Research Integrity: Difference between revisions

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== Basis for Policy ==

UNMC is responsible for the inquiry, investigation and adjudication of alleged research misconduct. As a recipient of federal research funds, UNMC must comply with federal policies and regulations on responding to allegations of research misconduct including:  

== Applicability ==

== Definitions ==

Whistleblower means a person who makes an allegation of research misconduct.

The Vice Chancellor for Academic Affairs is responsible for assuring compliance with federal, state and university policies and procedures governing the responsible and ethical conduct of research. The Vice Chancellor for Academic Affairs delegates responsibility for responding to allegations of research misconduct to the Research Integrity Officer, who shall be responsible for carrying out inquiries and investigations that thoroughly evaluate the facts while protecting the rights of the parties involved in the alleged misconduct.

== Procedures ==

'''Reporting Misconduct'''    

If an individual is unsure whether the suspected incident falls within the definition of research misconduct, s/he may call the Research Integrity Officer to discuss the suspected misconduct informally. Such discussions shall be confidential. If the circumstances do not meet the definition of research misconduct, the Research Integrity Officer will refer the individual or allegation to other offices with responsibility for resolving the problem.        

* Protecting the Whistleblower/Complainant. UNMC representatives who receive or learn of an allegation of research misconduct will treat the whistleblower or complainant with fairness and respect. UNMC will protect the privacy of those who report misconduct in good faith to the maximum extent possible. If the whistleblower/complainant requests anonymity, UNMC will make an effort to honor the request during the allegation assessment or inquiry to the extent permitted by policies and regulations. If the matter is referred to an investigation committee, and the whistleblower's testimony is required, s/he will be notified that anonymity may no longer be guaranteed. UNMC will also take reasonable steps to protect the position and reputation of the individual who reports, and other individuals who cooperate with the inquiry and any subsequent investigation, against retaliation. UNMC employees will immediately report any alleged or apparent retaliation to the Research Integrity Officer.        

* Protecting the Respondent. UNMC representatives who receive or learn of an allegation of research misconduct will treat the respondent with fairness and respect. The respondent's identity and circumstances of the investigation shall remain confidential to the extent possible without compromising public health and safety or thoroughly carrying out the inquiry or investigation.        

* Cooperation with Inquiries and Investigations. UNMC employees and students will cooperate in the review of allegations and the conduct of inquiries and investigations, and have an obligation to provide relevant evidence to the Research Integrity Officer or other institutional officials on misconduct allegations.        

* Preliminary Assessment of Allegations. Upon receiving an allegation of research misconduct, the Research Integrity Officer will immediately assess the allegation to determine whether there is sufficient evidence to warrant an inquiry, whether PHS or NSF funds are involved, and whether the allegation falls under the definition of research misconduct.        

* Initiation and Purpose of the Inquiry. Following the preliminary assessment, if the Research Integrity Officer determines that the allegation constitutes suspected research misconduct, s/he will initiate the inquiry process. The respondent will be notified within five (5) business days after the inquiry has begun. The purpose of the inquiry is to make a preliminary evaluation of the available evidence and testimony of the respondent, whistleblower, and key witnesses to determine whether there is sufficient evidence of possible research misconduct to warrant an investigation. The purpose of the inquiry is not to reach a final conclusion about whether misconduct definitely occurred or who was responsible.        

The inquiry committee will normally interview the whistleblower, the respondent, and key witnesses as well as examine relevant research records and materials. The respondent may be accompanied by legal counsel of his or her own choosing during an interview. Legal counsel may advise the respondent, but may not question witnesses or otherwise take part in the proceedings. The inquiry committee will evaluate the evidence and testimony obtained during the inquiry. The committee will decide whether there is sufficient evidence of possible research misconduct to recommend further investigation. The scope of the inquiry does not include deciding whether misconduct occurred or conducting exhaustive interviews and analysis.        

* Written Report. The Research Integrity Officer or designee shall prepare a written report stating what evidence was reviewed, summarizing relevant interviews, and including any conclusions reached as a result of the inquiry. The respondent shall be given a copy of the inquiry report. The whistleblower (if s/he is identifiable) shall be given portions of the draft inquiry report that address the whistleblower's role and opinions of the investigation for comment. If the respondent and/or whistleblower choose to comment on the report, s/he must submit a written response to the Research Integrity Officer within fourteen (14) working days after receiving the report in order for it to be made a part of the record. Based on the comments, the Research Integrity Officer may revise the report as appropriate.        

* Decision by Deciding Official. The Research Integrity Officer will transmit the final inquiry report and any comments to the Deciding Official, who will make the determination of whether the findings from the inquiry provide sufficient evidence of possible research misconduct to justify conducting an investigation. The inquiry is completed when the Deciding Official makes this determination, which will be made within 60 days of the first meeting of the inquiry committee. Any extension of this period will be based on good cause and recorded in the inquiry file.        

'''Investigation'''    

* Purpose. The purpose of the investigation is to examine the allegations and evidence in detail and determine specifically whether misconduct has been committed, by whom, and to what extent. The investigation will also determine whether there are additional instances of possible misconduct that would justify broadening the scope beyond the initial allegations.        

* Appointment of Investigation Committee. The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an investigation committee and the committee chair within ten (10) days of the notification to the respondent that an investigation is planned or as soon thereafter as practicable. The investigation committee should consist of at least three individuals who do not have real or apparent conflicts of interest in the case, who are unbiased, and who have the necessary expertise to evaluate the evidence and issues related to the allegations, interview the principals and key witnesses, and conduct the investigation. Individuals appointed to the investigation committee may have also participated in the inquiry.        

The investigation committee may interview individuals to gather facts. Interviews should be tape recorded, transcribed, and summarized. Summaries or transcripts of the interviews should be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory files. The respondent may be accompanied by legal counsel of his or her own choosing during an interview. Legal counsel may advise the respondent, but may not question witnesses or otherwise take part in the proceedings.        

* Investigation Report. Upon completion of the investigation, the Research Integrity Officer or designee shall prepare a written report describing the policies and procedures under which the investigation was conducted, how and from whom information relevant to the investigation was obtained, the findings, and the basis for the findings. The report will include the actual text or an accurate summary of the views of any individual(s) found to have engaged in misconduct as well as a description of any sanctions imposed and administrative actions taken by UNMC.        

# Whistleblower's Comments. The Research Integrity Officer will provide the whistleblower, if s/he is identifiable, with those portions of the draft investigation report that address the whistleblower's role and opinions in the investigation. The whistleblower will be given ten (10) business days to review and comment on the report. The report may be modified based on the whistleblower's comments.

# Legal Counsel. The draft investigation report will be transmitted to the University of Nebraska Office of the General Counsel for a review of its legal sufficiency.

# Confidentiality. The Research Integrity Officer will inform each recipient of the confidentiality under which the draft report is made available and may establish reasonable conditions to ensure such confidentiality, such as requesting that the recipient sign a confidentiality statement, or coming to his/her office to review the report.            

The Research Integrity Officer will notify the funding agency (or agencies in some cases), including the ORI Director if applicable, in writing of the following events:  

* Transmission of the final investigation report;       

* Decision to terminate an inquiry or investigation for any reason without completing all regulatory requirements;       

* Request for extension in the event that UNMC will not be able to complete the investigation within 120 days;         

* Notification at any stage of the inquiry or investigation if:        

# there is an immediate need to protect Federal funds or equipment;

# there is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is the subject of the allegations as well as his/her co-investigators and associates, if any;

# it is probable that the alleged incident is going to be reported publicly;

# the allegation involves a public health sensitive issue, e.g., a clinical trial; or

# there is a reasonable indication of possible criminal violation. In this case, the funding agency, including ORI, must be informed within 24 hours of UNMC obtaining that information.

'''Other Considerations'''    

* Restoration of Respondent's Reputation. If UNMC finds no misconduct, and the funding agency concurs, the Research Integrity Officer will undertake reasonable efforts to restore the respondent's reputation after consulting with the respondent and receiving approval from the Deciding Official.         

* Allegations Not Made in Good Faith. If relevant, the Deciding Official will determine whether the whistleblower's allegations of research misconduct were made in good faith. If an allegation was not made in good faith, the Deciding Official will determine if any administrative action should be taken against the whistleblower.         

* Interim Administrative Actions. UNMC officials shall take interim administrative actions, as appropriate, to protect Federal funds and ensure that the purposes of the Federal financial assistance are carried out.

For additional information, please contact the [mailto:swrobel@unmc.edu Compliance Officer].  

This page maintained by [mailto:dpanowic@unmc.edu dkp].