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Research Integrity: Difference between revisions
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Policy No.: '''8003'''<br /> | Policy No.: '''8003'''<br /> | ||
Effective Date: '''02/11/05'''<br /> | Effective Date: '''02/11/05'''<br /> | ||
Revised Date: '''04/ | Revised Date: '''04/24/18'''<br /> | ||
Reviewed Date:<br /> | Reviewed Date:'''04/24/18'''<br /> | ||
<br /> | <br /> | ||
<big>Research Integrity Policy</big> | <big>Research Integrity Policy</big> | ||
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All individuals subject to this policy, including, without limitation, all employees, students or other individuals associated with UNMC should report observed, suspected, or apparent research misconduct in accordance with the procedures outlined in this policy. | All individuals subject to this policy, including, without limitation, all employees, students or other individuals associated with UNMC should report observed, suspected, or apparent research misconduct in accordance with the procedures outlined in this policy. | ||
===Duty to Cooperate with Inquiries and Investigations=== | ===Duty to Cooperate with Inquiries and Investigations=== | ||
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. | 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. | ||
===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 legitimate need to know. The Research Integrity Officer shall limit disclosure of the identity of respondents and complainants to those who need to know 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 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. | 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 legitimate need to know. The Research Integrity Officer shall limit disclosure of the identity of respondents and complainants to those who need to know 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 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. | ||
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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 his or her own choosing and at his or her 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. | 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 his or her own choosing and at his or her 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 | 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. | ||
===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 and shall perform the functions set forth below. | The Research integrity Officer shall serve as the primary point of contact for implementation of this policy and shall perform the functions set forth below. | ||
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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. | ||
===Sequestration of Research Records=== | ===Sequestration of Research Records=== | ||
*On or before the date | *On or before the date the respondent is notified of any allegation of research misconduct or the inquiry begins, the Research Integrity Officer must take all reasonable and practical steps to obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding. This will include the inventory of records and evidence and sequestration of them in a secure manner. Where the research records or evidence encompasses scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence of such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments. | ||
*The Research Integrity Officer shall sequester any additional research records that become pertinent to an inquiry or investigation after the initial sequestration. | *The Research Integrity Officer shall sequester any additional research records that become pertinent to an inquiry or investigation after the initial sequestration. | ||
*The Research Integrity Officer may consult with UNMC legal counsel and/or ORI for advice and assistance in this regard. Where appropriate, UNMC shall give the respondent copies of, or reasonable supervised access to the research records. Where the allegation is determined to be sufficiently credible and specific from the assessment the matter must proceed to an inquiry. | *The Research Integrity Officer may consult with UNMC legal counsel and/or ORI for advice and assistance in this regard. Where appropriate, UNMC shall give the respondent copies of, or reasonable supervised access to the research records. Where the allegation is determined to be sufficiently credible and specific from the assessment the matter must proceed to an inquiry. | ||
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:(2) the allegation may have substance, based on the committee’s review during the inquiry. | :(2) the allegation may have substance, based on the committee’s review during the inquiry. | ||
====Inquiry Committee==== | ====Inquiry Committee==== | ||
The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within | The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within thirty (30) days after initiation of the inquiry. The inquiry committee must consist of individuals who do not have real or apparent conflicts of interest with those involved with the case, are unbiased, and have the necessary expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry.<br /> | ||
The Research Integrity Officer will notify the respondent of the proposed committee membership. If the respondent submits a written objection to a member or members of the inquiry committee based on bias or conflict of interest within five (5) business days, the Deciding Official will determine whether to replace the challenged member with a qualified substitute. | The Research Integrity Officer will notify the respondent of the proposed committee membership. If the respondent submits a written objection to a member or members of the inquiry committee based on bias or conflict of interest within five (5) business days, the Deciding Official will determine whether to replace the challenged member with a qualified substitute. | ||
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:(5) identify and analyze the key research records reviewed; | :(5) identify and analyze the key research records reviewed; | ||
:(6) include a statement of findings for each allegation of research misconduct identified during the investigation, summarizing the basis for the investigation committee’s decision and proposed corrective actions (if any). | :(6) include a statement of findings for each allegation of research misconduct identified during the investigation, summarizing the basis for the investigation committee’s decision and proposed corrective actions (if any). | ||
*The Research Integrity Officer shall provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be given | *The Research Integrity Officer shall provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be given thirty (30) business days to review and comment on the draft report. The respondent will receive a copy of or have the opportunity to obtain supervised access to the evidence on which the report is based. The respondent shall submit comments to the Research Integrity Officer within 30 days from the date the respondent received the draft report. The respondent's comments will be attached to the final report. | ||
*The investigation committee shall consider and address the respondent(s)’ comments on the draft report in connection with finalizing the report. | |||
*The draft investigation report will be transmitted to the University of Nebraska Office of the General Counsel for a review of its legal sufficiency. | *The draft investigation report will be transmitted to the University of Nebraska Office of the General Counsel for a review of its legal sufficiency. | ||
====Decision by Deciding Official==== | ====Decision by Deciding Official==== | ||
Within fifteen (15) calendar days of receiving the investigation report, the Deciding Official will make a final determination whether to accept the final report and the recommended actions (with or without further modifications), or reject the recommendations and instruct the investigation committee to conduct further fact finding. If the Deciding Official's determination varies from that of the investigation committee, the Deciding Official shall explain in writing and in detail the basis for rendering a different decision. | Within fifteen (15) calendar days of receiving the investigation report, the Deciding Official will make a final determination whether to accept the final report and the recommended actions (with or without further modifications), or reject the recommendations and instruct the investigation committee to conduct further fact finding. If the Deciding Official's determination varies from that of the investigation committee, the Deciding Official shall explain in writing and in detail the basis for rendering a different decision. | ||
====Notification of Decision==== | ====Notification of Decision==== | ||
When a final decision | When a final decision is reached, the Research Integrity Officer will normally notify both the respondent and the complainant in writing. After informing ORI, the Deciding Official shall determine whether law enforcement agencies, professional societies, professional licensing boards, editors of journals in which research misconduct may have been published, collaborators of the respondent in the work, or other relevant parties should be notified of the outcome of the case. The Research Integrity Officer is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies. | ||
====Time for Completion==== | ====Time for Completion==== | ||
All aspects of the investigation shall be complete within 120 days of beginning it, including conducting the investigation, preparing the report of findings, providing the draft report for comment in accordance, and sending the final report to ORI or other funding agencies as required. If unable to complete the investigation within 120 days, the Research Integrity Officer shall request an extension in writing from any pertinent funding agencies as required. | All aspects of the investigation shall be complete within 120 days of beginning it, including conducting the investigation, preparing the report of findings, providing the draft report for comment in accordance, and sending the final report to ORI or other funding agencies as required. If unable to complete the investigation within 120 days, the Research Integrity Officer shall request an extension in writing from any pertinent funding agencies as required. | ||