Responsible Conduct in Intellectual and Creative Activity

Preface
Statement of Principles
Statement of Policy on Integrity in Research
University Guidelines in Matters of Misconduct
Procedures for Inquiry and Investigation of Alleged Misconduct
  A. Inquiry
  B. Investigation
  C. Disposition
  D. Appeal
Program to Inform the University Community
Review and Evaluation
Notes


Preface

This revised campus policy on integrity in the conduct of intellectual and creative activity became effective January 13, 1995 and was amended in June 1997 and January 2001. The Policy sets forth principles and guidelines for ethical conduct of intellectual and creative activity, as well as campus procedures for dealing with allegations of misconduct in these activities. Also reflected in this Policy are federal regulations and processes pertaining to misconduct in science and engineering as promulgated by the Department of Health and Human Services (42 CFR 50), the National Science Foundation (45 CFR 689) the Office of Naval Research and the Office of Science and Technology Policy (65 FR 76260). The Policy applies to all members of the University at Buffalo community (administrators, faculty, staff, students and fellows) engaged in scholarly activities, whether or not those activities are supported by external funding sources. It does not apply to academic conduct by students as part of their normal course work; such activities are subject to the Code of Student Conduct. Formulation of this revised Policy benefited from deliberations, consultation and contributions from many individuals at UB, including the Faculty Senate Subcommittee on Research and Creative Activity, the Faculty Senate Executive Committee, the full Faculty Senate, the Council of Deans, the Provost and the Vice Presidents. Questions regarding this Policy may be referred to the Office of the Vice President for Research, University at Buffalo, 516 Capen Hall Buffalo, New York 14260-1611 (716/645-3321).


I. Statement Of Principles Of Appropriate Conduct Of Intellectual And Creative Activity

The University at Buffalo as a community and as a public institution of higher learning is committed to promoting the highest quality scholarly activity including research, intellectual and creative activity. In exercising this commitment, the University requires adherence to the highest ethical standards by faculty, administrators, students, staff, and fellows. Professional integrity in the conduct of scholarly activity by all members of the University community is crucial for the functioning of the University.

The University supports established principles and conventions designed to protect the integrity of scholarly activities and expects its members to adhere to the code of ethics that govern professional conduct in their disciplines.

Each member of the University bears responsibility for the integrity of the scholarly activity in which he or she is engaged. Each individual also has the responsibility to promote the highest ethical standards within his or her profession. In collaborative scholarly activity, each principal investigator, author or creator bears added responsibility for the integrity of the activity as a whole and in its parts.

As a guide to those engaged in scholarly activity, and other interested parties, the University at Buffalo has adopted the following principles of ethical conduct which incorporate and expand upon those developed by the Society of Sigma Xi, the honorary research society of North America . This list does not purport to be all-inclusive.

  • Honesty and integrity in research hold the highest priority.
  • Only honest data are used.
  • No data are taken from other sources without proper and clear attribution of source.
  • Fabrication, falsification and plagiarism of data are violations of research integrity.
  • Data are obtained by processes that comply with State and Federal requirements affecting specific rules of research conduct.
  • All persons named as authors should concur and should have made a definable major contribution to the work reported. Minor contributions should be explicitly acknowledged in the work. Co-authorship should not be conferred or accepted solely as an honor or a reward for providing resources.
  • All authors of a manuscript prepared for publication must have confidence in the integrity of the data and should be prepared to take responsibility for the resultant paper's contents in precisely the same measure as they stand to take credit.
  • After analysis and publication of research results, data are willingly shared with others.
  • The data gathering process or data sources are clearly described or made available, allowing independent replication or source verification.
  • In these principles, 'Data' is used throughout in an inclusive sense, extending to arguments, bibliographies, and phraseology.

II. STATEMENT OF POLICY ON INTEGRITY IN RESEARCH

For the purposes of this policy:

Research Misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

  • Fabrication is making up data or results and recording or reporting them.
  • Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record .
  • Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
  • Research Misconduct does not include honest error or differences of opinion.

A finding of research misconduct requires that:

  • There be a significant departure from accepted practices of the relevant scientific community.
  • The misconduct be committed intentionally, or knowingly, or recklessly; and
  • The allegation be proven by a preponderance of evidence.

Consistent with the above principles of ethical conduct and federal regulations, the University at Buffalo assumes responsibility for preventing, detecting, and dealing with misconduct involving research, research training, applications for support of research or research training, or related research or scholarly activities. This policy applies to all members of the University community (administrators, faculty, students , staff, and fellows) engaged in scholarly activities, whether or not they are supported by external funding.

Each unit or discipline within the University is encouraged to assist its members to understand the meaning and application of misconduct within the context of the commonly accepted practices of the scholarly community which encompasses that unit or discipline.

III. UNIVERSITY GUIDELINES IN MATTERS OF MISCONDUCT


In the conduct of inquiries and investigations that may follow allegations of misconduct, the University will adhere to federal regulations, focus on the substance of the issues, and be guided by the following imperatives:

  • The University will provide leadership in the pursuit and resolution of all allegations.
  • The privacy of those who, in good faith, report apparent misconduct will be protected to the maximum extent possible. The University and the scholarly community consider it a professional obligation that breaches of ethical principles be reported.
  • Confidential consultation with faculty members and other appropriate individuals, including impartial individuals with expertise necessary to render thorough and authoritative evaluation, will be utilized throughout all stages of inquiry and investigation.
  • Procedures must preserve the highest attainable degree of confidentiality compatible with an effective and efficient resolution.
  • All parties will be treated with attention to due process, and with sensitivity to reputations and vulnerabilities.
  • The integrity of the process must be maintained by avoidance of real or apparent conflict of interest.
  • All pertinent facts uncovered by inquiry or investigation must be documented.
  • All materials related to an inquiry or an investigation such as facts, data, evidence, transcripts of meetings and interviews, etc., shall be secured as needed by the University and shall be stored for a period of at least three years after the termination of the inquiry or investigation, or longer as required by regulation.
  • All parties to the case shall have the opportunity to present evidence, to call witnesses, and to examine or cross-examine them.
  • The Vice President for Research (VPR) will take interim appropriate administrative action required to protect the health and safety of research subjects or patients, to protect the interests of students and colleagues, to preserve evidence, or to protect resources.
  • All parties will speak for themselves, but may be accompanied by and advised by counsel.
  • The University will pursue diligently all significant issues and carry the inquiry through to completion. If the inquiry or investigation is to be terminated before completion, or without completing all requirements of applicable federal regulations, a report explaining the reasons for the planned termination shall be submitted by the Vice President for Research to the Provost and, if external funds are involved, to the appropriate public or private agencies.
  • Should the circumstances concerning an allegation change substantially during the inquiry or investigation (i.e. should the complainant withdraw the allegation, the respondent acknowledge misconduct or leave the University, etc.) the Vice President for Research will continue the inquiry or investigation to its conclusion.
  • After resolving allegations of misconduct, the University will meet its responsibilities by communicating to all involved individuals, the University community, the public, the sponsors of research, editors of publications in which false or misleading information results have been reported, and the academic community.

IV. PROCEDURES FOR INQUIRY AND INVESTIGATION OF ALLEGED MISCONDUCT

A. Inquiry

"Inquiry" means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.

The purpose of an inquiry is to determine as expeditiously as possible, if an allegation warrants a formal investigation. The inquiry should be conducted so as to protect the confidentiality of the respondent(s) and of the complainant(s), and to allow for possible reconciliation. If a formal investigation is not warranted, the complainant(s) and respondent(s) will be advised accordingly. At any stage of the inquiry or investigation involving federally funded programs, the Vice President for Research must notify the appropriate federal office if any of the following conditions exist:

  • Public health or safety is at risk;
  • Agency resources or interests are threatened;
  • Research activities should be suspended;
  • There is reasonable indication of possible violations of civil or criminal law;
  • Federal action is required to protect the interests of those involved in the  investigation;
  • The university believes the inquiry or investigation may be made public prematurely  so that appropriate steps can be taken to safeguard evidence and protect the rights  of those involved; or
  • The research community or public should be informed.

At the University at Buffalo, inquiries into allegations of misconduct shall proceed as follows:

  1. Allegations of misconduct should be made in writing to the Vice President for Research (VPR) by any concerned person(s) [hereinafter referred to as complainant(s)]. Written allegations should bear the name and signature of the person(s) making the allegation(s). Unattributed allegations will be evaluated, but the process functions most effectively when complainants identify themselves. The allegation should identify the person or persons claimed to have committed the misconduct and should identify the nature of the misconduct, indicating the character and circumstances of the alleged misconduct. The allegation should indicate when and in what manner the misconduct occurred or continues to occur and should indicate, if possible, the character, location and availability of evidence of the alleged misconduct.
  2. Upon receipt of an allegation, the VPR, with the assistance of appropriate, impartial experts, as necessary, will initiate an Inquiry into the allegation(s) within ten (10) days or as soon as possible consistent with the need to assemble appropriate expertise and secure potential evidence.
  3. In cases where the VPR has a conflict of interest, or the appearance of a conflict of interest, the allegation(s) will be referred by the VPR to an administrator designated by the Provost. The Provost's designee will then act in the place of the VPR under this policy until resolution of the allegation(s).
  4. The respondent(s) shall be notified in writing by the VPR within ten (10) days of receipt of the allegation or as soon as possible consistent with the need to assemble appropriate expertise and secure potential evidence that a complaint has been lodged and that an Inquiry has been initiated. The respondent must be informed of the nature of the allegation and the procedures to be followed. The VPR shall invite the respondent(s) to make a written response to the allegation(s) and to comment during the course of the Inquiry. Those comments will be included in the final Inquiry Report.
  5. Information, expert opinions, records, and other pertinent data shall be secured by the VPR.
  6. The respondent(s) and all involved individuals are expected to cooperate by timely response to requests for documents and/or information.
  7. In confidential consultation with cognizant deans, faculty, and other appropriate members of the University community, the VPR shall attempt to complete the Inquiry and submit a written report of the outcome, the Inquiry Report, to the Provost and the respondent(s) within sixty (60) days from the date of written notification to the respondent(s) that an Inquiry has been initiated. If this deadline cannot be met, a request from the Vice President for Research for extension and a report of progress to date, together with the anticipated time frame, shall be filed with the Provost and all involved individuals shall be informed. If the Inquiry cannot be completed within ninety (90) days, the record of the Inquiry shall include documentation of the reasons for exceeding ninety (90) days.
  8. Included in the Inquiry Report must be at least:
    • a statement of the original allegation;
    • a statement of how the inquiry was conducted;
    • a summary of the findings and the basis for the determination as to whether the charges warrant an investigation;
    • recommendation(s) for action by the Provost.
  9. The VPR shall maintain sufficiently detailed documentation to permit later reassessment of any reasons for determining that an Investigation was not warranted. Such records shall be maintained in a secure manner for at least three (3) years after the end of the Inquiry or longer as required by regulation.
  10. The Provost shall determine on the basis of the Inquiry Report, and any other consultation deemed necessary, whether the allegations warrant a formal investigation. In either case, the basis for the decision will be fully documented. The Provost shall communicate the findings of the inquiry to the respondent(s).
  11. If the Provost decides that an investigation is not warranted, the Provost shall notify all concerned. Every effort will be made to clear individuals of unsupported allegations, restore any damaged reputations, and protect the reputation and position of those who, in good faith, made allegations. The Provost may also examine the propriety of the initial charge and take further action, if appropriate. In cases where reasonable evidence suggests that the complainant acted irresponsibly or dishonestly in this process such that false allegations were knowingly made against the respondent, the complainant may be subject to a charge of misconduct.
  12. Whatever the outcome of the Inquiry, the respondent(s) shall be afforded the opportunity to comment, in writing, on any allegations, findings of the Inquiry and the determination of the Provost regarding the need for an Investigation within fifteen (15) days of receiving the report of the Inquiry from the Provost.
  13. If the decision of the Provost is that an Investigation is warranted, it shall be undertaken within thirty (30) days of the completion of the Inquiry. Records of the Inquiry will be used during any subsequent investigation and, when federal funding is involved, will be made available, upon request, to authorized federal personnel as appropriate.
  14. If the decision of the Provost is that an Investigation is not warranted, complete documentation of the Inquiry will be retained by the VPR for at least three years after termination of the Inquiry. During this three-year period documentation of the Inquiry will be made available, upon request, to authorized federal personnel as appropriate5.

B. Investigation

"Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred; or, if misconduct has already been confirmed, to assess its extent and consequences and determine appropriate action. Investigations should specifically address the materiality or significance of the misconduct, identify evidence that shows the respondent had a deliberate intent, and explain why the conduct constitutes a serious deviation from accepted practices under institutional or general scientific standards.

If the allegation is determined to warrant an Investigation and federal funds are involved, the VPR  shall notify the appropriate federal officials within 24 hours in accordance with applicable federal  regulations5. The VPR, in confidential consultation with the Advisory Panel for Responsible Conduct, will  appoint an Ad Hoc Committee to conduct the Investigation. The VPR will also designate the  chair of the Committee. The Committee will be composed of at least three impartial members  with appropriate expertise to evaluate the allegations. Whenever possible, and consistent with the  needs of the investigation, Committee members will be drawn from the faculty at UB. The  complainant(s) and respondent(s) will be informed of the Committee's composition and given an  opportunity to comment on its membership.

At the University at Buffalo, investigations into allegations of misconduct will proceed as follows:

  1. The Vice President for Research shall immediately proceed to collect and secure all materials necessary for the investigation (if this has not already been done).
  2. All parties to the investigation are expected to cooperate in timely fashion by producing all materials or data requested by the Vice President for Research or by the Committee for the investigation.
  3. All respondent(s) shall have an opportunity to address, in writing, any new charges or evidence. All collaborator(s) in the research under investigation shall also have an opportunity to comment in writing.
  4. During the investigation, appropriate transcripts will be maintained.
  5. When federal funds are involved, the VPR shall keep the cognizant federal officials apprised of any developments, and make all documentation available to the cognizant federal agencies5.
  6. The Committee will submit a written report of its findings and conclusions to the Vice President for Research. This report will be included in the report of the investigation.
  7. The Vice President for Research shall submit a written report of the results of the investigation to the Provost. Included in this report shall be:
    • a statement of the allegation;
    • a description of the investigative procedures followed;
    • a statement of from whom (if known) and how information was obtained;
    • a presentation of the evidence, or the lack of evidence, of misconduct; (At the University at Buffalo, the standard of proof to be applied in misconduct investigations shall be the same as that used by the Public Health Service and the National Science Foundation, i.e., "a preponderance of evidence." In applying this standard, the University will place emphasis on confirmatory evidence. This may include forensic analysis of relevant documents, expert statistical analysis demonstrating that the research was not done as reported, and documentary evidence from sources other than the questioned research records demonstrating that the reported research data are false or fabricated. The presumption of innocence applies.)
    • a statement of the findings;
    • an assessment of the seriousness and extent of misconduct found, if any;
    • the recommendation by the Vice President for Research regarding the disposition of the allegation.
  8. The Vice President for Research shall endeavor to ensure that the investigation is completed within sixty (60) days of its initiation, including preparation of the report, elicitation of comments from the subject(s) of the investigation, determination of the final disposition of the case, and submission of the final report to the Provost.
  9. If the investigation cannot be completed within one hundred and twenty (120) days of its initiation, a request from the Vice President for Research for extension and a report of progress to date, together with the anticipated time frame, shall be filed with the Provost, and with all involved individuals. When federal funds are involved, the Provost shall submit a written request for extension to the appropriate federal officials, explaining the delay, providing a progress report, and estimating the date of report completion. If the request is granted, the Provost will submit periodic progress reports to the appropriate federal agencies, in compliance with applicable federal statutes.
  10. The respondent(s) will receive a copy of the Investigation Report from the Vice President for Research. The respondent(s) will have fifteen (15) days to respond in writing to the report, by submission to the VPR. The VPR will have fifteen (15) days after receipt of the response to forward copies of the report of the investigation and the respondent's comments to the Provost.
  11. The Vice President for Research may be required to make the materials of both the inquiry and investigation available to a sponsoring agency and may need to inform a sponsoring agency immediately if there is an immediate health hazard, or need to protect Federal funds or equipment, or to protect the interests of persons making allegations or the individual subject to the allegations.

C. Disposition

The Provost shall:

  1. Make a final determination as to whether misconduct has occurred.
  2. Inform the respondent and all other interested parties accordingly.
  3. Submit to the President the final report of the investigation, including any written addenda, and any recommendations for further action.
  4. In the case of unsubstantiated charges, oversee diligent efforts to restore any and all damaged reputations, and to protect the reputations and positions of individual(s) who, in good faith, made allegations of misconduct. As noted above, in cases where reasonable evidence suggests that the complainant acted irresponsibly, or dishonestly, the complainant may be subject to a charge of misconduct.
  5. In the case of a determination that misconduct has occurred, the Provost or appropriate Vice President shall, at the direction of the President:
    • Institute disciplinary proceedings against the individual(s) against whom charges have been substantiated. Article 19 of the UUP Agreement shall be the sole source of University discipline for members of the UUP-represented unit. Disciplinary sanctions may include termination or alteration of the employment or academic status of persons against whom charges have been substantiated, and must be consistent with established University and Board of Trustees policies, and applicable collective bargaining agreements;
    • Transmit the conclusions of the Investigation to the Research Foundation and/or the University at Buffalo Foundation and/or the editors of all journals or books in which research results of the indicted project(s) have been published or are under consideration for publication, to all funding sources related to the research, and to the University community, as appropriate. In cases in which the person found to have committed misconduct has been affiliated with other institutions (during the process of production of material that is part of a finding of misconduct), those other institutions shall be notified of the misconduct.
  6. When Federal funds are involved, forward to the appropriate agency a copy of the evidentiary record, the investigative report, recommendations made to the Provost, and the respondent's written response to the recommendations (if any). When the adjudication phase is complete, the Provost will forward his/her decision and notify the agency of any corrective actions taken or planned.5
  7. Upon completion of disciplinary proceedings, the Provost or appropriate Vice President shall report to the appropriate University officers or bodies, and, when federal funds are involved, to cognizant federal agencies and to all other parties as necessary.

D. Appeal

The Provost is the final adjudicator of all allegations of misconduct in scholarly activity subject only to appeal to the President on procedural grounds.

Within fourteen (14) days of receipt of written notification of the Provost's determination, the respondent may appeal to the President on the sole question of whether the procedures prescribed in this document have been followed. The appeal must be filed in writing and must specify the nature of the procedural error. The President shall issue a decision within thirty (30) days, either affirming or vacating the Provost's determination in whole or in part, based on whether the investigative procedures described above were fully and fairly followed.

If federal funds are involved, the VPR will inform the cognizant federal agencies if the Investigation has been reopened. The President will convey the written decision on appeal to the Provost, all principal parties, and to the appropriate federal agencies.


V. PROGRAM TO INFORM THE UNIVERSITY COMMUNITY

One of the best means to avoid issues of misconduct is to educate all members of the University community in responsible conduct in scholarly activity. It is essential that all persons subject to this policy be informed of its contents. Therefore, the Vice President for Research will ensure that all unit heads receive a copy of this policy with instructions that the unit make copies available to all its members (faculty, administrators, students, staff, and fellows). Each unit shall make its members aware of the Policy on Responsible Conduct in Intellectual and Creative Activity on a yearly basis and provide a copy of the Policy to every new member as soon as possible after the start of their association with the unit. The Vice President for Research shall determine whether there are any members of the University who would not be covered by such a distribution procedure and ensure that those individuals also receive a copy of the Policy. Any failure of this distribution process should not be construed as relieving any individual members of the University of obligations under this Policy for ethical conduct.

Where federally sponsored research requires a course in ethics, the unit or department will make known to its faculty, administrators, staff, students and fellows the availability of such courses.


VI. REVIEW AND EVALUATION

This Policy shall be periodically reviewed by the University to determine whether it is working as intended and whether any modifications should be made. This review and the evaluation and any changes in the Policy should be made available to the University community every three (3) years, unless circumstances warrant a review in a shorter period of time.


Notes

1 Jackson, C.I. and J.W. Prados, American Scientist, Sept./Oct., 1983. 2 Research, as used herein, includes all basic, applied, and demonstration research in all fields of science, engineering, and mathematics. This includes, but is not limited to, research in economics, education, linguistics, medicine, psychology, social sciences, statistics, and research involving human subjects or animals. 3 The research record is the record of data or results that embody the facts resulting from scientific inquiry, and includes, but is not limited to, research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, and journal articles. 4 This policy does not apply to academic misconduct by students as part of their normal course work. Such actions are subject to the Code of Student Conduct. 5 When research is sponsored by the Public Health Service, reports, notifications and requests will be made to the Office of Research Integrity (ORI), Department of Health and Human Services. When research is sponsored by the National Science Foundation (NSF), reports, notifications and requests will be made to the Office of the Inspector General (OIG) at NSF. When research is sponsored by the Office of Naval Research (ONR), reports, notifications and requests will be made to the ONR Inspector General; the Vice President for Research will immediately notify the ONR Inspector General of UB's intention to initiate an Inquiry or Investigation. 6 All time periods refer to calendar days 7 In cases of research sponsored by the Public Health Service, access to Inquiry documentation will be provided to authorized personnel of the Department of Health and Human Services upon request. 8 The Advisory Panel for Responsible Conduct (hereinafter referred to as the Panel) serves in an advisory capacity to the Vice President for Research on allegations of misconduct. The Panel consists of one faculty member from each decanal unit, one member from the University Libraries, one member nominated by the chair of the Faculty Senate, and the VPR who also serves as Chair of the Panel. Each Dean will present to the Provost a nomination for one member of the Panel. The library representative will be nominated by the Senior Vice President for University Services. Normally, the Provost will appoint each member for a term of three years.