UO Policy Statements

University of Oregon

Policy Statement

2.000 Academic and Curricular Procedures

Title: Alleged Misconduct in Research

Purpose: To describe the University's expectations for the integrity of the research conducted at the University and the procedures to be followed in investigating allegations of misconduct in research.

Policy:

The University of Oregon is responsible for the integrity of the research conducted at the University. As a community of scholars, in which truthfulness and integrity are fundamental, the University must establish procedures for the investigation of allegations of misconduct of research with due care to protect the rights of those making the allegations, those accused, and the University. Furthermore, federal regulations require the University to have explicit procedures for addressing incidences in which there are allegations of misconduct in research.

This policy applies to all employees (Faculty, staff, and students) conducting research under the auspices of the University. It outlines procedures to be followed if misconduct in research is alleged at the University of Oregon.

The University accepts the following definition established by the U.S. Public Health Service: "Misconduct" means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific or scholarly community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data.

The Vice President for Research is responsible for the University's compliance with applicable Federal regulations, including but not limited to notifying sponsoring agencies at the appropriate time and keeping the University's Committees of Inquiry and Committees of Investigation well informed with respect to the compliance requirements placed upon them. In the event the Vice President for Research has a potential conflict of interest with respect to a particular allegation of misconduct, the President shall determine who shall be responsible for review of the particular allegation.

Procedure:

I. Initial Allegations

A. Questions about, or suspicions of, misconduct in research should be brought to the attention of the Vice President for Research for confidential counseling, mediation and possible informal resolution.

B. Official allegations of misconduct shall be presented to the Vice President for Research in writing. Anonymous reports will not be accepted. The Vice President for Research will acknowledge receipt of allegations in writing to the complainant.

C. If the Vice President for Research has reason to believe that misconduct has occurred but no complainant has made a formal signed allegation, the Vice President may pursue the matter independently following the procedures described in sections II., III., IV., and V.

D. After a review of the allegation and independent consultation with the complainant and respondent, the Vice President for Research shall decide within fifteen (15) calendar days whether the allegation warrants further investigation or should be dismissed.

E. If it is decided that the allegation warrants further investigation, a Committee of Inquiry shall be established promptly. The complainant and respondent will be informed, in writing, of the beginning date of the inquiry process and invited to provide any materials they wish to have considered by this Committee.

II. Committee of Inquiry

A. The Vice President for Research shall appoint a three-member Committee of Inquiry. Committee members shall be members of the University faculty or staff who, in the judgment of the Vice President for Research, have the appropriate seniority and knowledge to assess the alleged misconduct and do not have a conflict of interest that would interfere with an objective review.

B. The Vice President for Research shall charge the Committee of Inquiry, in writing, to conduct a discreet inquiry based on communication with the respondent and the complainant. The purpose of the inquiry is to determine if there is reason to believe that misconduct may have occurred. The inquiry should be limited to activities necessary to determine whether to recommend a formal investigation:

(1.) Members of the Committee of Inquiry shall make every reasonable effort to keep the identities of the respondent and complainant confidential.

(2.) The Committee shall prepare a written report that states what evidence was reviewed, summarizes relevant interviews and reports the conclusions of the inquiry.

(3.) If a majority of the Committee of Inquiry recommends that a formal investigation be conducted, the Vice President for Research shall establish a Committee of Investigation. If only a minority of the Committee of Inquiry recommends a formal investigation, the Vice President for Research may either dismiss the allegation or establish a Committee of Investigation.

(4.) If the Committee of Inquiry determines that the allegations appear to be unfounded or appear to have been made in a capricious or malicious manner, they will report this to the Vice President for Research for appropriate action,

(5.) The Committee of Inquiry shall complete the inquiry within sixty (60) calendar days, unless circumstances clearly warrant a longer period, in which case the record must include documentation of the reasons for the extension.

(6.) The Vice President for Research will notify appropriate Federal authorities (e.g., ORI) at any stage of the inquiry if it becomes apparent that: there is immediate health hazard involved; an immediate need to protect Federal funds or equipment; immediate need to protect the interests of individuals affected by the inquiry; or likelihood that the alleged incident will be publicly reported. If there is reasonable indication of possible criminal violations, authorities must be notified within twenty-four (24) hours. The Vice President for Research shall initiate interim administrative actions as appropriate to protect Federal funds and the public health and to ensure that the purposes of the Federal financial assistance are carried out.

(7.) A copy of the Committee of Inquiry’s report shall be made available to the respondent(s) and opportunity provided for written response. Comments from the respondent(s) may become part of the inquiry record.

(8.) The University shall seek to protect the positions and reputations of individuals identified in inquiries into allegations of misconduct as addressed by this policy.

C. If a decision is made to establish a Committee of Investigation, the respondent shall then be informed of the identity of the complainant. If appropriate or mandated, the Vice President for Research shall inform the appropriate sponsoring/Federal agency of the decision to initiate an investigation on or before the date the investigation begins.

III. Committee of Investigation

A. The Committee of Investigation shall consist of five members 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 specific case. . The Vice President for Research will appoint three members, one of whom shall have been a member of the Committee of Inquiry. The Chairs of the University Research Committee and of the Faculty Advisory Council shall each appoint one member.

B. The Vice President for Research shall charge the Committee of Investigation, in writing, to conduct a thorough investigation of the allegation. The Committee shall have access to all persons and information needed to determine the extent to which misconduct has occurred. Otherwise, the investigation shall be as confidential as reasonably possible. The investigation shall be undertaken within thirty (30) calendar days of the completion of the inquiry.

C. If the University plans to terminate the investigation for any reason without completing all relevant requirements, a report of such planned termination, including a description of the reasons for it, shall be made to the appropriate Federal sponsors.

D. The Vice President for Research will notify appropriate Federal authorities (e.g., ORI) at any stage of the inquiry if it becomes apparent that: there is immediate health hazard involved; an immediate need to protect Federal funds or equipment; immediate need to protect the interests of individuals affected by the inquiry; or likelihood that the alleged incident will be publicly reported. If there is reasonable indication of possible criminal violations, authorities must be notified within twenty-four (24) hours. The Vice President for Research shall initiate interim administrative actions as appropriate to protect Federal funds and the public health and to ensure that the purposes of the Federal financial assistance are carried out.

E. The Committee of Investigation shall prepare a written report documenting the extent to which, if at all, it has determined that misconduct has occurred. The report shall identify the policies and procedures under which the investigation was conducted, how and from whom information relevant to the investigation was obtained, and the basis for the findings. This report shall be given to the Vice President for Research, the respondent, and the complainant. The Committee of Investigation may recommend to the Vice President for Research a course of action based on its findings, but is not required to do so. The Vice President for Research shall provide a copy of the results of this investigation to the University President and the Provost. Other administrators also shall be notified if the Vice President for Research deems such action important to a resolution of the alleged misconduct.

F. The Committee of Investigation shall complete the investigation within one-hundred twenty (120) days unless it finds that the investigation cannot reasonably be completed within that time in which case, the Committee may request a thirty (30) calendar day extension from the Vice President for Research. The request should include an explanation for the delay, a progress report, an outline of remaining steps, and an estimated date of completion. The Vice President for Research will forward the request to the Federal sponsoring agency.

IV. Appeal

The respondent and the complainant have thirty (30) calendar days following the receipt of the report from the Committee of Investigation to file a written argument with the President challenging the Committee of Investigation's report.

V. Determination of Action

A. Based on the report and the outcome of the written challenge, if any, the Vice President for Research in consultation with the President and Provost, shall determine and take appropriate administrative action. Should the report disclose misconduct, the President may institute for cause proceedings or Student Conduct disciplinary proceedings (using the Committee of Investigation's report as a basis for the probable cause determination) against the respondent.

B. The University shall seek to protect the positions and reputations of individuals identified in investigations of alleged misconduct when allegations are not confirmed.

C. The President shall also disclose the report and a description of any sanctions taken at the institution to any sponsor of the research, and shall cause the retraction or correction of already published articles or papers affected by the misconduct. Documentation substantiating the investigation’s findings shall be made available, upon request, to appropriate officials of the sponsoring agency.

Effective Date: 5/4/90

Reviewed and Approval Recommended by President's Staff: 4/23/90

Revised and Approval Recommended by President’s Staff: 10/23/96

Issued By: Vice-President for Research