University of Massachusetts Dartmouth
POLICY ON MISCONDUCT IN RESEARCH
I. INTRODUCTION
The reputation of the University of Massachusetts Dartmouth rests, in part,
on its faculty's, staff's and students' dedication to objective inquiry and
their uncompromising pursuit of truth. Integrity in the conduct of research
is essential, and must be scrupulously and vigorously maintained. Any breach
of this integrity, no matter how small, tarnishes the University's reputation
and the credibility of all its faculty, staff and students, and hinders the
pursuit of new knowledge. The University of Massachusetts Dartmouth herby
reaffirms its commitment to research integrity.
Though there has been no known breach of integrity in research by any member
of the faculty or staff of the University,it is necessary to comply with
federal regulations [42 CFR Part 50, Subpart A, (1989)] and adopt policies
and procedures which ensure a fair and thorough investigation of any
assertion of research misconduct by a member of the UMD faculty or staff.
Pursuant to these federal regulations the University hereby adopts the
following policies and procedures which will apply to all faculty research.
"Misconduct" or "Misconduct in Science", as used herein, is defined
as the
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 or honest differences in interpretations or judgments of data.
II. ALLEGATIONS OF MISCONDUCT
A. Initial charges of misconduct shall be brought to the Dean of
the College to which the accused party belongs. Should there
be allegations involving staff in more than one college, then
the Deans of the colleges involved will coordinate their
actions. Should the Dean(s) believe they have, or may be
perceived as having, a conflict of interest in the outcome of
the inquiry, the Vice President for Academic Affairs shall
assign the initial inquiry to another academic officer. Should
the accused not be a member of any college, then the initial
charge shall be brought to the Vice Chancellor of the Division
to which the accused belongs.
B. Allegations shall be submitted in writing and signed, and shall
contain sufficient information to define clearly the alleged
misconduct.
C. The confidentiality of those who in good faith report apparent
misconduct will be protected to the greatest extent possible.
III. INQUIRY
A. After consultation with the Associate Vice Chancellor for
Research, the Dean(s) shall conduct a preliminary inquiry
(which shall include formal consultation with the accused) into
the circumstances of the allegations and determine whether
there are sufficient grounds to indicate that these have
validity. The Dean(s) shall attempt to complete this initial
inquiry within 30 days and shall make every effort to protect
the confidentiality of the accused and the accuser.
B. If the Dean(s) find sufficient evidence to suggest that the
allegations may be true, the Dean(s) will inform in writing the
accused, accuser, and President that this allegation merits an
investigation.
IV. INVESTIGATION
A. The Chancellor, upon receiving written notification from the
Dean(s) of an allegation of misconduct for which an inquiry has
determined to have merit, shall appoint a committee to
investigate the allegations.
1. This committee shall consist of four (4) tenured faculty,
at least two (2) of whom shall be nominated by the
President of the Faculty Federation.
2. The faculty appointed should have experience in research,
though sufficiently removed from the accused to avoid
the appearance of any conflict of interest in the
outcome of the investigation.
B. At the time of appointment of the committee, the President
shall:
1. Inform in writing the individual(s) about whom
allegations have been made and;
2. Provide the accused with a statement of the allegations.
This statement shall include information on the nature
of the allegations, name(s) of the accuser(s), and the
focus of the investigation.
3. Advise those being investigated of the opportunity to
defend their conduct and provide comments and other
relevant information to the committee.
4. Notify those being investigated of their right to be
represented by an attorney in preparing and/or giving
their response to this and all subsequent phases of the
investigation.
5. Notify the agency sponsoring the research, if such
action is required by the agency.
C. The investigative committee shall conduct a formal examination
and evaluation of all relevant facts to determine if the
allegations of misconduct are valid. The investigative
committee shall have available the University's legal counsel
for guidance on procedures and other matters pertaining to the
investigation. The committee may call witnesses, examine the
research data (both published and unpublished), and seek expert
counsel both inside and outside the University to aid in the
scientific audit.
1. Every effort shall be taken to conclude the
investigation within one hundred twenty (120) days.
2. All parties shall strive to maintain confidentiality of
information provided the committee.
3. The committee may recommend interim administrative
actions appropriate to the allegations, prior to the
completion of the investigation, if such actions are
necessary to protect the data being investigated or to
prevent inappropriate use of funds.
4. Upon completion of the investigation, the committee
shall submit its findings and recommendations in writing
to the President and the individual(s) accused of
misconduct.
5. The determination that misconduct has occurred requires
an affirmative vote by at least a majority [three (3)]
of the committee.
V. FINDINGS
A. If the investigative committee fails to confirm the alleged
misconduct, all participants in the investigation, the
Associate Vice President for Research, and Dean(s) shall be so
informed by the President. Every effort shall be taken to
minimize any adverse circumstances resulting from the
unsubstantiated allegation.
B. If the investigative committee finds that unfounded charges may
have been brought with malicious or dishonest intent, the
committee may recommend those bringing such allegations be
subject to appropriate administrative action.
C. If the committee finds the allegations are substantiated and
that misconduct has occurred it shall recommend:
1. Disciplinary procedures, consistent with the prevailing
agreement between the Massachusetts Board of Regents of
Higher Education and the American Federation of Teachers,
Local 1895, AFL-CIO, Faculty Federation at the
University of Massachusetts Dartmouth, will be taken
against those faculty and other professionals covered
under this agreement who are found to be directly
involved in the misconduct. If other bargaining unit
personnel, not covered under the above agreement, are
involved, then the terms of the prevailing agreement
between the Massachusetts Board of Regents of Higher
Education and the bargaining unit to which the employee
belongs will prevail. Any employee, not a member of a
bargaining unit, found to be directly involved in
misconduct, shall be disciplined in a manner to be
determined by the President of the University, or the
Board of Trustees.
2. The agency sponsoring the research shall be informed of
the findings of the investigation.
3. Publishers and editors of journals shall be informed if
manuscripts emanating from research identified as being
subject to misconduct have been submitted or published.
Adopted by the Faculty Senate, March 6, 1990 as amended
Adopted by the University Research Committee, February 16, 1990
