Academic Affairs Policies and Procedures Manual

9.11 MISCONDUCT IN RESEARCH

Effective: June 21, 1995

PURPOSE

In supporting and encouraging research and scholarship, Florida International University expects the highest standards of professional and ethical conduct in all areas of research and creative activity. These protocols are rooted in the belief that academic freedom, collegiality and trust among administrators, faculty members, students and staff are essential to the success of this University. Any allegation of misconduct must be resolved promptly and equitably using procedures that safeguard the rights of all administrators, faculty, staff, and students and other concerned parties. These protocols are adopted by this University in compliance with laws and regulations of the United States, the State of Florida, and the State University System of Florida.

AUTHORITY/SOURCE:

These protocols are adopted by this University in compliance with laws and regulations of the United States, the State of Florida, and the State University System of Florida.

POLICY

A. Definition of "Misconduct"

Misconduct in research is any research activity intended to deceive or defraud; it extends to the mistreatment of animals and human subjects. Misconduct includes, but is not limited to, fabrication of or employment of spurious data; purposeful omission of any conflicting data; deceptively selective reporting; misappropriation of intellectual property; and cases of frivolous accusations. It does not include honest error or honest differences in interpretation or judgements of data. Student research misconduct resulting from classroom assignments remains under the purview of the instructor and is not subject to these protocols. Other common forms of misconduct which are covered by these protocols are defined as follows:

1. Falsification of data is deliberately changing any form of evidence in such a way that it substantially affects its usefulness.

2. Plagiarism is deliberately appropriating the writing or recorded work of another without his/her consent or improperly documenting for one's own benefit.

3. Conflict of interest occurs when an individual serves or represents two distinct entities and neglects or breaches a duty to one entity to the benefit of the other; or, when a person uses his or her position with one entity to advance a personal gain or the gain of another entity.

4. Fraud and misrepresentation are deliberate attempts in deceiving others to secure unlawful or unfair advantage. This category of misconduct includes providing false or misleading information to or intentionally deceiving co-authors, granting agencies, editors or other interested parties regarding the results or the status of a research project.

5. Non-compliance is failing to comply with the published regulations of federal agencies, state agencies, the university, granting agencies which support an individual's research.

6. Misappropriation of research funds is any deliberate act or omission in the handling of research funds that violates university policy, policies of granting agencies, state or federal law.

B. Applicability

This policy applies to individuals (other than students involved in regular classroom assignments) engaged in any form of research and scholarship, funded or otherwise, in every discipline throughout this university.

C. Administrative Responsibility

1. The Vice Provost for Research & Graduate Studies will support and coordinate administration of this policy.

2. Cases of alleged misconduct will be investigated by the Research Integrity Committee (hereafter the RIC). Cases will not be investigated by one's immediate colleagues, chair, dean or director to avoid the potential appearance of a conflict of interest.

3. The Faculty Senate Research Integrity Committee is a standing faculty committee whose members are appointed jointly by the University President and Chairperson of the Faculty Senate with the approval of the Faculty Senate. The primary responsibility of RIC shall be to determine if research misconduct has occurred. Four (4) members shall be appointed from the faculty at large with no college/school having more than (1) representative. All members shall be tenured faculty members holding the rank of Associate or Full Professor. Normally, each member shall serve a three (3) year term of office. For the first year, terms will be staggered as follows: 3, 2, 1 year(s) as determined by the drawing of lots as follows: two 3-year terms, and one 2-year term and one 1-year term. The chairperson of the RIC shall be elected by the faculty members of the RIC. Only three faculty members need be present to conduct business, thus providing for the withdrawal of a committee member in cases where there might be any conflict of interest. The Vice Provost for Research and the University Attorney's representative shall be the only ex-officio members, and they shall be non-voting on all matters.

4. The Provost has responsibility for taking appropriate and final action.

PROCEDURE

A. Report to Funding Agency

If the RIC undertakes a formal investigation and a granting agency's regulations rules or interests require it, then the Vice Provost for Research and Graduate Studies shall notify the granting agency of the investigation.

B. The Initial Inquiry

(1) Any person who has reason to believe research misconduct has occurred should communicate in writing to the Vice Provost for Research and Graduate Studies for transmission to the Chair of the RIC. No anonymous charges will be considered. Any person making a charge of research misconduct must be willing to appear when summoned by the RIC and willing to confront the accused. (2) Within 10 working days, the Chair of the RIC will call the RIC into session to determine if the charge warrants investigation. (3) Within five working days from the meeting of the RIC, the RIC will notify the accused, communicate to him/her/them the specific nature of the charges, and set a mutually agreeable date and time [at least 10 working days but no more than 20 working days from the day of notification] for a closed-door hearing for the person(s) charged with misconduct to respond. Where the specified time frames prove unworkable, the Chair of the RIC shall notify the parties and the RIC of the modified timetable. (4) The party charged may bring a colleague, a UFF representative, and/or his/her own attorney. Those who accompany him/her may advise the accused but cannot otherwise participate in the hearing. (5) At this meeting, the RIC will listen to the parties and question each. This meeting will be recorded. (6) After listening to both sides, the RIC will excuse the parties. (7) At this point, the RIC will deliberate as to the merit of the charges and the need for further investigation. (8) At the end of these deliberations, the RIC will either vote to terminate the investigation and communicate its actions to date and its findings to the accused and the Provost, or vote to continue the investigation. (9) If the RIC decides to continue the investigation, it will summarize proceedings to date, draw up a plan (e.g. need for consultants, expert testimony, information that it needs to obtain from the parties, et. al.) as well as a tentative date when all information needs to be provided, schedule of additional hearings, etc. which it will communicate to the parties, and the Provost. The plan needs to be clear and the schedule should take into account the need for an expeditious resolution of the matter. The RIC may appoint an investigatory panel which will report its findings to the RIC. (10) At the completion of the investigation, the RIC will communicate to the Provost and to the accused a) its findings and, specifically, whether misconduct has occurred, and b) may make recommendations for any action. (11) The Provost will review the RIC report and within 15 working days communicate to the accused his/her decision and any action that will be taken. (12) The accused has 15 working days to respond in writing to the Provost's communication. In that response, the accused may request a meeting with the Provost. (13) The accused must be granted the opportunity to meet with the Provost no later than 20 working days from the date the Provost's Office receives the accused's response. (14) Receiving no response, or within 10 working days of the meeting, the Provost's communicates to the accused and his/her supervisors, the Provost's final decision and the disciplinary action (if any) that will be taken.

C. Detailed documentation must be maintained in all phases of the investigation.

D. Protecting Granting Agency Funds

(15) If during any phase of these investigations, it appears that funds may be or have been misappropriated or misspent Vice Provost for Research & Graduate Studies may impound any such accounts.

E. Confidentiality

The Vice Provost for Research & Graduate Studies will be the custodian of all records and physical evidence. Access to records and material shall be limited to members of the RIC, its panel, the Provost, the Academic Vice President, the University Attorney and the accused parties with a need to know. Confidentiality of all information and documents will be maintained to the fullest extent allowed by law. All individuals involved in a misconduct case, shall be informed by the Chair of the RIC and required to maintain the strictest confidentiality. Any person deliberately violating this confidentiality can be subject to disciplinary action by the Provost.

F. Preserving and Restoring Reputations

The Administration of the University shall undertake, by appropriate diligent efforts, to preserve and restore the reputations of all persons alleged to have engaged in research misconduct when such allegations are found to be unsubstantiated. (16) A letter of exoneration will be issued.

G. Notification of Outcomes

(17) On completion of the review process, the Vice Provost for Research & Graduate Studies will convey the results in writing to the person(s) charged, the charging party, all concerned administrative officials, any granting agencies involved, editors of any journals affected by these findings (for retraction of related publications), and co-authors. These notifications will be sent as expeditiously as possible. Storage of all records pertaining to a case will be maintained in locked files in the Office of Academic Affairs. Ownership of these records shall rest with the University.

H. Coordination of Investigation with Other Institutions

If the Provost believes any person presently or formerly associated with the University has been involved in research misconduct, then the inquiry and investigation shall be coordinated with appropriate counterparts from other institutions in conformance with Florida Statute, paragraph 240.253. Former employees may request a report on the status of such inquiries.

I. Protection from Reprisals

Everyone involved in cases of research misconduct, including RIC members, the party charged, the charging party, witnesses, and responsible administrators, shall enjoy freedom from any and all reprisals that may arise out of the legal discharge of their duties.

J. No Waiver of Rights

Participation in an investigation conducted by the RIC shall not constitute a waiver of rights under the Collective Bargaining Agreement for any member of the bargaining unit.

K. Promulgation of Protocols

It is essential that all members of the University community who may be affected by these protocols be made aware of the provisions. RIC shall publish and distribute copies of these protocols to every administrator and faculty member of this University. To this end, copies must be on file in all academic administrative offices at all levels. Additional copies will be kept in other appropriate repositories such as the library, Faculty Senate, and all research centers and institutes. Faculty and student handbooks and the FIU catalog must all contain prominent notices of the existence of these protocols and the places where copies are available.