Faculty and Researchers
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Rice University Research Policy No. 324-00
RESEARCH MISCONDUCT
APPLIES TO ALL RICE UNIVERSITY
As an institution of higher learning, Rice University expects all its members to maintain the highest standards of conduct in pursuing research activities. Any form of research fraud or misconduct is contrary to the principles upon which this University was founded and adversely affects the reputation of all individuals in the Rice community. Moreover, since the University receives considerable external funding to support research, it has a responsibility to inform those participating in sponsored research activities of the funding agencies' research misconduct policies.
The purpose of this policy statement is to reaffirm the commitment of Rice University to the highest principles of integrity in all its research activities, to identify general types of research misconduct, and to set in place mechanisms to deal with alleged violations of these principles.
INTELLECTUAL INTEGRITY - The maintenance of high ethical standards is central to effective research undertaken in the pursuit of truth. Such integrity demands the valid collection and accurate reporting of data. It respects the ideas and rights of others and abhors the unauthorized use of their data and the abuse of animal and human subjects. These principles of intellectual integrity are embraced by the entire Rice community: its faculty, staff, and students regardless of whether or not the research is funded by external sources. Moreover, these principles of intellectual integrity apply to all scholarly and professional activities of this community.
RESEARCH MISCONDUCT - Research misconduct may include the fabrication/ falsification of data, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, reviewing, or reporting research. It also encompasses the failure to comply with federal requirements for protecting researchers, human and animal subjects, and the public. In general, gross negligence of research standards and any action taken with the intent to defraud are considered forms of research misconduct. It does not, however, include honest error or honest differences in interpreting or judging data.
ENFORCEMENT - The primary responsibility for maintaining high standards of conduct lies with the individual researcher. Nevertheless, since research misconduct is a very serious offense, the University will also take appropriate steps to see that it does not occur. These steps are discussed under the titles of allegation, inquiry, investigation, reporting, and punishment.
a. Allegation - Any report of alleged misconduct must be presented in writing to the Vice Provost for Research and Graduate Studies (the "Vice Provost") who will keep in confidence the name of the person bringing the charge.
b. Inquiry - Upon receipt of an allegation of research misconduct, the Vice- Provost will promptly initiate a discreet, confidential inquiry to be completed within 60 calendar days. After this preliminary inquiry, the Vice- Provost will assess the validity of the allegation. If the supporting information is not sufficient to substantiate the allegation, the investigation will cease. In such an event, all the material leading to the decision must be kept on file for at least three years.
c. Investigation - If the Vice- Provost concludes that the allegation has substance, the Vice- Provost will, in writing, inform the Provost who will decide if a formal investigation is warranted. If the answer is yes, the Provost will notify the alleged offender in writing of the allegation and of his/her rights to defend against the allegations. One of three courses of action will follow:
1. If the alleged offender is a faculty member, the President will determine whether to initiate proceedings under Policy 201-97, Section 8, to consider dismissal or a sanction against the accused faculty member. The procedures to be followed shall be those outlined in the Faculty Council's Procedure for Investigating Accusations Warranting Severe Sanctions, Including Dismissal, Against Faculty Members. If the President concludes that the alleged misconduct, if true, would justify a minor sanction; the President will refer the matter to the faculty member's dean.
2. When a staff member is accused, the Provost will inform the person's supervisor who will investigate the allegation and take appropriate action. Accused staff members may appeal any decision through the usual grievance procedures prescribed in Policy 429-96.
3. Should the accused be a student, the Provost will submit the matter to the Dean of Students who will present the case either to the Honor Council or University Court as circumstances warrant. If the alleged student's misconduct involves federally sponsored research, the Dean of Students will impanel an ad hoc committee of impartial experts to deal with the allegation.
In all cases the investigative person or group must submit a written report to the President detailing their findings within 60 calendar days.
d. Reporting - If the alleged misconduct involves scholarly activities where funding has been requested or received from federal sources, certain types of reporting may be required by the sponsoring agency. The Vice- Provost is responsible for reporting the results of an inquiry or investigation as may be required.
e. Punishment - Acting in response to reports submitted in Section c., and in the case of faculty after consideration of appropriate appeals to the Appeals Committee of the Faculty Council, the President of the University will decide whether disciplinary action, up to and including dismissal, should be assessed. The Vice- Provost will also report the punishment as may be required by law.
DISTRIBUTION - All faculty, students, and staff involved in research activities will be notified of this policy.
Policy 324-00, dated April 27, 2000
Issued: March 17, 1989
Revised: February 23, 1990
Revised: October 15, 1999
Revised: April 27, 2000