Important Note: This is a summary of the full policy applicable to federal grants, copies of which are available from the Academic Funding Office and the Provost's Office. Funded investigators will be furnished with copies of the full policy, which aims to comply in full with regulations of the Public Health Service, CFR 50.101-105.

Definition

Misconduct in scientific research is defined by the Public Health Service as follows:

Fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conduction, or reporting research. Misconduct does not include honest error or honest differences in interpretation or judgement of data.

"Misconduct" means (1) fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, or reporting results from research, (2) material failure to comply with Federal requirements for protection of researchers, human subjects, or the public or for ensuring the welfare of laboratory animals, or (3) failure to meet other material legal requirements governing research.

1) Allegations of scholarly misconduct or dishonesty shall be directed to the Provost, who will make an initial, informal inquiry to assure that they are not frivolous and to ascertain whether they do in fact affect or involve governmentally funded personnel or projects.

2) If governmentally funded activities are involved, the academic funding officer will initiate contact with appropriate agencies as required in federal or state regulations, and all steps to follow will be conducted in accordance with applicable regulations, superseding the steps outlined here.

3) The Provost will pursue inquiry by designating an inquiry chair and seek two (2) tenured full professors in appropriate disciplines from Ithaca and one (1) from Cornell or another research institution to assist in the inquiry. The composition of the committee may be varied if the Provost deems it necessary to assure appropriate expertise and to avoid apparent or actual conflicts of interest.

4) Operating confidentially, the inquiry committee may require any records they deem necessary from the investigators accused of misconduct; may request that a procedure be repeated or demonstrated; and may recommend to the Provost other necessary steps, including repetition of a procedure by an outside investigator. Their aim will be to determine, first, whether misconduct occurred; second, to recommend further action or investigation to the Provost; third, to issue a written report.

5) In instances where clarifications of professional credit, repetition of poorly documented work, or other steps may be acceptable to all parties as a way of removing the allegation, the inquiry committee may, under the Provost's direction, act in a mediating role.

6) In the event misconduct in governmentally funded research appears to have occurred, the Provost will recommend to the President appropriate action with respect to external funders, further investigation that may seem warranted, including steps toward criminal investigation if necessary, and disciplinary steps to be initiated against the investigator.

7) All steps described herein will be conducted so as to comply with the Health and Human Services guidelines as closely as possible; an inquiry will be completed within 60 days of receipt of an allegation of misconduct in governmentally supported research. If sufficient basis for investigation into possible scientific misconduct exists, that investigation will be initiated within 30 days of the inquiry report, and will be completed within 120 days. The College will act to prevent health hazards, to protect individuals, and to safeguard federal funds and equipment. It will take steps to notify the Office of Research Integrity at each appropriate juncture, and will notify external funders within 24 hours of any indication of possible criminal violations.

8) Additional steps will be taken as necessary to meet procedural requirements of the federal or state funding agency, for it is the intention of the College to assure full compliance with federal and related state regulations, as well as to assure scientific integrity.

9) Throughout the above steps, the College will seek to protect and preserve the reputation and positions of those who have made allegations of misconduct in good faith, and also the reputations and positions of those who have been the object of allegations found to be false. Accusers and the accused will have appropriate opportunities to respond to findings; a good faith effort will be made to keep the procedures of inquiry and identities of those involved confidential.

Maintained by Denise Vanderburgh (dvanderburgh@ithaca.edu)
Office of Academic Funding and Sponsored Programs

Last updated 1 May 2007