Research Integrity: Difference between revisions

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Research Integrity Policy
<big>Research Integrity Policy</big>
== Basis for Policy ==
== Basis for Policy ==
The University of Nebraska Medical Center (UNMC) is committed to maintaining an academic environment based on honesty, integrity and ethical conduct. UNMC promotes an environment of productivity, creativity, and academic freedom, while establishing firm expectations that individuals will not commit research misconduct.<br />
The University of Nebraska Medical Center (UNMC) is committed to maintaining an academic environment based on honesty, integrity and ethical conduct. UNMC promotes an environment of productivity, creativity, and academic freedom, while establishing firm expectations that individuals will not commit research misconduct.<br />
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This policy applies only to alleged research misconduct that occurred within six years of the date UNMC received the allegation, subject to the subsequent use, health or safety of the public, and grandfather exceptions in 42 CFR § 93.105(b). Authorship or collaboration disputes and other matters that are not within the definition of research misconduct, as set forth in this policy, are not subject to this policy and shall be addressed through procedures outlined in the UNMC [[https://info.unmc.edu/wiki/index.php/Faculty_Handbook Faculty]], Graduate Student, and [[https://www.unmc.edu/studentservices/_documents/handbook.pdf Student]] Handbooks, as appropriate.
This policy applies only to alleged research misconduct that occurred within six years of the date UNMC received the allegation, subject to the subsequent use, health or safety of the public, and grandfather exceptions in 42 CFR § 93.105(b). Authorship or collaboration disputes and other matters that are not within the definition of research misconduct, as set forth in this policy, are not subject to this policy and shall be addressed through procedures outlined in the UNMC [[https://info.unmc.edu/wiki/index.php/Faculty_Handbook Faculty]], Graduate Student, and [[https://www.unmc.edu/studentservices/_documents/handbook.pdf Student]] Handbooks, as appropriate.
== Definitions ==
== Definitions ==
''Allegation'' means any disclosure of possible research misconduct through any means of communication. The disclosure may be by written or oral statement or other communication.
'''''Allegation''''' means any disclosure of possible research misconduct through any means of communication. The disclosure may be by written or oral statement or other communication.
Complainant is the person(s) who make(s) an allegation of research misconduct.<br />
Complainant is the person(s) who make(s) an allegation of research misconduct.<br />


''Conflict of Interest'' means an unresolved personal, professional, or financial conflict of interest involving the complainant or respondent or in the underlying research.<br />
'''''Conflict of Interest''''' means an unresolved personal, professional, or financial conflict of interest involving the complainant or respondent or in the underlying research.<br />


''Deciding Official'' is the UNMC official who makes final determinations on allegations of research misconduct and any institutional administrative actions. The Deciding Official will not be the same individual as the Research Integrity Officer and should have no direct prior involvement in the institution’s inquiry, investigation, or allegation assessment. The Deciding Official’s appointment of an individual to assess allegations of research misconduct, or to serve on an inquiry or investigation committee, is not considered to be direct prior involvement. The UNMC Deciding Official is ordinarily the Senior Vice Chancellor for Academic Affairs.<br />
'''''Deciding Official''''' is the UNMC official who makes final determinations on allegations of research misconduct and any institutional administrative actions. The Deciding Official will not be the same individual as the Research Integrity Officer and should have no direct prior involvement in the institution’s inquiry, investigation, or allegation assessment. The Deciding Official’s appointment of an individual to assess allegations of research misconduct, or to serve on an inquiry or investigation committee, is not considered to be direct prior involvement. The UNMC Deciding Official is ordinarily the Senior Vice Chancellor for Academic Affairs.<br />


''Fabrication'' means making up data or results and recording or reporting them.<br />
'''''Fabrication''''' means making up data or results and recording or reporting them.<br />


''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.<br />
'''''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.<br />


''Good faith'' as applied to a complainant or witness, means having a belief in the truth of one's allegation or testimony that a reasonable person in the complainant's or witness's position could have 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 knowing 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 carrying out the duties assigned impartially for the purpose of helping UNMC meet its responsibilities under this part. A committee member does not act in good faith if his/her acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding.
'''''Good faith''''' as applied to a complainant or witness, means having a belief in the truth of one's allegation or testimony that a reasonable person in the complainant's or witness's position could have 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 knowing 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 carrying out the duties assigned impartially for the purpose of helping UNMC meet its responsibilities under this part. A committee member does not act in good faith if his/her acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding.
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''Inquiry'' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to determination whether an allegation of research misconduct warrants investigation.<br />
'''''Inquiry''''' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to determination whether an allegation of research misconduct warrants investigation.<br />


''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.
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''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).<br />
'''''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).<br />


''Plagiarism'' means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
'''''Plagiarism''''' means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
Research means a systematic experiment, study, evaluation, demonstration or survey designed to develop or contribute to general knowledge (basic research) or specific knowledge (applied research) relating broadly to establishing, discovering, developing, elucidating or confirming information about, or the underlying mechanism relating to matters to be studied.<br />
Research means a systematic experiment, study, evaluation, demonstration or survey designed to develop or contribute to general knowledge (basic research) or specific knowledge (applied research) relating broadly to establishing, discovering, developing, elucidating or confirming information about, or the underlying mechanism relating to matters to be studied.<br />


''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.<br />
'''''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.<br />


''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.<br />
'''''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.<br />
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''Research Record''''' means the record of data or results that embody the facts resulting from scientific inquiry, including but not limited to, research proposals (funded or unfunded), laboratory records (both physical and electronic), progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and any documents and materials provided to an outside funder or an institutional official by a respondent in the course of the research misconduct proceeding. A research record includes, but is not limited to, any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of research misconduct.<br />


''Research Record'' means the record of data or results that embody the facts resulting from scientific inquiry, including but not limited to, research proposals (funded or unfunded), laboratory records (both physical and electronic), progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and any documents and materials provided to an outside funder or an institutional official by a respondent in the course of the research misconduct proceeding. A research record includes, but is not limited to, any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of research misconduct.<br />
'''''Respondent''''' means the person 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.<br />


''Respondent'' means the person 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.<br />
'''''Retaliation''''' means any adverse action taken against a complainant, witness, or committee member 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.
 
''Retaliation'' means any adverse action taken against a complainant, witness, or committee member 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.
== Responsibility for Implementation ==
== Responsibility for Implementation ==
The Senior 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 Senior Vice Chancellor for Academic Affairs delegates responsibility for responding to allegations of research misconduct to the Research Integrity Officer, 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.
The Senior 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 Senior Vice Chancellor for Academic Affairs delegates responsibility for responding to allegations of research misconduct to the Research Integrity Officer, 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.
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:(5) the basis for recommending or not recommending that the allegations warrant an investigation; and  
:(5) the basis for recommending or not recommending that the allegations warrant an investigation; and  
:(6) any comments on the draft report by the respondent. The respondent shall be given a copy of the draft inquiry report together with a copy of this policy. <br />
:(6) any comments on the draft report by the respondent. The respondent shall be given a copy of the draft inquiry report together with a copy of this policy. <br />
If the respondent chooses 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.
If the respondent chooses 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====
====Decision by Deciding Official====