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University at Albany Policy and Procedures on Misconduct
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in Research and Scholarship1
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I. Policy
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This policy addresses violations of academic integrity as related to misconduct in
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research and scholarship, including corresponding misconduct in artistic
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expression that is not protected by freedom of expression (hereinafter referred
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to as “misconduct”). Misconduct in research and scholarship means:
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(1) misrepresentation of academic credentials or scholarship in securing
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awards, grants, or recognition;
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(2) fabrication, falsification, or plagiarism in proposing, conducting, or
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reviewing research or in research results; or
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(3) other practices involving violations of academic integrity that
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significantly deviate from practices commonly accepted within the
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academic community in research and scholarship and in artistic
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performance and expression.
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Maintenance of high ethical standards in research and scholarship is a central
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and critical responsibility of the University. In keeping with the commitment to
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integrity in the pursuit of truth, and in compliance with federal regulations, the
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University at Albany will immediately review reports of suspected misconduct or
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other evidence of misconduct; thoroughly investigate such instances if the initial
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inquiry concludes that an investigation is warranted; take appropriate action
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following the investigation, including imposition of sanctions if allegations of
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misconduct are substantiated; and fulfill reporting and other federal
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requirements in the case of sponsored research.
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This policy shall be followed in responding to all reports of suspected misconduct
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on the part of faculty, researchers, staff, and students. This policy is not limited
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to acts of misconduct committed while the individual was affiliated with the
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University.
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In the case of students, this policy shall not apply to academic course work
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which is covered under the provisions of academic integrity as contained in the
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Undergraduate and Graduate Bulletins.
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Definitions of key terms are given in the Appendix.
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1 This policy document implements the “Recommendations and Policy Framework on Responding
to Misconduct in Research and Scholarship,” approved by the as University Senate on March 17,
2003bill 0203-04. A first draft version was completed by the Office of the Vice President for
Research in May 2003. The Committee on Ethics in Research and Scholarship completed a
substantially revised version in summer 2004. The final version incorporates additional input that
was received from the Council on Research, the Vice President for Research, the Office of the
University Counsel, and a number of faculty during fall 2004 and passed as senate bill 0405-02.
It has been amended by senate bills 0405-25, 0506-27 and 0809-xy.
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II. Summary of Procedures
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The institutional response to reports of suspected misconduct includes the
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following steps. Detailed guidelines and procedures are described in the
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remainder of this policy.
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II. A. Initial Assessment of Suspected Misconduct
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Suspected misconduct is reported to the Vice President for Research who informs
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the Chair of the Committee on Ethics in Research and Scholarship (CERS).
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II. B. Inquiry
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If either the Vice President for Research or the CERS Chair concludes that an
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inquiry should be conducted, an Inquiry Committee will make a recommendation
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to the President as to whether the allegation of misconduct warrants a formal
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investigation. Under some circumstances, as noted in section IV, the inquiry
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phase can be omitted or streamlined.
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II. C. Investigation
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If the President authorizes an investigation, an Investigation Committee formally
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examines and evaluates the evidence and other relevant information to
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determine if misconduct has occurred.
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II. D. Institutional Actions
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The President reviews the investigation report and the recommendation of the
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Vice President for Research, makes the final determination whether misconduct
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has occurred, and imposes appropriate institutional sanctions.
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III. General Guidelines for Assessment, Inquiry and Investigation of
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Allegations of Misconduct
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In accord with its principles and in compliance with federal regulations, the
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University will adhere to the following guidelines.
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III. A. Rights and Responsibilities of the Complainant
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Rights: The Vice President for Research will make every effort to ensure the
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privacy and confidentiality of complainants. The University will protect, to the
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maximum extent possible, the position and the reputation of those who in good
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faith report alleged misconduct in research.
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The Vice President for Research will work to ensure that complainants will not be
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retaliated against in the terms and conditions of their employment or other
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status at the University and will review instances of alleged retaliation for
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appropriate action. Any alleged or apparent retaliation should be reported
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immediately to the Vice President for Research.
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The complainant who has signed the confidentiality statement will be provided a
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copy of the formal allegations when and if an inquiry is opened. informed
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whether or not an inquiry and investigation is initiated. The complainant will
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have the opportunity to review portions of the inquiry and investigation reports
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pertinent to the complainant’s report or testimony, and The complaintant will be
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informed in writing of the results of the inquiry and investigation, and of the final
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determination. After the final determination and upon request to the Vice
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President for Research, the complainant shall may, at the discretion of the
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President, be given access to the full documentation record of the review process
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or final determination.
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Responsibilities: The complainant is responsible for making allegations in good
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faith, maintaining confidentiality of the proceedings and any information and
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documents created as a part thereof, and cooperating fully with an inquiry
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and/or investigation. A complainant who refuses to sign a statement of
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confidentiality waives his or her right to notification and reports. The
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responsibility of the complainant is to serve as a witness, not to serve as an
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advocate for any particular review process or final determination.
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III. B. Rights and Responsibilities of the Respondent
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Rights: The respondent of an allegation of misconduct will be afforded fairness
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and respect, a prompt inquiry into the allegations, and a thorough investigation if
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one is deemed necessary. The University will assure the rights of the accused
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person(s) to respond to the allegations both during the course of and at the
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conclusion of any inquiry and investigation.
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The respondent will be informed of the allegations in writing when an inquiry is
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opened and notified in writing of the final determinations and resulting actions.
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The respondent may be requested to provide testimony by the inquiry and
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investigation committees, and will have the opportunity to review the draft
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inquiry and investigation reports, and to have the advice of counsel.
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When insufficient evidence of possible misconduct is found, the Vice President
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for Research will, as appropriate, undertake diligent efforts to restore the
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reputation of the respondent.
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Responsibilities: Except as far as necessary to prepare an effective response,
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the respondent is responsible for maintaining confidentiality of the proceedings
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and any information and documents created as a part thereof and cooperating
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fully with the conduct of an inquiry and/or investigation.
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III. C. Conflict of Interest
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The University will take precautions against real or apparent conflicts of interest
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on the part of those involved in any inquiry and investigation resulting from an
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allegation of misconduct. Any party with a real or apparent conflict of interest
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shall recuse themselves from all aspects of the misconduct investigation. In
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cases where the Vice President for Research has a real or apparent conflict of
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interest, reports of suspected misconduct will be referred by him/her to an
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administrator designated by the Provost. In cases where the Chair of CERS has
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a real or apparent conflict of interest, the Chair of the Senate shall designate
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another member of CERS. The designees will then act in the place of the Vice
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President for Research and/or the Chair of CERS, as applicable, under this policy.
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III. D. Confidentiality
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Throughout the inquiry and investigation process the confidentiality of
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information regarding the complainant, the respondent, and other affected
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individuals will be protected to the maximum extent possible, consistent with the
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law, University policy, state and federal regulations, and effective and efficient
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proceedings. All members of inquiry and investigation committees and other
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participants, such as staff or advisors to the inquiry and investigation committees
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must observe confidentiality of the proceedings and any information and
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documents reviewed as a part thereof and sign a confidentiality statement.
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Outside of official contexts, they must not discuss the matter with the
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respondent, complainant, witnesses, or anyone not authorized by the Vice
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President for Research. The Vice President for Research should share
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information with other university officials only in exceptional situationsas
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necessary or as called for in this policy or SUNY policies. The obligation of
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confidentiality pertains to the complainant and the respondent as well. In
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instances in which confidentiality has been violated, the Vice President for
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Research may recommend to the President that sanctions should be considered.
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If the final institutional determination results in a finding of misconduct, the
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President of the University will determine what additional parties shall be notified
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of the outcome, with consideration of the recommendations of the Investigation
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Committee and the Vice President for Research, and consistent with SUNY
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policies and applicable laws.
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III. E. Membership of Committees
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Members of Inquiry and Investigation Committees shall be individuals who do
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not have real or apparent conflicts of interest, are unbiased, and have the
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necessary expertise to evaluate the evidence. They may be faculty members,
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administrators, or other qualified persons, and may be from inside or outside the
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University.
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III. F. Procedural Issues
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The chairs of the Inquiry and Investigation Committees may consult with the
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Vice President for Research regarding the inquiry or investigation, as appropriate.
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Any member of these committees concerned about procedures or process should
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first consult with the chair of the appropriate committee and, if the issue is not
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resolved, with the Vice President for Research as the institutional official
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responsible for the case. In this instance, the Vice President for Research will
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adjudicate the issue in consultation with the chair of the relevant committee, the
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committee member, and the CERS chair.
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III. G. Regulatory Requirements
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In case the alleged misconduct involves research supported by federal agencies,
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the University will comply with applicable current federal procedural guidelines
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and regulations.
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The University will comply with all New York State and federal regulations
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regarding maintenance and access to records and documentation resulting from
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inquiries and investigations into alleged misconduct. The University will take
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appropriate interim administrative actions to protect federal and other funds and
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ensure that the purposes of the federal financial assistance are being carried out.
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At any time during an inquiry or investigation, where applicable, the University
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shall immediately notify the appropriate federal sponsoring agency
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if public health and safety is at risk;
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if sponsoring agency resources or interests are threatened;
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if research activities are suspended;
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if there is a reasonable indication of possible violations of civil or criminal
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law;
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if federal action is required to protect the interests of those involved in
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the investigation;
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if the University believes the inquiry or investigation may be made public
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prematurely so that appropriate steps can be taken to safeguard evidence
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and protect the rights of those involved; and
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if the research community or public should be informed.
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III. H. Evidentiary Standards
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The burden of proof for making a finding of misconduct is on the University.
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The standard of proof for a finding of misconduct will be by a preponderance of
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evidence. This means that the evidence shows that it is more likely than not that
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the respondent committed misconduct.
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III. I. Maintenance of Documents
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The Vice President for Research or his/her designee shall locate, collect,
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inventory, and secure relevant research records to prevent the loss, alteration, or
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fraudulent creation of records. During this process the Vice President for
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Research or his/her designee shall follow the guidelines detailed in the National
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Institutes of Health’s Office of Research Integrity (ORI) Model Procedures. The
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University will maintain for at least seven years complete documentation of the
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investigation process, proceedings, inquiry and investigation reports, findings,
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recommendations, and final determination. Documents shall be kept in the
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offices of the Vice President for Research for safekeeping.
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Upon request to the Vice President for Research, the complainant and the
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respondent shall be given access to the complete documentation for review.
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IV. Stage 1: Reporting of Suspected Misconduct and Initial
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Assessment
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All employees or individuals associated with the University should report
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observed, suspected or apparent misconduct to the Vice President for Research.
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To the extent possible, the identity of complainants who wish to remain
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anonymous (such as a student who provides evidence of plagiarism in the form
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of published articles) will be kept confidential. If an individual is unsure whether
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a suspected incident falls within the definition of misconduct detailed in this
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policy, or if that individual wishes to learn more about general procedural
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matters pertaining to this policy, he or she may informally contact the Vice
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President for Research or the Chair of CERS. Reports of suspected misconduct,
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or other evidence of possible misconduct, from whatever source, will receive
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immediate attention. The Vice President for Research will promptly and fully
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inform the CERS Chair of any report or evidence of possible misconduct that has
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been received.
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Following receipt of an allegation, the Vice President for Research shall review
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any record of prior allegations, inquiries, and/or investigations involving the
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respondent. Such records may be included in any further review of the current
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allegation. Allegations that are substantially identical to a case that has been the
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subject of an earlier Investigation, without providing significant new evidence,
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shall be dismissed with reference to the earlier disposition.
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A reasonable basis exists for an inquiry if the allegation is sufficiently credible
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and specific so that potential evidence of misconduct may be identified and the
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allegation falls within the definition of misconduct in research and scholarship.
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If the allegation concerns activities which exceed the ORI statute of limition of
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six years, the misconduct review process may proceed if the evidence is
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sufficiently significant.
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If either the Vice President for Research or the CERS Chair concludes that a
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reasonable basis for an Inquiry exists,
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the Vice President for Research will initiate an Inquiry, or as appropriate, an
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Investigation, within 14 calendar days by preparing a formal written allegation
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outlining the charges of suspected misconduct. In circumstances that are
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sufficiently credible and specific, and that are not countermanded by federal
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policy, the Vice President for Research and the CERS chair, if, in agreement, may
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propose to the President to proceed directly to investigation.
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A written record of the reasons supporting their decision either to proceed or
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not to proceed with an Inquiry beyond the assessment phase shall be maintained
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in the office of the Vice President for Research. The complainant shall be
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informed of the decision and may review the written record upon request
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If during the assessment of suspected misconduct it is determined that the
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suspected misconduct pertains to another area of non-compliance (human
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subjects, animal subjects, fiscal fraud, etc.), the Vice President for Research will
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may refer the individual or evidence to other institutional officials or authorities,
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as appropriate.
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V. Stage 2: Inquiry
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The purpose of the inquiry is to make a preliminary evaluation of the available
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evidence and testimony of the complainant, respondent, and key witnesses to
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determine whether there is sufficient evidence of possible misconduct to
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determine whether the allegation warrants an investigation. An investigation is
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warranted if the allegation falls within the definition of misconduct in research
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and scholarship, and preliminary information-gathering indicates that the
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allegation may have substance. The inquiry phase may draw on testimony or
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written statements of the complainant, respondent, and key witnesses if
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necessary to determine whether there is sufficient evidence of possible
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misconduct to warrant an investigation. An inquiry does not require a full review
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of all the evidence related to the allegation. The purpose of the inquiry is not to
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reach a final conclusion about whether misconduct occurred or who was
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responsible.
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V. A. Initiation of the Inquiry
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In initiating the inquiry, the Vice President for Research shall prepare a formal
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allegation in writing and clearly identify any related issues that should be
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evaluated. The Vice President for Research ensures that pertinent records (or
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citations to them) are obtained and placed in an inquiry file.
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V. B. Formation of the Inquiry Committee
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If it is determined that an Inquiry is appropriate, In consultation with the CERS
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chair, the Vice President for Research, in consultation with the CERS chair, shall
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appoint the Inquiry Committee and its chair within 10 calendar days of the
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initiation of the inquiry. The Inquiry Committee shall include at least one CERS
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member and additional members as needed for expertise. Neither tThe CERS
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chair nor the Vice President for Research shall not serve on the committee.
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V. C. Notification of the Respondent and Complainant
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The Vice President for Research will notify the respondent in writing of the
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initiation of the inquiry. The notification should:
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include the written allegation(s) and identify the research, scholarship, or
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artistic performance or expression in question,
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list the members of the Inquiry Committee, and
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include a copy of the University at Albany Policy and Procedures on
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Misconduct in Research and Scholarship.
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This notification shall be transmitted to the respondent within 10 calendar days
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of the initiation of the inquiry. If this time is exceeded, the respondent and
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complainant shall be notified of the delay and the record of the inquiry shall
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include a justification for the delay.
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The respondent may submit a written objection to any appointed member of the
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Inquiry Committee based on perceived bias or conflict of interest within 5
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calendar days of notice. Upon receipt of such objection the Vice President for
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Research will promptly determine in consultation with the CERS Chair whether to
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replace any challenged member with a qualified substitute.
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The Vice President for Research shall notify the complainant in writing of the
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initiation of the inquiry, of the formal allegation(s), and of the obligation to
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cooperate in the inquiry.
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V. D. Response to Allegation
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If the respondent admits to any material aspect of the allegation(s) of
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misconduct, he or she should be asked to sign a statement attesting to the
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occurrence and the extent of the misconduct. An admission of misconduct will
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automatically terminate the inquiry process and result in the Vice President for
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Research recommending an investigation to the President.
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V. E. Procedures
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The inquiry must be completed within 60 calendar days of its initiation unless
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circumstances clearly warrant a longer period. If the inquiry takes longer than
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60 calendar days to complete, the respondent and complainant shall be notified
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of the delay and the record of the inquiry shall include documentation of the
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reasons for exceeding the 60-day period.
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The Vice President for Research shall ensure that individual interviews are
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scheduled with the respondent and complainant, if necessary so that the inquiry
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process has direct input from both parties. The interviews shall be conducted by
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the Inquiry Committee and staffed by the Office of the Vice President for
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Research. The Committee will permit the respondent, complainant, or witnesses
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to bring an advisor to the interview. The advisor may act solely as an observer
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and shall not participate in the proceedings. The University shall always have
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the option of having its attorney present.
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Interviews with the respondent will be transcribed or recorded. Interviews with
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anyone else will be summarized, recorded, or transcribed.
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V. F. Inquiry Report
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The Inquiry Committee shall submit a written report to the Vice President for
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Research. This report must indicate what evidence was reviewed, summarize
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statements and interviews from relevant individuals, and present the conclusions
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of the committee as to whether sufficient evidence exists to warrant an
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investigation. The Vice President for Research will provide the respondent with a
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copy of the draft inquiry report for comment and rebuttal and will provide the
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complainant with those portions of the draft report that address the
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complainant’s role and opinions in the inquiryhis or herthe complainant’s own
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testimony, if any. The respondent and complainant will be given 14 calendar
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days from the transmission of the report to provide their written comments. Any
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written responses to the report by either party will be made part of the report
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and record.
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The Vice President for Research shall transmit the inquiry report to the President
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of the University and to the Chair of CERS.
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V. G. Decision by the President
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The President will make the final determination whether the findings of the
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inquiry provide sufficient evidence of possible misconduct to justify the initiation
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of an investigation, or whether additional information or clarification is necessary.
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If the President does not concur with a committee finding of sufficient evidence
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of possible misconduct, he or she may ask the Committee to re-review the
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allegation(s). If the President determines that there is insufficient evidence of
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possible misconduct, the case will be terminated. The basis for the President’s
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decision must be fully documented.
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The President’s decision marks the end of the Inquiry and so must be completed
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within 60 days as noted in section V.E.
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The Vice President for Research shall notify, in writing, the respondent, the
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complainant, all persons involved in the inquiry (i.e., anyone who has been
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interviewed or otherwise informed of the allegations) and the chair of CERS
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whether or not of the President’s decision indicated that an investigation will be
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initiated.
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V. H. Reports NOT Made in Good Faith
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If relevant, the Vice President for Research, in consultation with the the chair of
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CERS, will determine whether the complainant’s report of suspected misconduct
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was made in good faith . If a report was not made in good faith, the Vice
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President for Research will determine recommend to the President whether any
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pertinent action should be taken against the complainant.
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VI. Stage 3: Investigation
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The purpose of the investigation is to explore the allegations in detail, to
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examine the evidence in depth, and to determine specifically whether the
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respondent has committed misconduct. The investigation may also determine
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whether there are additional instances of possible misconduct that would justify
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broadening the scope beyond the initial allegations.
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VI. A. Initiation of the Investigation
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If an investigation is deemed necessary, the President shall authorize the Vice
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President for Research to initiate the investigation. The Vice President for
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Research shall notify the Chair of CERS of the initiation of the investigation.
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When an investigation involves a sponsored program through the Research
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Foundation, the Vice President for Research will notify the Research Foundation
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of SUNY (Office of the General Counsel and Secretary). The University will also
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notify relevant federal or other external granting agencies and partnering
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institutions, in accordance with applicable regulatory requirements. The
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University will take interim administrative actions, as appropriate, to protect
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federal and other funds and ensure that the purposes of the federal financial
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assistance are being carried out.
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VI. B. Formation of the Investigation Committee
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In consultation with the CERS Chair, the Vice President for Research shall
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appoint the Investigation Committee and its chair within 10 calendar days of the
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initiation of the investigation. The Investigation Committee shall include at least
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one CERS member, normally including the CERS member(s) who served on the
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Inquiry Committee. It may also include other individuals who served on the
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Inquiry Committee or additional members as necessary for expertise. Neither
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tThe CERS chair nor the Vice President for Research shall not serve on the
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Investigation Committee. If the Investigation Committee is not appointed within
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10 days, the respondent and the complainant shall be notified of the delay and
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the record of the investigation shall include a justification for the delay.
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VI. C. Notification of the Respondent and Complainant
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The Vice President for Research shall notify the respondent in writing whether or
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not of the investigation is initiatedion of the investigation. The notification
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should include:
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a copy of the final inquiry report;
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the specific allegations;
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a list of members of the Investigation Committee.
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The respondent may submit a written objection to any appointed member of the
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Investigation Committee based on perceived bias or conflict of interest within 5
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calendar days of notice. Upon receipt of such objection the Vice President for
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Research will promptly determine in consultation with the CERS Chair whether to
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replace any challenged member(s) with a qualified substitute.
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The Vice President for Research will also notify the complainant in writing
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whether or not an of the initiation of the investigation is initiated and of the
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obligation to cooperate with the process and to maintain confidentiality.
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VI. D. Investigation Process
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The Vice President for Research is responsible for conducting the investigation.
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The investigation, including the final determination of the President must be
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completed within 120 calendar days of its initiation unless circumstances clearly
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warrant a longer period. If the investigation takes longer than 120 calendar days
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to complete, the respondent and complainant shall be notified of the delay and
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the record of the investigation shall include documentation of the reasons for
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exceeding the 120-day period.
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The Vice President for Research shall provide the necessary support and staff to
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the Investigation Committee for the conduct of the investigation and shall
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monitor the progress.
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The Vice President for Research will determine if additional experts other than
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those appointed to the Investigation Committee need to be consulted during the
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investigation to provide special expertise to the committee regarding the analysis
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of specific evidence. In such cases, the experts provide a strictly advisory
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function to the committee; they do not vote and generally do not interview
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witnesses. The experts may be chosen from inside or outside the University.
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The investigation process will include, but not necessarily be limited to,
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examination of pertinent research data and written materials, interviews with all
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individuals involved either in making the allegation or against whom the
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allegation is made, and statements from or interviews with other individuals who
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might have information regarding the allegation.
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Interviews with the respondent will be transcribed or recorded. Interviews with
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anyone else will be transcribed or recorded if practical, or else summarized.
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VI. E. Investigation Report and Recommendations of the Vice President
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for Research
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The Investigation Committee will prepare a written report of the conclusions of
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the investigation. This report will include a summary of the inquiry process, a
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listing of the allegations, the composition of the Investigation Committee, the
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evidence, and a summary of any dissenting views from members of the
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Investigation Committee. The report should indicate whether or not misconduct
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has been found for each allegation, and provide the specifics to support the
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conclusions. For findings of misconduct, the report should identify the type of
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misconduct, and the extent and seriousness of the misconduct, including its
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effect on research findings, publications, and research subjects. The
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Investigation Committee may offer recommendations on how to correct any
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relevant public record and recommendations for sanctions.
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The Vice President for Research will provide the respondent with a copy of the
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draft investigation report for comment and rebuttal and will provide the
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complainant with those portions of the draft report that address the
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complainant’s role and opinions in the investigationown testimony. The
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respondent and complainant will be given 14 calendar days from the
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transmission of the report to provide their written comments. Any written
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responses to the report by either party will be made part of the report and
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record.
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Upon receipt of the final investigation report, including written comments from
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the respondent or complainant, the Vice President for Research shall prepare a
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recommendation to the President and shall transmit both the report and the
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recommendation to the President and to the Chair of CERS.
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The investigation concludes when the President makes the final determination as
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detailed in section VII. A and the President’s report is submitted to federal
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officials, as applicable, and to the Chair of CERS. The process should be
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completed within 120 days of the initiation of the investigation, as noted in VI.D.
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VII. Stage 4: Institutional Actions
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VII. A. Decision by the President
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The President reviews the report of the Investigation Committee and the
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recommendations of the Vice President for Research. In this process, the
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President may consult with the Investigation Committee,Provost and relevant
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Dean or Vice President to clarify facts, seek further information, or to ask the
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Committee to reconsider the allegations and evidence.
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The President will make the final institutional determination in writing of whether
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misconduct has occurred. If the President does not concur with the final
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conclusions of the Investigation Committee, the President shall consult with the
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investigation committee and CERS before finalizing the determination. The
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consultation requires providing CERS with adequate documentation of the case.
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The Vice President for Research shall notify the respondent in writing of the
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President’s decision. If no procedural appeal according to Section B is filed, the
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Vice President for Research will notify all other affected individuals, parties and
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organizations, as detailed in Section E, of the President’s decision.
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VII. B. Appeal
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DRAFT FOR COMMENT. The only changes are underlined additions or strike out deletions.
13
Within 14 calendar days of receipt of written notification of a finding of
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misconduct, the respondent may appeal to the President on the sole question of
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whether the procedures prescribed in this policy have been followed correctly.
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The appeal must be in writing and must specify the nature of the procedural
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error. The President shall issue a decision within 30 calendar days, affirming or
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vacating the determination of research misconduct, with the option to reopen the
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investigation.
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VII. C. Finding of No Misconduct
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If an allegation of misconduct is unsubstantiated, the Vice President for Research
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will undertake appropriate diligent efforts to restore the reputation of the
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individual against whom the allegations have been presented.
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VII. D. Sanctions
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If an allegation of misconduct is substantiated, The President shall consult with
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the Investigation Committee and the Chair of CERS, and with the Vice President
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for Research, the University Counsel, the Director of Human Resources, the
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supervisor(s) of the respondent, and the Vice President for Student Affairs, as
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appropriate, regarding disciplinary sanctions. In such cases the President shall
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reveal to the Investigation Committee and to the Chair of CERS any additional
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information relevant to the case or the respondent as might be required for
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effective consultation.
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Disciplinary sanctions must be commensurate with the nature/severity of the
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proven allegations. They may include, but are not limited to:
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583
•
a reprimand,
584
•
alteration of the respondent’s employment or academic status,
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including probation, suspension, salary reduction, rank reduction, or
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termination,
587
•
correction of the research record including a requirement to withdraw
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or correct abstracts, manuscripts, reports, or grant/contract
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proposals,
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•
correction of academic credentials such as curriculum vitae, activity
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reports, and websites,
592
•
public disclosure,
593
•
requirement for participation in training programs,
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•
removal from a project,
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•
requirement of a letter of apology,
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•
requirement of monitoring the respondent’s research or scholarly
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activities.
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Disciplinary proceedings and sanctions must be consistent, as applicable, with
600
established University, Board of Trustees, and Research Foundation policies, the
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student code of conduct, and the collective bargaining agreement.
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DRAFT FOR COMMENT. The only changes are underlined additions or strike out deletions.
14
The President makes the final decision and informs the respondent regarding
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disciplinary actions.
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VII. E. Notifications
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In consultation with CERS and with the recommendation of the Vice President for
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Research, the President shall make the final determination as to which concerned
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parties should be notified of the President’s final determination decision. In
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addition to the respondent and complainant, typically this would include the
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Investigation Committee members, Inquiry Committee members, the Research
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Foundation of SUNY (the Office of the General Counsel and Secretary) and all
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persons known to have knowledge of the investigation (i.e., any one who has
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been interviewed or otherwise informed of the allegations). Furthermore, in case
616
there is a finding of misconduct, appropriate members of the research and
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scholarly community should be informed, so as to correct the public record. The
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University will also notify relevant federal or other external granting agencies and
619
partnering institutions, where applicable and in accordance with regulatory
620
requirements.
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623
VIII. Annual Report to CERS
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The Vice President for Research shall provide an annual report to CERS with
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informationstatistics on misconduct proceedings. The report will contain no
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specific information on individuals or individual cases, but will contain sufficient
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information to inform an annuala substantive conversation in CERS about the
629
policy and procedural issues that may have arisen in the course of the review
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process. The report shall also contain a summary of training of CERS members
631
and of University researchers.
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Adopted by University Senate and approved by President Kermit Hall, 02-09-05 (Senate
635
Bill No. 0405-02)
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Amended and approved by President Kermit Hall, 05-12-05 (Senate Bill No. 0405-25)
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Amended and approved by President Kermit Hall, 06-21-06 (Senate Bill No. 0506-27)
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Amended……____________________________________________________________
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DRAFT FOR COMMENT. The only changes are underlined additions or strike out deletions.
15
APPENDIX: DEFINITIONS
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A.
Allegation means a formal statement of charges of possible misconduct,
643
normally prepared by the Vice President for Research upon the initiation of an
644
Inquiry.
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B.
Complainant means a person who reports observed, suspected, or apparent
647
misconduct. A complainant may not remain anonymous to the Vice President for
648
Research or any other University official designated to administer this policy.
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650
C.
Committee on Ethics in Research and Scholarship (CERS) is the
651
University committee charged to author, review, and implement policies
652
governing allegations of misconduct. The composition of CERS and its
653
responsibilities are detailed in the Charter of the University Senate.
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655
D.
Conflict of Interest means the interference of one person’s
656
interests with the interests of another person, so as to create the potential for
657
bias.
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659
E.
Fabrication means making up results and recording or reporting them.
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661
F. Falsification means manipulating research materials, equipment, processes, or
662
changing or omitting data or results so that the research is not accurately
663
represented in the research record.
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665
G.
Good Faith Report means a report of suspected misconduct made with the
666
honest belief that the misconduct may have occurred. A report is not in good
667
faith if it is made with reckless disregard for or willful ignorance of facts that
668
would disprove the charges.
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670
H.
Inquiry means information gathering and initial fact-finding to determine
671
whether an allegation or apparent instance of misconduct warrants an
672
investigation.
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674
I.
Inquiry Committee means the committee that is charged with conducting an
675
inquiry into an allegation of misconduct.
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677
J.
Institutional Counsel means legal counsel who represents the University
678
during the misconduct inquiry and who is responsible for advising the Vice
679
President for Research, the Inquiry and Investigation committees, and the
680
President. The institutional counsel does not represent the respondent, the
681
complainant, or any other person participating during the inquiry, investigation,
682
or any follow up action, except University officials responsible for managing or
683
conducting the University misconduct process as part of their official duties.
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685
K. Institutional Official means the individual charged with the responsibility of
686
responding to allegations of misconduct and with conducting all misconduct
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DRAFT FOR COMMENT. The only changes are underlined additions or strike out deletions.
16
inquiries and investigations. The institutional official in cases of misconduct is
688
the Vice President for Research.
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690
L. Investigation means the formal examination and evaluation of all relevant
691
facts to determine if misconduct has occurred.
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693
M. Investigation Committee means the committee that is charged with
694
conducting an investigation into an allegation of misconduct.
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N.
Misconduct in research and scholarship means:
697
(1) misrepresentation of academic credentials in research and or scholarship or
698
in securing awards, grants, or recognition;
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700
(2) fabrication, falsification, or plagiarism in proposing, conducting, or reviewing
701
research or in research results; or
702
(3) other practices involving violations of academic integrity that significantly
703
deviate from practices commonly accepted within the academic community in
704
research and scholarship and in artistic performance and expression.
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706
Misconduct would not NOT ordinarily include such things as:
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(1) Honest error or disagreements;
708
(2) Disputes among collaborators about relative credit;
709
(3) Informal activities that do not meet the formal definition of scholarship, such
710
as classroom presentations.
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712
A finding of misconduct requires that:
713
(a) there be a significant departure from accepted practices of the relevant
714
research or scholarly community;
715
(b) the misconduct be committed intentionally, knowingly, or recklessly; and
716
(c) the allegation be proven by a preponderance of the evidence.
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718
719
O.
ORI
720
Office for Research Integrity of the U.S. Department of Health and Human
721
Services. Misconduct in some federally funded research is subject to the
722
regulations of this office. The policy of the University at Albany is in compliance
723
with those requirements. More information is available at
724
http://ori.dhhs.gov/misconduct/definition_misconduct.shtml
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O. Plagiarism means the appropriation of another person’s ideas, processes,
727
results or words without giving appropriate credit.
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P. Research Record means any data, document, computer file, computer
730
diskette, or any other written or non-written account or object that reasonably
731
may be expected to provide evidence or information regarding the proposed,
732
conducted or reported misconduct that constitutes the subject of an allegation of
733
misconduct. A research record includes, but is not limited to, grant or contract
734
applications, whether sponsored or not; grant or contract progress reports;
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DRAFT FOR COMMENT. The only changes are underlined additions or strike out deletions.
17
laboratory notebooks; notes; correspondence; electronic communication; videos;
736
photographs; X-ray film; slides; biological materials; computer files and
737
printouts; manuscripts and publications; equipment use logs; portfolios and
738
laboratory procurement records. It shall also include Institutional Review Board
739
or Institutional Animal Care and Use Committee records or documentation if
740
these relate to or form the basis of an allegation of research misconduct based
741
on fabrication, falsification or plagiarism, or other practices that seriously deviate
742
from those commonly accepted with the academic community.
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Q.
Respondent means the person who is alleged to have committed possible
745
misconduct.
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747
748
R. Research and Scholarship
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750
For the purposes of this policy, scholarship is broadly defined as including
751
activities which fall under the ORI definition of research, as well as original
752
scholarly contributions or artistic works which constitute advances or
753
contributions to the individual's discipline or to practice in the field.
754
755
The ORI definition of research is:
756
Research means a systematic investigation, including research development,
757
testing and evaluation, designed to develop or contribute to generalizable
758
knowledge. Activities meeting this definition constitute research for purposes of
759
this policy, whether or not they are conducted or supported under a program
760
which is considered research for other purposes. For example, some
761
demonstration and service programs may include research activities.
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