The dean will initiate a formal investigation, if he deems one warranted, as soon as practicable, and generally within 30 days after receiving the report from the Inquiry Committee containing its conclusions and its statement of charges. The purpose of an investigation is to gather, review, and assess all relevant evidence available to the Committee, and to determine whether the charge or charges are substantiated by a preponderance of the evidence. To constitute academic misconduct under this policy, the alleged behavior must represent a significant departure from the accepted practices of the relevant research or scholarly community and must be shown to have been committed intentionally, knowingly, or recklessly.

The investigation will be carried out by an ad hoc Investigation Committee consisting of three or more individuals whom the dean will appoint and which may include, in addition to or in lieu of tenured members of the faculty of the school, qualified individuals from outside the school or University.[11] The dean will not appoint to the Investigation Committee any individuals whom he or she believes have a potential conflict of interest with respect to the matter under review or the individuals involved. The dean will inform the respondent of the membership of the Investigation Committee, and will consider any objection promptly raised by the respondent based on conflict on interest. However, the dean’s evaluation of any such objection shall be final. The dean will promptly inform the provost of the initiation of the investigation and will also report the investigation to the applicable funding, regulatory or other agencies as may be required by law or regulation.

The Investigation Committee will impound any materials, including laboratory notebooks, data and other research or scholarly materials which it believes are relevant and that have not been impounded previously by the dean or Inquiry Committee. The Investigation Committee will make every effort to hear directly from the respondent as well as the complainant(s). It may call witnesses who may be any persons within or without the University who may be knowledgeable about the matters under investigation, may seek expert advice and may review the records of the Inquiry Committee. The investigation will follow the same procedures as described under Inquiry to maintain confidentiality and protect the privacy of those involved. The Investigation Committee will provide to the respondent the opportunity to inspect all documents which it will consider, except where there is a compelling need to protect the confidentiality of a communication, in which case the Committee will inform the respondent of the substance of the document. The Investigation Committee also will provide the respondent the opportunity to submit evidence and suggest witnesses. The Investigation Committee at its discretion may permit the respondent to be present during the hearing of testimony from other witnesses or may exclude the respondent, provided that the respondent is given an opportunity to rebut or respond to the substance of all testimony.[12]

The Investigation Committee will complete its work as soon as possible and will ordinarily take no longer than 120 days from the date it receives its charges. If the investigation cannot be completed within that time, the Investigation Committee will report to the dean on the status of the investigation and he or she will notify the provost as to an estimated timetable for completion of the investigation. The dean will also notify and request any necessary extension of time from any funding, regulatory or other agencies as may be required by applicable law.

Next: Report of Investigation

11 In any case, an individual that served on the Inquiry Committee may also serve on the Investigation Committee.

12 The respondent may be accompanied before the Investigation Committee by an adviser who may be any member of the Yale University community. If the respondent has engaged legal counsel, then counsel instead will be permitted to accompany the respondent to consult with him or her as an adviser. However, the Investigation is not a trial-type proceeding and legal counsel will not be permitted to direct questions or answers or offer argument on behalf of the respondent.