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[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[International | [[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /> | ||
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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: ''' | Revised Date: '''08/18/21'''<br /> | ||
Reviewed Date:<br /> | Reviewed Date: '''08/18/21'''<br /> <br /> | ||
<br /> | <big>'''Research Integrity Policy'''</big> | ||
Research Integrity Policy | |||
== 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 to all individuals at UNMC engaged in research, including non-funded projects, projects supported by the Public Health Service (PHS), the National Science Foundation (NSF), other governmental entities and private funding sources. This policy applies to any person paid by, under the control of, or affiliated with UNMC, such as scientists, trainees, technicians, and other staff members, students, fellows, guest researchers and collaborators. | This policy applies to all individuals at UNMC engaged in research, including non-funded projects, projects supported by the Public Health Service (PHS), the National Science Foundation (NSF), other governmental entities and private funding sources. This policy applies to any person paid by, under the control of, or affiliated with UNMC, such as scientists, trainees, technicians, and other staff members, students, fellows, guest researchers and collaborators. | ||
== Applicability == | == Applicability == | ||
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 [[ | 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 [[http://catalog.unmc.edu/ 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.<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 /> | ||
'' | '''''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 /> | ||
''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 | '''''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 their 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. | |||
<br /> | <br /> | ||
''Inquiry'' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to | '''''Inquiry''''' means preliminary information-gathering and preliminary fact-finding in accordance with applicable law to determine 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. | ||
<br /> | <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 /> | '''''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.<br /> | ||
''Research | '''''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 | '''''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 | '''''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 /> | ||
''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 /> | '''''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 /> | |||
'''''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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*UNMC bears the burden of proof for making a finding of research misconduct. The destruction, absence of, or respondent’s failure to provide research records adequately documenting the questioned research is evidence of research misconduct where the institution establishes by a preponderance of the evidence that the respondent intentionally, knowingly, or recklessly had research records and destroyed them, had the opportunity to maintain the records but did not do so, or maintained the records and failed to produce them in a timely manner and that the respondent’s conduct constitutes a significant departure from accepted practices of the relevant research community. A respondent has the burden of going forward with and the burden of proving, by a preponderance of the evidence, any and all affirmative defenses raised (such as honest error). | *UNMC bears the burden of proof for making a finding of research misconduct. The destruction, absence of, or respondent’s failure to provide research records adequately documenting the questioned research is evidence of research misconduct where the institution establishes by a preponderance of the evidence that the respondent intentionally, knowingly, or recklessly had research records and destroyed them, had the opportunity to maintain the records but did not do so, or maintained the records and failed to produce them in a timely manner and that the respondent’s conduct constitutes a significant departure from accepted practices of the relevant research community. A respondent has the burden of going forward with and the burden of proving, by a preponderance of the evidence, any and all affirmative defenses raised (such as honest error). | ||
===Duty to Report Research Misconduct=== | ===Duty to Report Research Misconduct=== | ||
All individuals subject to this policy, including, without limitation, all employees, students or other individuals associated with UNMC | All individuals subject to this policy, including, without limitation, all employees, students or other individuals associated with UNMC shall 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 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 | 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 | 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. | ||
==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 at 402-559-5130 or to the UNMC Compliance Hotline at 1-844-348-9584 or www.nebraska.ethicspoint.com. If an individual is unsure whether the suspected incident falls within the definition of research misconduct, | All individuals subject to this policy shall report observed, suspected, or apparent research misconduct to the Research Integrity Officer at 402-559-5130 or to the UNMC Compliance Hotline at 1-844-348-9584 or www.nebraska.ethicspoint.com. 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 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. | ||
===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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:(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, they 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, | |||
====Decision by Deciding Official==== | ====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 indicate a reasonable basis for concluding that the allegation | 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 indicate a reasonable basis for concluding that the allegation has sufficient substance to fall within the definition of research misconduct and that the allegation should proceed to an investigation. | ||
====Notification of Decision==== | ====Notification of Decision==== | ||
The Research Integrity Officer will notify both the respondent and appropriate UNMC officials in writing of the Deciding Official's decision of whether to proceed with an investigation. This decision may not be appealed internally. If the Deciding Official determines an investigation is needed, the Research Integrity Officer shall notify appropriate funding and oversight agencies (PHS, NSF, etc.) in writing of the decision within thirty days after the Deciding Official’s decision. | The Research Integrity Officer will notify both the respondent and appropriate UNMC officials in writing of the Deciding Official's decision of whether to proceed with an investigation. This decision may not be appealed internally. If the Deciding Official determines an investigation is needed, the Research Integrity Officer shall notify appropriate funding and oversight agencies (PHS, NSF, etc.) in writing of the decision within thirty days after the Deciding Official’s decision. | ||
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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. | ||
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:b) was an isolated event or part of a pattern; and | :b) was an isolated event or part of a pattern; and | ||
:c) had significant impact on the research record, research subjects, other researchers, institutions, or the public welfare. | :c) had significant impact on the research record, research subjects, other researchers, institutions, or the public welfare. | ||
The range of corrective actions includes, but is not limited to, withdrawal or correction of all pending or published abstracts and papers emanating from the research where misconduct was found; removal of the responsible person from the particular project | The range of corrective actions includes, but is not limited to, withdrawal or correction of all pending or published abstracts and papers emanating from the research where misconduct was found; removal of the responsible person from the particular project; special monitoring of future work; restitution of funds as appropriate; suspension or termination of an active award; termination, expulsion, suspension, leave without pay, and/or letters of reprimand. If the corrective action results in termination or other adverse change in an employee's terms and conditions of employment, the respondent may appeal the decision through the appropriate procedures contained in the Faculty Handbook or UNMC policy for non-faculty members. Students have appeal rights as outlined in the Student or Graduate Student Handbooks. | ||
===Reporting to the Funding Agency (including ORI)=== | ===Reporting to the Funding Agency (including ORI)=== | ||
The Research Integrity Officer shall notify the funding agency (or agencies in some cases), including the ORI Director if applicable, in writing of the following events, among others: | The Research Integrity Officer shall notify the funding agency (or agencies in some cases), including the ORI Director if applicable, in writing of the following events, among others: | ||
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The Research Integrity Officer is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation. All records shall be maintained in a secure manner for at least seven years after completion of the UNMC case. Federal funding and oversight agencies will be given access to the records upon request. | The Research Integrity Officer is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation. All records shall be maintained in a secure manner for at least seven years after completion of the UNMC case. Federal funding and oversight agencies will be given access to the records upon request. | ||
==Additional information== | ==Additional information== | ||
Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br /> | *Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br /> | ||
Contact the [mailto: | *Contact the [mailto:gcyee@unmc.edu Research Integrity Officer]<br /> | ||
This page maintained by [mailto:dpanowic@unmc.edu dkp]. | This page maintained by [mailto:dpanowic@unmc.edu dkp]. | ||