Chapter 6

SCIENTIFIC MISCONDUCT

Brown University Policy on and Procedures to be Followed in Cases of Allegations of Dishonesty or Misconduct in Research

The community of Brown University condemns any form of dishonesty or misconduct in research and accepts responsibility for developing and maintaining the highest standards of intellectual integrity. A climate of intellectual honesty implies that all scholars have an obligation to conduct research in a manner reflecting these principles.

If it should appear that an incident of academic dishonesty may have occurred in this community, Brown University will act with dispatch and according to Federal regulations and will adhere to the following procedure (a) with regard to any instances of alleged misconduct (b), fraud, or unethical behavior arising out of the performance of scholarly research (c):

1. The matter should be reported immediately to the Dean of Research who will be responsible for informing the Chairperson of the Department or Division concerned.

a. This procedure will apply to all scholarly activities involving faculty, students and staff at Brown University. In case of plagiarism, cheating and other forms of dishonesty by students in classes, the procedures for dealing with these forms of dishonesty are covered in the "Tenets of Community Behavior and Academic Code." If such cases also involve external funding, then the procedures described in this document ("Brown University Policy...") will also apply. In the case of research performed under the auspices of principal investigators whose primary employment or employment contract is with the University- affiliated hospitals, the Dean of Medicine will fulfill the role of the Dean Research, and the Appeal and Grievance Committee of the Medical Faculty Council will replace the Subcommittee on Misconduct in Research of the University Research Council.

b. The Federal Register of July 1, 1987 (Vol. 52, p.24468) defines misconduct as meaning "(l) 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 or laboratory animals; or (3) failure to meet other material legal requirements governing research."

c. Those instances of alleged misconduct pertaining to the treatment of human subjects or laboratory animals, or to laboratory safety or biohazards, will be reviewed by the appropriate University committees according to their charges and established procedures.

2. The Dean will conduct a confidential internal inquiry sufficient to conclude whether there are reasonable grounds to believe the allegations may be true. The alleged offender shall in all cases be informed of the nature of the charges. At the discretion of the Dean, the alleged offender shall also be informed of the source of the charges. During this inquiry, every reasonable effort will be made to maintain confidentiality and appropriate efforts shall be made to protect the rights and identities of all parties.

3. If the Dean finds that there are no reasonable grounds to believe the allegations may be true, or, if true, the Dean judges there is no need for further actions, he or she will terminate the inquiry into the matter. Under both circumstances it will be left to the Dean's discretion to make public that which is appropriate to conclude the matter. If dissatisfied, either party may appeal the Dean's decision on the allegations and on public revelation to the standing Subcommittee on Misconduct in Research of the University Research Council.

4. If the Dean finds that there are reasonable grounds to believe the allegations are true and the research is, or was, supported by an external agency, that agency will be immediately and confidentially notified, even if the inquiry has not been completed.

5. If the allegations are admitted to be true by the accused, then the Dean shall make recommendations in the case to the President and will also notify any external agencies thatmay be involved. The dean at his or her discretion may consult with the standing Subcommittee on Misconduct in Research of the University Research Council.

6. If the Dean finds that there are reasonable grounds to believe that the allegations may be true, but the accused does not admit to the allegations, then the Dean shall ask the standing Subcommittee on Misconduct in Research of the University Research Council to prepare a detailed investigative report. In preparing its report, the Subcommittee will determine whether the allegations have been substantiated and will recommend possible sanctions. The Dean will use the report as a basis for making recommendations to the President, whose decision is final. The Dean will keep external agencies informed of the progress and results of the investigation.

7. None of the procedures described in this document are meant as a substitute for the Grievance Procedures contained in the Faculty Rules and Regulations, or those operated through the Personnel Office, the Dean of the College, the Dean of the Graduate School, the Dean of Student Life, the University Council on Student Affairs, or within the Division of Biology and Medicine. A person in the Brown Community is not barred from pursuing a complaint through any other appropriate grievance procedure while involved in an investigation or research misconduct as prescribed in this document.

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Last Updated : August 27 2010

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Chapter 6

SCIENTIFIC MISCONDUCT

Brown University Policy on and Procedures to be Followed in Cases of Allegations of Dishonesty or Misconduct in Research