I. Policy Statement
The University of Puget Sound believes that ethical and honest behavior in scholarship is necessary for the truthful pursuit of knowledge. The University expects all persons engaged in scholarly inquiry, including scientific inquiry, to behave honestly and ethically. The University is committed to addressing allegations of research misconduct and has established the Policy and Procedures for Responding to Allegations of Research Misconduct (the “Policy”) to guide the process of reviewing, investigating, and reporting such allegations.
II. Coverage
This policy and the associated procedures apply to all individuals at the University of Puget Sound engaged in federally funded research, including scientists, trainees, technicians, and other staff members, students, fellows, volunteers, guest researchers, or collaborators at the University of Puget Sound, and is intended to comply with Public Health Service (PHS) Policies on Research Misconduct, 42 CFR Part 93. In accordance with regulations at 42 CFR Part 93, the policy and associated procedures apply to any research, research-training, or research-related grant, or cooperative agreement with a federal agency. Although the regulations at 42 CFR Part 93 are written with regard to human subjects research, the University of Puget Sound uses them as procedural guidelines for responding to allegations of misconduct in all types of federally funded research.
This Policy and associated procedures do not apply to authorship or collaboration disputes and applies only to allegations of research misconduct that occurred within six years of the date the institution or the U.S. Department of Health and Human Services (HHS) received the allegation, subject to the subsequent use, health or safety of the public, and grandfather exceptions in 42 CFR § 93.105(b).
These procedures will normally be followed when an allegation of possible misconduct in research is received by an institutional official. Particular circumstances in an individual case may dictate variation from normal procedure deemed in the best interests of the University of Puget Sound the federal agency, and should ensure fair treatment to the subject of the inquiry or investigation. Any significant variation should be approved in advance by the Provost of the University of Puget Sound.
While this policy applies to research supported by federal funding, other instances involving research misconduct allegations against faculty shall be addressed through the Faculty Code. Other instances of alleged research misconduct against students shall be addressed via the usual conduct procedures administered by an Academic Hearing Board or by the Dean of Students under the Student Integrity Code. With regard to staff, other instances of alleged research misconduct shall be addressed via the usual conduct procedures administered by the Associate Vice President for Human Resources dictated by Staff Policies and Procedures.
III. Definitions
Allegation: any written or oral statement or other indication of possible research misconduct made to an institutional official.
Complainant: a person who makes an allegation of research misconduct or inadequate institutional response thereto or who cooperates with an investigation of such allegation.
Conflict of interest: the real or apparent interference of one person’s interest with another, where potential bias may occur due to prior or existing personal or professional relationships.
Good faith allegation: an allegation of research misconduct made by a complainant who honestly believes that research misconduct may have occurred. A good faith allegation need not be objectively made nor be subsequently verified to be made in good faith. However, a complainant who recklessly disregards evidence that disproves an allegation has not made the allegation in good faith.
Inquiry: information gathering and initial fact-finding to determine whether an allegation or apparent instance of research misconduct warrants an investigation.
Investigation: the formal examination and evaluation of all relevant facts to determine if misconduct has occurred, and, if so, the responsible person and the seriousness of the misconduct.
Office of Research Integrity (ORI): an independent entity within the U.S. Department of Health and Human Services (DHHS) reporting to the Secretary of Health and Human Services. The ORI is responsible for protecting the integrity of federal extramural and intramural human subjects research programs.
National Science Foundation (NSF): the National Science Foundation and OIG refers to the NSF Office of the Inspector General.
Professional Standards Committee (PSC): a member of the Professional Standards Committee or an ad hoc committee member appointed to conduct all or a portion of the research misconduct process under this Policy.
Research: all scientific activity, academic research, scholarly inquiry, or other professional activities that members of the university community might conduct.
Research Integrity Officer (RIO): the institutional official responsible for, at a minimum and while working with the PSC: (1) reviewing allegations of research misconduct to determine if they fall within the definition of research misconduct and warrant an inquiry; and (2) overseeing inquiries and investigations.
Respondent: the person against whom an allegation of research misconduct is directed, or the person who is the subject of the inquiry or investigation. There can be more than one respondent in any inquiry or investigation.
Retaliation: any response by this institution or University Community Members that adversely affects the employment or other status of a complainant who, in good faith, has made an allegation of research misconduct or inadequate institutional response thereto, or who has cooperated in good faith with an investigation of such allegation. Prohibited acts of retaliation include intimidating, threatening, coercing, harassing, or discriminating against any individual for the purpose of interfering with any right or privilege secured by law or policy, or because the individual has made a report or complaint, testified, assisted, or participated or refused to participate in or benefit from an educational program or a faculty, staff or student staff member’s ability to perform or participate in a work or environment.
Scientific misconduct or research misconduct: fabrication, falsification, plagiarism or other practices that seriously deviate from those that are commonly accepted within the scholarly community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data.
University Community Member: For purposes of this Policy, these are university students, student organizations, faculty, staff members, interns, volunteers, and any other university affiliates.
IV. General Policies and Principles
A. Responsibility to Report Misconduct
All University Community Members engaged in academic research on behalf of the University of Puget Sound are required to report observed, suspected, or apparent misconduct in research to the RIO or to the Provost. If an individual is unsure whether a suspected incident of misconduct falls within the definition, he or she may call the Provost at 253-879-3205 to discuss the suspected misconduct informally.
B. Preliminary Assessment
Upon receiving an allegation of research misconduct, the Research Integrity Officer (RIO) shall immediately assess the allegation to determine whether there is sufficient evidence to warrant an inquiry. In assessing the allegation, the RIO so shall determine whether federal support or federal applications for funding are involved, and whether the allegation falls under the federal definition of misconduct in research.
C. Notice to Respondent; Sequestration of Research Records
At the time of or before beginning an inquiry, the RIO must make a good faith effort to notify the respondent in writing, if the respondent is known. If the inquiry subsequently identifies additional respondents, they must be notified in writing.
On or before the date on which the respondent is notified, or the inquiry begins, whichever is earlier, the RIO must take all reasonable and practical steps to obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding, inventory the records and evidence and sequester them in a secure manner, except that where the research records or evidence encompass scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments. The RIO may consult with ORI for advice and assistance in this regard.
D. Cooperation with Inquiries and Investigations
University Community Members shall cooperate with the RIO and other appropriate officials in the review of allegations and the conduct of inquiries and investigations.
University Community Members have an obligation to provide relevant evidence to the RIO or other institutional officials on misconduct allegations.
E. Protection of Respondents
Inquiries and investigations will be conducted in a manner that will ensure fair treatment to the subject(s) of the inquiry or investigation and confidentiality to the extent possible consistent with protecting public health and safety and with carrying out the inquiry or investigation.
University Community Members who are accused of research misconduct have the right to consult private legal counsel and to bring counsel for personal advice during interviews or meetings on the case.
F. Protection of Complainants
At any time, an University Community Member may have confidential discussions and consultation about concerns of possible misconduct with the RIO or the Provost and will be counseled about appropriate procedures to report allegations.
The RIO will monitor the treatment of individuals who bring allegations of misconduct or inadequate institutional response thereto, or who cooperate in inquiries or investigations. If the complainant requests anonymity, the institution will make an effort to honor the request within applicable policies and regulations and state and local laws.
Institutions are required to undertake diligent efforts to protect the positions and reputations of those persons who, in good faith, make allegations. The RIO will ensure that those making an allegation in good faith or cooperating with an inquiry or investigation into an allegation of misconduct will not be retaliated against in the terms and conditions of their employment or other status at the institution. Instances of apparent retaliation will be reviewed by the Provost for appropriate action.
If retaliation is confirmed, complainants will be consulted regarding appropriate corrective actions taken on their behalf to restore or protect their positions or reputations.
V. RIGHTS AND RESPONSIBILITIES
A. Research Integrity Officer
The Provost will appoint the Research Integrity Officer (RIO) who will have primary responsibility for adherence to the procedures set forth in this document. The RIO will be an institutional official who is well qualified to handle the procedural requirements involved and is sensitive to the varied demands made on those who conduct research, those who are accused of misconduct, and those who report apparent misconduct in good faith.
The RIO will assist inquiry and investigation committees and all institutional personnel to comply with these procedures and with applicable standards imposed by government or external funding sources. The RIO also is responsible for maintaining files of all documents and evidence, and is responsible for the confidentiality and the security of the file.
The RIO will report to the ORI as required by regulation and will keep the ORI apprised of any developments during the course of the investigation that may affect current or potential federal funding for the individual(s) under investigation or that the supporting federal agency needs to know to ensure appropriate use of Federal funds and otherwise to protect the public interest.
B. Complainant
The complainant shall have an opportunity to testify before the inquiry and investigation committees, to review portions of the inquiry and investigation reports pertinent to that testimony, to be informed of the results of the inquiry and investigation, and to be protected from retaliation.
The complainant is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with an inquiry or investigation.
C. Respondent
The respondent shall:
- Be notified in writing of the allegations to be investigated within a reasonable time after the determination that an investigation is warranted, but before the investigation begins (within 30 days after the institution decides to begin an investigation), and be notified in writing of any new allegations, not addressed in the inquiry or in the initial notice of investigation, within a reasonable time after the determination to pursue those allegations;
- Be interviewed during the investigation, have the opportunity to correct the recording or transcript, and have the corrected recording or transcript included in the record of the investigation;
- Have interviewed during the investigation any witness who has been reasonably identified by the respondent as having information on relevant aspects of the investigation, have the recording or transcript provided to the witness for correction, and have the corrected recording or transcript included in the record of investigation; and
- Receive a copy of the draft investigation report and, concurrently, a copy of, or supervised access to the evidence on which the report is based, and be notified that any comments must be submitted within 30 days of the date on which the copy was received and that the comments will be considered by the institution and addressed in the final report.
The respondent is responsible for maintaining confidentiality, and cooperating with the conduct of an inquiry or investigation.
D. Institutional Official
The Provost will appoint inquiry and investigation committees and will ensure that necessary and appropriate expertise is secured to carry out a thorough and authoritative evaluation of the relevant evidence in an inquiry or investigation. The Provost also will ensure that interim administrative actions are taken, as appropriate, to protect federal funds and to ensure that the purposes of the Federal financial assistance are carried out.
The Provost will receive the report and written comments of the respondent and the complainant, if any are made. The Provost will consult with the PSC and shall determine whether to conduct an investigation, or impose sanctions or take appropriate administrative actions (see Section XI).
VI. Inquiry
A. Purpose
The University of Puget Sound will inquire immediately into an allegation or other evidence of possible misconduct. The purpose of the inquiry is to evaluate the situation to determine whether there is sufficient evidence of possible research misconduct to warrant an investigation. The purpose of the inquiry is not to reach a final conclusion whether misconduct occurred or who was responsible.
B. Charge to Committee
The charge to the inquiry committee should specifically limit its scope, as required by 42 CFR Part 93, to evaluate the facts only to determine whether there is sufficient evidence of research misconduct to warrant an investigation.
C. Appointment of Inquiry Committee
If the Provost decides that an inquiry should be conducted, the Provost, in consultation with the RIO, will appoint an inquiry committee within 10 working days from the decision to initiate an inquiry consisting of one or more individuals who do not have conflicts of interest in the case, are unbiased, and have appropriate qualifications to evaluate the issues raised.
Following the Provost’s decision to conduct an inquiry, the RIO will notify the respondent of the proposed committee membership as soon as possible, but no later than 5 working days following the appointment of the inquiry committee members. If the respondent submits a written objection within 5 working days to any of the persons appointed to the inquiry committee based on bias or a conflict of interest, the Provost may replace the challenged person with a qualified substitute.
D. Inquiry Process
Inquiries normally will involve interviewing the complainant, the respondent, and key witnesses, and examining relevant research records and materials.
E. Time Limit for Completing Inquiry Report
The inquiry committee will complete the inquiry and submit its report in writing no more than 60 calendar days following its initiation, with the initiation being defined as the date the committee is appointed. If the Provost approves an extension of this time limit, the reason for the extension will be entered into the records of the case and the report. The respondent also will be notified of the extension.
F. Inquiry Report Contents
A written report shall be prepared that states what evidence was reviewed, summarizes relevant interviews, and includes the conclusion of the inquiry as to whether an investigation is warranted. Any finding that an investigation is warranted must be made in writing by the Provost and must be provided to ORI, together with a copy of the inquiry report meeting the requirements of 42 CFR § 93.309, within 30 days of the finding.
G. Comments by Respondent and Complainant
The individual(s) against whom the allegation was made will be given a copy of the report, the institution’s policies and procedures on research misconduct and will be referred to 42 CFR Part 93. If they can be identified, the person(s) who raised the allegation shall be provided with only those sections of the report that address their role and opinions in the inquiry.
Complainants and respondents shall have 14 calendar days to comment on the report or rebut any findings contained therein. Any comments that the complainant or respondent submits on the report will become part of the inquiry record. Based on the comments, the inquiry committee may revise the draft report as appropriate and prepare it in final form.
H. Sequestration of Research Records
See Section IV, C for Sequestration of Research Records.
I. Decision by Institutional Official
After receiving both the report and the written comments of the respondent and complainant, if any are made, the Provost, after consulting with the PSC, shall determine whether to conduct an investigation, drop the matter, or to take some other appropriate action.
Within 30 calendar days of the decision that an investigation is warranted, the RIO will provide ORI with the written decision and a copy of the inquiry report. The RIO will also notify those institutional officials who need to know of the decision. The RIO must provide the following information to ORI upon request: (1) the institutional policies and procedures under which the inquiry was conducted; (2) the research records and evidence reviewed, transcripts or recordings of any interviews, and copies of all relevant documents; and (3) the charges to be considered in the investigation.
VII. Investigation
A. Purpose
The purpose of the investigation is to examine and evaluate all relevant facts to determine whether research misconduct has been committed, and if so, the responsible person and the seriousness of the misconduct.
B. Charge to Committee
The Provost, after reviewing the inquiry report, will define the subject matter of the investigation in a written charge to the committee.
The charge shall inform the committee that in order to determine that the respondent committed research misconduct it must find that a preponderance of the evidence establishes that: (1) research misconduct, as defined in this policy, occurred (respondent has the burden of proving by a preponderance of the evidence any affirmative defenses raised, including honest error or a difference of opinion); (2) the research misconduct is a significant departure from accepted practices of the relevant research community; and (3) the respondent committed the research misconduct intentionally, knowingly, or recklessly.
C. Appointment of Investigation Committee
After the respondent has been notified that an investigation will be conducted, the Provost, after consulting with the RIO and the PSC, will appoint an investigation committee consisting of at least three persons within 10 working days. These individuals should not have any real or apparent conflicts of interest with the respondent or the case in question, and they must have the necessary expertise to examine the evidence, interview the witnesses, and conduct the investigation.
The RIO will notify the respondent of the proposed committee membership within 5 working days. If the respondent submits a written objection within 5 working days to any of the persons appointed to the investigation committee, the Provost may decide to replace the challenged person with a qualified substitute.
D. Investigation Process
The investigation committee will be appointed and the process initiated within 30 working days of the completion of the inquiry, if findings from that inquiry provide sufficient basis for conducting an investigation.
The investigation normally will include examination of all documentation including, but not necessarily limited to, relevant research data materials, proposals, publications, correspondence, memoranda, and notes of telephone calls. Whenever possible, interviews will be conducted of 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 allegation. All interviews will be transcribed or tape recorded. Complete summaries of these interviews will be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file.
The investigation will pursue diligently all significant issues and leads discovered that are determined relevant to the investigation, including any evidence of any additional instances of possible research misconduct, and continue the investigation to completion.
E. Time Limit for Completing Investigation Report
An investigation will normally be completed within 120 calendar days of its initiation, with the initiation being defined as the date the investigation committee is appointed. This includes conducting the investigation, preparing the report of findings, making the report available for comment by the subjects of the investigation, submitting the report to the Academic Vice President for approval, notifying the respondent of the decision, and submission to the ORI.
F. Comments by Respondent and Complainant
The individual(s) against whom the allegation was made will be given a copy of the report. If they can be identified, the person(s) who raised the allegation shall be provided with only those sections of the report that address their role and opinions in the investigation.
Complainants and respondents shall have 30 calendar days to comment on the report or rebut any findings contained therein. Any comments that the complainant or respondent submits on the report will become part of the investigation report.
G. Decision by Institutional Official
The Provost will decide whether misconduct has occurred, and what sanctions or administrative actions are to be undertaken (see Section XI). The Provost shall notify the respondent of the decision no later than 5 working days following the end of the comment period.
H. Appeal
The respondent will have 5 working days following notification of the decision by the Provost to request an appeal of the decision. A request for an appeal must be filed with the office of the Provost. If the respondent is a faculty member, the appeal shall be handled in accordance with Chapter VI, Sections 4 & 5 (“Grievance Procedures” and “President’s Action) of the Faculty Code including the provision that parties to the grievance, which may include the Provost and any other member of the Professional Standards Committee who was involved in either the inquiry or investigation are automatically recused from serving on the grievance committee. If the respondent is a student, the appeal process of the Student Integrity Code (IV. Review) will be used. If the respondent is a staff member, the relevant appeal provisions of the Staff Policies and Procedures will be employed.
The appeal process, including the President’s Action, shall be completed within 120 calendar days of the notification of the intent to appeal. If the appeal cannot be completed within 120 days, the University must ask ORI for an extension in writing and provide an explanation for the request.
Following the President’s Action, the Provost shall integrate any needed changes into the investigation report.
I. Final Report Contents
The final report submitted to ORI must state the policies and procedures under which the investigation was conducted, describe how and from whom information was obtained relevant to the investigation, state the findings, and explain the basis for the findings, and include the actual text or an accurate summary of the views of any individual(s) found to have engaged in misconduct, as well as description of any sanctions taken by the institution.
J. Referral of Non-Research Misconduct Issues
When the investigation discloses non-research misconduct issues, the Provost shall refer these matters to the proper University of Puget Sound or governmental authority for further action. Regardless of whether the suspected misconduct implicates the Faculty Code, the Student Integrity Code, or Staff Procedures, University of Puget Sound’s processing of non-research misconduct issues will commence after the University completes its investigation of the underlying research misconduct issues.
VIII. Notification and reporting requirements
A. Reporting to ORI
1. The University of Puget Sound’s decision to initiate an investigation will be reported in writing to the ORI Director, on or before the date the investigation begins in accordance with 42 CFR § 93.309. For research funded by the NSF, suspected research misconduct must also be reported to the NSF Office of the Inspector General; the NSF OIG may conduct its own investigation or defer to the University’s process. At a minimum, the notification will include the name of the person(s) against whom the allegations have been made, the general nature of the allegation, and the federal applications or grant number(s) involved. ORI will also be notified of the final outcome of the investigation. Any significant variations from the provisions of the institutional policies and procedures will be explained in any reports submitted to the ORI.
2. If the University of Puget Sound plans to terminate an inquiry or investigation for any reason without completing all relevant Federal requirements, the RIO shall submit a report of the planned termination to ORI, including a description of the reasons for the termination. ORI will then decide whether funding investigation should be undertaken.
3. If the University of Puget Sound determines that it will not be able to complete the investigation in 120 calendar days, the RIO shall submit to the ORI a written request for an extension and an explanation for the delay that includes an interim report on the progress to date and an estimate for the date of completion of the report and other necessary steps. If the request is granted, the RIO shall file periodic progress reports as requested by the ORI. If satisfactory progress is not made in the institution’s investigation, the ORI may undertake an investigation of its own or take other steps as appropriate.
4. When federal funding or applications for funding are involved and an admission of research misconduct is made, the RIO will notify the ORI immediately for consultation and advice. Normally, the individual making the admission will be asked to sign a statement attesting to the occurrence and extent of misconduct. The University of Puget Sound will not accept an admission of research misconduct as a basis for closing a case or not undertaking an investigation, without prior approval by ORI when the case involves federal funds.
5. The RIO shall keep ORI apprised of any developments during the course of the investigation which disclose facts that may affect current or potential federal funding for the individual(s) under investigation or that the supporting federal agency needs to know to ensure appropriate use of Federal funds and otherwise protect the public interest.
The RIO shall notify ORI at any stage of the inquiry or investigation when:
a) There is an immediate health hazard involved;
b) There is an immediate need to protect Federal funds or equipment;
c) There is an immediate need to protect the interests of the person(s) making the allegations or of the individual who is the subject of the allegations as well as his/her co-investigators and associates, if any;
d) It is probable that the alleged incident is going to be reported publicly; or
e) There is a reasonable indication of possible criminal violation. In this instance the University of Puget Sound will inform ORI (and the NSF OIG, as appropriate) within 24 hours of obtaining that information. The ORI or NSF OIG may determine what information may be shared with law enforcement investigators, if any. The University’s process may be held in abeyance pending guidance from the appropriate federal authority or concurrent law enforcement investigation.
B. Notification of Other Involved Individuals or Parties
If the Provost decides that an investigation will be conducted, the RIO will notify both the respondent and the complainant in writing, and remind them of their obligation to cooperate in the investigation. The RIO will also notify appropriate campus administrators.
When a final decision on the case has been reached, the Provost will notify both the respondent and complainant in writing. In addition, the Provost will determine whether law enforcement agencies, professional societies, professional licensing boards, editors of journals in which falsified reports may have been published, collaborators of the respondent in the work, or other concerned parties, should be notified of the outcome of the case. The Research Integrity Officer is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies.
IX. Other Considerations
A. Termination of Institutional Employment or Resignation Prior to Completing Inquiry or Investigation
The termination of institutional employment of the respondent, by resignation or otherwise, before or after an allegation of possible research misconduct has been reported, will not preclude or terminate the misconduct procedures.
If the respondent, without admitting to the misconduct, elects to resign his or her position prior to the initiation of an inquiry, but after an allegation has been reported, or during an inquiry or investigation, the inquiry or investigation will proceed. If the respondent refuses to participate in the process after resignation, the committee will use its best efforts to reach a conclusion concerning the allegations, noting in its report the respondent’s failure to cooperate, and the effect on its review of all the evidence.
B. Restoration of Reputations
Diligent efforts will be undertaken to restore the reputation of the respondent if the respondent is not found guilty of research misconduct.
The RIO will ensure that all reference to the matter is expunged from the respondent’s personnel file. All persons who have been interviewed or otherwise informed of the charge will be notified in writing that the charges have been dropped. Respondents will be consulted regarding other actions that might be taken on their behalf to restore their reputations.
C. Interim Administrative Actions
Institutional officials will take interim administrative actions, as appropriate, to protect Federal funds and insure that the purposes of the Federal financial assistance are carried out.
X. Retention of Records
Sufficiently detailed documentation of inquiries that do not proceed to an investigation shall be maintained for at least seven years after the termination of the inquiry to permit later assessment of the case.
After completion of a case and all ensuing related actions, the Research Integrity Officer will prepare a complete file, including the original records of any inquiry or investigation, and copies of all documents and other materials furnished to the RIO or committees. Unless custody has been transferred to HHS or ORI has advised in writing that the records no longer need to be retained, The RIO will retain the file for seven years from the date that the University of Puget Sound closes the case, or if the inquiry or investigation is reported to ORI, from the date that ORI completes its review of the case and all related actions. Access to materials in the file shall be available to the ORI or other authorized federal personnel upon request.
XI. Sanctions and Administrative Actions
The University of Puget Sound shall impose appropriate sanctions on individuals when an allegation of misconduct has been substantiated.
If the Provost determines that the alleged misconduct is substantiated by the findings, he/she will decide on the following actions, after consultation with the RIO and the PSC. The actions may include:
A. restitution of funds to any sponsoring agency as appropriate;
B. withdrawal or correction of all pending or published abstracts and papers emanating from the research in question;
C. removal from the particular project, letter of reprimand, special monitoring of future work, probation, suspension, salary reduction, or initiation of steps leading to possible rank reduction or termination of employment.
XII. Nothing in this policy shall be construed in such a way as to contradict the provisions of the University of Puget Sound Faculty Code, Student Integrity Code, or Staff Procedures.
XIII. Effective Date
This revised policy is effective as of March 8, 2024.
XIV. Related Statutes, Regulations, and Policies
Policy Owner: Provost
Policy Contact: provost@pugetsound.edu
Date Adopted: April 30, 2013
Date Last Reviewed: March 8, 2024
Date Last Revised: March, 8, 2024