Misconduct in Research (A-31.5)

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Misconduct in Research (A-31.5)

Original Implementation: April 27, 1994
Last Revision: January 15, 2002

Policy Statement Relating to Misconduct in Research
1. Stephen F. Austin State University strives to create a climate that promotes faithful adherence to high ethical standards in the conduct of scientific research, scholarship, and creative activities without inhibiting the productivity and creativity of the academic community. Misconduct in research/scholarly activity is an offense that damages the reputation not only of those involved but also of the entire educational community.
2. Misconduct in research means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the scientific and scholarly community for proposing, conducting, or reporting research or other scholarly activity. It does not include honest errors or honest differences in interpretations or judgments.
3. Misconduct in research/scholarly activity is a major breach of the relationship between a faculty or staff member and the institution. In order to maintain the integrity of research projects, every investigator should keep an auditable record of experimental protocols, data, and findings. Co-authors on research reports/or scholarly works of any type must have a bona fide role in the research and must accept responsibility for the quality of the work reported.
4. Any inquiry or investigation of allegations of misconduct in research/scholarly activity must proceed promptly and with due regard for the reputation and rights of all individuals involved.
5. The University will take all reasonable steps to assure that the persons involved in the evaluation of the allegations and evidence have appropriate expertise and that no person involved in the procedures is either biased against the accused person(s) or has a conflict of interest.
Procedures for Addressing Misconduct in Research/Scholarly Activity
1. Initial allegations, in writing, must be reported to the Vice President for Academic Affairs. If the Vice President for Academic Affairs has a possible conflict of interest, the allegations will be referred to the President of the University.
  
  The Vice President for Academic Affairs shall informally review any allegations of misconduct in research and scholarship and determine whether the allegation warrants initiation of the inquiry process according to the policies and procedures for misconduct in research and scholarship, or whether other policies and procedures, such as those relevant to employment grievances should be invoked. The Vice President for Academic Affairs will counsel the individual(s) bringing the allegation as to the policies and procedures to be used. If the reporting individual chooses not to make a formal allegation but the Vice President for Academic Affairs believes that reasonable cause exists to warrant an inquiry, the inquiry process shall be initiated.
  
  Even if the individual against whom the allegation is made (hereafter referred to as the respondent) leaves or has left the University before the case is resolved, the University may pursue an allegation of misconduct to its conclusion.
  
  Once an allegation is made, the identity of the respondent will be held in strict confidence to the extent allowed by law to protect the individual involved.
  
  Where the complainant seeks anonymity, the Vice President for Academic Affairs shall operate in such a way as to maintain the anonymity to the degree compatible with accomplishing the initial review. Such anonymity cannot, however, be assured. Further, anonymity of the complainant is neither desirable nor appropriate where the testimony or witness of the complainant is important to the substantiation of the allegations.
2. Inquiry
  1. Purpose
    Whenever a warranted allegation or complaint involving the possibility of misconduct is made, the Vice President for Academic Affairs shall initiate an inquiry. In the inquiry stage, factual information is gathered and expeditiously reviewed to determine if an investigation of the charge is warranted. An inquiry is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations.
  2. Structure
    1. The Vice President for Academic Affairs shall, after a decision to proceed with an inquiry, appoint an individual to conduct an official inquiry. This individual will have no conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case. Every effort will be made following initial administrative review of the allegation to appoint an individual within fifteen (15) working days, but the individual must be appointed within thirty (30) working days.
    2. Records of the inquiry are confidential to the extent allowed by law and are to be passed on to a Committee of Investigation if formal review is initiated. In any case, the records shall be kept secure, and if no misconduct is found, the records should be destroyedin accordance with Texas law. At the option of the individual conducting the inquiry, proceedings either will be tape recorded or transcribed and the records will be made available to appropriate and involved parties upon request.
    3. The inquiry phase will be completed within sixty (60) calendar days of its initiation unless the individual determines that circumstances clearly warrant a longer period. In such circumstances, the individual will advise the Vice President for Academic Affairs who will advise all relevant parties. The record of the inquiry will include documentation of the reason for exceeding the sixty (60) day period.
    4. All principals in the inquiry may be accompanied by a representative for advice and counsel. However, since the inquiry is informal and intended to be expeditious, principals must speak for themselves.
  3. Process
    1. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the individual proposed to conduct the inquiry for the purpose of identifying in advance any actual or potential conflict of interest.
    2. Information, expert opinions, records, and other pertinent data may be requested by the individual conducting the inquiry. All involved parties are obliged to cooperate with this individual by supplying such requested documents and information.
    3. During the inquiry, access to copies of all documents reviewed by the individual conducting the inquiry will be assured to all appropriate parties. All materials will be considered confidential to the extent allowed by law and shared only with those with a need to know. During the inquiry, the Vice President for Academic Affairs and the individual conducting the inquiry are responsible for security of relevant documents. Copies of all documents and related communications are to be securely maintained in the Office of Research and Sponsored Programs.
    4. All parties to the case, including the individual conducting the inquiry, shall have the opportunity to present evidence and to call witnesses.
  4. Findings
    1. The completion of an inquiry is marked by a determination of whether or not an investigation is warranted. The individual conducting the inquiry shall find no misconduct unless it is concluded, based on the preponderance of evidence for each allegation, that the allegation(s) have sufficient merit to call for an investigation. The outcome of the inquiry will be conveyed in writing to the Vice President for Academic Affairs, who will be responsible for communication of the findings to the respondent within ten working days. The respondent shall be given the opportunity to comment in writing upon the findings and recommendations of the inquiry. If the respondent chooses to comment, such comments must be forwarded as soon as possible within ten (10) working days.
    2. If the outcome of the inquiry indicates a need for formal investigation, the Vice President for Academic Affairs shall, after notification to the appropriate Dean(s) and legal counsel, initiate the investigative process. Under certain circumstances, as defined by the applicable federal regulations, the institution may be expected to notify the sponsoring agency or funding source prior to the initiation of an investigation. Factors used to determine the timing of such notification include the following: (1) There is an immediate health hazard involved; (2) There is an immediate need to protect federal funds or equipment; (3) There is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is(are) the subject(s) of the allegations as well as his/her(their) co-investigators and associates, if any; (4) It is probable that the alleged incident is going to be reported publicly; or (5) There is a reasonable indication of possible criminal violation.
    3. If an allegation is found to be unsupported but has been submitted in good faith, no further action, other than informing all parties, will be taken. The proceedings of an inquiry, including the identity of the respondent, will be held in strict confidence to the extent allowed by law to protect the parties involved. If confidentiality is breached, the University will take reasonable steps to minimize the damage to reputations that may result from inaccurate reports.
    4. If the individual conducting the inquiry finds the allegations to be unjust and malicious, those findings will be reported to the Vice President for Academic Affairs. At this time the Vice President for Academic Affairs may take such actions or impose such sanctions as are appropriate to the situation.
3. Investigation and Determination
  1. Purpose
    An investigation will be initiated when an inquiry results in a finding that investigation is warranted. The purpose of investigation is to explore the allegations further and determine whether misconduct in research and scholarship has been committed. The investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the course of an investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent will be informed in writing when significant new directions of investigation are undertaken.
  2. Structure
    1. The Vice President for Academic Affairs will, after a decision to proceed with an investigation, and after consultation with the chair of the University Research Council, appoint an Investigating Committee of no less than three persons. At least two members will be senior faculty who are without conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case.. The individual who conducted the inquiry shall not serve on the Investigating Committee. Following receipt of the inquiry report, every effort will be made to appoint an Investigating Committee within fifteen (15) working days, but the Committee must be appointed within thirty (30) working days.
    2. At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters.
    3. Hearings are confidential.. Written notification of hearing dates and copies of all relevant documents will be provided by the Vice President for Academic Affairs in advance of scheduled meetings. Proceedings will be tape recorded, but not the Committeeâs deliberations, and the records will be made available to involved parties upon request.
    4. Every effort should be made to complete the investigation within 120 days; however, it is acknowledged that in some cases this time period may be difficult to meet. In such cases, the Investigating Committee shall compile a progress report, identify reasons for the delay, and notify the Vice President for Academic Affairs of the additional time necessary for the investigation. The Vice President for Academic Affairs shall convey to the funding agency such information as may be required by it at intervals as required by the agency.
    5. Both the principals and the Investigating Committee may discuss the issues personally or have a representative accompany them.
  3. Process
    1. The Vice President for Academic Affairs is responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the proposed membership of the Committee of Investigation for the purpose of identifying in advance any actual or potential conflict of interest.
    2. All parties to the case, including the Investigating Committee, may present evidence and call and examine or cross-examine witnesses. The investigation normally will include examination of all documentation, including, but not necessarily limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The Committee will make every attempt to interview all individuals involved in making the allegation or against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegations; complete summaries of these interviews will be provided to the interviewed party for comment or revision and included as part of the investigatory file. Additional hearings may be held, and the Committee may request the involvement of outside experts. The investigation must be sufficiently thorough to permit the Committee to reach a decision about the validity of the allegation(s) and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result. In addition to making a judgment on the veracity of the charges, the Committee may recommend to the Vice President for Academic Affairs appropriate sanctions if warranted.
    3. As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of either the inquiry or the investigation may be indicated. Such action, ranging from slight restriction to complete suspension of respondent and notification of external sponsors, if indicated, is initiated by the Vice President for Academic Affairs.
    4. All parties in the investigation are encouraged to cooperate by producing any additional data requested for the investigation. Copies of all materials secured by the Committee shall be provided to the respondent and may be provided to other concerned parties as judged appropriate by the Committee.
    5. The respondent shall have an opportunity to address the charges and evidence in detail.
    6. After all evidence has been received and hearings completed, the Investigating Committee shall meet in closed sessions to deliberate and prepare its findings and recommendations. The Committee shall find no academic misconduct unless a majority of the members conclude that the preponderance of the credible evidence substantiates the allegation(s).
    7. All significant developments during the investigation as well as the findings and recommendations of the Committee will be reported by the Vice President for Academic Affairs to the research sponsor if appropriate.
  4. Findings
    1. Upon completion of the investigation, the Committee will submit to the Vice President for Academic Affairs a full written report that details the Committee's findings and recommendations. The Committee's findings are binding upon the Institution subject to appeal by the respondent.
    2. This report shall also be sent to the respondent by the Vice President for Academic Affairs within ten (10) days of its receipt.
  5. Resolution
    1. Finding of Absence of Academic Misconduct
      All research sponsors and others initially informed of the investigation will be informed in writing that allegations of misconduct were not supported. If the allegations are deemed to have been maliciously motivated, the Committee will report those findings to the Vice President for Academic Affairs. If the allegations, however incorrect, are deemed to have been made in good faith, no additional measures are indicated and efforts will be made to prevent retaliatory actions. In publicizing the finding of no misconduct, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. Usually, such decision will rest with the person who was innocently accused.
    2. Finding of Presence of Academic Misconduct
      The Vice President for Academic Affairs shall consider the recommendations of the Committee and shall be responsible for determining and implementing sanctions. The respondent shall be notified in writing of the recommended sanctions within twenty (20) days. If the sanctions involve a recommendation for termination of employment, the University academic termination procedures will be invoked. The University must take action appropriate for the seriousness of the misconduct, including, but not limited to, one or more of the following, subject to existing University policies
      1. Institutional Disciplinary Action including:
        
        Removal from particular project
        
        Special monitoring of future work
        
        Letter of reprimand
        
        Probation for specified period with conditions specified
        
        Suspension of rights and responsibilities for a specified period, with or without salary
        
        Financial restitution
        
        Termination of employment/enrollment
      2. Notification. The Vice President for Academic Affairs is responsible for notification of the outcome to all federal agencies, sponsors or other entities initially informed of the investigation. Consideration should be given to formal notification of involved parties such as:
        
        Sponsoring agencies, funding sources
        
        Co-authors, co-investigators, collaborators, department, University publications
        
        Editors of the journal(s) in which fraudulent research was published
        
        State professional licensing boards
        
        Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated
        
        Professional societies
      3. Interim sanctions may be imposed during the appellate process.
  6. Appeal
    Individuals may appeal the judgment of the Investigating Committee and/or the sanction. A written statement of the grounds for the appeal must be submitted to the President within thirty (30) days of written notification of the sanctions. Grounds for appeal include, but are not limited to, previously unconsidered material evidence, sanctions not commensurate with the finding, and failure to follow the prescribed process. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination. The President shall reopen the investigation if the previously unconsidered material evidence so warrants and may reopen the investigation if circumstances so dictate. The President's decision will be conveyed to all involved in a timely fashion, but must be conveyed within thirty (30) working days. In the case of termination, the appropriate University policies on termination for cause shall be followed.

Source of Authority: Vice President for Academic Affairs

Cross Reference: None

Contact for Revision: Associate Vice President for Graduate Studies and Research

Forms: None

Stephen F. Austin State University

Misconduct in Research (A-31.5)