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Research Integrity: Difference between revisions
→Procedures
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== Procedures == | == Procedures == | ||
# '''Reporting Misconduct''' | # '''Reporting Misconduct'''**'''Initial Report'''. All employees, students or other individuals associated with UNMC should report observed, suspected, or apparent research misconduct to the Research Integrity Officer at 559-6767 or to the UNMC Compliance Hotline at 1-866-568-5430.<br \> | ||
**'''Initial Report'''. All employees, students or other individuals associated with UNMC should report observed, suspected, or apparent research misconduct to the Research Integrity Officer at 559-6767 or to the UNMC Compliance Hotline at 1-866-568-5430.<br \> | ::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. | ||
::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. | ** '''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. | ** '''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. | ||
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# '''Inquiry Process''' | # '''Inquiry Process''' | ||
** '''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. | ** '''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. | ||
** '''Inquiry Committee'''. The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within ten (10) days of initiation of the inquiry. The inquiry committee should consist of individuals who do not have real or apparent conflicts of interest in 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. | ** '''Inquiry Committee'''. The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within ten (10) days of initiation of the inquiry. The inquiry committee should consist of individuals who do not have real or apparent conflicts of interest in 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 the appointed member of the inquiry committee based on bias or conflict of interest within five (5) business days, the Research Integrity Officer 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 the appointed member of the inquiry committee based on bias or conflict of interest within five (5) business days, the Research Integrity Officer will determine whether to replace the challenged member with a qualified substitute. | ||
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. | ::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. | ** '''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. | ** '''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. | ||