Ohio Administrative Code › Title 3364 - University of Toledo › Chapter 3364-70 - Research Protection and Practices › Section 3364-70-21 - Policy on integrity in research and procedures for investigating allegations of research misconduct

Current through all regulations passed and filed through July 1, 2024
(A)
								Policy
			 statement
It is a fundamental responsibility of
				the university to maintain the public trust in research and scholarly activity.
				We hold our researchers to high standards of research integrity.
(B)
								
			 Purpose of policy
The purpose of this document is to (1)
				provide a statement on integrity in research and scholarship; (2) describe the
				responsibilities of research personnel, administrators, and others in the
				academic community; and (3) set forth both swift and fair procedures for
				handling instances of alleged misconduct in research.
(C)
								Scope
This policy applies regardless of the
				source of funding (if any) for all research and scholarship conducted within
				the university community. This policy applies to all members of the university
				community involved in research and scholarship, including faculty or staff on
				leave without pay. These procedures apply to students only when acting in their
				employment or research service capacity or if they are involved in federally
				supported research or scholarship. If the respondent is no longer employed by
				the university, these procedures may nonetheless be used as a means of
				ascertaining the culpability of the respondent and maintaining the integrity of
				university research and scholarship. The research integrity officer ("RIO") and
				leadership must follow the requirements of any applicable funding agency or
				agreement when making this decision.
This statement of policy and procedures
				does not apply to authorship or collaboration disputes (unless as defined in
				(D) (2) of this rule) nor to offenses relating to instruction or course
				materials that are limited to dissemination to university of Toledo students.
				Authorship guidelines are addressed in rule 336470-02 of the Administrative
				Code (responsible conduct of scholarship and research).
(D)
								
			 Definitions
(1)
									
			 Research: As defined in
			 45 C.F.R.
			 46.102, research means "a systematic
			 investigation, including research development, testing and evaluation, designed
			 to develop or contribute to generalizable knowledge." Scholarship is defined as
			 the practice of advancing, preserving and disseminating knowledge and thought
			 through study, reflection, and engagement that extends beyond traditional
			 instructional activities. Research and scholarship are used interchangeably in
			 this document.
(2)
									Research misconduct:
(a)
										Research
			 misconduct is fabrication, falsification, or plagiarism in proposing,
			 performing, or reviewing research or scholarship, or in reporting research or
			 scholarship results.
(i)
											Fabrication is making up data or results and recording
			 or reporting them.
(ii)
											Falsification is manipulating research materials,
			 equipment, or processes, or changing or omitting data or results such that the
			 research is not accurately represented in the research record.
(iii)
											Plagiarism is
			 the appropriation of another person's ideas, processes, results, or words
			 without giving appropriate credit.
(iv)
											Deliberate
			 violation of regulations is research misconduct and includes flagrant failure
			 to adhere to or receive the required approvals for work under regulations of
			 federal, state or local agencies, or university policies. Examples include, but
			 are not limited to, guidelines for: protection of human and animal subjects,
			 use of hazardous chemicals, biologicals, radioactive materials, and export
			 controlled research.
(b)
										Research
			 misconduct does not include honest error or differences of
			 opinion.
(c)
										A finding of misconduct requires that there be a
			 significant departure from accepted practices of the relevant research
			 community. The misconduct must be committed intentionally, knowingly, or
			 recklessly; and the allegation be proven by a preponderance of the
			 evidence.
(3)
									Preponderance of the evidence means proof by
			 information that, compared with that opposing it, leads to the conclusion that
			 the fact at issue is more probably true than not (from
			 42 CFR
			 93.219) .
(4)
									Complainant: the
			 individual(s) bringing forward an allegation of research
			 misconduct.
(5)
									Respondent: the person against whom an allegation of
			 research misconduct is directed or is the subject of a research misconduct
			 proceeding.
(6)
									Allegation: the initial claim or assertion that
			 individual(s) may have participated in research misconduct.
(7)
									Allegation
			 assessment: Preliminary determination of whether an allegation is within the
			 scope of this policy and is sufficiently credible and specific so that
			 potential evidence of research misconduct may be identified.
(8)
									Inquiry: the
			 process that makes a preliminary evaluation (not concluding whether research
			 misconduct has occurred) of the available evidence and information from the
			 respondent, the complainant, and key witnesses to determine whether there is
			 sufficient evidence of possible research misconduct to warrant an
			 investigation.
(9)
									Investigation: the formal examination and evaluation of
			 all relevant facts to determine if misconduct has occurred, by whom and to what
			 extent.
(10)
									Research integrity officer ("RIO"): The RIO is the
			 institutional officer who will have primary responsibility for implementation
			 of the institution's policies and procedures on research misconduct. The
			 president or his/her designee is responsible for appointing the
			 RIO.
(11)
									Deciding official ("DO"): the institutional official
			 who makes final determinations on allegations of research misconduct and any
			 institutional administrative actions and is the provost. When the provost
			 cannot serve as DO, for example due to a conflict of interest, the president
			 shall appoint a DO. The DO and RIO will be separate
			 individuals.
(12)
									Senior faculty: is a faculty member who has either (i)
			 achieved tenure in a tenure track position or (ii) has achieved the rank of
			 associate or full professor in a tenure track eligible position or (iii) has a
			 minimum of five years' of professional experience in a clinical position with a
			 demonstrated record of research/scholarly activities.