Policies

Research Integrity Policy

Policy Purpose

It is the purpose of this policy to instill and promote the principles of professional integrity; to prevent scientific misconduct; and to discover and censure instances of misconduct when they occur. This policy sets forth the requirements necessary to ensure compliance with laws and regulations regarding research misconduct.

Persons Affected

Faculty, Staff

This policy applies to funded and unfunded scientific research and scholarly writing conducted by any member of the Farmingdale State College faculty or staff. It is not intended to address issues, such as the conduct of students in fulfilling course requirements or students involved in research, which are covered in the Academic Integrity Policy and Student Code of Conduct.

Policy Statement

Farmingdale State College (hereinafter “the College”) shall maintain high ethical standards in scholarly work, prevent misconduct where possible, and promptly and fairly evaluate and resolve instances of alleged or apparent misconduct.

Federal Research misconduct is monitored by the U.S. Department of Health and Human Services Office of Research Integrity. Federal Register section 65 FR 76260 requires all agencies which conduct or support Federal research to follow the Federal Policy on Research Misconduct.

The United States Public Health Service (PHS) regulation, "Public Health Service Policies on Research Misconduct," at 42 C.F.R. §93.301 requires that all institutions renew their research misconduct assurance by annually submitting a report to the Office of Research Integrity (ORI). All allegations of fabrication, falsification, and/or plagiarism received by an institution, including allegations that do not make it to the inquiry or investigation phase, must be reported.

The College will annually report to all funding and sponsoring agencies as follows:

1. Assurance that the institution has established an administrative process for reviewing, investigating, and reporting allegations of misconduct in science in connection with sponsored research.
2. Provision of such aggregate information on allegations, inquiries, and investigations as funding and sponsoring agencies may prescribe.

Every member of the College community has the responsibility of reporting misconduct in scientific work. Employees and individuals who report suspected or detected allegations of misconduct shall not suffer discharge, demotion, suspensions, threats, harassment, discrimination, or other forms of retaliation for making such reports in good faith. Intentional use of this policy or associated procedures to make false allegations may result in disciplinary action.

If sufficient information exists, the College will refer the matter for investigation and disciplinary action as may be appropriate under the applicable collective bargaining agreement. The disciplinary process and potential outcomes are described in the applicable collective bargaining agreements.

If necessary the College may disclose proven or confirmed misconduct to funding agencies, collaborating scientists and institutions, journal editors, professional associations, and licensing boards.

Where there is reasonable indication of possible criminal violations, University Police must be notified immediately, as well as the Director for the Research Foundation and Sponsored Program Operations for sponsored research. The Director for the Research Foundation and Sponsored Program Operations will notify SUNY Research Foundation and the appropriate funding agencies within 24 hours of this determination. Where Public Health Service (PHS) grants are involved, the PHS Office of Scientific Integrity will be notified.

This policy will allow such distinctions to be made in a manner that minimizes disruption and protects the conscientious, honest scientist from false or mistaken accusations.

The procedures for the institutional handling of allegations of scientific misconduct have four stages: inquiry, investigation, formal finding, and disposition of the matter.

Alleged reports of misconduct in research activities must be reported to the Research Integrity Officer (RIO). The Provost, in consultation with the President, has appointed the Associate Provost as the College’s Research Integrity Officer. If there is an actual or perceived conflict of interest, a different RIO will be appointed. The responsibilities of the RIO include:

1. To serve as a resource for inquiries regarding misconduct in research.
2. To receive and review formal written complaints of suspected and detected misconduct in research.
3. To maintain records of all complaints, related documents, and institutional responses.
4. To conduct inquiries and submit recommendations concerning investigations to the Provost and the Risk and Compliance Office.
5. To inform the Director of the Research Foundation and Sponsored Program Operations of misconduct involving sponsored programs. The Director will notify the sponsoring and funding agencies as appropriate.

Precautions shall be taken against real or apparent conflicts of interest on the part of those involved in the inquiry or investigation.

Procedures

Inquiry

Individuals are responsible for reporting allegations of research misconduct in good faith to the Research Integrity Officer (RIO). Reports must be made in writing and submitted to the RIO.

The RIO will review the written report of the alleged misconduct.

The RIO will then conduct an immediate inquiry into allegations of misconduct in order to determine whether there is a substantial basis for initiating a formal investigation into the alleged misconduct.

The RIO will make every effort to safeguard all individual reputations and the integrity of the research and maintain confidentiality. Every effort shall be made to protect the interests, privacy, position and reputation of those who in good faith report apparent misconduct and others who testify.

In the conduct of this inquiry, the RIO may consult with legal counsel, faculty, staff, and other sources for pertinent data.

The RIO, in consultation with the Provost and the Director of the Research Foundation and Sponsored Program, will take appropriate administrative actions to protect all funds and ensure that the purposes of the Federal financial assistance are being carried out.

The RIO will notify the faculty member or other investigator whose research is the subject of the complaint that a complaint has been lodged, the nature of the complaint, and the procedures to be followed. The affected individual(s) will be granted confidential treatment to the maximum extent possible, prompt and thorough investigation, and an opportunity to comment on allegations and findings of the inquiry and/or the investigation.

The inquiry shall be conducted in confidence with the purpose of separating unfounded allegation(s) from those of a substantive nature and shall be completed within 60 days of the initial receipt of the allegations. At the completion of the inquiry, a written report shall be filed with the Provost with an assessment as to whether or not the allegation(s) is/are warranted and why such a determination had been made. If circumstances clearly warrant an extension of the sixty (60)-business day limit, a record of the inquiry shall include documentation of the reasons for exceeding the sixty (60) business days. If the activity includes NSF funds, interim status reports may be required if the Inquiry goes longer than 90 days.

The Provost shall determine on the basis of the written report of the inquiry, 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. Such records shall be maintained in a secure manner by the RIO for a period of at least three years after the termination of the inquiry and shall, upon request, be provided to authorized representatives of sponsoring and funding agencies.

If the decision of the Provost is that no investigation is warranted, the Provost will notify all those concerned of this determination. Final decisions made by the Provost regarding the outcome of the inquiry will be communicated to the President.

Investigation

If the decision of the Provost is that an investigation is necessary, it shall be undertaken formally within 30 days of the completion of the inquiry.

When applicable, after administrative and legal consultation, the Research Foundation, the granting agency and any other parties potentially affected by the investigation will be informed of the decision to conduct an investigation.

The Provost will take interim administrative actions, as appropriate, when necessary to protect research funds, human subjects, or equipment.

During the course of the investigation, funding and sponsoring agencies are to be apprised of any developments which disclose facts that may affect current or potential funding for the individual(s) under investigation or that the funding agency needs to know to ensure appropriate use of funds and otherwise protect the public interest.

The Provost will appoint a Research Integrity Committee to conduct the investigation and prepare an investigation report. The committee shall be composed of impartial members with appropriate expertise to evaluate the allegations. The committee should have the following membership:

1. Research Integrity Officer (Chair)
2. Director for the Research Foundation and Sponsored Program Operations
3. Dean or Director of appropriate area
4. Ethics Officer

The Research Integrity Officer shall:

1. Inform the subject of the investigation of the accusations and that formal investigation will be conducted and invite the subject to make a written response to the allegations.
2. Consult, as the need arises, on an ad hoc basis with faculty and staff members for pertinent data.
3. Inform collaborator(s) in the research project under investigation and give them the opportunity to comment.
4. Immediately proceed to collect and secure all materials necessary for the investigation.
5. Complete the investigation within 120 days, whenever possible

During the course of the investigation, the Research Integrity Committee will:

1. Receive and review relevant documents, including but not necessarily limited to relevant research data and proposals, publications, correspondence, and memoranda of telephone calls.
2. 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. Complete summaries of these interviews should be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file.
3. Seek additional information as deemed necessary.
4. Consult, when appropriate, with expert(s) from outside the institution.
5. Record and document all relevant information obtained in the course of the investigation. This documentation is to be made available to the appropriate officials of sponsoring agencies when requested.
6. Analyze and summarize the results of the investigation.
7. Prepare and submit a written report to the Provost, including a summary of the investigation, findings, and recommendations for further action.

Finding

At the conclusion of the investigation, the Provost will:

1. Submit a written report to the President of the results of the investigation. Included in this report will be:
2. A statement of accusation.
3. A statement of the findings.
4. An indication of the evidence or lack of evidence of misconduct.
5. An evaluation of the seriousness of any misconduct found.
6. Recommendations for further action.
7. Send a copy of the report to the subject of the inquiry who has ten (10) business days from receipt of the report to submit a response to the President.
8. Include any written response by the subject of inquiry as an addendum to the report.

Reporting Requirements

1. An institution’s decision to initiate an investigation must be reported in writing to the appropriate officials of the sponsoring and funding State or Federal agencies on or before the date the investigation begins. At a minimum, the notification should include the name of the person(s) against whom the allegations have been made, the general nature of the allegation, and the application or grant number(s) involved.
2. An investigation should ordinarily be completed within 120 days of its initiation. This includes conducting the investigation, preparing the report of findings, making that report available for comment by the subjects of the investigation, and submitting the report to the sponsoring agency.
3. The institution is expected to carry out its investigations through to completion, and to diligently pursue all significant issues. If an institution plans to terminate an inquiry or investigation for any reason without completing all relevant requirements, a report of such planned termination, including a description of the reasons for such termination shall be made to the appropriate funding and sponsoring agencies.
4. The final report submitted to the sponsoring agency will describe the policies and procedures under which the investigation was conducted, how and from whom information was obtained relevant to the investigation, the findings, and 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 a description of any sanctions taken by the institution.
5. If the institution determines that it will not be able to complete the investigation in 120 days, it must submit to the sponsoring agencies 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 institution must file periodic progress reports as requested by the sponsoring agency.
6. The institution is responsible for notifying sponsoring agencies if it ascertains at any stage of the inquiry or investigation that any of the following conditions exist:

a. There is an immediate health hazard involved;
b. There is an immediate need to protect Federal (or State) funds or equipment;
c. There is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is/are the subject(s) 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;
e. There is a reasonable indication of possible criminal violation. In that instance, the institution must inform the sponsoring agencies within 24 hours of obtaining that information.

DISPOSITION

The President, upon receiving the report from the Provost and any response statement by the accused, will make a final determination regarding whether sufficient information exists to that misconduct has occurred and refer the matter to his/her designee for investigation and disciplinary action, or other action, as may be appropriate under the applicable collective bargaining agreement.

Consideration will also be given to formal notification of other concerned parties, not previously notified, such as:

• Sponsoring agencies, funding sources
• Co-authors, co-investigators, collaborators
• Editors of journals in which fraudulent research was published
• State professional licensing boards
• Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated
• Professional societies
• Where appropriate, criminal authorities

Definitions

Scientific Misconduct - “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.

Inquiry - An inquiry is an information-gathering and initial fact-finding to determine whether an allegation or apparent instance(s) of misconduct warrant an investigation.

Investigation - An investigation is a formal examination and evaluation of all relevant facts to determine if an instance of misconduct has taken place. If misconduct is confirmed, the investigation should determine the seriousness of the offense and the extent of any adverse effects resulting from misconduct.

Related Documents

Academic Integrity Policy
Student Code of Conduct

Responsible Office

Provost's Office

Policy History

Approved Date: 12/19/2022