VCOM Institutional Policy and Procedure Manual

VCOM Policy and Procedure

Policy #R003

1.2. Scope This policy and the associated procedures apply to all individuals at VCOM engaged in any manner of scientific inquiry and are in compliance with all federal regulations for research institutions (PHS regulation 42 CFR Part 93, PHS Policies on Research Misconduct). This policy applies to any person paid by, under the control of, or affiliated with the College, such as scientists, trainees, technicians and other staff members, students, fellows, guest researchers, or collaborators at VCOM. While this policy focuses on the Federal regulations related to scientific activities funded by PHS support, it is applicable to all scientific activities undertaken at VCOM, regardless of funding source. The policy and procedures will normally be followed when an allegation of possible misconduct in science is received by an institutional official. The College recognizes that it may be difficult to determine whether misconduct has occurred, and that the process of inquiry or investigation must be sufficiently flexible to permit early termination of the proceedings when it becomes clear that charges are unjustified or that the issue can be resolved appropriately by other expeditious means. Particular circumstances in an individual case may dictate variation from the normal procedure deemed in the best interests of VCOM and PHS. Any change from normal procedures also must ensure fair treatment to the subject of the inquiry or investigation and should be approved in advance by the President or Provost, Dean and Executive Vice President of VCOM. The goal of these procedures is to ensure fair treatment for each respondent, therefore every inquiry or investigation will be based on a presumption of innocence until proven otherwise. D EFINITIONS Accuser means a person who makes an allegation of scientific misconduct. Allegation means any written or oral statement or other indication of possible scientific misconduct made to an institutional official. Conflict of Interest means the real or apparent interference of one person’s interests with the interests of another person, where potential bias may occur due to prior or existing personal or professional relationships. Deciding Official means the institutional official who makes final determinations on allegations of scientific misconduct and any responsive institutional actions. The Deciding Official should have no direct prior involvement in the institution’s inquiry, investigation, or allegation assessment. Good faith allegation means an allegation made with the honest belief that scientific misconduct may have occurred. An allegation is not in good faith if it is made with reckless disregard for or willful ignorance of facts that would disprove the allegation. Inquiry means gathering information and initial fact-finding to determine whether an allegation or apparent instance of scientific misconduct warrants an investigation. Institutional Integrity Officer means the institutional official responsible for assessing allegations of scientific misconduct and determining when such allegations warrant inquiries and for overseeing inquiries and investigations. Investigation means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred, and, if so, to determine the responsible person and the seriousness of the misconduct. ORI means the Office of Research Integrity, the office within the U.S. Department of Health and Human Services (DHHS) that is responsible for the scientific misconduct and research integrity activities of the U.S. Public Health Service. 2.

Policy and Procedures for Responding to Allegations of Scientific Misconduct

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