TWU Policy on Scientific Dishonesty
INTRODUCTION
Misconduct in research undermines the scientific enterprise and
erodes the public trust in the University community to conduct
research and communicate results using the highest standards and
ethical practices. The institution is responsible both for
promoting academic practices that prevent misconduct and for
developing policies and procedures for dealing with allegations
of fraud or misconduct. All members of the institution's
community (students, staff, faculty, and administrators) share
responsibility for developing and maintaining standards to
ensure ethical conduct of research as well as detection and
appropriate handling of abuse of these standards. This
responsibility must be assumed while sustaining the openness and
creativity vital to the research enterprise.
The
policies and procedures outlined below apply to faculty, staff,
and graduate students. They are not intended to address a broad
range of ethical issues in academic research.
DEFINITION OF
SCIENTIFIC DISHONESTY
Scientific dishonesty involves some form of fraudulent behavior
that entails an act of deception whereby one's work or the work
of others is misrepresented. Fraud is distinguished from honest
error and from ambiguities of interpretation that are inherent
in the scientific process. Further, fraud or serious misconduct
involves significant breaches of research integrity that may
take numerous forms such as (but not limited to) those outlined
below.
Falsification of Data - This ranges from fabrication to
deceptive reporting of findings and omissions of conflicting
data.
Improprieties of Authorship - Plagiarism and other improper
assignment of credit, such as: excluding others or claiming the
work of another as one's own; presentation of the same material
as original in more than one publication; including individuals
as authors who have not made a definite contribution to the work
published; and submission of multi-authored publications without
the concurrence of all authors.
Misappropriation of Others' Ideas - Improper use of information
or influence gained by privileged access such as service on peer
review panels, editorial boards, and policy boards of research
funding organizations.
Violation
of Generally Accepted Research Practices - Improper manipulation
of an experiment to obtain biased results; intentional improper
statistical or analytical manipulations.
Violation
of Federal, State, or Institutional Rules Governing Research -
Including (but not limited to) those regarding use of funds,
care of animals, human subjects, investigational drugs, DNA, new
devices, and radioactive, biological or chemical materials.
Inappropriate Behavior in Relation to Misconduct - Includes
inappropriate accusation of misconduct; failure to report known
or suspected misconduct; withholding or destruction of
information relevant to a claim of misconduct; and retaliation
against persons involved in the allegation or investigation of
misconduct.
PROCESS FOR
HANDLING ALLEGATIONS OF RESEARCH FRAUD
Responsibilities of the University - TWU has a responsibility to
monitor research activities, to pursue allegations of research
misconduct fully, and to resolve questions regarding the
integrity of the research.
TWU has a
responsibility to focus on the substance of the issues and not
to permit personal conflicts among colleagues to interfere with
the conduct of research. TWU has a responsibility to continue
the examination of any allegations and to reach a conclusion for
all cases even if the researcher leaves the University. TWU
should also cooperate with the processes of other involved
institutions to resolve such questions.
It is
recommended that the Associate Vice President for Research and
Dean of the Graduate School be appointed as supervisor of a
committee to investigate allegations.
Responsibilities of the Associate Vice President for Research
and Dean of the Graduate School - The Associate Vice President
for Research and Dean of the Graduate School will be responsible
for appointing a committee of tenured faculty and naming a chair
to review all complaints to determine if an investigation is
necessary. If the Associate Vice President for Research and Dean
of the Graduate School has a conflict of interest with the case,
the Vice President for Academic Affairs will appoint the
committee.
The
Associate Vice President for Research and Dean of the Graduate
School should also be responsible for: providing education about
misconduct in research; interpreting TWU's policy regarding
misconduct in research; counseling staff, disseminating TWU's
policy on misconduct in research; communicating with necessary
state and local personnel including notifying the Director of
the Office of Scientific Integrity of any inquiry or
investigation; maintaining all records of the inquiry for up to
three years; and assuring completion of its initiation unless
circumstances clearly warrant a longer period.
The above
named individual will confidentially counsel any individual who
comes forward with an allegation of fraud. Some concerns brought
to this administrator's attention may not fall within the scope
of the policies and procedures developed to address fraud. If it
is determined that a case of fraud is presented, the complainant
must openly present the case and is not granted confidentiality.
If the
Associate Vice President for Research and Dean of the Graduate
School determines that the concern is properly addressed through
policies and procedures designed to deal with fraud in research,
the inquiry and investigation procedures should be discussed
with the individual who has questions about the integrity of a
research project. If the individual chooses not to make a formal
allegation but the administrator believes there is sufficient
cause to warrant an inquiry, the matter will be pursued; in such
a case, the "complainant" for the purposes of this document will
be the Associate Vice President for Research and Dean of the
Graduate School.
The
administrator must advise the individual(s) accused of research
misconduct that they are entitled to be represented by legal
counsel (at the individual's own expense) in all meetings
related to the alleged misconduct.
INQUIRY PHASE
Purpose -
Whenever an allegation or complaint involving the possibility of
scientific misconduct is made, the Associate Vice President for
Research and Dean of the Graduate School initiates an inquiry
(the first step of the review process). Factual information will
be gathered and expeditiously reviewed to determine if an
investigation of the charge is warranted. The inquiry is
designed to separate allegations deserving of further
investigation from frivolous, unjustified, or clearly mistaken
allegations.
Structure
- The investigating body will be a five-person ad hoc Inquiry
Committee appointed by the Associate Vice President for Research
and Dean of the Graduate School for the purpose of hearing cases
of possible scientific misconduct. Tenured faculty members will
be chosen from within the University; other individuals may be
chosen from outside the University as circumstances dictate.
Those
persons investigating the allegations will be selected in full
awareness of the closeness of their professional or personal
affiliation with the complainant or the respondent. Any
prospective member who has a conflict of interest in a case will
not be permitted to be involved in that case. It is important,
however, that the committee have appropriate research expertise
to assure a sound knowledge base from which to work.
Process -
Within ten (10) days of the initiation of the inquiry, the
Associate Vice President for Research and Dean of the Graduate
School will notify the respondent of the charges and of the
process that will follow. The Inquiry Committee will be convened
immediately.
During
the inquiry, confidentiality (when permitted by law) is
imperative in order to protect the rights of all parties
involved. Cases which depend specifically upon the observations
or statements of the complainant proceed with the open
involvement of that individual; other cases which rely on
documentary evidence permit the Associate Vice President for
Research and Dean of the Graduate School to serve as the
complainant and the original complainant to remain anonymous,
insofar as legally allowed.
The
Associate Vice President for Research and Dean of the Graduate
School will disseminate the facts of the case to the appropriate
individuals. Notification must be made in writing and copies
must be filed in the Office of the Associate Vice President for
Research and Dean of the Graduate School.
After the
inquiry is initiated, the respondent will cooperate by providing
material necessary to conduct the inquiry.
The
inquiry phase will be completed within sixty (60) days or less
of the initial notification of the respondent unless
circumstances clearly warrant a longer time. If the established
deadline cannot be met, a report citing the reasons for the
delay and progress to date will be submitted for the record. The
respondent and all individuals involved will be informed.
Findings
- At the completion of the inquiry phase, a determination will
be made as to whether a formal investigation is warranted.
Written documentation of the process and conclusion of the
inquiry must be provided. The respondent and complainant will be
informed by the Associate Vice President for Research and Dean
of the Graduate School.
The
agency sponsoring the research involved will be notified of the
allegations.
If an
allegation is found to be unsupported but has been submitted in
good faith, no further formal action will be taken. All involved
parties will be informed of the findings.
The
proceedings of the inquiry will be held in strict confidence
subject only to legal constraints to protect the parties
involved. Allegations brought forward not in good faith will
lead to disciplinary action of the complainant.
The Texas
Woman's University will seek to protect the complainant against
retaliation. Individuals engaged in acts of retaliation will be
disciplined.
INVESTIGATION
Purpose -
An investigation will be initiated only after an Inquiry
Committee issues a finding that an investigation is warranted.
The investigation's purpose is to explore further the
allegations and determine whether there has been research
misconduct. In the course of an investigation, additional
information may emerge that justifies broadening the scope of
the investigation beyond the initial allegations. The respondent
will be informed in writing when significant new directions of
investigation are undertaken. The investigation will focus on
accusations of misconduct as defined previously and examine the
factual materials of each case. The investigation will look
carefully at the substance of the charges and examine all
relevant evidence.
Structure
- Except in the circumstances discussed in the next paragraph,
the investigating body will be a five-person ad hoc committee
appointed by the Associate Vice President for Research and Dean
of the Graduate School. Members serving on the Inquiry Committee
will also be asked to serve on the Investigative Committee.
If the
alleged research misconduct is a failure to comply with
regulations involving the use of human subjects, laboratory
animals or recombinant DNA in research, the chair of the
University compliance committee on that subject will join the
Investigative Committee. If there is a conflict of interest, the
Associate Vice President for Research and Dean of the Graduate
School will appoint a representative from the appropriate
committee.
Process -
Upon receipt of the inquiry finding that an investigation is
warranted, the Associate Vice President for Research and Dean of
the Graduate School will initiate the investigation within
thirty (30) days. The complainant and respondent will be
notified in writing of the investigation; the written summary of
the inquiry stage will be included with this notification. All
involved parties are obligated to cooperate with the proceedings
in securing additional data related to the case. All necessary
information will be provided to the respondent in a timely
manner to facilitate the preparation of a response. The
respondent will have the opportunity to address the charges and
evidence in detail. Written notification of hearing dates and
copies of all relevant documents will be provided by the
Investigative Committee in advance of scheduled meetings.
Hearings are confidential and will be declared closed.
In the
interim, the Inquiry Committee will, if necessary, act to
protect the health and safety of research subjects, patients,
and students by recommending action to be initiated by the
Associate Vice President for Research and Dean of the Graduate
School. Administrative action could range from complete
suspension to slight restrictions in the activities of the
respondent.
After all
evidence has been received and hearings completed, the
Investigative Committee shall meet in closed sessions to
deliberate and prepare its findings and recommendations. The
written record for the investigative stage will be handled in
the same manner as the inquiry stage; that is, written
documentation of the process, findings, and recommendations must
be provided. One copy of the record will be given to the
respondent; a second confidential copy will be maintained by the
Office of the Associate Vice President for Research and Dean of
the Graduate School for a time specified by the committee.
The
University will attempt to complete an investigation within 120
days. If the deadline cannot be met, an interim report will be
submitted by the committee to the Associate Vice President for
Research and Dean of the Graduate School with a request for an
extension.
APPEAL/FINAL
REVIEW AND DISPOSITION
In the
event of a finding of misconduct in research, Texas Woman's
University will provide the faculty or staff member(s) who have
been asked to respond to these allegations with information on
appeal and final review. The Associate Vice President for
Research and Dean of the Graduate School will inform the
respondents that 1) the appeal of the Investigative Committee's
decisions must be in writing and addressed to the Vice President
for Academic Affairs; 2) the appeal should indicate the grounds
for the appeal; and 3) the appeal should be filed within thirty
(30) days of a finding of research misconduct.
Grounds
for appeal include (but are not limited to) new previously
unconsidered evidence, sanctions not in keeping with the
findings, conflict of interest not previously known among those
involved in the investigations, and other lapses in due process.
Upon
receipt of the written appeal, the Vice President for Academic
Affairs will evaluate the evidence and make a determination.
That official may reopen the investigation. The decision will be
binding on all parties and will be conveyed in a timely fashion.
Disposition - When the Vice President for Academic Affairs and
the Investigative Committee agree that misconduct in research
did occur, the Vice President for Academic Affairs shall set in
motion notification procedures and the disciplinary action to be
taken.
All
federal agencies, sponsors, and other entities initially
informed of the investigation shall be notified promptly of the
finding of the misconduct. Considerations shall also be given to
other parties on a need-to-know basis. These parties might
include: co-authors, co-investigators, collaborators; editors of
journals in which fraudulent research was published; sponsoring
agencies and funding sources with which the individual has been
affiliated; professional societies, licensing boards; and
criminal authorities (where appropriate).
Disciplinary Action - University action will be in proportion to
the misconduct. Responsibility for determining the action shall
be with the Vice President for Academic Affairs. The following
list of University actions is illustrative: 1) removal from a
particular research project; 2) letter of reprimand; 3)
suspension for a specified period, with or without salary; 4)
salary reduction; 5) rank reduction; 6) special monitoring of
future work; 7) probation for a specified period, with
conditions specified; and 8) termination of employment.
When the
Vice President for Academic Affairs does not concur with the
decisions of the Investigative Committee that misconduct in
research did occur, that officer shall issue a statement of
finding, notify appropriate persons and agencies of the outcome
of the appeal, and make diligent efforts as appropriate to
restore the reputation of persons alleged to have engaged in
misconduct when allegations have not been confirmed. The Vice
President for Academic Affairs will also make diligent efforts
to protect the positions and reputations of those persons who,
in good faith, made the allegations.
If the
Vice President for Academic Affairs considers that there is
sufficient new evidence that should be considered, that officer
has the authority to call for reconsideration by the original
Investigative Committee or to ask that a new investigation be
conducted by a new committee.
Complete
records of the inquiry, investigation and disposition shall be
maintained, in a secure manner, in the Office of the Associate
Vice President for Research and Dean of the Graduate School for
a period of at least three (3) years after the termination of
the inquiry and shall, upon request, be available to authorized
personnel from the United States Department of Health and Human
Services.
Signed by
Carol D. Surles, President
APPROVED:12/89
ED:8/92;5/95
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