Current through all regulations passed and filed through March 18, 2024
(A)
Purpose.
Recognizing a responsibility for the proper and ethical conduct of research and
scholarship by all its personnel, and further recognizing that allegations or
instances of conduct inconsistent with accepted standards may occur, the
university is committed to providing maximal opportunity for fairness and due
process. Toward this end the procedures stated herein shall be applied when
misconduct is alleged.
(B)
Requirement. As a recipient of federal grants and
contracts, particularly from the national science foundation (NSF) and the
public health service (PHSl), including the national institutes of health, the
university is bound by regulations requiring that procedures be established for
inquiry into and investigation of alleged or apparent misconduct in scientific
activities conducted, funded, or regulated by these agencies. In order to
establish a consistent and comprehensive procedure for the university, the
procedures set forth below will apply to all instances of alleged or apparent
misconduct in research, scholarly and creative activities regardless of funding
or source.
(C)
Definitions. The following key definitions apply to the
implementation of the requirement
in paragraph (B) of
this rule.
(1)
"Misconduct" is defined as deception, fabrication,
falsification, plagiarism, or other serious deviation from accepted practices
in proposing, carrying out, or reporting results from research and scholarship:
material failure to comply with federal, state and/or university requirements
for protection of researchers, human subjects, or the public, or for ensuring
the welfare of laboratory animals: or failure to meet other material legal
requirements governing research and scholarship.
(2)
"Inquiry" is
defined as information-gathering and preliminary fact-finding to determine
whether an allegation or apparent instance of misconduct warrants an
investigation, or other measure, such as referral to the faculty senate ethics
committee when appropriate.
(3)
"Investigation"
is defined as a formal examination and evaluation of relevant facts to
determine whether misconduct has taken place or. if misconduct has already been
confirmed, to assess its extent and consequences or determine appropriate
action. An investigation may be conducted simultaneously with an inquiry if
circumstances warrant.
(D)
Procedures.
(1)
If a university
employee is accused of misconduct in research or scholarship, the complaint
shall be lodged by the accuser in writing with the chairperson/ director/dean
of the accused's department/school. Any accusation of misconduct must be
presented with what is perceived by the accuser as supporting evidence; the
accused must have the opportunity to review any materials supportive of the
complaint as soon as such accusations are made. Chairpersons and directors will
immediately notify the research dean, the appropriate undergraduate and
graduate dean(s), and the provost. Should the chairperson/director be the
accused, the dean of the college will be the first point of contact and that
dean will notify the research dean, the appropriate graduate dean, and the
provost. Should an independent school or collegial dean be the accused, the
first point of contact will be the dean for research and graduate
studies.
(2)
The research dean, (after appropriate consultation with
the chairperson/ director/dean, and the faculty advisory committee) will select
an inquiry committee of no less than three persons from among the tenured
members of the faculty who have no direct interest in the case but who are
otherwise closest in specialty to the area of work of the accused. The inquiry
committee will be impanelled to discuss the seriousness of the charges and will
be charged to conduct all procedures in the strictest
confidence.
(3)
Should the majority of the inquiry committee agree that
serious misconduct in scholarly pursuits is clearly plausible, then the provost
in consultation with the dean for research, and other appropriate members of
the university community, shall inform the accused, shall alert appropriate
granting agencies as to the possibility of irregularities and shall form an
investigation committee from within, and if necessary and/or appropriate, from
without the university to give considered opinion as to the gravity and
validity of the accusations under consideration and, if appropriate, recommend
sanctions. The investigating committee may, if it deems necessary, interview
the accused and/or the accuser (separately). The accused and the accuser both
have the right to appear before the investigating committee if either so
desires. Utmost confidentiality is to be maintained during the
investigation.
The committee of investigation will consist of at least
five full-time university employees of faculty or administrative rank, one of
which will be the dean, research and graduate studies as convener; one of which
will be a representative of the undergraduate and graduate dean(s) of the
individual to whose activities the investigation applies; and at least two of
which will be ordinarily chosen from the membership of or upon the
recommendation of the university research council. Additional members will be
appointed to provide scientific, legal, or other scholarly expertise required
by the nature of the research or scholarship under investigation. The
university may invite outside consultants or experts to participate in an
investigation.
(E)
Sanctions. Upon
the completion of its deliberations and in accord with Article V of the
Collective Bargaining Agreement, the investigating committee may recommend
sanctions against the employee(s) found guilty of research misconduct.
(1)
Recommendations
of sanctions and a summary of its findings are to be made in writing by the
investigating committee to the provost, with a copy provided to the faculty or
staff member(s) to whom the recommended sanctions would apply.
(2)
Possible
sanctions recommended by the investigating committee may include:
(a)
A letter of
concern;
(b)
Censure;
(c)
Director to the
dean for research and graduate studies to:
(i)
Terminate a
research grant or contract involved in the misconduct;
(ii)
Withdraw
research grant or contract proposals connected with the research
misconduct;
(iii)
Suspend academic year or summer research/creative
activity appointments to the faculty member;
(iv)
Deny,
permanently or temporarily, access to the services and facilities of the office
of research and graduate studies;
(v)
Deny, permanently
or temporarily, access to the university computing facilities, the university
library, and similar research tools;
(vi)
Deny access for
the purposes of university approved research to human subjects or laboratory
animals;
(vii)
Notify appropriate federal, state and local
agencies;
(viii)
Notify journal editors, book publishers, etc., as
appropriate and necessary.
(d)
Director to the
dean of the appropriate graduate school to conduct an immediate review of the
faculty member's graduate faculty status;
(e)
Direction to the
dean of the appropriate collegial/independent school/campus unit to:
(i)
Place the
employee(s) on appropriate probation;
(ii)
Reduce pay
and/or benefits;
(iii)
Suspend the employee(s);
(iv)
Initiate
termination of employment.
(3)
If adopted, all
of these recommended sanctions are to be carried out in accord with Article V
sanctions for cause, of the current collective bargaining agreement between the
university and the local chapter of the American association of university
professors and the appropriate sections of this policy register and the
Administrative Code.
(F)
Appeals. Subjects
of investigation who are found guilty of research misconduct may appeal the
findings of the committee of investigation to the provost within ten working
days of receipt of the decision and recommendations of the investigation. Upon
completion of the appeals proceedings, the dean, research and graduate studies
will report the final results to any relevant agency and the provost will take
final action in the case, as appropriate.
(G)
Reports. Upon
completion of the investigation and appeal, if any, a report of findings and
actions taken will be distributed to committee members, relevant
administrators, and the parties involved. Further distribution will be made if
needed to preserve the reputation of the person(s) alleged against.
Replaces: 3342-3- 05.1
