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Misconduct in Scholarship and in Research

Integrity in scholarship and research is an essential characteristic of the academic life. Any activity that compromises the pursuit of truth as well as the understanding, transmission, and advancement of knowledge besmirches the total intellectual effort and may undermine public confidence in the academic endeavor. The policy and procedures described herein underscore the University's commitment to high standards in scholarship and research. While these procedures are general in nature, they are intended to conform to misconduct-in-science policies promulgated by the Public Health Service (42 CFR 50) and the National Science Foundation (45 CFR 689). Accordingly, where applicable, these and all other federal sponsor regulations concerning research misconduct are incorporated by reference and are to have the same effect as if fully written out in this document.

The policy applies to all individuals, regardless of discipline, who may be involved with a scholarship or research activity carried out under the auspices of the University whether or not the activity has been submitted for or has received external funding.

Introduction
Integrity in the advancement of knowledge depends largely on the intellectual honesty of the scholar. Advances in knowledge rest on a foundation of trustworthy data, accurately assembled by rigorous scholarship, honestly and critically interpreted, with conclusions reported in a manner acceptable to the discipline. A commitment to honesty is expected of all scholar/researchers, and this should be continuously emphasized to students, research assistants, associates, and colleagues by mentors and academic leaders.

Misconduct in scholarship and research ("research misconduct") is defined as an intentional and serious deviation from accepted ethical practices in proposing, executing, or reporting research. Research misconduct may range from mild to egregious misconduct, as judged against norms in the particular discipline or in scholarship in general. Violations of this policy include:
(1) falsification of data, including fabrication as well as selective suppression of data elements because they fail to fit the desired result;
(2) plagiarism; and
(3) abuse of confidentiality, wherein the original ideas or data are obtained from peer review of proposals or manuscripts, conversations with colleagues, or in similar privileged circumstances.

Other intentional and serious deviations from accepted ethical practices that are covered by specific University and federal policies (for example, sexual harassment, discriminatory harassment, and procedural regulations for the protection of human and animal subjects used in research) are mentioned here to note that other serious deviations from ethical practices, while not necessarily research misconduct, undermine the integrity of research. Normal University disciplinary procedures apply to such matters. If evidence reveals such professional misconduct during the course of research, written documentation of proceedings and sanctions taken by the University will be made available to the sponsor.

Care must be taken to distinguish between research misconduct and carelessness, honest errors, or honest differences in interpretations or judgments of data. Similarly, an examination of the conduct of research may reflect incompetence or a poorly conducted effort, as opposed to an intentional deviation from accepted ethical practices in the discipline. Further, a variation in process may be radical and represent creative innovation. Clearly, good judgment must be exercised in the study of alleged violations of the policy.

Some federal sponsors may have definitions of research misconduct which differ somewhat from that given above. Where a federal sponsor is involved, the federally required definition will be used instead of the definition given above in this policy. In similar manner, if different procedures, including the standard of proof used at various stages of the process, are required by a federal sponsor, these procedures will be used. Copies of federal sponsor requirements are available in the University's Office of Research.

Any duties of the Vice President for Graduate Studies and Research (hereinafter, the "Vice President") or of the Provost outlined in this policy may be carried out by a designee or designees appointed by them. Any notification or provision of documents or other information to a sponsor on behalf of the University referred to in this document will be made by the Vice President. Sponsor contact called for by this policy is always discretionary, except to the extent required by federal regulations.

General Procedure
If a person suspects the occurrence of research misconduct in the research process by any member of the campus community, he or she should discuss the matter on a confidential basis with the department chair or director of the appropriate institute. The chair/director will notify the dean of the college and the Vice President for Graduate Studies and Research if there is a reasonable basis to make further inquiry. The Vice President will select an impartial Inquiry Panel, consisting of three senior members of the Teaching and Research Faculty, who will look into the matter. The Panel will report in writing the findings of their inquiry within sixty (60) calendar days and make a recommendation as to further investigation. If the Vice President determines that an investigation is warranted, an investigation will be initiated within thirty (30) calendar days of the recommendation. If the research in question is part of a grant application to or is funded by a federal sponsor, the appropriate oversight branch of that sponsor (hereinafter that branch will be referred to as the "sponsor") will be notified.

The investigation will be conducted by an impartial ad hoc committee (the Investigation Panel) appointed by the Vice President, one member of which may come from the Inquiry Panel. The report of the Investigation Panel will be communicated to the Vice President within ninety (90) calendar days. The Vice President will provide a copy of the report and his findings to those involved and to the sponsor.

If the Investigation Panel determines that research misconduct has taken place, the Vice President may recommend sanctions including termination and/or dismissal from the University. An appeals procedure is provided. A final report of the Investigation Panel, any findings adopted or otherwise made by the Vice President on behalf of the University, and any subsequent disciplinary or remedial actions taken by the University, shall be provided by the Vice President to all appropriate parties and to the sponsor.

Elements of the Procedure
In each phase of the procedure, the University will afford the affected individual(s) confidential treatment to the maximum extent possible. It will also undertake diligent efforts to restore the reputations of persons alleged to have engaged in misconduct when allegations are not confirmed, and also undertake diligent efforts to protect the positions and reputations of those persons who, in good faith, make allegations.

The sponsor will be notified immediately if (a) there is an immediate health hazard involved, (b) there is an immediate need to protect federal funds or equipment, (c) there is an immediate need to protect the interests of the person(s) making the allegations or of the individual who is the subject of the allegations as well as his/her co-investigators and associates, or (d) it is probable that the alleged incident is going to be reported publicly. The sponsor will be notified within twenty-four (24) hours if there is a reasonable indication of possible criminal violation.

At any stage of the process, the Vice President is empowered to take appropriate interim administrative or remedial actions to protect sponsor funds and ensure that the purposes of the grant or contract are being carried out and to protect the integrity of the research and the reputation of the university, complainants, accused persons and others. However, direct disciplinary actions against individuals are carried out under established University disciplinary procedures.

If allegations of research misconduct are brought to the attention of the University by the sponsor of the research, the Vice President will review any evidence from the sponsor to determine whether to proceed with an inquiry or an investigation.

1. The Initial Complaint. Any person who has reason to believe that a violation of this policy has occurred shall discuss it on a confidential basis with the department chair or director of the appropriate institute. If a perceived conflict of interest exists between the chair/director and the accused, the next highest academic officer shall be notified of the charge. The chair/director shall evaluate the allegation promptly. If it is determined that there is no substantial basis for the charge, then the matter may be dismissed with the fact of dismissal being made known to the complainant and to the accused if he or she is aware of the accusation. A written summary of charges, findings, and actions shall be forwarded to the Vice President for Graduate Studies and Research as a matter of documentation. If it cannot be readily determined that there is no substantial basis for the charge, then the chair/director shall notify the dean of the college and the Vice President in writing that an inquiry should be made.

In this initial element, as in all other phases of the procedure, impartiality, confidentiality, and sensitivity to possible conflict of interest must be paramount considerations by each party involved. If a person believes he or she has a conflict of interest, this perception should be discussed with the Vice President for appropriate resolution.

2. The Inquiry. The Vice President for Graduate Studies and Research, upon receipt of the call for an inquiry or if he or she decides independently that one is required, shall promptly appoint an Inquiry Panel consisting of three members of the Teaching and Research faculty. The Vice President shall simultaneously notify the accused individual(s) of the specific allegation and of the appointment of an Inquiry Panel. Similarly, the complainant shall be kept informed. All involved parties are obligated to cooperate fully in this phase of the procedure as well as any subsequent phases.

The Inquiry Panel is charged to consider the allegation and explore the supporting evidence. The basic objective of the inquiry is to recommend for or against a more formal investigation into the matter. The inquiry should begin promptly and a written report shall be forthcoming within a period of sixty (60) calendar days. If the inquiry takes longer than sixty (60) calendar days to complete, the inquiry report shall document the reasons for extending beyond the sixty (60) day period. Should the Inquiry Panel decide to recommend that an investigation is not warranted, sufficient documentation must accompany the recommendation in the event a later assessment is required. Additionally, if the University terminates the inquiry before its conclusion, the reasons for the termination will be documented and a report submitted to the sponsor.

The inquiry report should clearly summarize the Panel's findings and the evidence to support its recommendation to the Vice President. The Vice President shall provide a copy of the report to any accused individuals for their comments. Any such comments must be made in writing and submitted to the Vice President within fifteen (15) calendar days after the report has been mailed to accused individuals or after other receipt of the report. These comments will be made part of the inquiry record. All documentation of the Inquiry Panel will be kept for a minimum of three years after the conclusion of the inquiry or other final disposition of the matter and will be available, on request and to the extent required by federal regulation, to appropriate personnel of the sponsor.

Any substantial evidence that suggests a violation of this policy in any phase of the research process shall prompt a recommendation for an investigation.

3. The Investigation. If, based on the report of the Inquiry Panel or otherwise, the Vice President determines that an investigation is in order, he/she shall initiate the process by notifying all appropriate parties (e.g., the complainant, the accused, and the sponsor). The Vice President shall then appoint an ad hoc panel which shall include five members of the Teaching and Research Faculty, one of whom may be from the Inquiry Panel. At least two members of the Panel shall hold appointments in a different college than that of the accused. Members should be selected on the basis of their expertise or other ability to contribute to the investigation. Each selected member must insure that he or she is free of any conflict of interest.

The investigation will be initiated by the Investigation Panel within thirty (30) calendar days after the completion of the inquiry. The Investigation Panel will examine all documentation including, for example, relevant research data, proposals, publications, correspondence, computer files, and memoranda of telephone calls. Key individuals will be interviewed and written summaries of these interviews will be made. The purpose of the investigation is to fully explore the allegations and to reach a conclusion, supported by clear and convincing evidence, concerning the nature of the alleged infraction and its extent. In this latter regard, the scope of the investigation may reveal additional information that justifies a broadening of the charge. The accused shall be kept informed of any substantial changes in the charge or in the direction of the investigation. The sponsor is to be notified promptly if the additional information discloses facts that may affect current or potential funding for individual(s) under investigation or that the sponsor needs to know to ensure appropriate use of federal funds and otherwise protect the public interest.

The accused party shall be given the opportunity to respond to all allegations and to supporting evidence on a timely basis. With the approval of the Investigation Panel, he/she may propose questions to the Panel for its consideration in propounding questions to others. However, there is no right of cross-examination, attendance at Panel meetings, or discovery. The accused party may be represented by legal counsel if that is desired. As needed, the Investigation Panel shall be advised and assisted by the University's General Counsel and others as appropriate. If the investigation is terminated prior to its completion, a full report of the reasons for the termination will be made and forwarded to the sponsor.

A final report of the Investigation Panel that documents the investigative process and the Panel's findings shall be made to the Vice President within ninety (90) calendar days. In the event that the investigation reveals unforeseen facets and requires additional time, the Panel shall file an interim report describing the process to date and requesting additional time. If sponsor concurrence is necessary for a time extension, the Vice President shall be the contact point between the sponsor and the University.

The final report of the Investigation Panel will describe the procedures under which the investigation took place and will document evidence, interim actions taken by the University, summaries of interviews, findings, and recommendations for further actions including disciplinary actions where appropriate. The accused party may appeal the findings of the Investigation Panel. Any appeal must be made in writing to the Vice President within fifteen (15) calendar days after the report has been mailed to the last known address of the accused party or after other delivery of the report.

The Vice President shall consider and rule on any appeal. After he/she has done so, or in the absence of an appeal, the Vice President shall make findings on behalf of the University as to violations of this policy and shall recommend proposed disciplinary actions (see Section 5); he/she shall make these available to the accused party. If the Vice President's findings are more adverse to an accused party than are those of the Investigation Panel, the accused party may appeal the findings made by the Vice President. Any appeal must be made in writing to the Provost within fifteen (15) calendar days after the Vice President's findings have been mailed or otherwise provided to the accused party. When the appeal has been decided, or in the absence of an appeal, the Vice President shall make copies of the Investigation Panel's report and his findings and recommendations available to all appropriate parties (e.g., Provost, complainant, accused, and the sponsor). As is the case with all other elements of the investigation, these materials are to be treated as confidential.

4. Students. If a federal sponsor is involved and if the accused individual is a student (graduate or undergraduate), the Inquiry and Investigative Panels will have added to them representatives of the Office of Student Affairs and the Graduate School. If a federal sponsor is not involved, the student is subject only to the normal student disciplinary process for alleged violations of this policy.

5. Disciplinary Action. Disciplinary action against the accused will vary according to the nature and extent of the infraction, if any. The Vice President for Graduate Studies and Research shall recommend to the Provost specific disciplinary action that might be taken (see Section 3). If a charge of research misconduct has been sustained by the evidence, and the accused is a member of the faculty, he or she may be dismissed from the University under Article 3, Section 6 of the Academic Articles. The committee elected by the Academic Council in Section 6, Subsection b, shall be provided with a copy of the report of the Investigation Panel and of all other relevant information gathered in the process. All safeguards for the accused faculty member as described in Section 6, shall apply. Non-faculty employees and students of the University may be disciplined in accord with procedures applicable to their status; see, for example, the Staff Handbook.

In all cases, except that of dismissal of a faculty member, appeal of disciplinary actions must be made in writing to the Provost within fifteen (15) calendar days after notice of the proposed action has been mailed to or otherwise given to the accused party. The Provost will consider and make a final ruling on the appeal on behalf of the University. In the case of faculty dismissal, the procedure for appeal shall be that of Article 3, Section 6, Subsection b of the Academic Articles.

6. Other. If the procedure of inquiry and investigation was initiated by a complaint made in good faith, and no violation of this policy is found, every effort must be made to protect the position and reputation of the complainant and prevent any retaliation or discrimination. If, however, the investigation concludes that the allegation was made on some basis other than good faith, disciplinary action may be taken against the complainant. Similarly, to the maximum extent possible, the position and reputation of the accused must be protected and restored if the allegations of research misconduct are not confirmed.

The University shall retain all records of the case in a confidential manner. The records, documents, and final report are to be maintained for a minimum period of three (3) years after final disposition by the University or a longer period as may be required by federal regulation.

Date last revised 11/15/95