Graduate Bulletin

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University Research
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Human Subjects
Protection

Integrity in Research and Scholarship

1.0 Members of the academic community involved in the conduct of research and scholarship shall adhere to the highest standards of ethical behavior. The procedures herein shall protect the rights and reputations of parties involved in alleged misconduct and shall cover allegations involving students employed on research grants or contracts. Allegations of academic dishonesty by students engaged in research, as part of their academic program shall be dealt with according to University academic policies, student disciplinary procedures, and regulations of the Graduate Division.

2.0 Guidelines for Identifying Misconduct: Consistent with the Public Health Service (PHS) definition, misconduct in research shall be “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” and shall not include “honest error or honest differences in interpretations or judgments of data.” The same shall apply to scholarship. The types of fraud or deviance in academic research and scholarship shall include:
a. Falsification of data, which shall range from sheer fabrication to selective reporting, including the omission of conflicting data
b. Plagiarism, which shall include inadequate citation of references, parsimony in referencing, submission of the same data in more than one publication by the same author, and similar abuses
c. Abuse of confidentiality not only by the primary reviewers but also by those with whom the reviewers have shared the privileged information.
d. Seemingly deliberate violations of regulations adopted by appropriate mechanisms to protect patients, research subjects, and other persons and animals

3.0 Procedures for Handling Allegations of Misconduct

3.1 Initial reports or charges of misconduct in research or scholarship shall be directed first to the dean of the college in which the alleged misconduct has occurred. The dean shall inform the department or program chair and the research or scholarship supervisor(s) of the allegations. The dean shall also inform the involved faculty member(s) or nonfaculty employee(s) of the nature of the allegations, the nature of the inquiry, and the rights of the parties involved.

3.2 The college dean, after consultation with the department or program chair and appropriate research or scholarship supervisor(s), shall conduct promptly a preliminary inquiry to determine whether there is sufficient prima facie evidence to merit a formal investigation of the charges and shall inform the Associate Vice President for Research that a preliminary inquiry is under way. Confidentiality shall be strictly maintained throughout the inquiry.

3.3 The college dean shall forward without delay a written report to the Associate Vice President for Research. An inquiry must be completed within 60 calendar days of its initiation unless circumstances clearly warrant a longer period. The written report shall (a) state the evidence reviewed, (b) summarize relevant interviews, and (c) include the conclusions of the inquiry. A copy of the report of the inquiry shall be given to the person(s) against whom the allegation has been made, and their comments on that report may become part of the record. Detailed documentation of the inquiry shall be maintained by the Associate Vice President for Research for at least three years and, in federally funded research, shall be provided upon request to authorized DHHS personnel.

3.4 If, after consideration of the report of the inquiry, the Associate Vice President for Research determines that there is not sufficient prima facie evidence to support the charges, no further action need be taken, and the Provost and the parties involved shall be so informed.

3.5 If, after consideration of the report of the inquiry, the Associate Vice President for Research determines that sufficient prima facie evidence supports the charges, the Associate Vice President shall appoint within 30 days of the completion of the inquiry an ad hoc committee to conduct a formal investigation, and the Provost shall be so notified. The membership of the committee shall consist of at least four knowledgeable and impartial persons including one representative from the department , program, or auxiliary unit of the involved faculty member(s) or nonfaculty employee(s) and three faculty members from related departments, programs, or areas. For externally funded research, the Associate Vice President may also appoint a member of the San Diego State University Foundation as an ex officio member to represent the interests and legal obligations of the Foundation. In addition, the Associate Vice President may appoint members from outside the institution in order to broaden the expertise of the committee. Precautions shall be taken against the investigators’ real or apparent conflicts of interest. For federally funded research, the Associate Vice President shall notify the Office of Scientific Integrity (OSI) of the Public Health Service within 24 hours of obtaining reasonable indication of possible criminal violation.

3.6 As soon as the committee has been requested to conduct a formal investigation, the Associate Vice President for Research shall notify the accused faculty member(s) or nonfaculty employee(s) of the charges and the function of the committee. In consultation with the Provost and the college dean, the Associate Vice President may determine that the research activities of the involved researcher(s) may be restricted or monitored during the course of the investigation. The Associate Vice President shall also notify the President, the Provost, the school director or the department or program chair, and for funded research the Chief Executive Officer of the San Diego State University Foundation and the project officer(s) of the funding agencies that a formal investigation involving charges of misconduct in research or scholarship has been initiated. For federally funded research, the Director of the OSI of the PHS shall be notified in writing on or before the date the investigation begins, and such notification shall include (a) the name of the person(s) against whom the allegations have been made, (b) the general nature of the allegations, and (c) the application or grants involved.

3.7 The Associate Vice President for Research shall convene the committee, appoint one of the faculty on the committee to serve as chair, present the charges and allegations, and discuss University and Foundation policies and procedures pertinent to the investigation. The committee shall investigate all charges and facts and may interview parties appropriate to reaching a decision regarding the merit or lack of merit to the charges. The chair of the committee shall meet with the appropriate personnel officers (viz., Associate Vice President for Faculty Affairs, Director of the Center for Human Resources, and Foundation Director of Human Resources) regarding existing procedures and safeguards to protect all parties’ rights and reputations before carrying out the investigation. The committee shall begin its investigation promptly and shall provide a written report of its findings and recommendations to the Associate Vice President for Research no later than 60 days after beginning the formal investigation. The Associate Vice President may either accept the report or return it to the committee for further information or clarification. The committee shall also forward the final copy of this report to the accused parties, who shall have an opportunity to comment on the findings. The investigation shall be completed within 120 calendar days.

3.8 If from the findings and recommendations of the committee the Associate Vice President for Research determines that no unethical or fraudulent acts have been committed, all parties shall be notified accordingly. The Associate Vice President and the college dean shall undertake all necessary efforts to restore fully and promptly the reputation and credibility of the researcher(s) under investigation. All interim restrictions on research activity shall be promptly removed.

3.9 If from the findings and recommendations of the committee, the Associate Vice President for Research determines that there is evidence of misconduct, he or she shall report to the Provost this conclusion and recommendations regarding the imposition of sanctions or disciplinary action. The President shall make the final determination regarding the appropriateness of the recommendations. Sanctions may include (a) termination of current research or scholarly activity, (b) public disassociation of the University from future unauthorized research or scholarly activity, (c) restriction from future research or scholarly activity for some period of time, (d) special prior review and approval requirements in future research or scholarly activities, and (e) debarment from intramurally funded research or scholarly programs. The President may also determine whether the matter warrants a reprimand or disciplinary action pursuant to the Memorandum of Understanding or sec. 89535–89539 of the Education Code or should be referred to the cognizant auxiliary organization for appropriate action.

3.10 The President shall determine whether information about the charges, the investigation, or their disposition shall be released to the public, the press, or specific parties (e.g., editors of journals in which papers or reports of the research in question may have appeared). For externally funded research, the sponsoring agency shall be notified of the findings of the investigation and the final disposition of any sanctions, disciplinary action, or restitution to be made. For federally funded research, a written report documenting the investigative process and its outcome shall be made available to the Director of the OSI, who shall decide whether that office will proceed with its own investigation. The University shall maintain such documentation for at least three years after PHS acceptance of the final report.

Last updated: 05/20/2004