Wright State University
Policy number: 2101
Subject: Ethical Standards in the Conduct of Research
Date issued: June 1998
Authority: Board of Trustees Resolution 98-48 (April 9, 1998); Office of the
Provost; 42 Code
of Federal Regulations (CFR) 50.104
2101.1 Preamble
- The freedom traditionally accorded members of the university community
carries with it the obligation of self-discipline. Indeed, maintenance of
the highest ethical standards in the conduct of research and all other scholarly
activity is a necessary condition for the proper functioning of the university.
Dishonesty tarnishes the cause of truth, damages or destroys collegial relationships,
and may cause irreparable harm to the relationship between the university
and the public.
- The increased competitiveness of modern university life may place additional
stress on the scholar. Work carried out in collaboration, in particular,
imposes a special responsibility upon the investigators. Here reseach misconduct
directly affects the reputation of co-workers, as well as that of the perpetrator.
For this reason, each investigator must share in the assurance that data
have been honestly gathered and reported and that appropriate credit is
given for each individual's contributions. While overall responsibility
for the integrity of collaborative work always rests with a principal investigator,
this statement of ethical standards in the conduct of research applies to
all members of the university community who may be involved with a research
project, whether or not supported by internal or external funds.
- All scholars share the obligation to maintain the highest standard of
conduct in their profession and to disclose what they perceive in good faith
to be misconduct in research, secure in the knowledge that the university
respects the honest exercise of their judgment. Such allegations must be
made with caution, however, and the rights of the individual to a fair and
careful hearing strenuously protected.
- The scope of this policy does not cover sexual harassment [see Wright
Way Policy 4001.21, "Policy Against Discrimination
and Harassment" at http://www.wright.edu/wrightway/4001.html]; misappropriation
of funds [see the Ohio Revised Code, Section
2921.41 at http://orc.avv.com/title-29/sec-2921/sec-2921.41.htm]; failure
to comply with university policies governing the protection of human subjects
and the welfare of laboratory animals [see Wright State University Policies
and Procedures for Human Subjects and Animal Subjects at http://www.wright.edu/rsp/subjects.html];
or, failure to comply with other conditions or guidelines established by
an external sponsor or by the university. These problems should be referred
to appropriate administrators or compliance committee chairs.
2101.2 Definitions
- Investigator is defined as any member of the university community
who participates in a research or other scholarly endeavor intended to create,
apply, or disseminate new knowledge. These members include faculty, staff,
and students.
- Principal investigator is defined as an investigator who has overall
responsibility for the conduct of a research or other scholarly endeavor
including but not limited to supervision and training of other participating
investigators.
- Research misconduct or misconduct is defined as fabrication, falsification,
plagiarism, or other practices that seriously deviate from those commonly
accepted within the scientific community or other communities of scholars
for proposing, conducting, reviewing, or reporting research or other scholarly
activity. Research misconduct does not include honest error or honest differences
in interpretations or judgments. For the purpose of this policy, misconduct
also includes retaliation of any kind against a person who reported or provided
information about suspected or alleged misconduct and who has not acted
in bad faith.
2101.3 Goals
It is the policy of Wright State University that the
highest ethical standards in the conduct of research be maintained. Misconduct
in research as defined in this policy shall be considered a major breach of
the contract between the faculty, staff member, or student and the university.
The goals of this statement relating to ethics in the conduct of research are
to maintain the highest standards and to establish institutional policies that
provide a conspicuous and understandable mechanism for dealing with instances
of alleged misconduct.
2101.4 Responsibilities
- Each investigator is responsible for the highest standards of ethical
conduct in the pursuit of all research and other scholarly activities.
- Each principal investigator is responsible for the overall conduct of
research projects under his/her supervision. Supervision includes assuring
the highest ethical standards in the conduct of the research and dissemination
of research results, as well as detecting irregular practices in research
procedures, introducing remedial measures in the case of innocent mistakes,
and investigating and eliminating willful misconduct.
- Research investigators are responsible to a principal investigator if
involved in a multi-investigator project. Principal investigators are responsible
to department chairs and/or program directors who in turn are responsible
to the appropriate dean(s). The chain of responsibility continues through
the chief research officer, the chief academic officer, and the president
of the university.
- Each principal investigator is responsible for the procedures used to
gather, record, and retain research data and similar products of other scholarly
activities according to scientific and/or professional standards of discipline.
- Each principal investigator is responsible for the dissemination and reporting
of research results including ethical attribution of authorship. Thus, the
contributions of all investigators should be appropriately recognized, and
all co-authors must accept responsibility for their personal contributions
to the work being reported.
2101.5 Procedure for Reporting and Investigating Alleged Research Misconduct
Any allegation of misconduct in carrying out research
procedures or handling research results is a serious matter requiring extreme
care. The guiding principle in processing an initial allegation is to protect
the rights and reputation of all parties involved, including the accused and
the individual or individuals who in good faith report perceived misconduct.
All aspects of the investigation shall be kept in strict confidence. The following
steps shall be taken:
- Inquiry into an allegation of misconduct
- A written allegation of misconduct should be given to the chief research
officer. The chief research officer will notify appropriate individuals
in the research chain of responsibility and conduct a confidential inquiry.
The purpose of the inquiry shall be to determine whether the allegation
of misconduct is frivolous or if it deserves a broader investigation.
The inquiry shall be completed and a written report forwarded to the
chief academic officer within 30 days of receipt of the allegation.
- If the allegation is extremely serious (for example, involving immediate
health hazards; an immediate need to protect federal or university funds
or equipment; an immediate need to protect those making the allegation;
or, a reasonable indication of possible criminal activity) or there
is the likelihood that an alleged incident is going to be reported publicly,
the chief research officer shall take any necessary interim action.
If federal funds are involved, the chief research officer shall, when
required by federal regulations, notify the federal funding agency(ies)
within 24 hours concerning the serious allegation and the interim action
that has been taken.
- When an inquiry is completed, all affected individuals shall be given
the opportunity to comment on the allegation and the findings of the
inquiry. The chief research officer will inform all recipients of the
confidentiality under which the findings are made available and may
request recipients to sign a confidentiality statement or to come to
his/her office to review the findings. All proceedings of the inquiry,
including any comments by affected individuals, shall be documented
and the records retained for three years. If the inquiry takes longer
than 30 days to complete, the record of the inquiry shall include documentation
of the reasons for exceeding the 30 day period. If Public Health Service
funds are involved, and if the chief research officer plans to terminate
the inquiry without completing all steps as outlined in paragraphs 2101.5
a) 1) and 2), then the chief research officer shall promptly notify
the Public Health Service Office of Research Integrity of the planned
termination pursuant to 42 Code
of Federal Regulations (CFR) 50.104(a)(3).
- If the alleged misconduct is not substantiated by the inquiry, formal
efforts shall be made to restore the reputations of the researcher and
other affected individuals.
- Any person aggrieved by any action proposed as a result of the inquiry
shall have the right of appeal to the chief academic officer, in writing,
within 30 days of notification.
- Inquiry report
- If the inquiry report concludes that the allegation is substantive,
the chief research officer shall appoint and charge a three-member investigative
committee. Two of the investigative committee members shall be selected
by the chief research officer and the appropriate dean(s), and one shall
be selected by the accused. In the case of a fully affiliated faculty
member, the three committee members shall be fully affiliated faculty
members. In other cases, at least two of the committee members shall
be fully affiliated faculty members. All committee members shall have
broad experience in academic research, with knowledge of the area in
which the alleged misconduct is said to have occurred. However, those
with personal involvement in or responsibility for the research under
investigation, or a real or apparent conflict of interst in the outcome,
shall be excluded from the committee. The accused will be given the
opportunity to comment on the committee membership. When selection is
complete, the chief research officer shall provide a list of the investigative
committee membership and charge to the accused, the appropriate dean(s),
the chief academic officer, and to the president of the university.
- If federal funds are involved, and when required by agency regulations,
the chief research officer shall, before the investigation begins, notify
the federal funding agency(ies) that a formal investigation is being
initiated and shall keep that (those) agency(ies) apprised of developments
that disclose facts that may affect agency funding decisions or otherwise
affect the public interest.
- The committee shall initiate a confidential investigation of the alleged
misconduct within 30 days after the completion of the inquiry. The accused
shall have the following rights:
- Notification in writing of all charges;
- Adequate time, normally five business days, to prepare for any meeting;
- Opportunity to meet with the committee and present evidence;
- Opportunity to confront the person(s) alleging the misconduct;
- Right to confidentiality in the proceedings to the extent permitted
by law;
- Right to speedy determination/report of the committee;
- Right to written findings of the committee; and,
- Right to counsel at the accused's own expense.
- Report of findings
- A draft report of findings shall be made available to the accused
and to those who made the allegations. Comments on the draft report
from the accused or the accusers shall be appended to the final report.
The committee shall report findings, in writing, to the chief research
officer and to the accused within 120 days of the committee's appointment.
In the report, the committee shall indicate the basis of its decisions
and recommendations, its evaluation of the seriousness of the offense,
and its finding concerning the level of intent of any person(s) found
to have committed misconduct. All findings shall be based on a preponderance
of relevant evidence.
- If Public Health Service funds are involved, and if the committee
plans to terminate the investigation without completing all steps as
outlined in paragraphs a), b), and c) of Section 2101.5, then the chief
research officer shall be notified immediately. The chief research officer
shall promptly notify the Public Health Service Office of Research Integrity
of the planned termination pursuant to 42 CFR 50.104(a)(3).
- If Public Health Service funds are involved, and if the committee
is unable to complete its investigation within the 120 day period, then
the chief research officer shall be notified immediately. The chief
research officer shall promptly request an extension from the Public
Health Service Office of Research Integrity as described in 42 CFR 50.104(a)(5).
- If the committee finds that the alleged misconduct is not substantiated
by the investigation, formal efforts shall be made to restore the reputation
of the researcher and others under investigation. In this context, if
the committee believes that the allegations of misconduct were malicious,
reckless, or intentionally dishonest, the allegations will be investigated
and regarded with the same seriousness as misconduct in research itself.
An ad hoc committee shall be established by the chief research officer
to investigate the charges. Diligent efforts shall be made to protect
the positions and reputations of those persons who, in good faith, make
allegations of research misconduct.
- If the alleged misconduct is substantiated based on a preponderance
of relevant evidence, the committee may recommend disciplinary action.
Resignation of the charged party shall not preclude the investigative
process.
- After reviewing the committee's findings and recommendations, the chief
research officer shall report these, together with his/her own recommendations,
to the chief academic officer. If disciplinary action is warranted, the
chief research officer shall write recommendations to the chief academic
officer, if the accused is an academic employee; to the chief human resources
officer, if the accused is a nonacademic employee; to the chief student
affairs officer, if the accused is a student. The chief research officer
also shall notify the chief legal officer of the university. In addition
to disciplinary action, recommendations can include the following:
- Request that the researcher withdraw from publication all pending
abstracts and papers emanating from the questionable research; and,
- Notification of the editors of journals to which said papers were
submitted or published.
- Subject to paragraphs i) and j) of Section 2101.5, the chief academic
officer shall have the right to take such action as he/she considers appropriate
and notify all interested parties of the action. The chief academic officer
also may request that the committee conduct further investigation.
- Any person aggrieved by any action proposed by the chief academic officer
under paragraph 2101.5 h) shall have the right to appeal to the president
of the university, in writing, within 30 days of notification.
- If the president of the university feels that substantial new evidence
is presented, or if the president of the university determines that the
foregoing process was fundamentally unfair, the president may remand the
case to a new committee convened pursuant to paragraph 2101.5 b).
- If federal funds are involved, and when required by agency regulations,
the chief research officer shall submit a formal report of the investigation
to the federal funding agency(ies) within 120 days of the commencement
of such investigation. The format of the report shall be as specified
in agency guidelines or, in the absence of such guidelines, as specified
in the Public Health Service misconduct regulations at 42 CFR 50.104(a)(4).
- All proceedings of the investigation and any subsequent related actions
or appeals shall be documented and the records retained for three years.
- A copy of this policy will be forwarded by the chief research officer
to the Public Health Service Office of Research Integrity.