WAYNE STATE UNIVERSITY

POLICY AND PROCEDURES REGARDING
SCIENTIFIC MISCONDUCT

1.0 Preamble and Purpose

1.1Regulations of the Public Health Service (PHS) require all universities that receive PHS support to "establish uniform policies and procedures for investigating and reporting instances of alleged or apparent misconduct involving research," and, further, specify the required contents of the policies and procedures, where the research is supported in any way by PHS funds. Approximately half of Wayne State University's external research is PHS funded. Thus, PHS's payment of indirect costs clearly provides support to all WSU research, and the University is therefore required to establish a uniform policy for all research.

A requirement that there be a policy regarding scientific misconduct accords with the University's policy of fostering an atmosphere of academic freedom. Such an atmosphere is essential to the free and open exchange of ideas upon which effective research and scholarship is premised since academic freedom is derived in significant part from a shared confidence in the integrity of the scientific and research process. Wayne State University, together with its faculty and with others involved in research at this institution, holds a firm commitment to maintain and to demonstrate high ethical standards in research and scholarship.

Wayne State University therefore adopts this policy and these procedures on scientific misconduct. The policy and procedures have the purposes of ensuring that the University remains in compliance with the law, of establishing uniform and well understood procedures for addressing allegations of scientific misconduct, of protecting those who in good faith bring allegations of misconduct from the possibility of retaliation, and of ensuring that unfounded allegations of such misconduct do not work to the detriment of researchers at the University.

2.0 Definitions

2.1Charging Party is the person who brings an allegation of scientific misconduct.

2.2Inquiry is the process of information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an Investigation. An Inquiry may be undertaken in the absence of an allegation by a Charging Party if there is reason to suspect scientific misconduct.

2.3Investigation is the formal examination and evaluation of all relevant facts to determine whether misconduct has occurred.

2.4Misconduct, or scientific misconduct, includes fabrication, falsification, plagiarism, or other practices that seriously deviate from commonly accepted practices within the scientific community for proposing, conducting, or reporting research. Misconduct does not include honest error or honest differences of interpretation in judgments of data. Nor does it include the innocent failure to comply with the terms of research grants.

2.5For purposes of this policy, scientific misconduct is further defined as follows:

1.Fabrication and falsification include improper or unethical methods or practices in proposing or carrying out research, improper manipulation of data, deceptive statistical or analytical manipulations, improper reporting of results, deceptive selective reporting of findings, deceptive omission of conflicting data, and other fabrication or falsification of data or results.

2.Plagiarism includes actions which directly or indirectly claim the work of another as one's own.

3.Practices that seriously deviate from practices commonly accepted in the scientific community include but are not limited to the improper use of information or influence gained by privileged access, such as through service on study sections, review panels, editorial boards, or policy boards of research funding organizations; improper or inappropriate allocation of credit for research; the failure to give recognition or credit to persons who have made substantive contributions to the research.

Novel or creative design, methodology or technique does not in itself form a basis for misconduct under this provision.

2.6PHS sponsored research is research or research training or applications for research or research training, or related research activities, directly supported by funds made available under the Public Health Service Act.

2.7Respondent is the individual against whom an allegation of misconduct has been made, or whose research is the subject of Inquiry or Investigation.

2.8Vice President is the Vice President for Research or his/ her designee. The Vice President may consult with the Office of the General Counsel at any point in proceedings undertaken pursuant to these provisions.

3.0 Applicability

3.1These provisions apply to all faculty, primary investigators, and other staff and students, including, without limitation, research assistants, research associates, graduate assistants, postdoctoral fellows, visiting and adjunct faculty, and students conducting research at, sponsored by, or under the auspices of Wayne State University. These provisions apply even if the Respondent is no longer employed by or otherwise associated with the University.

3.2Except as specifically referenced, these provisions do not apply to fiscal improprieties, issues concerning the ethical treatment of human or animal subjects, criminal matters, or other violations of law or applicable University policy.

3.3Certain of the reporting requirements included in this policy apply only to research directly sponsored by PHS. In the event that parallel requirements are imposed as to other federally sponsored research, these provisions shall be construed to incorporate such requirements.

4.0 Allegations of Scientific Misconduct

4.1Allegations of scientific misconduct are to be reported to the Vice President. Any individual may bring an allegation of scientific misconduct.

4.2Allegations should be made in writing and with as much specificity as possible, and should be filed with the Vice President. In order to protect the fairness of the proceedings, the Charging Party should not transmit copies of the allegations to persons other than the Vice President. While the Vice President will accept anonymous allegations, it must be recognized that such allegations are difficult to evaluate, and that in many instances, anonymity would preclude effective inquiry into the substance of the allegation.

4.3Recognizing that an allegation of scientific misconduct may harm the reputation of the Respondent, the University shall treat such allegations and any Inquiry conducted pursuant to such allegations in a confidential manner. The identities of the Charging Party and the Respondent shall be kept confidential to the extent possible.

5.0 The Inquiry

5.1Upon receipt of an allegation of scientific misconduct, or upon reasonable suspicion that such misconduct is occurring or may have occurred, the Vice President shall convene an Inquiry. The Inquiry is an informal procedure whereby the Vice President or a Committee appointed by the Vice President makes initial fact findings sufficient to determine whether an allegation or apparent instance of misconduct warrants an Investigation.

5.2The Vice President shall make an initial determination as to whether to conduct the Inquiry himself or whether to appoint a Committee of Inquiry. In making this determination, the Vice President shall take into consideration the nature of the allegation or other basis for inquiry, the nature of the possible misconduct, and the need to protect the confidentiality of the Charging Party and/or Respondent. If the Vice President determines that the Inquiry should be conducted without appointing a committee, he/she shall first provide notice to the Charging Party and the Respondent, and then seek the approval of the Vice President for Academic Affairs. The Vice President shall apprise the Vice President for Academic Affairs of all information in the possession of the Vice President which bears on this determination. The Charging Party and/or the Respondent may, in writing, request the Vice President for Academic Affairs to require that the Inquiry be conducted by a Committee; the request must state the reasons for which it is made and must be filed within two working days of the Vice President's notice. If the Vice President for Academic Affairs or his/her designee concludes that the reasons for using a Committee outweigh the reasons against using a Committee, he/she shall direct the appointment of a Committee. The Vice President for Academic Affairs' determination shall be made within seven working days of the request.

5.3The Vice President shall notify the Respondent that an Inquiry has been convened, the general nature of the allegations, and whether the Inquiry is to be conducted by Committee or by the Vice President. If the Inquiry is to be conducted by Committee, the Vice President shall appoint a Committee of Inquiry consisting of not fewer than three individuals, of whom at least two shall be faculty. If the Committee consists of more than three individuals, at least two-thirds shall be faculty. The Committee shall not include administrators or faculty with appointments in the department of either the Charging Party or the Respondent, or in any department directly involved in the procedure. If the Charging Party's college and/or the Respondent's college is a non-departmentalized college, the Committee shall not include faculty with appointments in the college(s) of the Charging Party and/or Respondent. The members of the Committee shall have appropriate expertise for evaluating information relevant to the case.

5.4The members of the Committee shall have no real or apparent conflict of interest bearing on the case. The Charging Party and the Respondent shall be notified of the membership of the Committee, and shall be requested to notify the Vice President of any conflict of interest of which they may be aware. The Vice President shall excuse any member of the Committee who has a conflict or apparent conflict of interest from participation in the Inquiry. The Vice President may appoint a replacement to the Committee of Inquiry, but need not do so unless the membership of the Committee would be reduced to fewer than three individuals. If the Vice President does not appoint a replacement, the remaining members shall constitute the Committee.

5.5References hereafter to "the Committee" shall be deemed to include the Vice President acting as a Committee.

5.6The Committee shall meet in closed session and shall strive to protect the identity of the Charging Party. However, the Committee cannot ensure that such anonymity will be preserved, particularly if the nature of the allegations depends upon the observations or statements of the Charging Party, or if the testimony of the Charging Party is necessary to the substantiation of the allegations. Neither the name of the Charging Party nor the name of the Respondent shall be released to third parties unconnected with the Inquiry, except as may be required by law. No member of the Committee shall discuss the proceedings with any third party during the course of the Inquiry, except as may be necessary to conduct the proceeding.

5.7The Committee may request that it be furnished material relevant to the Inquiry, and may request that individuals appear before the Committee. If the Respondent appears before the Committee, he/she may be represented by an attorney or other advisor. The role of the attorney or advisor shall be limited to counselling and assisting the Respondent.

5.8Fact-finding sessions of the Committee shall be tape recorded or otherwise recorded. Deliberative sessions shall not be recorded.

5.9The Vice President shall assist the Committee in obtaining resources to assist in the effective pursuit of the Inquiry. This may include experts or consultants from outside the University. The Committee shall not be bound by formal rules of evidence.

5.10University administrators, faculty, staff and students are expected to cooperate with the Vice President and the Committee of Inquiry. If the Committee of Inquiry determines that it is or will be unable to reach a decision because of the absence of such cooperation on the part of the Respondent, it shall so inform the Vice President, who shall thereupon convene an Investigation.

5.11The Inquiry is to be concluded within 60 days, unless circumstances clearly warrant a longer period. Any extension of time must be approved by the Vice President. If the Inquiry involves PHS sponsored research, the Vice President may shorten the period of time allotted to the Committee in order to comply with applicable time constraints.

5.12At the conclusion of the Inquiry, a written report shall be prepared by the Committee and presented to the Vice President. The report shall identify the evidence considered, including relevant interviews, and set forth the findings and conclusions of the Inquiry. The Respondent will be given a copy of the report and shall have up to 10 calendar days to submit comments. Comments, if submitted, shall become a part of the Committee records. If the Vice President conducts the Inquiry, he/she shall prepare the report.

5.13Results of the Inquiry shall be kept confidential by the Committee. All documents or other relevant data considered by the members of the Committee of Inquiry shall be turned over to the Vice President upon the conclusion of the Inquiry. In order further to protect the confidentiality and security of the Committee's records, all materials shall be kept by the Vice President during the course of the Inquiry when not in use. Records of an Inquiry involving PHS sponsored research may be provided to authorized individuals as required by law.

5.14If the Inquiry does not produce sufficient evidence of scientific misconduct to warrant further investigation, the Vice President shall so notify the Charging Party, the Respondent and other individuals to whom the identity of the Respondent was disclosed by the Committee during the course of the Inquiry. At the request of the Respondent, the Vice President may also inform other persons involved in the Inquiry to whom the Respondent's identity was disclosed. Records of the Inquiry shall be preserved in a confidential manner, and shall be retained for a minimum of three years.

5.15If the Committee of Inquiry concludes both that the allegations are unfounded, and that they were made maliciously or in bad faith, it may recommend that disciplinary action be taken against the Charging Party. However, if the allegations were not made maliciously or in bad faith, no disciplinary action may be taken, even if the allegations are unfounded.

6.0 The Investigation

6.1If the Committee of Inquiry determines that there is sufficient evidence of misconduct to warrant further investigation, the Vice President shall inform the Charging Party and the Respondent that an investigation will be undertaken. If required by law, he/she shall so inform the agency sponsoring the research. The Vice President shall also inform the President, the Vice President for Academic Affairs, and such other senior officials within the University as the Vice President may deem appropriate.

6.2If the alleged misconduct involves PHS sponsored research, the Vice President shall also notify the Director of the Office of Research Integrity of the National Institutes of Health. The notification shall include the name of the Respondent, the general nature of the allegation, and the PHS application or grant number involved. Such notice shall be given on or before the date the Investigation begins.

6.3The Vice President shall appoint an Investigating Committee of no fewer than three, of whom two shall be tenured faculty who hold no appointment in the department of either the Charging Party or the Respondent, or in any department directly involved in the procedure. If the Charging Party's college and/or the Respondent's college is a non departmentalized college, the Committee shall not include faculty with appointments in the college(s) of the Charging Party and/or Respondent. The members of the committee shall have appropriate expertise for evaluating the information relevant to the case. If the Committee of Investigation consists of more than three individuals, at least two-thirds shall be faculty. Members of the Committee of Inquiry may be appointed to the Investigating Committee. If appropriate, the Vice President may appoint one member to the Investigating Committee who is not associated with the University. The Investigating Committee shall be appointed within thirty days from the date of the report of the Committee of Inquiry.

6.4The members of the Committee shall have no real or apparent conflict of interest bearing on the case. The Charging Party and the Respondent shall be notified of the membership of the Committee, and shall be requested to notify the Vice President of any conflict of interest of which they may be aware. The Vice President shall excuse any member of the Committee who has a conflict or apparent conflict of interest from participation in the Investigation. The Vice President may appoint a replacement to the Committee, but need not do so unless the membership of the Committee would be reduced to fewer than three individuals. If the Vice President does not appoint a replacement, the remaining members shall constitute the Committee.

6.5The Investigating Committee shall undertake a thorough examination and evaluation of all relevant facts to determine whether misconduct has occurred, and if so, to make a recommendation as to the appropriate sanction. University administrators, faculty, staff and students are expected to cooperate with the Vice President and the Investigating Committee. The Vice President shall assist the Committee in obtaining necessary and appropriate expertise to carry out a thorough and authoritative evaluation of the relevant evidence. This may include experts or consultants from outside the University.

6.6The Investigating Committee shall be provided with copies of the report of the Committee of Inquiry and shall have access to all materials compiled by that Committee during the course of its Investigation. The Investigating Committee may request additional material, receive evidence, and call and hear witnesses. The Respondent shall have the right to appear before the Committee to offer testimony, and may be represented by an attorney or other advisor. The role of the attorney or advisor shall be limited to counselling and assisting the Respondent. The Investigating Committee shall not be bound by formal rules of evidence.

6.7Meetings of the Committee shall normally be conducted in closed session. Every reasonable effort shall be made to preserve the confidentiality of the proceedings, including the identity of the Charging Party and the Respondent, from third parties. However, the Respondent shall be entitled to know the identity of the Charging Party at this stage of the proceeding.

6.8Fact-finding sessions of the Investigating Committee shall be tape recorded or otherwise recorded. Deliberative sessions shall not be recorded.

6.9Upon completion of the Investigation, the Committee shall prepare a written report of its findings. The report shall identify the policies and procedures under which the Investigation was conducted, how and from whom information was obtained relevant to the Investigation, the Committee's findings and the basis for its findings. If the Committee finds that the Respondent has engaged in misconduct, the report shall also include the text or an accurate summary of the Respondent's views. The report shall include recommendations as to appropriate disciplinary action, and as to appropriate measures to remediate the consequences of the misconduct.

6.10The Vice President shall furnish a copy of the report to the Respondent, and shall afford the Respondent the opportunity to respond. If the Investigation involves PHS sponsored research, the Vice President shall send a copy of the report to the Office of Research Integrity, and shall also indicate what sanctions, if any, have been taken against the Respondent. The Charging Party shall be provided with those portions of the report that address his or her role or opinions.

6.11Every effort should be made to complete the Investigation within 90 days. If it appears that this deadline cannot be met, the Investigating Committee shall compile a progress report, identifying the reasons for delay, and requesting an extension from the Vice President. If the Investigation pertains to PHS sponsored research, the Vice President shall convey the request to the Office of Research Integrity or other appropriate funding agency, together with such other information as may be required by law, at such intervals as may be required by the agency.

6.12Records of the Investigating Committee and the Committee of Inquiry shall be preserved for a minimum period of three years. Except as provided by law or as otherwise set forth in these provisions, the confidentiality of such records shall be maintained. If the Committee makes a finding of scientific misconduct, the records shall be preserved for at least three years from the effective date of any resulting sanctions.

7.0 The Resolution

7.1Finding of No Scientific Misconduct

If the Investigating Committee finds that scientific misconduct has not occurred, all research sponsors and all others initially informed of the Investigation shall promptly be so informed. If the Investigating Committee finds both that the allegations were unfounded and that they were motivated by malice or bad faith, it may recommend that disciplinary action be taken against the Charging Party. The Investigating Committee's recommendation that disciplinary actions be taken against the Charging Party must be based at least in part on information that was not available to the Committee of Inquiry. If the allegation, however unfounded, is deemed to have been made in good faith, no disciplinary action may be taken.

In further publicizing the findings of the Committee, the Vice President shall primarily be guided by the wishes of the Respondent and by whether a public announcement would be harmful or beneficial in restoring any damage done to the reputation of the Respondent and the University.

7.2Finding of Scientific Misconduct

If the Committee finds that the allegations of misconduct are supported by the evidence, the Vice President shall so inform all research sponsors or other entities initially informed of the Investigation. The Vice President shall notify such public agencies as may be required by law. In addition, the Vice President may notify other sponsoring agencies, coauthors, collaborators, or such other third parties as may have been affected by the misconduct. In considering how and to whom such notice should be given, the Vice President shall take into account the recommendations of the Committee.

The Vice President may notify the dean of the school or college in which the Respondent holds appointment, the Respondent's department chair, and such other faculty and administrators within the University as he/she deems appropriate. 8.0New Evidence

8.1If new evidence of a highly probative nature, which it was not possible to provide earlier, becomes available to a Charging Party and/or a Respondent after the finding of the Investigating Committee has been completed, the Charging Party and/or the Respondent may, within 30 days of the final report of the Investigating Committee, request the Vice President to cause the case to be reopened. The request must fully state the reasons for which it is made, must describe the new evidence in detail, and must convincingly explain why it was not possible to produce the new evidence earlier. The Vice President shall respond within seven working days. If he/she declines to reopen the case, the Charging Party and/or the Respondent may, in writing, and with a copy to the Vice President, request the Vice President for Academic Affairs to require that the case be reopened; the request must fully state the reasons for which it is made, must describe the new evidence in detail, must convincingly explain why it was not possible to produce the new evidence earlier, and must be filed within two working days of the Vice President's response. The Vice President shall immediately apprise the Vice President for Academic Affairs of the Vice President's reasons for declining to reopen the case. If the Vice President for Academic Affairs or her/his designee concludes that the reasons for reopening outweigh the reasons against reopening, she/he shall direct reopening. The Vice President for Academic Affairs' decision shall be made within seven working days of the request. Proceedings pursuant to this section shall not delay any other University action, including the processing of any appeal that may be filed pursuant to section 10.0.

9.0 Further Proceedings

9.1The Vice President shall notify the President, the Vice President for Academic Affairs, and such other senior administrators as may be appropriate of any finding of scientific misconduct. If the Investigating Committee recommends a sanction of dismissal, demotion, or terminal appointment, or if in the opinion of the Vice President the misconduct is of sufficient severity to warrant consideration of such sanctions, the Vice President shall so indicate.

1.If the Respondent is tenured, further proceedings may be brought pursuant to the tenure statute.

2.If the Respondent is not tenured, further proceedings shall be governed by applicable University policies.

3.After consultation with the Vice President for Academic Affairs and such other senior administrative officials as may be appropriate, the Vice President may also take such actions as are within his/her authority regarding existing and future grants and grant applications by the Respondent.

4.If there has been a finding that the allegations were unfounded and that the Charging Party brought charges in bad faith, further proceedings shall be governed by the applicable University policy.

5.The pendency of an appeal under section 10.0 shall not serve to stay proceedings under this section.

9.2The final reports of the Investigating Committee and the Committee of Inquiry may be made available for use in proceedings under this section. Other materials from the Investigation or Inquiry may be made available only after review and approval by the Office of the General Counsel, and with due consideration for the protection of the privacy rights of third parties. The results of an Investigation involving PHS sponsored research may be made available to appropriate officials in accordance with the law.

10.0 Appeals

10.1The Respondent may appeal the Committee's finding of scientific misconduct and recommendations as to appropriate disciplinary action to the Vice President for Academic Affairs. If the Respondent desires to appeal, the Respondent must file a written Notice of Appeal with the Vice President for Academic Affairs and the Vice President for Research within 30 days of the date of the final report of the Investigating Committee.

10.2Notwithstanding the pendency of such appeal, the University shall provide notification of the finding of scientific misconduct to the Office of Research Integrity and to such other agencies, organizations, and individuals as required by law. Unless more than 30 days have elapsed since the Committee's finding, or unless the Respondent has informed the Vice President for Academic Affairs that he/she does not intend to appeal, such notice shall include the following:

(1) that University policy provides the Respondent with the right of further appeal;

(2) that the time period by which the Respondent must appeal has not yet elapsed, or that the Respondent has appealed;

(3) that until the appeal has been decided, or the time period for such appeal has elapsed, the report of the Investigating Committee is being submitted as an interim report;

(4) that the University requests an extension of time to submit the final report until the appeal has been decided or the time period for appeal has elapsed.

10.3The Notice of Appeal shall be in the form of a written submission to the Vice President for Academic Affairs. Respondent shall have 30 days from the date of the Notice of Appeal in which to submit written argument in support of his/her appeal. Upon a showing of good cause by the Respondent, this period may be extended by the Vice President for Academic Affairs. The submission shall identify specific elements or portions of the final report which the Respondent believes to be in error. Factual materials not previously made available to the Committee of Inquiry or the Investigating Committee may not be presented and will not be considered.

10.4The Respondent may also file a Request for Postponement which, if granted, would have the effect of delaying other notifications as provided by section 7.2 pending disposition of the appeal. Such request shall be filed with the Vice President for Academic Affairs and the Vice President within 10 days of the date of the final report, and shall include such reasons as the Respondent believes demonstrate good cause for the proposed delay. Upon receipt of the Request, the Vice President for Academic Affairs shall consult with the Vice President for Research. Unless the Vice President for Academic Affairs concludes that the injury caused to the Respondent by proceeding with the notifications would outweigh the injury to the University or to third parties that would result from delaying such notification, such notification shall be provided.

10.5The Vice President for Academic Affairs may affirm, reverse, or modify the final report. Among the options available to the Vice President for Academic Affairs is the option to increase or decrease the recommended sanctions. The Provost shall notify the Respondent, the Vice President for Research, and the Charging Party of his/her decision within a reasonable time.

10.6Notification of the results of the outcome of the appeal shall also be provided to the Office of Research Integrity and to any agencies, organizations, and individuals which may have received prior notice of the finding of scientific misconduct. If notification has been delayed pending appeal, notification shall be provided as set forth in section 7.2.

11.0 Interim Actions

11.1If, at any stage of an Inquiry or the Investigation pertaining to PHS sponsored research, it is determined that:

1.there is an immediate health hazard;

2.there is a reasonable indication of possible criminal violation;

3.there is an immediate need to protect the interests of the Charging Party or the Respondent, or his/her co-investigators or associates;

4.there is an immediate need to protect federal funds or equipment; or

5.it is probable that the alleged incident is going to be reported publicly;

the Vice President shall, after consultation with the Office of the General Counsel, so notify the Office of Research Integrity. In the case of possible criminal violation, such notification shall be made within 24 hours after the existence of a possible criminal violation has been ascertained.

11.2Notwithstanding the source of sponsorship, the Vice President may take such additional actions as may be appropriate to address the immediate danger, to comply with applicable federal or state law, or to protect the interests of the University.

12.0 Notification

12.1The Vice President shall notify faculty and staff, including both scientific and administrative staff, of the existence of these policies and procedures, and of the importance of compliance with them.

(Adapted from Executive Order 89-4)

heber508.60 / WPC
09/05/95