Chapter 5: Research
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Violations of Integrity in Scholarship and Research: Scientific Misconduct
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A. Definitions
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B. Allegations
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C. Inquiry
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E. Resolution
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F. Appeal
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1. THE UNIVERSITY'S FORMAL RESEARCH PROGRAM
Research is essential to the continuing vitality of a large-scale institutional program. All of Auburn's academic colleges, schools and departments are engaged in research. The University's research program is coordinated through the Office of Associate Provost and Vice President for Research.
2. UNIVERSITY POLICIES RELATED TO RESEARCH
A. RESEARCH INVOLVING HUMAN SUBJECTS
Auburn University established the Institutional Review Board for the Use of Human Subjects in Research (IRB) to evaluate research for compliance with guidelines and regulations established by the U.S. Department of Health and Human Services and the U.S. Food and Drug Administration. All research in which human subjects are used, whether by faculty, staff, or students, must be approved in advance by the IRB, no matter the source of funding, lack of funding, or any other consideration. All modifications to approved human subject protocols must be submitted to and approved by the IRB in advance of implementation. Information may be obtained from the Office of Associate Provost and Vice President for Research. Many departments or academic units have in place a procedure for screening or review of proposals before they are sent to the University IRB.
B. ACTIVITIES INVOLVING ANIMAL SUBJECTS
Auburn University established the Institutional Animal Care and Use Committee (IACUC) to assure compliance with policies of the U.S. Department of Health and Human Services and all other federal, state and local regulations concerning care, treatment and use of animals in research, teaching, production, and demonstration activities. All such activities, whether by faculty, staff, or students and whether funded or unfunded, must be approved in advance by the committee. All modifications to approved animal subject protocols must be submitted to and approved by the IACUC in advance of implementation. Information may be obtained from the Office of Associate Provost and Vice President for Research.
3. VIOLATIONS OF INTEGRITY IN SCHOLARSHIP AND RESEARCH:
SCIENTIFIC MISCONDUCT
The University's policy on Scientific Misconduct was developed to effect compliance with the requirements of the Public Health Service Final Rule on "Responsibilities of Awardee and Applicant Institutions for Dealing With and Reporting Possible Misconduct in Science" (42 CFR Part 50). Allegations of scientific misconduct made against any faculty, staff, or student of the University involved in research or research training, application for support of research or research training, or related research activities shall be handled according to the policies and procedures included in Auburn's policy statement on Scientific Misconduct, quoted below from the Board of Trustees Policies Manual, pp. C-10-16.
Misconduct in research, herein defined as scientific misconduct, is inappropriate behavior. Allegations of scientific misconduct made against individuals involved in research, or research training, applications for support of research or research training, or related research activities that are supported with funds made available under the Public Health Service Act will be handled according to the policies and procedures included herein.
A. "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 or honest differences in interpretations or judgments of data.
B. "Inquiry" means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.
C. "Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred.
Initial allegations should be reported to the Dean(s) of the college(s) or school(s) in which the alleged misconduct occurred. The Dean(s) must immediately report such allegations to the Associate Provost and Vice President for Research. If the Associate Provost and Vice President for Research has a possible conflict of interest, the allegations shall be referred to the Provost. In the event of such conflict, "Provost" shall be substituted for "Associate Provost and Vice President for Research" hereinafter.
The Associate Provost and Vice President for Research shall informally review any allegation of scientific misconduct, confer with the appropriate Dean(s) and University administrators, and determine whether the allegation warrants initiation of the inquiry process. The Associate Provost and Vice President for Research shall discuss with the person making the allegations (hereafter referred to as the complainant(s)) the University's scientific misconduct policies and procedures. If the complainant(s) chooses to make a formal allegation and the Associate Provost and Vice President for Research determines that the allegation warrants initiation of the inquiry process, the inquiry shall be initiated immediately.
The University shall pursue an allegation of misconduct to the extent it is reasonably capable of doing so, even if the individual(s) against whom the allegation is made (hereafter referred to as the respondent(s)) has left the University before the case is resolved.
An inquiry is designed to separate allegations deserving further investigation from frivolous, unjustified, or clearly mistaken allegations. Factual information is gathered and expeditiously reviewed to determine if an investigation of the charge is warranted.
The Associate Provost and Vice President for Research shall appoint an Inquiry Committee of no less than three persons. The Committee shall consist of senior tenured faculty who are without conflict of interest, hold no appointment in the department(s) of either the complainant(s) or the respondent(s), and have appropriate expertise for evaluating the information relevant to the case. In the event of conflict of interest or need to acquire appropriate expertise, the Associate Provost and Vice President for Research may go outside the University to select one or more Committee members. Every effort must be made to appoint a Committee of Inquiry within 15 days, but the Committee must be appointed within 30 days from the receipt of the allegation.
The inquiry phase, including preparation of the written Report of Inquiry, shall be completed within 60 calendar days of its initiation unless circumstances clearly warrant a longer period. In such circumstances, the Committee shall advise the Associate Provost and Vice President for Research who shall notify all relevant parties. The Report of Inquiry shall include documentation for justifying an extension of the 60-day period.
Records and proceedings of the inquiry are confidential and are to be passed on to a Committee of Investigation if an investigation is initiated. In any case, the records should be kept secure, and if no misconduct is found, records should be destroyed three (3) years after completion of an inquiry. Making the records public without authorization is grounds for a charge of misconduct.
The Associate Provost and Vice President for Research is responsible for notifying respondent(s) in writing of the allegations and of the proposed membership of the Committee of Inquiry for the purpose of identifying in advance any real or potential conflict of interest. As the inquiry is informal and intended to be expeditious, principals are expected to speak for themselves. All individuals may have the assistance of legal counsel and shall have the opportunity to present evidence and to call witnesses.
In order to effectively follow through with any allegations of misconduct, the identity of the complainant(s) must be revealed to the Associate Provost and Vice President for Research. Where the complainant seeks anonymity, the Associate Provost and Vice President for Research shall operate in such a way as to maintain that anonymity to the degree compatible with accomplishing the initial reviews. However, such anonymity cannot be assured. Further, anonymity of the complainant is neither desirable nor appropriate where any inquiry is instituted.
All material shall be considered confidential and shared only with those with a need to know. During the inquiry, the Associate Provost and Vice President for Research and members of the Committee are responsible for the security of relevant documents. Copies of all documents and related communications are to be securely maintained in the Office of the Associate Provost and Vice President for Research.
The completion of an inquiry is marked by a determination of whether or not an investigation is warranted. The Committee's recommendation to proceed to an investigation shall be based on demonstrated probable cause for each allegation. The Committee shall prepare a written Report of Inquiry that states what evidence was reviewed, summarizes relevant interviews and includes the findings and recommendations of the inquiry. The Report of Inquiry shall be submitted to the Associate Provost and Vice President for Research who shall be responsible for notifying the respondent(s) and complainant(s) of the outcome within ten working days.
The respondent(s) shall be given a copy of the Report of Inquiry and the opportunity to comment in writing upon the findings and the recommendations. If the respondent(s) chooses to comment, such comments shall be forwarded as soon as possible, but must be forwarded within ten working days. The respondents' comments shall be made a part of the record.
If the outcome of the inquiry indicates a need for formal investigation, the Associate Provost and Vice President for Research, after notification to the appropriate Dean(s) and University administrators, shall initiate the investigatory process. Under certain circumstances, as defined by federal regulations, the institution may be expected to notify federal agencies, sponsors, or other entities at a point prior to the initiation of an investigation. Factors used in determining the timing of such notification include the following: (1) there is an immediate health hazard involved; (2) there is an immediate need to protect Federal funds or equipment; (3) there is an immediate need to protect the interests of the complainant(s) or of the respondent(s) as well as his/her co-investigators and associates, if any; (4) it is probable that the alleged incident is going to be reported publicly; or (5) there is a reasonable indication of possible criminal violation.
If an allegation is found to be unsupported, but has been submitted in good faith, no further action, other than informing all involved parties, shall be taken. The proceedings of an inquiry, including the identity of the respondent(s), shall be held in strict confidence to protect the parties involved. If confidentiality is breached by the University, the University shall take reasonable steps as are requested to minimize the damage to reputations that may result from unsupported allegations. If the Associate Provost and Vice President for Research finds the allegations to be unfounded and malicious, appropriate University procedures may be invoked to address possible actions to be taken against the complainant(s).
The purpose of an investigation is to determine whether scientific misconduct has been committed. The investigation shall focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the course of an investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent(s) shall be informed in writing when significant new directions of investigations are undertaken.
The Associate Provost and Vice President for Research shall appoint an Investigating Committee of no less than three persons. The Committee shall consist of senior tenured faculty who are without conflict of interest, hold no appointment in the departments of either the complainant(s) or the respondent(s), and have appropriate expertise for evaluating the information relevant to the case. In the event of conflict of interest or need to acquire appropriate expertise, the Associate Provost and Vice President for Research may go outside the University to select one or more Committee members. Every effort shall be made following the determination that an investigation is warranted to appoint an Investigating Committee within 15 days, but the Committee must be appointed within 30 days. The Investigating Committee may or may not consist of the same members as the Inquiry Committee.
Every effort should be made to complete the investigation within 120 days of its initiation; however, it is acknowledged that some cases may render this time period difficult to meet. In such cases, the Investigating Committee should compile a progress report, identify reasons for the delay and notify the Associate Provost and Vice President for Research of the additional time necessary for the investigation. The Associate Provost and Vice President for Research shall convey to all relevant parties such information as may be required.
The Associate Provost and Vice President for Research is responsible for notifying all parties in writing of the allegations and of the procedures that shall be used to examine the allegations. Further, they shall be informed of the proposed membership of the Committee of Investigation for the purpose of identifying in advance any real or potential conflict of interest.
All parties to the case may be represented by legal counsel, may present evidence, and may call and examine witnesses. The investigation normally shall include examination of all documentation, including, but not necessarily limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The Committee shall attempt to interview all individuals involved either in making the allegation or against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegations. Summaries of these interviews shall be provided to the interviewed party for comment or revision and included as part of the investigatory file. The Committee may request the involvement of outside experts. The investigation must be sufficiently thorough to permit the Committee to reach a decision about the validity of the allegation(s) and the scope of the wrong doing or to be sure that further investigation is not likely to alter an inconclusive result. In addition to making a judgment on the veracity of the charges, the Committee may recommend to the Associate Provost and Vice President for Research appropriate sanctions.
As the University is interested in protecting the health and safety of research subjects, students and staff, interim administrative action prior to conclusion of either the inquiry or the investigation may be warranted. Such action ranging from slight restrictions to complete suspension of the respondent(s) and notification of external sponsors, when required by federal regulations, is initiated by the Associate Provost and Vice President for Research.
All parties in the investigation are encouraged to cooperate by producing any additional data requested for the investigation. Copies of all materials secured by the Committee shall be provided to the respondent(s) and may be provided to other concerned parties as judged appropriate by the Committee. The respondent(s) shall have an opportunity to address the charges and evidence in detail.
After all evidence has been received, the investigating Committee shall meet to deliberate and prepare its findings and recommendations. The Committee shall find no scientific misconduct unless a majority of the members conclude by clear and convincing evidence based on the record as a whole that the allegation(s) have been substantiated. All significant developments during the investigation as well as the findings and recommendations of the Committee shall be reported by the Associate Provost and Vice President for Research to all federal agencies, sponsors, or other entities with a need to know.
Upon completion of the investigation, the Committee shall submit to the Associate Provost and Vice President for Research a full written report which details the Committee's findings and recommendations. This report shall be sent also to the respondent(s) by the Associate Provost and Vice President for Research within ten days of its receipt. The respondent(s) shall be given the opportunity to comment in writing upon the findings and the recommendations. If the respondent(s) chooses to comment, such comments shall be forwarded as soon as possible, but must be forwarded within ten working days. The respondent's comments shall be made a part of the record.
The Associate Provost and Vice President for Research shall submit the final Report of Investigation to the Public Health Service (PHS). All records of the investigation shall be retained for a period of three (3) years after PHS acceptance of the final Report of Investigation.
In the absence of a finding of scientific misconduct, all parties informed of the investigation shall be informed in writing that allegations of misconduct were not supported. If the allegations were deemed to have been unfounded and maliciously motivated, appropriate actions shall be taken against the complainant. If the allegations were deemed to have been made in good faith, no additional measures are indicated and efforts shall be made to prevent retaliatory actions. In publicizing the findings of no misconduct, the University shall be guided by whether public announcements shall be harmful or beneficial in restoring any reputation(s) that may have been damaged. Usually, such decision shall be made in conjunction with the person(s) who is innocently accused.
When it has been determined that scientific misconduct has occurred, the Associate Provost and Vice President for Research shall consider the recommendations of the Committee and shall be responsible for determining and implementing sanction(s) as appropriate. The respondent(s) shall be notified in writing of the sanction(s) within 20 days. If the sanction(s) involves termination of employment, the University termination procedures shall be invoked. The University must take action appropriate for the seriousness of the misconduct. Sanctions shall not be imposed during the appellate process.
The respondent(s) may appeal the decision of the Associate Provost and Vice President for Research. A written statement of the grounds for the appeal must be submitted to the President within 30 days of written notification of the sanction(s). Appeals shall be restricted to the body of evidence already presented, and the grounds for appeal shall be limited to failure to follow appropriate procedures in the investigation or decisions/recommendations not supported by any reasonable evidence. Upon receipt of a written appeal, the President shall evaluate the evidence and make a determination. The President's decision shall be binding on all parties and shall be conveyed to all involved in a timely fashion.
Although new previously unconsidered material evidence is not grounds for an appeal, the respondent(s) may submit a request to the President to reopen the investigation in the event such evidence becomes available.
4. ESTABLISHMENT OF CENTERS AND INSTITUTES
Faculty members interested in research centers and institutes should be aware of the following policy from the Board of Trustees Policies Manual, pp. C-17-18.
Because of the increasing complexity and interdisciplinary nature of many instructional, research, and extension programs, traditional academic departments may not have sufficient diversity in their faculty or adequate facilities and resources to allow such programs to reach their full potential. Under these circumstances, it will be the policy of Auburn University to establish Centers and Institutes to facilitate the management and development of these programs, providing they also fulfill the following criteria:
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The Center or Institute is consistent with the University's mission and priorities.
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The program represents a well-defined area of instruction, research, or extension involving faculty and resources from more than one discipline, department, college, or school.
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The University has existing strengths and resources in the programs including a critical mass of faculty and a demonstrated commitment on the part of the involved faculty and administration to actively participate in the Center or Institute.
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The Center or Institute will enhance instruction, research, or extension programs in colleges and schools and provide more effective administration of programs.
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Establishment of a Center or Institute will provide the program greater visibility and increased potential for extramural funding.
The difference between Centers and Institutes will be a matter of degree--that is to say, Institutes will be very large programs involving a number of departments, colleges, and/or schools. The Center designation will always be used for interdisciplinary or interdepartmental programs in a single college or school.
B. ADMINISTRATION OF CENTERS AND INSTITUTES
Each Center or Institute will have a Director who is responsible for the day to day administration of the program. Such arrangements may vary from a part-time director who receives release time from other University responsibilities to a full-time director whose primary responsibility is the administration of the Center or Institute.
While all Centers and Institutes will ultimately be the responsibility of either the Provost, the Associate Provost and Vice President for Research, or the Associate Provost and Vice President for Extension, it is essential that the academic deans be directly involved in the administration of Centers and Institutes. This involvement is important because all such programs will have an impact on resource allocations in colleges and schools and will require special attention to the appointment and evaluation of participating faculty. For these reasons, all Centers and Institutes involving more than one college or school shall have an Administrative Board that includes the deans from the participating colleges and schools, as well as appropriate department heads and faculty members. The director of the Center or Institute will report to this Administrative Board which, in turn, will report to the appropriate vice president. When Centers involve interdisciplinary or interdepartmental programs within a single college or school, the director will report to the dean of that college or school.
All Centers and Institutes should undergo external review at least every five years to assess quality and effectiveness of programs.
C. PROCEDURE FOR ESTABLISHING CENTERS AND INSTITUTES
After detailed review and consultation with appropriate faculty and administrators, the Provost, the Associate Provost and Vice President for Research or the Associate Provost and Vice President for Extension may separately or jointly recommend to the President of the University the establishment of a Center or Institute.
When, in the opinion of the President, a program of instruction, research, or extension fulfills the criteria set forth in this Policy Statement, he [or she] may authorize the establishment of such Centers and Institutes. It will be the President's responsibility, at regular intervals, to report to the Board of Trustees, as a matter of information, on the establishment of Centers and Institutes.
Last Updated: July 7, 2011