Note: The following policy statement is currently being revised to conform to recent changes in federal law. Once these revisions have been made, the revised statement will be submitted to RPC pursuant to the provisions of §2 of the Faculty Manual.

Policy for Responding to Allegations of Scientific Misconduct

[Faculty Handbook Section 2.1; Category #2]

I. Introduction*. 1

II. Definitions. 1

III. Rights and Responsibilities. 3

A. Research Integrity Officer 3

B. Whistleblower 3

C. Respondent 4

D. Deciding Official 4

IV. General Policies and Principles. 4

A. Responsibility to Report Misconduct 4

B. Protecting the Whistleblower 4

C. Protecting the Respondent 5

D. Cooperation with Inquiries and Investigations. 5

E. Preliminary Assessment of Allegations. 5

V. Conducting the Inquiry. 6

A. Initiation and Purpose of the Inquiry. 6

B. Sequestration of the Research Records. 6

C. Appointment of the Inquiry Committee. 6

D. Charge to the Committee and the First Meeting. 7

VI. The Inquiry Report 7

A. Elements of the Inquiry Report 7

B. Comments on the Draft Report by the Respondent and the Whistleblower 7

C. Inquiry Decision and Notification. 8

D. Time Limit for Completing the Inquiry Report 8

VII. Conducting the Investigation. 9

A. Purpose of the Investigation. 9

B. Sequestration of the Research Records. 9

C. Appointment of the Investigation Committee. 9

D. Charge to the Committee and the First Meeting. 10

E. Investigation Process. 10

VIII. The Investigation Report 11

A. Elements of the Investigation Report 11

B. Comments on the Draft Report 11

C. Institutional Review and Decision. 12

D. Transmittal of the Final Investigation Report to ORI 12

E. Time Limit for Completing the Investigation Report 12

IX. Requirements for Reporting to ORI. 13

X. Institutional Administrative Actions. 14

XI. Other Considerations. 14

A. Termination of Institutional Employment or Resignation Prior to Completing Inquiry or Investigation 14

B. Restoration of the Respondent's Reputation. 15

C. Protection of the Whistleblower and Others. 15

D. Allegations Not Made in Good Faith. 15

E. Interim Administrative Actions. 15

XII. Record Retention. 16

I. Introduction^*

This policy and the associated procedures apply to all individuals at St. Olaf College and the Minnesota Center for Health Care Ethics who are engaged in research that is supported by or for which support is requested from PHS. The PHS regulation at 42 C.F.R. Part 50, Subpart A applies to any research, research-training or research-related grant or cooperative agreement with PHS. This policy applies to any person paid by, under the control of, or affiliated with St. Olaf College, such as scientists, trainees, technicians and other staff members, students, fellows, guest researchers, or collaborators (including all individuals working under the auspices of the Minnesota Center for Health Care Ethics).

The policy and associated procedures will normally be followed when an allegation of possible misconduct in science is received by an institutional official. Particular circumstances in an individual case may dictate variation from the normal procedure deemed in the best interests of St. Olaf College and PHS. Any change from normal procedures also must ensure fair treatment to the subject of the inquiry or investigation. Any significant variation should be approved in advance by the President of St. Olaf College.

II. Definitions

A. Allegation means any written or oral statement or other indication of possible scientific misconduct made to an institutional official.

B. 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.

C. Deciding Official means the institutional official who makes final determinations on allegations of scientific misconduct and any responsive institutional actions.

D. 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.

E. Inquiry means gathering information and initial fact-finding to determine whether an allegation or apparent instance of scientific misconduct warrants an investigation.