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Part 4. Personnel Policies
Section IV. Performance/Evaluation/Termination
H. Misconduct in Research and Scholarship
Pursuant to the primary mission and goals of Idaho State University are the creation and dissemination of knowledge through research and scholarship. To this end, the University is committed to fostering an environment which allows academic freedom for its faculty, students, and staff while maintaining integrity and responsible ethical conduct. It is the responsibility of the University to resolve all allegations and/or possible infractions of such conduct. Accordingly, the following guidelines have been established to define misconduct in research and scholarship, and to set forth procedures for the inquiry into and investigation of alleged misconduct. These policies are also intended to protect innocent scholars from harassment and to protect the individual(s) who report allegations from possible retribution.
As provided by the U.S. Public Health Services (Federal Register, Vol. 54, No. 151, pg. 32449, August 8, 1989):
“Misconduct” or “misconduct in science” means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error of honest differences in interpretations or judgments of data.
“Inquiry” means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.
“Investigation” means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred.
For the purposes of this policy, the use of the word “research” shall be interpreted to include all scholarship and creative work. Violations of integrity and responsible ethical conduct may include:
a. falsification of data, including fabrication as well as selective suppression of data elements that fail to fit the expected result;
b. plagiarism, whether blatant, inadequately cited, or due to duplicate submission of the same data without reference to its initial reporting;
c. abuse of confidentiality or of an implied trust, wherein a scholar obtains ideas or data while acting as a peer reviewer of proposals or manuscripts, conversations with colleagues, or in similar privileged circumstances.
This policy applies to all employees and students who conduct research of Idaho State University. In addition, these policies and procedures apply to all individuals who may be involved with a research project supported by the Public Health Services (PHS) or for which an application has been submitted. In such cases, U.S. Public Health Services publication in the Federal Register, Vol. 43, No. 151, August 8, 1989 (42CFR Part 50, Subpart A) shall be followed to administer the “misconduct” review process.
The Dean of Research has been assigned the initial responsibility of handling inquiries and investigations into allegations of misconduct. Formal allegations of misconduct must be presented in a confidential manner in writing to the Dean of Research. Anonymous reports will not be accepted. The Dean of Research will acknowledge allegations in writing to the charging party.
In an attempt for informal resolution, the Dean of Research shall seek a confidential meeting with the accuser to determine to his/her satisfaction that the matter falls within the purview of this policy. Care will be taken to distinguish between deliberate efforts to deceive and honest error or differences in interpretation of data. Consideration will also be given to variations in the conduct of research which may reflect incompetent or poorly conducted efforts rather than a deliberate deviation from accepted standards in the discipline.
If it is determined an inquiry is necessary, the Dean of Research will appoint a three-member misconduct in research committee. The Committee of Inquiry will be comprised of faculty or staff who, in the judgment of the Dean of Research, have the appropriate seniority and knowledge to assess the alleged misconduct and who do not have a conflict of interest which would interfere with an objective review. The Dean of Research will notify, in confidence: the Vice President of Academic Affairs, the appropriate college dean, department chair, division or center director, and the accused researcher of this action.
(1) An inquiry must be completed within 60 calendar days of its initiation unless circumstances clearly warrant a longer period. A written report shall be prepared that states what evidence was reviewed, summarizes relevant interviews, and includes the conclusions of the inquiry. The individual(s) against whom the allegation was made shall be given a copy of the report of the inquiry. If they choose to comment on the report, their comments will be made a part of the record. If the inquiry takes longer than 60 days to complete, the record of inquiry shall include documentation of the reasons for exceeding the 60-day period.
(2) The privacy of those who in good faith have reported apparent misconduct will be protected to the maximum extent possible.
(3) The affected individual(s) will receive confidential treatment to the maximum extent possible. They will also be entitled to a prompt and thorough inquiry with an opportunity to comment on the allegations and findings of the inquiry.
(4) Although the inquiry may judge that an investigation is not required, the University shall maintain sufficiently detailed documentation of the inquiry to permit a later assessment of the reasons for determining that the investigation was unwarranted. Such records shall be kept in a secure manner by the Dean of Research for a period of at least three years after the termination of the inquiry.
(5) Termination of an inquiry will occur if, during the inquiry, evidence is provided that clears the accused of any wrongdoing. If federal funds are involved, the University will report the planned termination to ORI with the reasons for such termination.
(6) If it is decided false and malicious accusations have been made, the incident will be dealt with according to University policies and procedures.
c. The Investigation
If a majority of the Committee of Inquiry concludes a formal investigation is necessary, the Dean of Research will expand the committee to include at least two members with expertise in the discipline of the accused individual and at least one member familiar with the discipline but not in the college of the accused. This member may be external to the University community. Precautions will be taken to prevent real or apparent conflicts of interest on the part of those involved in the investigation.
(1) An investigation will begin 30 days of the completion of the inquiry. An investigation should ordinarily be completed within 120 days of its initiation. This includes conducting the investigation, preparing the report of findings, and making the report available for comment by the subject(s) of the investigation.
(2) The investigation will include examination of all documentation, including, but not necessarily limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. Whenever possible, interviews will be conducted with all individuals involved either in making the allegation or against whom the allegation was made, as well as others who may have key information regarding the allegations. Summaries of these interviews will be prepared, provided to the interviewed parties for comment or revision, and included as part of the investigation file. Records of documentation will be prepared and maintained to substantiate the investigation’s findings.
(3) Diligent efforts will be made, as appropriate, to restore the reputations of persons alleged to have engaged in misconduct when allegations are not confirmed. Efforts will also be undertaken to protect the positions and reputations of those persons who, in good faith, made the allegations.
(4) When allegations of misconduct have substantiated, appropriate sanctions will be applied as prescribed by the Idaho State University Faculty/Staff Handbook, Idaho State University Graduate School Bulletin, and the State of Idaho Personnel Rules and Regulations.
(5) If allegations of misconduct in research and scholarship involve the use of federal funds, the appropriate agencies will be informed and federal rules and regulations will apply.