Policy on Misconduct in Science
RESEARCH MISCONDUCT PROCEDURE
(Annual Report FILED 3-1-01)

The University of Wyoming is committed to integrity in research and will deal promptly and fairly with any allegation of misconduct in research pursuant to the following procedures administered by the Vice President for Research. For purposes of this procedure, 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; but not including honest error or honest differences in interpretations or judgments of data.

In conjunction with the procedures outlined in this policy, the Vice President for Research is responsible for complying with applicable Federal regulations, including notifying sponsoring agencies at the appropriate time and keeping Committees of Inquiry and committees of Investigation well informed with respect to the requirements of these agencies.

 INITIAL ALLEGATIONS

Questions about, or suspicions of, misconduct in research should be brought to the attention of the Vice President for Research for confidential counseling and possible informal resolution. Official allegations of misconduct shall be presented to the Vice President for Research in writing. Anonymous reports will not be accepted. The Vice President for Research will acknowledge allegations in writing to the charging party.

After a review of the allegation, the Vice President for Research must decide within 15 days whether committee of Inquiry is needed and, if so, establish such a committee promptly. The charging party must be informed, in writing, of the decision. If a decision is made to establish a Committee of Inquiry, the party charged must be informed in writing of the allegation, advised of the initiation of the inquiry process, and asked to provide information. The Vice President for Research shall consult with the appropriate dean or director in reaching any decision to establish a Committee of Inquiry.

 COMMITTEE OF INQUIRY

The Vice President for Research shall appoint a three-member Committee of Inquiry. Committee members should be faculty or staff who, in the judgment of the Vice President for Research, have the appropriate seniority and knowledge to assess the alleged misconduct and do not have a conflict of interest that would interfere with an objective review. In the event the Vice President for Research determines that no member of the University community possesses sufficient specialized knowledge in the field of the research being charged, or is eligible to serve, one scholar from outside the University may be substituted on the Committee.

The Vice President for Research shall charge, in writing, the Committee of Inquiry to conduct a discreet inquiry based on separate communications with the parties. The purpose of the inquiry is to determine if there is reason to believe that misconduct has occurred. The inquiry should be limited to activities necessary to determine whether to recommend a formal investigation. The identities of the parties will be kept confidential by members of the Committee, if possible.

The Committee of Inquiry has 30 days to conduct the inquiry. If the inquiry cannot be reasonably completed within 30 days, the Committee may request an extension of up to 30 days from the Vice President for Research. If a majority of the committee of Inquiry recommend that a formal investigation be conducted, the Vice President for Research must establish a Committee of Investigation. If only a minority of the Committee of Inquiry recommend a formal investigation, the Vice President for Research may either dismiss the allegation or establish a Committee of Investigation. In the event the committee of Inquiry determines that the allegations have been made in a capricious or malicious manner, they will report this to the Vice President for Research for appropriate action.

When a decision is made to establish a Committee of Investigation, the party charged must be informed of the identity of the charging party and given 15 days to respond prior to initiating the investigation. Sponsoring agencies shall be informed if appropriate or mandated.

 COMMITTEE OF INVESTIGATION

The Committee of Investigation will have five members. The Vice President for Research will appoint three members, one of whom was a member of the committee of Inquiry. The Chairs of the University Research Coordination Committee and the Faculty Senate will each appoint one member.

The Vice President for Research shall charge, in writing, the Committee of Investigation to conduct a thorough investigation of the allegation. The Committee should have access to all persons and information needed to determine the extent to which misconduct has occurred. Otherwise, the investigation should be as confidential as possible.

The Committee of Investigation has 90 days to complete the investigation. If the investigation cannot be reasonably completed within 90 days, the Committee may request an extension of up to 30 days from the Vice President for Research.

The Committee of Investigation will prepare a written report which thoroughly documents the extent to which misconduct has occurred. This report will be given to the Vice President for Research and to the parties. In addition, the committee of Investigation may recommend to the vice President for Research a course of action based on their findings.

 APPEAL

The parties have 30 days following the receipt of the report from the Committee of Investigation to file an appeal of the findings of the committee with the President, whose decision shall be final.

 DETERMINATION OF ACTION

Based on the report and following any appeal therefrom, the Vice President for Research will determine and take appropriate action which, in addition to notification to funding agencies, journals, and co-authors, may include specific sanctions or referral to the cognizant University officer for disciplinary action. Imposition of sanctions or disciplinary actions shall be pursuant to University procedures relating to grievances or appeals and pursuant to any hearings or appeals accorded to individuals subject to dismissal for cause.

If you have any questions about this Web page please send comments to rparrish@uwyo.edu
Revised: April 16, 2008.