Policy on Misconduct in Research

1
Policy on Misconduct in Research
2
Why Do We Need It?

• Misconduct in research has significant impact on
  university reputation and credibility. It should
  not be tolerated.
• Needed for grants and sponsored research
• Mandated by EO 890

3
Definition

• Fabrication, Falsification, Plagiarism, in
  proposing, or reviewing research, or in reporting
  results.

4
General Policy Provisions

• Thorough, competent, objective, and fair
  evaluation
• Privacy and confidentiality to the extent
  permitted by the law
• Burden of proof in finding of misconduct, as well
  as defenses raised, and mitigating factors
  forwarded
• Restoring reputation and preventing retaliation
• Consultation with experts
• Individuals participating must be selected based
  on expertise.

5
Process

• Allegation
• Inquiry
• Investigation

6
Allegation

• Allegations may be communicated in any form to
  the AVP(RGS)
• AVP (RGS) shall determine if the allegations
  are
• Specific and credible
• Meets the external agencys applicability
  requirements
• An inquiry is warranted
• Prepare written description and inform person(s)
  against whom allegation are made

7
Inquiry

• Purpose
• Review of evidence to determine if investigation
  is required
• Inquiry Panel
• Three members jointly selected by AVP(RGS) and
  Academic Senate Chair. Two must be full time
  tenured faculty
• Appointment must be made within 15 days following
  notification

8
Inquiry Process

• Must start immediately by AVP(RGS)
• Process must be completed within 60 calendar
  days.
• Comprehensive final report including review and
  comment by the individual(s) against whom
  allegations are made.
• Shall determine if an investigation is warranted

9
Investigation

• Purpose
• Formal development of a factual record leading to
  a decision regarding finding/no finding of
  misconduct.
• Investigation Panel
• Five members jointly selected by the AVP(RGS)
  and Academic Senate Chair
• Members of inquiry are not eligible to serve
• Members must be selected within 15 days of
  determination that investigation is warranted

10
Investigation Process

• Investigation must start within 30 calendar days
  of the completion of inquiry.
• All aspects must be completed in 120 calendar
  days
• Draft Final report must be provided to AVP(RGS)
  within 90 calendar days
• Individual(s) against whom allegation is made
  must be given a minimum of 10 working day to
  comment. Comments shall be included in the
  report.
• Copies of the final report must be provided to
  AVP(RGS) and the Chair of the Academic Senate
  and individual(s) against whom allegations were
  raised
• AVP(RGS) makes recommendation for corrective
  measures and disciplinary actions and report it
  to AVP(FA), Provost, and Deans/unit directors