +overseen and approved by the Title IX Coordinator. + +#### e. Role and Responsibilities of the Judicial Panel + +The Judicial Panel will obtain the Investigative Report from the Title +IX Coordinator and convene to review the Investigative Report. The +Judicial Panel, in its discretion, may request the Investigator(s) to +attend a Judicial Panel meeting and answer questions. The Judicial +Panel, in its discretion, may request the Investigator(s) to conduct +additional investigation on specific points. The Judicial Panel must +request the parties that participated in the investigation to appear +and answer questions posed by the Judicial Panel. In addition, the +Judicial Panel, in its discretion, may request to speak with any +individual identified in the Investigative Report as well as any other +individual with relevant information including individuals identified +by the parties. + +In general, a Complainant, witness, or Respondent who had the +opportunity to participate during the Investigation but elected not to +participate will not be permitted to participate verbally in the +hearing or submit documents prior to the hearing. The Judicial Panel +may permit a Complainant, witness, or Respondent who did not +participate in the Investigation to participate in the hearing upon a +showing of good cause. Exceptions of this nature are expected to be +rare. The possibility of a law enforcement investigation or criminal +court proceedings will generally not be considered good cause for an +exception. In general, documents that have not been submitted during +the Investigation may not be presented to the Judicial Panel, although +the Judicial Panel may permit documents to be submitted that were not +part of the Investigation upon a showing of good cause. The Judicial +Panel may, however, consider the fact that the documents were not +provided during the Investigation when determining the credibility of +the information/evidence offered and the weight to give that evidence. + +The Judicial Panel will decide by majority vote whether the Respondent +is responsible for violating the Sexual Misconduct Policy, whether +sanctions are appropriate and, if so, what those sanctions shall be. +The Judicial Panel should state the basis for such decisions in a +document maintained with records relating to the case. + +#### f. Standard of Proof + +All findings and determinations of responsibility and sanctions will +be made using a preponderance of the evidence standard. This standard +requires the determination of whether it is more likely than not that +a fact exists or a violation of the Sexual Misconduct Policy occurred. + +#### g. Rights of the Parties + +Throughout the process, the parties shall have: + ++ the presumption of innocence; ++ the opportunity to present evidence and respond to allegations of + sexual misconduct; ++ the opportunity to present a defense; and ++ the opportunity to offer witnesses to be interviewed by the + Investigator and questioned by the Judicial Panel. Neither party + will be permitted to question or cross-examine the other party + during any hearing held by the Judicial Panel. + +##### h. Sanctions + +A finding of responsibility for Sexual Misconduct can result in a wide +range of sanctions, depending on the circumstances of a particular +case. When the Respondent is a student, examples of sanctions include +community service, counseling, probation, suspension from residence +hall, suspension from the university for one or more terms, expulsion +from WPI. When the Respondent is a staff member or a faculty member, +examples of sanctions include community service, counseling, +probation, reassignment of duties, suspension with pay, suspension +without pay, and termination of employment at WPI. In deciding an +appropriate sanction, the Judicial Panel shall consider the following +factors: + ++ the nature and circumstances of the misconduct; ++ the impact of the misconduct on the person who experienced Sexual + Misconduct; ++ the disciplinary history of the Respondent; ++ any other mitigating or aggravating circumstances in order to reach + a fair and appropriate resolution in each case. + +### Notification of Decision + +Upon reaching a determination of responsibility by majority vote, the +Judicial Panel will provide a written notification of its decision to +the Title IX Coordinator. The written notification will consist of a +statement of the allegations, the Judicial Panel's factual findings, a +decision as to whether the Respondent committed Sexual Misconduct, any +sanction, and the rationale for these decisions. This written +document shall be maintained with records relating to the case. The +Title IX Coordinator will forward to the parties simultaneously (i) +the Judicial Panel's written notification described above; and (ii) +the procedures for either party to appeal. The Title IX Coordinator +will also inform other WPI officials as necessary and appropriate. + +### Appeals[^23] + +[^23]: All Appellate Officers, including the President and Board Chair, +will receive Title IX training. + +All appeals (in Section "a" below) and special appeals (in Section "b" +below) should be delivered to the Title IX Coordinator who will +transmit the appeal to the appropriate Appellate Officer. + +#### a. Appeals Available to Either Party + +Within seven (7) business days following the delivery of the notice of +the Judicial Panel's determination of responsibility and sanction, +either Party may appeal the decision and/or sanction to the +appropriate Appellate Officer. If the Respondent is a student, the +Appellate Officer is the Vice President for Student Affairs. If the +Respondent is a faculty member, the Appellate Officer is the Provost +(unless the Respondent is a full-time faculty member who the Judicial +Panel has determined should be dismissed or suspended, in which case +Section b. below applies). If the Respondent is a staff member, the +Appellate Officer is the Vice President of Talent and Chief Diversity +Officer. + +If potential bias or conflict of interest is raised by either party +regarding the Appellate Officer, the President will consider the +nature of the potential bias or conflict (and, before deciding the +matter, shall collaborate on the matter with the Secretary of the +Faculty in the case of any conflict of interest raised by a party who +is a faculty member) to assess any conflicts of interest and determine +if a different individual should be assigned the role of Appellate +Officer. The Appellate Officer shall not be involved in the appeal +until the President has resolved any questions of conflict of +interest. + +The party submitting the appeal must set forth in detail the grounds +for appeal and must identify or attach all materials to be considered +in the appeal process. The Title IX Coordinator will provide a copy +of the appeal submitted by one party to the other party, and the other +party may submit any additional materials that they wish to have +considered in the appeal process within seven (7) business days of +receipt of the appeal. + +Within 14 business days after receiving an appeal (including +additional materials, if any), the Appellate Officer will decide the +merits of the appeal. In deciding the appeal, the Appellate Officer +should rev iew evidence considered by the Judicial Panel and may also +consult with the Investigator(s), the Judicial Panel, or any other +individual that the Appellate Officer deems appropriate.[^24] In a +case where the Appellate Officer overturns a decision of the Judicial +Panel, the Appellate Officer shall first consult with the +Investigator(s), the Judicial Panel, and any other individual that the +Appellate Officer deems appropriate. + +[^24]: Because the President may have a role in the appellate process +involving full time faculty members facing suspension or dismissal, +the appellate officer shall not communicate with the President +regarding a full-time faculty member's appeal. + +Sanctions may be imposed, in full or in part, while an appeal is +pending. + +The decisions concerning responsibility and sanction, if any, and +reasoning of the Appellate Officer(s) will be provided in a written +document and will be final, except for circumstances that permit a +Special Appeal, as described below. The written document shall be +maintained with records relating to the case. + +The Appellate Officer will forward the written document to the Title +IX Coordinator, and the Title IX Coordinator will inform the parties +simultaneously of the outcome of the appeal by forwarding to them the +Appellate Officer's written document. + +#### b. Special Appeals with respect to a Respondent who is a Full-Time Faculty Member Involving a Recommended Sanction of Dismissal or Suspension + +The following appeal process applies in two cases: + +1. As the sole method of appeal of a determination by a Judicial Panel +that a Respondent who is a full-time faculty member should be +dismissed or suspended; and + +2. As an appeal of a determination by the Appellate Officer that a +Respondent who is a full-time faculty member should be dismissed or +suspended when that determination was made on appeal of a Judicial +Panel's decision not to impose such sanctions on the Respondent. + +Such appeals appeal will be subject to the following procedure: + +The Respondent may appeal (both the finding of responsibility and the +sanction) to the President within fourteen days after the Title IX +Officer notifies the Respondent of the imposition of the sanction by +the Judicial Panel or within fourteen days after the Appellate Officer +imposes a sanction of suspension or dismissal on the first appeal. +The appeal to the President should state why the Respondent believes +the determination of responsibility and/or the sanctions were +inappropriate. The appeal must also set forth in detail the grounds +for appeal and must identify or attach all materials to be considered +in the appeal process. The Title IX Coordinator will provide a copy +of the appeal to the Complainant (if that person has not declined to +participate in the investigative and judicial case). The Complainant +may submit a response to the Title IX Coordinator within five days of +receiving a copy of the appeal. The Title IX Coordinator will forward +that response to the President. + +Before the President decides the appeal, the President should consult +with the previous Appellate Officer (if there were one) and the +Secretary of the Faculty. The President should issue a decision +within thirty days of receiving the appeal. If the decision will take +longer than thirty days, the President should inform the parties of +the additional time necessary to render a decision. The decisions +concerning responsibility and sanction, if any, and reasoning of the +President will be provided in a written document. The written +document shall be maintained with records relating to the case. + +The President will forward the written document to the Title IX +Coordinator, and the Title IX Coordinator will inform the parties +simultaneously of the outcome of the appeal by forwarding to them the +President's written document. + +If the President decides to impose a sanction of dismissal or +suspension, the Respondent may appeal the sanction to the Board of +Trustees within fourteen days after the Respondent is notified of the +President's decision. If the Respondent appeals to the Board, the +Chair of the Board, in collaboration with the Secretary of the +Faculty, shall appoint a committee of five faculty members who will +make a recommendation regarding the sanction imposed. The faculty +committee will have access to all written reports and materials +relevant to the case. The faculty committee will summarize the basis +for its recommendation in a written report to the Board Chair within +thirty days. The Board Chair should issue a written decision within +thirty days of receiving the faculty committee's report. If the +decision will take longer than thirty days, the Board Chair should +inform the parties of the additional time necessary to render a +decision. The decision and reasoning of the Board Chair will be +provided in a written document. The written document shall be +maintained with records relating to the case. The Board Chair will +forward the written decision document to the Title IX Coordinator, and +the Title IX Coordinator will inform the parties simultaneously of the +outcome of the appeal by forwarding to them the Board Chair's written +document. + +The Board Chair's decision shall be final. + +### Timeframe for Completing the Investigation and Disciplinary Process + +WPI will endeavor to complete the investigation and disciplinary +Judicial Panel process, if any, within sixty (60) days of the delivery +of the written notice of investigation to the parties. This period +does not include the time for any appeal. Timeframes set forth in +this Policy may be extended for good cause. WPI's overarching goal is +that the process should be prompt, fair, and impartial. + +### Additional Matters + +#### a. No Conflicts of Interest + +To the maximum extent practicable, steps should be taken to ensure an +impartial and unbiased process, including participation of persons +(including investigators) who: (1) have sufficient qualifications and +training to carry out a thorough evaluation of the relevant +information; and (2) have no unresolved personal, professional, or +financial conflicts of interest with those involved with the inquiry +or investigation that could affect their ability to be objective +reviewers. + +In cases where the Title IX Coordinator has a conflict of interest, a +Deputy Title IX Coordinator appointed by the President will serve in +the Title IX Coordinator's role. In cases where the Appellate Officer +has a conflict of interest, the President shall appoint another +Appellate Officer.. In cases where allegations of Sexual Misconduct +have been brought against the Title IX Coordinator, the Vice President +for Talent/Chief Diversity Officer, the Provost, or the President, +then the process outlined in this policy will be adjusted accordingly +to avoid any conflicts of interest. Except in cases involving the +President, the President shall resolve any questions of bias or +conflict of interest. The President's decision on such questions +shall be final. + +#### b. Duty of Honesty + +Any person who knowingly makes a false statement - either explicitly +or by omission - in connection with any part of the process will be +subject to separate disciplinary action. A false or unfounded report +of misconduct determined by WPI to have been made in bad faith and +dishonesty is a serious offense. Such offenses will themselves be +investigated under the appropriate WPI policy and may lead to +disciplinary action, up to and including termination of employment or +other affiliation with WPI. A report made in good faith is not +considered false merely because the evidence does not ultimately +support the allegation of violation of the Policy. + +#### c. Good Faith Participation by the Parties and Witnesses + +The investigation is a neutral fact-gathering process. Although +participation in the process (providing information to the +Investigator(s), responding to questions from the Investigator(s), +responding to information provided by a party or a witness, etc.) is +not required, the Complainant, the Respondent, and all witnesses are +expected to participate in good faith in the process set forth in this +Policy, and they may be required by WPI to attend meetings related to +the process. Any person who knowingly interferes with the reporting, +investigation, or resolution of matters under this Policy may be +subject to separate and/or additional disciplinary action + +#### d. Duties of Promptness and Care + +Proceedings concerning Sexual Misconduct often raise difficult issues +for those making the allegations, for those who are the subject of the +allegations, and for those responsible for reviewing the allegations. +Review of the allegations should therefore be conducted promptly and +with care and sensitivity. + +#### e. Duty of Confidentiality + +The University will administer any complaint of sexual misconduct +using the process described in this Policy while providing the utmost +degree of privacy and confidentiality possible under the circumstances +of each matter and as permitted by law. All participants in the +review process under this Policy are expected to maintain +confidentiality to protect the privacy of all involved, to the extent +possible and as permitted by law. Participants should keep in mind +the affect that allegations can have on reputations, even if the +allegations are not sustained by the proceedings. Thus, only those +people with a need to know should be informed of a complaint. Any +participant in the process set forth in this Policy who violates their +duty of confidentiality may be subject to discipline under the +appropriate WPI policy. + +#### f. Recording the Proceedings + +The parties are not permitted to make video, audio, or other +electronic, photographic, or digital recordings of any meetings or +proceedings held under the Sexual Misconduct Policy or these +procedures or the Investigative Phase. The Title IX Coordinator may +make exceptions to this prohibition in limited circumstances if he or +she concludes, in his or her sole discretion, that a recording is +warranted, and upon written request of the party seeking the recording +that explains the need for the recording. + +#### g. Record Keeping + +The Title IX Coordinator should receive and maintain all records +relating to proceedings under this Policy including all notices to and +from the parties, all reports of Investigators, all decisions by a +Judicial Panel, all appeals by the parties, and all decisions by +Appellate Officers and others involved in the appeals process under +this Policy. + +#### h. Special Measures + +If there is no finding of Sexual Misconduct, the University should +make reasonable and practical efforts as appropriate to restore the +reputation of the Respondent. Any such concerns by the Respondent +should be directed to the Title IX coordinator for follow up with +other administrators as appropriate. + +#### i. Information about Title IX + +Such information, including about filing a complaint with the +Department of Education related to this Policy, may be obtained from +the Office of Civil Rights at the United States Department of +Education, 400 Maryland Avenue, SW Washington, DC 20202-1100; +800-421-3481 TDD: 800-877-8339; OCR@ed.gov. + +#### j. More information + +More about Title IX at WPI may be found at +<https://www.wpi.edu/offices/title-ix>. + +#### k. Evaluation + +The Title IX Coordinator shall annually evaluate the effectiveness of +the Policy with respect to meeting the needs of Complainants and +Respondents during the process. + --------------------------------------------- # Footnotes