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The University of Southern Mississippi is dedicated to
the pursuit of truth in its research, scholarly, creative,
and sponsored program activities. Integrity and the highest
standards of ethical behavior on the part of every member
of the university family must characterize these endeavors,
lest the public trust placed in the university be compromised.
Misconduct in research, scholarly, creative, or sponsored
activities is prohibited at the university, and all allegations
of such misconduct will be investigated thoroughly and
resolved promptly. Violation of this policy will be considered
a serious breach of trust and conduct, and disciplinary
action will be taken. Such action may include, but is
not limited to, dismissal from the University or termination
of employment.
Every member of the university family has the responsibility
to abide by this policy and to report violations when
they are known or suspected to have occurred. Frivolous
or malicious accusations, however, will be considered
acts of misconduct themselves and will be subject to possible
disciplinary action under this policy.
Misconduct as used herein is defined as
- fabrication, falsification, plagiarism, deception, or other practices that
seriously deviate from accepted practices in proposing, conducting, or reporting
research, scholarly, creative, or other sponsored program activities;
- material failure to comply with University requirements for the protection
of researchers, human subjects, or the general public or for ensuring the welfare
of laboratory animals;
- material failure to protect the environment; or
- failure to meet other material legal requirements governing research, scholarly,
creative, or other sponsored program activities.
University family as used herein is defined as a member
of the administration, faculty, staff, orstudent body
engaged in research, scholarly, creative, or sponsored
program activities of the University.
University Research Ombudsperson as used herein is defined
as a senior member of the faculty who shall be appointed
by the Vice President for Research to serve for a period
of not less than two (2) years as the official within
the University to receive allegations of misconduct in
research, scholarly, creative, or sponsored program activities
lodged against a member of the University family. The
University Research Ombudsperson shall be responsible
for keeping the Vice President for Research and Planning
fully informed of all allegations of misconduct and for
the security of all documents pertaining to allegations,
inquiries, and investigations of misconduct.
Inquiry as used herein means information-gathering and
initial fact-finding to determine whether an allegation
or apparent instance of misconduct warrants an investigation.
Investigation as used herein means a formal examination
and evaluation of all relevant facts to determine if
misconduct has occurred.
Board of Inquiry as used herein refers to an ad hoc panel
of at least three (3) faculty or staff members that shall
be appointed by the Vice President for Research in consultation
with the Chair of the University Research Council to
determine whether sufficient evidence exists to warrant
a formal investigation of alleged misconduct by a member
of the University family.
Board of Investigation as used herein refers to an ad
hoc panel of at least five (5) faculty or staff members
that shall be appointed by the Vice President for Research
in consultation with the Chair of the University Research
Council to conduct an investigation into the alleged
misconduct of a member of the University family.
Complainant as used herein refers to the individual(s)
alleging that an act of misconduct has been made.
All records of allegations, evidence, and proceedings
shall be treated as confidential materials to the extent
permitted by law and shall be maintained in a secure
manner in the Office of the Vice President for Research.
It should be noted, however, that various external funding
agencies require notice from the University of investigation
of any alleged acts of misconduct. The University of
Southern Mississippi will comply with such agency requirements.
Procedures established at The University of Southern
Mississippi for handling accusations of misconduct are
also designed to involve as few individuals as is reasonable
to assure prompt and fair resolution of such cases while
maintaining confidentiality and to avoid possible harm
to the character and reputation of innocent individuals.
Anyone having reason to believe that a member of the
administration, faculty, staff, or student body has committed
an act of misconduct in a research, scholarly, creative,
or sponsored program activity should first consult informally
with the University Research Ombudsperson. The University
Research Ombudsperson will review with the Complainant
the procedures involved in an inquiry and investigation
and provide him/her with the appropriate documents for
lodging the complaint in written form. The written complaint
must be signed by the Complainant and returned to the
University Research Ombudsperson. Upon receipt of the
written and signed formal complaint form, the University
Research Ombudsperson shall notify the Vice President
for Research that a formal complaint has been lodged
against a member of the University community. A copy
of the formal complaint shall also be provided to the
Vice President for Research.
The University Research Ombudsperson will monitor the
treatment of individuals who bring allegations of misconduct
to ensure that these persons will not be retaliated against
in terms and conditions of their employment or other
status at the institution. The University will undertake
diligent efforts to protect the positions and reputations
of those who, in good faith, make allegations.
An inquiry consists of information gathering and initial
fact-finding to determine whether an allegation of misconduct
warrants an investigation. Upon receipt of a signed,
formal complaint, the Vice President for Research, in
consultation with the Chair of the University Research
Council, shall appoint and ad hoc Inquiry Board consisting
of three (3) faculty members not having a conflict of
interest and who are judged to be competent to evaluate
the questions before the Inquiry Board. One of the members
of the Inquiry Board shall be appointed to serve as Chair
of the Inquiry Board. Members of the Inquiry Board should
be selected in such a manner as to provide reasonable
competence in technical matters that may impinge on the
deliberations of the Board. No member of the Inquiry
Board may have an appointment in the department of the
respondent(s) or any connection with the project of activity
associated with the alleged act of misconduct. The University
Research Ombudsperson shall serve as secretary to the
Board. All deliberations and discussions of the Inquiry
Board are to be treated in a confidential manner.
The Chair of the Inquiry Board shall notify the respondent
in writing of the allegation of misconduct, the formation
and membership of the Inquiry Board, and the nature of
the alleged act of misconduct. The administrative supervisor(s)
of the respondent will not be notified by the Chair of
the Inquiry Board of allegations against the respondent
during this phase of review; however, the respondent
is free to inform such supervisory persons at his/her
discretion. During the inquiry phase of review the identity
of the complainant will also be withheld. Should the
Inquiry Board recommend to the Vice President for Research
that a formal investigation is warranted the name of
the complainant must be divulged to the respondent.
The Inquiry Board shall meet separately with the complainant
and the respondent and shall review all necessary and
reasonable documentation to determine whether an investigation
is warranted. Refusal of the complainant to allow the
Inquiry Board to examine all pertinent documents shall
be grounds for dismissal of the complaint. Likewise,
refusal of the respondent to allow the Inquiry Board
to review necessary and pertinent documents shall be
grounds for a recommendation for a formal investigation.
While the inquiry phase is preliminary in nature, both
the respondent and the complainant will be allowed to
have representation by legal counsel. Legal counsel may
appear for the purposes of advisement of the respondent
or complainant only. Such counsel may not examine witnesses
or argue before the Board. Retention of legal counsel
shall be at the expense of the respondent or the complainant.
The University Research Ombudsperson will notify cognizant
agencies, as appropriate, at any stage of the inquiry
if any of the following conditions exist:
- there is an immediate health hazard involved;
- there is an immediate need to protect Federal funds or equipment;
- there is an immediate need to protect the interests of the person(s) making
the allegations or of the individual(s) who is the subject of the allegations
as well as his/her co-investigators and associates, if any;
- it is probable that the alleged incident is going to be reported publicly;
or
- the allegation involves a public health sensitive issue, e.g, a clinical trial;
or
- there is a reasonable indication of possible criminal violation.
In this instance the University will inform the cognizant
agency within 24 hours of obtaining that information.
If the University plans to terminate an inquiry for any
reason without completing all relevant requirements pertaining
to necessary regulations by any cognizant agency, the
University will submit a report of the planned termination
to said agency, including a description of the reasons
for the proposed termination.
The Inquiry Board shall normally take no more than thirty
(30) working days from receipt of the signed complaint
to conduct its inquiry and to determine whether an investigation
is warranted. In extenuating circumstances, additional
time may be requested by the Inquiry board, the complainant,
or the respondent. Such requests shall be forwarded to
the Vice President for Research who shall decide whether
to grant an extension of time for deliberation. If a
time extension is approved, the reason for the extension
will be entered into the records of the case and the
report. The respondent will be notified of the extension
as soon as it is approved.
Upon completion of its review, the Inquiry Board shall
make a formal written report for the Vice President for
Research. The final report shall consist of the written
complaint, the Inquiry Board’s finding, and the
Board’s justifications for its conclusions. The
Inquiry Board may conclude that
- the information collected during the inquiry does not substantiate the
complaint; therefore, no formal investigation is warranted or
- the preponderance of the information collected during the inquiry warrants
a formal investigation.
In either case, the report will include complete documentation
of the findings from the inquiry, including the names
and testimony of all witnesses. A copy of this report
will also be forwarded by certified mail to the respondent
and to the complainant by the Chair of the Inquiry Board.
The inquiry process will be conducted in a manner that
will ensure fair treatment to the respondent(s) in the
inquiry and confidentiality to the extent possible without
compromising public health and safety or thoroughly carrying
out the inquiry. The University will undertake diligent
efforts, as appropriate, to restore the reputations of
persons alleged to have engaged in misconduct when allegations
are not confirmed.
After completion of a case and all ensuring related actions,
the University Research Ombudsperson will prepare a complete
file of all records of the inquiry, including documents
and other materials furnished to the University Research
Ombudsperson and the Inquiry Board. These records will
be retained for a minimum of three (3) years after completion
of the case to permit later assessment if required. The
University will give access to appropriate cognizant
agency personnel upon request.
An investigation is a formal examination and evaluation
of all relevant facts to determine if misconduct has
occurred. Upon notification by an Inquiry board that
a formal investigation of an alleged act of misconduct
is warranted, the Vice President for Research, in consultation
with the Chair of the University Research Council, shall
appoint an Investigation Board consisting of at least
five (5) University employees not having conflicts of
interest and who are judged to be competent to evaluate
the questions before the Investigation Board. The Investigation
Board will be appointed and the process initiated within
thirty (30) days of the completion of the inquiry, if
findings from the inquiry provide a sufficient basis
for conducting an investigation. The Board and the University
will undertake diligent efforts to protect the positions
and reputations of those who, in good faith, make allegations.
In the interests of conducting a thorough and authoritative
evaluation of allegations, the Vice President may retain
external consultants when such expertise is required.
The Vice President for Research shall appoint one of
the members of the Investigation Board to serve as chair.
The University Research Ombudsperson shall serve as the
secretary of the Investigation Board. The Vice President
for Research shall notify the President of the University,
the appropriate Vice President(s), Dean, Chair, Director
(or other appropriate supervisory person), the respondent,
and the complainant that a formal investigation has been
initiated.
The University Research Ombudsperson will notify cognizant
agencies, as appropriate, at any stage of the investigation
if any of the following conditions exist:
- there is an immediate health hazard involved;
- there is an immediate need to protect Federal funds or equipment;
- there is an immediate need to protect the interests of the person(s) making
the allegations as well as his/her co-investigators and associates, if any;
- it is probable that the alleged incident is going to be reported publicly;
or
- the allegation involves a public health sensitive issue, e.g., a clinical
trial; or
- there is a reasonable indication of possible criminal violation.
In this instance, the University will inform the cognizant
agency within 24 hours of obtaining that information.
The Investigation Board shall conduct a prompt and thorough
investigation, which normally should require no more
than sixty (60) working days to complete. The investigation
will be as thorough as possible and will include examination
of all documentation, including but not limited to, relevant
research data and proposals, publications, correspondence,
memoranda of telephone calls, notes, and drawings. Complete
summaries of all interviews with individuals involved
either in making an allegation, responding to an allegation,
or providing information to the Investigation Board during
the investigation will be prepared. Such summaries will
be provided to the interviewed party for comment or revision
and will be maintained as part of the investigatory file.
If the alleged act of misconduct involves an activity
supported by external funds, the Investigation Board
shall observe appropriate granting agency requirements.
During the investigation, the respondent shall have the
right to present evidence and testimony and to question
the complainant. Legal counsel may be engaged by any
individual involved in the investigation at his/her own
expense. Retention of legal counsel shall be for the
purposes of advising his/her client only; counsel shall
not be permitted to examine witnesses or argue before
the Investigation Board.
If the University terminates an investigation for any
reason without completing all relevant requirements pertaining
to necessary regulations by any cognizant agency, the
University will submit a report of the planned termination
to said agency, including a description of the reasons
for the proposed termination.
Upon completion of the investigative phase, the Board
shall prepare a preliminary report of its findings. A
copy of the report will be forwarded to the respondent
by certified mail, return receipt requested. The respondent
shall be given a period of fourteen (14) days from the
date of receipt of the Investigation Board’s preliminary
report to respond in writing to the Board’s findings,
should he/she desire to make a response. Upon receipt
of the respondent’s written response or expiration
of the above stated response period, the Board shall
prepare its final report. If the University determines
that it will not be able to complete the investigation
within a stated time-frame as dictated by a cognizant
agency’s regulations, the University Research Ombudsperson
will submit to said agency a written request for an extension
that explains the delay, reports on the progress to date,
estimates the date of completion of the report, and describes
other necessary steps to be taken.
The Investigation Board shall submit its complete report
of the investigation to the Vice President for Research.
This report will consist of the complaint, the Investigative
Board’s finding, and any documentation thereof.
After review of these documents, the Vice President for
Research may concur with the findings of the board or
may remand the case back to the Investigation Board for
further deliberation if he/she believes that errors have
occurred or that material evidence that would affect
the findings of the Board has been overlooked. If the
case is remanded to the Board for additional deliberation,
the Board will submit its final findings to the Vice
President for Research within fourteen (14) days. When
the decision has been made on the case, the Vice President
for Research will submit the report to cognizant agencies,
as appropriate, adhering to stated time lines as required
by agency regulations. The final report will, at minimum,
describe the policies and procedures under which the
investigation was conducted, how and from whom information
was obtained relevant to the investigation, the findings,
the basis for the findings, and will include the actual
text or an accurate summary of the views of any individuals(s)
found to have engaged in misconduct, as well as a description
of any sanctions taken by the University.
If misconduct is not substantiated by a simple majority
of the Investigation Board, the Vice President for Research
shall notify, in writing, all parties to the investigation
that the respondent has been exonerated by the University
Investigation Board.
If the Board of Investigation determines that an act(s)
of misconduct has(have) occurred, the Vice President
for Research shall notify, in writing, all parties to
the investigation of the findings of the Board. The respondent
shall also be informed of his/her right to appeal such
findings to the Vice President for Research. (See Appeals
section of this document for additional details relative
to an appeal.)
Where, in the judgement of the Vice President for Research,
an allegation involves the potential for danger or detrimental
action to human subjects, the general public, experimental
animals, or the environment and/or where an allegation
involves an immediate need to protect fiscal resources
or property, the Vice President shall recommend that
the President of the University impose appropriate interim
sanction(s) to avert such possibility. Such administrative
sanctions will remain in effect until the completion
of the inquiry and/or investigation. Should there be
reasonable indication of possible criminal violation(s),
the University will take appropriate steps to notify
cognizant agencies.
Pursuant to applicable laws, regulations, and agreements,
the Vice President for Research shall take appropriate
steps to notify sponsors when an investigation has been
initiated. The University shall keep the sponsor(s) apprised
of any developments during the course of the investigation
that disclose facts that may affect current or potential
funding for the individual(s) under investigation or
that the sponsor needs to know to ensure protection of
the general public. The sponsor shall be provided with
copies of all final reports resulting from any investigation
hereunder.
Upon notification of a finding of misconduct by the Investigation
Board and prior to the imposition of disciplinary action(s),
other than any interim actions that may have been previously
imposed, the respondent shall have the right to appeal
the decision of the Board to the Vice President for Research.
This appeal must be made in writing and delivered to
the Vice President’s office within fourteen (14)
days of notification of the findings of the Board. The
appeal shall be restricted to the body of evidence presented
in the inquiry and investigation.
The Vice President for Research shall review all of the
evidence available to him/her and shall submit his/her
written report to the President of the University within
fourteen (14) days of the deadline for receipt of an
appeal from the respondent. The Vice President may either
concur or disagree in whole or in part with the findings
of the Investigation Board. The report of the Vice President
for Research and Planning shall be accompanied by the
full report of the Investigation Board and the written
appeal of the respondent, if an appeal is filed. The
report shall also include the recommendations of the
Vice President for Research regarding any sanctions to
be imposed upon the respondent.
The Vice President for Research shall recommend to the
President of the University the appropriate disciplinary
action to be taken if a Respondent is found guilty of
misconduct under the provisions of this policy. The following
actions are neither exhaustive nor do they preclude possible
criminal action or sanctions that may be imposed by a
funding agency; however, they represent a range of possible
actions that may be appropriate and that are classified
from minimally restrictive to most severe. They are presented
herein for illustrative purposes only. These are also
not to be construed as mutually exclusive, for the University
may impose additional and/or multiple sanctions.
- Issue a letter of reprimand to the respondent.
- Require that special written permission for certain activities be obtained
from the Vice President for Research prior to initiation of those activities.
- Require special monitoring by appropriate supervisory personnel of continuing
and/or future work.
- Bar the respondent from conducting specified activities.
- Suspend or terminate an active grant or project.
- Place the respondent on probation.
- Debar or suspend the respondent from participation in specific granting agency
programs for a specified period of time.
- Suspend the respondent from the University for a specified period of time.
- Reduce the rank or level of a faculty or staff member.
- Reduce the salary of the respondent.
- Terminate the employment of the respondent with the University.
In the case of a student judged guilty of misconduct
under this policy, appropriate sanctions may include
one or more of the following actions:
- Terminate employment of the student within the University.
- Assignment of a failing grade by the instructor of record in a course.
- Recommend further disciplinary action by the Student Disciplinary System of
the University.
NOTE: 02/24/97 revisions are stylistic in nature. References
notes, bolding, and line numbering have been removed.
Content has not changed since Dr. Lawrence Rhodes, ORI,
approved the changes in November 1996. Content last revised
on 10/02/96. (pbs)
(Back to Policies and Compliance) |
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