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Research Integrity: Difference between revisions
→Duty to Cooperate with Inquiries and Investigations
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All individuals subject to this policy shall cooperate with the Research Integrity Officer and other institutional officials in the review of allegations and the conduct of inquiries and investigations. Institutional members, including respondents, have an obligation to provide all requested evidence and information related to such inquiries or investigations. Cooperation includes, without limitation, maintaining confidentiality and deferring to the process outlined in this policy, which is designed both to hold researchers accountable and to prevent unjust harm to a career as a result of an allegation that does not ultimately result in a finding of research misconduct. Failure to cooperate may result in sanctions pursuant to appliable UNMC policy including, but not limited to, the UNMC Code of Conduct or Student Code of Conduct. | All individuals subject to this policy shall cooperate with the Research Integrity Officer and other institutional officials in the review of allegations and the conduct of inquiries and investigations. Institutional members, including respondents, have an obligation to provide all requested evidence and information related to such inquiries or investigations. Cooperation includes, without limitation, maintaining confidentiality and deferring to the process outlined in this policy, which is designed both to hold researchers accountable and to prevent unjust harm to a career as a result of an allegation that does not ultimately result in a finding of research misconduct. Failure to cooperate may result in sanctions pursuant to appliable UNMC policy including, but not limited to, the UNMC Code of Conduct or Student Code of Conduct. | ||
===Duty to Maintain Confidentiality=== | ===Duty to Maintain Confidentiality=== | ||
Allegations of research misconduct (even when ultimately disproven) can have serious career consequences for a researcher. Therefore, to the maximum extent permitted by applicable law, all individuals subject to this policy shall maintain the strict confidentiality of any information relating to allegations of research misconduct or a research misconduct proceeding and shall disclose such information only to those with a | Allegations of research misconduct (even when ultimately disproven) can have serious career consequences for a researcher. Therefore, to the maximum extent permitted by applicable law, all individuals subject to this policy shall maintain the strict confidentiality of any information relating to allegations of research misconduct or a research misconduct proceeding and shall disclose such information only to those with a need to know as determined by UNMC. While conducting research misconduct proceedings, the Research Integrity Officer or designee shall limit disclosure of the identity of respondents, complainants, and witnesses to those who need to know, as determined by UNMC, in order to carry out a thorough, competent, objective and fair research misconduct proceeding, and, except as otherwise prescribed by law, limit the disclosure of records or evidence from which research subjects might be identified to those who need to know in order to carry out a research misconduct proceeding. The Research Integrity Officer or designee may use written confidentiality agreements or other mechanisms to implement this section. Inappropriate dissemination of information can result in sanctions up to and including termination. | ||
For purposes of this policy, those who may need to know could include institutional review boards, journals, editors, publishers, co-authors, and collaborating institutions. Furthermore, this policy does not prohibit UNMC from managing published data or acknowledging that data may be unreliable. UNMC must disclose the identity of respondents, complainants, or other relevant persons to ORI pursuant to an ORI review of research misconduct proceedings under this policy. | |||
The limitation on disclosure of the identity of respondents, complainants, and witnesses no longer applies once UNMC has made a final determination of research misconduct findings. However, other obligations of confidentiality may limit UNMC’s disclosure even after final determination. Any disclosure of the identity of a respondent, complainant or witness will only be made after consultation with the Research Integrity Officer or designee and, if needed, legal counsel. | |||
===Rights and Responsibilities of Complainant === | ===Rights and Responsibilities of Complainant === | ||
The complainant is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with the inquiry and investigation. The complainant may be interviewed at the inquiry phase and shall be interviewed at the investigation phase as described below. The role of a complainant is not to act as special prosecutor; once a complainant makes an allegation of research misconduct, the complainant is responsible for providing evidence and information in connection with the response to the allegation but otherwise shall defer to, and cooperate with, UNMC’s review, adjudication and response to research misconduct as provided in this policy. A complainant shall not discuss the allegations of research misconduct outside the process. | The complainant is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with the inquiry and investigation. The complainant may be interviewed at the inquiry phase and shall be interviewed at the investigation phase as described below. The role of a complainant is not to act as special prosecutor; once a complainant makes an allegation of research misconduct, the complainant is responsible for providing evidence and information in connection with the response to the allegation but otherwise shall defer to, and cooperate with, UNMC’s review, adjudication and response to research misconduct as provided in this policy. A complainant shall not discuss the allegations of research misconduct outside the process. | ||
=== Rights and Responsibilities of Respondent=== | === Rights and Responsibilities of Respondent=== | ||
The respondent is responsible for maintaining confidentiality and cooperating with the conduct of an inquiry and investigation. The respondent shall ordinarily receive the procedural rights and protections set forth in this policy. A respondent may be accompanied by legal counsel of their own choosing and at their own expense during an interview conducted under this policy. Legal counsel may advise the respondent | The respondent is responsible for maintaining confidentiality and cooperating with the conduct of an inquiry and investigation. The respondent shall ordinarily receive the procedural rights and protections set forth in this policy. A respondent may be accompanied by legal counsel of their own choosing and at their own expense during an interview conducted under this policy. Legal counsel may advise the respondent but may not question witnesses or otherwise take part in the proceedings. | ||
===Retaliation Prohibited=== | ===Retaliation Prohibited=== | ||
Retaliation against complainants, witnesses, or committee members in any way is prohibited. Any individual covered by this policy should immediately report any alleged or apparent retaliation against complainants, witnesses or committee members to the Research Integrity Officer. The Research Integrity Officer shall review the matter and, as necessary, make all reasonable and practical efforts to counter any potential or actual retaliation and protect and restore the position and reputation of the person against whom the retaliation is directed. | Retaliation against complainants, witnesses, or committee members or other individual acting in their institutional capacity in any way is prohibited. Any individual covered by this policy should immediately report any alleged or apparent retaliation against complainants, witnesses, or committee members to the Research Integrity Officer or designee. The Research Integrity Officer or designee shall review the matter and, as necessary, make all reasonable and practical efforts to counter any potential or actual retaliation and protect and restore the position and reputation of the person against whom the retaliation is directed. | ||
===Research Integrity Officer Responsibilities=== | ===Research Integrity Officer Responsibilities=== | ||
The Research integrity Officer shall serve as the primary point of contact for implementation of this policy | The Research integrity Officer shall serve as the primary point of contact for implementation of this policy. The Research integrity Officer or designee shall perform the functions set forth below. | ||
==Procedures== | ==Procedures== | ||
===Reporting Misconduct=== | ===Reporting Misconduct=== | ||
All individuals subject to this policy shall report observed, suspected, or apparent research misconduct to the Research Integrity Officer | All individuals subject to this policy shall report observed, suspected, or apparent research misconduct to the Research Integrity Officer by phone or email. (<nowiki>https://www.unmc.edu/academicaffairs/compliance/research-integrity.html</nowiki>) | ||
Observed, suspected, or apparent research misconduct can also be reported to the UNMC Compliance Hotline at 1-844-348-9584 or www.nebraska.ethicspoint.com. | |||
In determining whether an incident falls under this policy, an individual may refer to the definitions under this policy (e.g., authorship disputes and self-plagiarism do not fall under this policy) and review University of Nebraska Executive Memorandum No. 41, Policy on Research Data and Security (e.g., for questions regarding data ownership). If an individual is unsure whether the suspected incident falls within the definition of research misconduct, they may call the Research Integrity Officer to discuss the suspected misconduct informally, including anonymously or hypothetically. Such discussions shall ordinarily be confidential. If the circumstances do not meet the definition of research misconduct, the Research Integrity Officer or designee will refer the individual or allegation to other offices with responsibility for resolving the problem. | |||
===Preliminary Assessment of Allegations=== | ===Preliminary Assessment of Allegations=== | ||
Upon receiving an allegation of research misconduct, the Research Integrity Officer shall assess the allegation as soon as is feasible (usually within 21 days of receipt of the allegation) to determine whether it is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If so, the matter must proceed to an inquiry. | Upon receiving an allegation of research misconduct, the Research Integrity Officer shall assess the allegation as soon as is feasible (usually within 21 days of receipt of the allegation) to determine whether it is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If so, the matter must proceed to an inquiry. | ||