The University of Texas Health Science Center at Houston (UTHSC-H) strives to create a research climate that promotes a faithful adherence to high ethical standards in the conduct of research without inhibiting the productivity and creativity of all persons involved in research. Dishonesty, misconduct, or fraud in science, research, or academics is an offense that damages not only the reputations of those involved but also the reputation of the entire educational community.
Dishonesty, misconduct, or fraud in research means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the academic community for proposing, conducting, or reporting research. It does not include honest errors or honest differences in interpretations or judgments of data.a
This policy applies to all individuals at the UTHSC-H engaged in research including any person paid by, under the control of, or affiliated with the UTHSC-H, such as scientists, trainees, technicians, and other staff members, students, fellows, guest researchers, or collaborators at the UTHSC-H. b
Dishonesty, misconduct, or fraud is a major breach of the relationship between a faculty or staff member and the institution. To maintain the integrity of research projects, every person engaged in research, including faculty, graduate and undergraduate students, postdoctoral fellows, and technicians, must keep a permanent auditable record of all experimental protocols, data, and findings. Co-authors on research reports of any type, including publications, must have a bona fide role in the research and must accept responsibility for the quality of the work reported.
Scholarly activities that involve faculty/student collaboration are encouraged and may be positively recognized in faculty personnel processes. Issues related to faculty/student collaboration may include matters such as expected contributions of each party, order of authorship, and/or type of citation to be given, and must be addressed early in any scholarly project. Decisions about these matters must be congruent with the ethics and scholarly customs of each discipline involved. Specific recognition of the nature and scope of individual student contributions must be made in all published materials.
Any inquiry or investigation of allegations of dishonesty, misconduct, or fraud in research must proceed promptly and with due regard for the reputation and rights of all individuals involved. The UTHSC-H will take all reasonable steps to assure that 1) persons involved in the evaluation of the allegations and evidence have appropriate expertise, 2) that no person involved in the procedures is either biased against the accused person(s) or has a conflict of interest, and 3) affected individuals will receive confidential treatment to the maximum extent possible.
Allegations of dishonesty, misconduct, or fraud in research should be brought to the attention of the appropriate department chair and dean, or if such allegations involve a department chair or dean, they should be brought to the attention of the executive vice president for research (EVPR), who will appoint an individual within the UTHSC-H to investigate the allegations. The department chair, dean, or designated individual will bring such allegations to the attention of the principal investigator of the research program and any researchers affected by the allegations.
The department chair, dean, or individual designated by the EVPR, with due regard for the reputations of all parties involved, including those who in good faith reported the apparent misconduct, will immediately conduct an inquiry into the allegations. The inquiry must be completed within 60 calendar days unless circumstances clearly warrant a longer period, in which case the inquiry record must include documentation of the reasons for exceeding the 60-day period.
At the conclusion of the inquiry, the party responsible for the inquiry must prepare and deliver a written report to the EVPR, who will consult with the president on the inquiry. The report will include a description of the evidence reviewed, a summary of relevant interviews, and a statement of the conclusions reached together with the rationale for the conclusions. The report will be accompanied by all written statements, data, or other evidence considered during the inquiry. The EVPR will provide the person(s) against whom the allegations have been made a copy of the report and an opportunity to comment on allegations and findings of an investigation and request that any comment in response be made within 10 calendar days. These comments may be made part of the record.
The EVPR, with such advice or consultation as may be deemed appropriate, will review the inquiry report, the inquiry record, and the comments (if any) of the person(s) accused of dishonesty, misconduct, or fraud and determine either
The hearing procedures must begin within 30 calendar days after the conclusion of the inquiry. An attorney from The University of Texas System Office of General Counsel will be available to represent the UTHSC-H in the hearing.
An investigation will be completed within 120 days of its initiation. This includes conducting the investigation, preparing a report, making the report available for comment by those affected, and submitting the report to the sponsoring agency. If identifiable, individuals who raised the allegation will be provided with those portions of the report that address their roles and opinions in the investigation.
If it is determined that the alleged dishonesty, misconduct, or fraud is not substantiated, the UTHSC-H will make diligent efforts to restore the reputation of the accused person(s) and will make diligent efforts to protect the position and reputation of the person(s) who, in good faith, made the allegations.
If the alleged dishonesty, misconduct, or fraud is admitted by the accused person(s) or the hearing procedures result in a determination that the allegations of dishonesty, misconduct, or fraud are true, the UTHSC-H EVPR or delegate will notify the sponsoring agency of the facts related to the allegations, the conclusions reached, and the penalty imposed by the university. In addition, notice will be given to the editors of all journals to which articles related to the affected research have been submitted.
Detailed documentation of the inquiries will be maintained and secured for a period of at least three years after the termination of the inquiry. The documentation will be provided to the authorized sponsoring agency on request.
Note: These are general procedures the UTHSC-H is required to follow.c Please refer to the UTHSC-H's internal procedures, Allegations of Scientific Misconduct--Public Health Service Projects, located in Appendix C of this Handbook, for specific procedural information.
In the event that allegations of dishonesty, misconduct, or fraud in research are made with regard to an application for or a grant of funds for research, research training, a research-related activity, or a cooperative agreement under the Public Health Service Act, appropriate interim administrative actions will be taken to protect federal funds and to ensure that the purposes of the federal financial assistance are being carried out. In addition, the following actions must be taken. The university must
If an investigation is not warranted, detailed documentation of the inquiry will be maintained for at least three years and provided to authorized HHS personnel on request.
Particular circumstances in an individual case may dictate variation from the normal procedure deemed in the best interests of the UTHSC-H and PHS. Any change from normal procedures will ensure fair treatment to the subject of the inquiry or investigation. Any significant variation will be approved in advance by the EVPR of the UTHSC-H.
aTitle 42, Code of Federal Regulations, Part 50, Subpart A.
bUT System memorandum, October 1, 1996.
cUT System memorandum, February 10, 1998.
Updated 08/05
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