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== Definitions == | == Definitions == | ||
''''' | '''''Accepted practices of the relevant research community means''''' those practices established by [https://www.ecfr.gov/current/title-42/part-93 42 CFR part 93] and by PHS funding components or other funding agencies, as applicable, as well as commonly accepted professional codes or norms within the overarching community of researchers and institutions that apply for and receive federal awards. | ||
''''' | '''''Allegation''''' means any disclosure of possible research misconduct through any means of communication and brought directly to the attention of a UNMC official. | ||
''''' | '''''Assessment''''' means a consideration of whether an allegation of research misconduct appears to fall within the definition of research misconduct; appears to involve research, research training, or activities related to that research or research training; and is sufficiently credible and specific so that potential evidence of research misconduct may be identified. The assessment only involves the review of readily accessible information relevant to the allegation. | ||
''''' | '''''Complainant''''' is the individual(s) who make(s) an allegation of research misconduct. | ||
''''' | '''''Compliance Officer''''' means the individual with primary responsibility for overseeing compliance with UNMC’s policies and procedures. | ||
''''' | '''''Conflict of Interest''''' means an unresolved personal, professional, or financial conflict of interest involving the complainant, respondent, or any witness or in the underlying research. | ||
''''' | '''''Day''''' means calendar day unless otherwise specified. If a deadline falls on a Saturday, Sunday, or Federal holiday, the deadline will be extended to the next day that is not a Saturday, Sunday, or Federal holiday. | ||
'''''Inquiry''''' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to determine whether an allegation of research misconduct warrants investigation. | '''''Evidence''''' means anything offered or obtained during a research misconduct proceeding that tends to prove or disprove the existence of an alleged fact. Evidence includes documents, whether in hard copy or electronic form, information, tangible items, and testimony. | ||
'''''Fabrication''''' means making up data or results and recording or reporting them. | |||
'''''Falsification''''' means manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record. | |||
'''''Good faith''''' as applied to a complainant or witness, means having a reasonable belief in the truth of one's allegation or testimony based on the information known to the complainant or witness at the time. An allegation or cooperation with a research misconduct proceeding is not in good faith if made with knowledge of or reckless disregard for information that would negate the allegation or testimony. Good faith as applied to a committee member means cooperating with the research misconduct proceeding by impartially carrying out the duties assigned for the purpose of helping UNMC meet its responsibilities under this part. A committee member does not act in good faith if their acts or omissions during the research misconduct proceedings are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding. | |||
'''''Inquiry''''' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to determine whether an allegation of research misconduct warrants investigation. | |||
'''''Institutional Deciding Official''''' is the UNMC official who makes final determinations on allegations of research misconduct and any institutional administrative actions. The Institutional Deciding Official will not be the same individual as the Research Integrity Officer. The Institutional Deciding Official is ordinarily the Chancellor of UNMC or his/her designee. | |||
'''''Institutional record''''' means the institutional record comprised of: | |||
(a) The records that UNMC compiled or generated during the research misconduct proceeding, except records UNMC did not consider or rely on. These records include, but are not limited to: | |||
# Documentation of the assessment. | |||
# If an inquiry is conducted, the inquiry report and all records (other than drafts of the report) considered or relied on during the inquiry, including, but not limited to, research records and the transcripts of any transcribed interviews conducted during the inquiry, information the respondent provided to the institution, and the documentation of any decision not to investigate. | |||
# If an investigation is conducted, the investigation report and all records (other than drafts of the report) considered or relied on during the investigation, including, but not limited to, research records, the transcripts of each interview conducted, and information the respondent provided to the institution. | |||
# Decision(s) by the Institutional Deciding Official. | |||
(b) A single index listing all the research records and evidence that UNMC compiled during the research misconduct proceeding, except records UNMC did not consider or rely on. | |||
(c) A general description of the records that were sequestered but not considered or relied on. | |||
'''''Intentionally''''' means to act with the aim of carrying out the act. | |||
'''''Investigation''''' means the formal development of a factual record and the examination of that record leading to a decision to recommend or not a finding of research misconduct and may include a recommendation for other appropriate actions, including administrative action. | '''''Investigation''''' means the formal development of a factual record and the examination of that record leading to a decision to recommend or not a finding of research misconduct and may include a recommendation for other appropriate actions, including administrative action. | ||
'''''ORI''''' means the Office of Research Integrity in the U.S. Department of Health and Human Services (DHHS). ORI is responsible for the scientific misconduct and research integrity activities of the U.S. Public Health Service (PHS). | '''''Knowingly''''' means to act with awareness of the act. | ||
'''''ORI''''' means the Office of Research Integrity in the U.S. Department of Health and Human Services (DHHS). ORI is responsible for the scientific misconduct and research integrity activities of the U.S. Public Health Service (PHS). | |||
'''''Plagiarism''''' means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. | |||
(a) Plagiarism includes the unattributed verbatim or nearly verbatim copying of sentences and paragraphs from another's work that materially misleads the reader regarding the contributions of the author. It does not include the limited use of identical or nearly identical phrases that describe a commonly used methodology. | |||
(b) Plagiarism does not include self-plagiarism or authorship or credit disputes, including disputes among former collaborators who participated jointly in the development or conduct of a research project. Self-plagiarism and authorship disputes do not meet the definition of research misconduct. | |||
'''''Preponderance of the evidence''''' means proof by evidence that, compared with evidence opposing it, leads to the conclusion that the fact at issue is more likely true than not. | |||
''''' | '''''Recklessly''''' means to propose, perform, or review research, or report research results, with indifference to a known risk of fabrication, falsification, or plagiarism. | ||
'''''Research''''' means a systematic experiment, study, evaluation, demonstration or | '''''Research''''' means a systematic experiment, study, evaluation, demonstration, survey or other process of inquiry designed to generate new knowledge or to confirm, refine, or apply existing knowledge. It encompasses a broad range of disciplines, including but not limited to biomedical, clinical, translational, behavioral, educational, and social sciences, and may comprise many different approaches appropriate to the respective discipline. Research may involve observation, experimentation, analysis, evaluation, or synthesis, and is conducted with the goal of expanding scientific understanding, informing evidence-based practice, improving population-based outcomes, and/or contributing to the public good | ||
'''''Research Integrity Officer''''' means the institutional official with primary responsibility for implementation of UNMC’s policies and procedures on research misconduct. Among other things, the Research Integrity Officer performs the duties described in this policy. | '''''Research Integrity Officer''''' means the institutional official with primary responsibility for implementation of UNMC’s policies and procedures on research misconduct. Among other things, the Research Integrity Officer performs the duties described in this policy. | ||
'''''Research Misconduct''''' means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion. | '''''Research Misconduct''''' means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion. | ||
'''''Research Record''''' means the record of data or results that embody the facts resulting from scientific inquiry, | '''''Research Record''''' means the record of data or results that embody the facts resulting from scientific inquiry. Data or results may be in physical or electronic form. Examples of items, materials, or information that may be considered part of the research record include, but are not limited to, research proposals, raw data, processed data, clinical research records, laboratory records, study records, laboratory notebooks, progress reports, manuscripts, abstracts, theses, dissertations, records of oral presentations, online content, lab meeting reports, and journal articles. | ||
'''''Respondent''''' means the | '''''Respondent''''' means the individual against whom an allegation of research misconduct is directed or who is the subject of a research misconduct proceeding. There can be more than one respondent in any inquiry or investigation. | ||
'''''Retaliation''''' means any adverse action taken against a complainant, witness, | '''''Retaliation''''' means any adverse action taken against a complainant, witness, committee member, or other individual acting in their institutional capacity by an institution or one of its members in response to (a) a good faith allegation of research misconduct; or (b) good faith cooperation with a research misconduct proceeding; or (c) good faith implementation of the research integrity policy or the processes outlined therein. | ||
== Responsibility for Implementation == | == Responsibility for Implementation == | ||
The | The Chancellor of UNMC or designee, typically the Compliance Officer, is responsible for assuring compliance with federal, state, and university policies and procedures governing the responsible and ethical conduct of research. The Chancellor of UNMC or designee delegates responsibility for responding to allegations of research misconduct to the Research Integrity Officer or designee, who shall be responsible for ensuring that inquiries and investigations thoroughly evaluate the facts while protecting the rights of the parties involved in the alleged misconduct. | ||
== General Policies== | == General Policies== | ||
===Research Misconduct Prohibited; Standard of Proof=== | ===Research Misconduct Prohibited; Standard of Proof=== | ||