Title
University of North Carolina at Chapel Hill Policy on Responding to Allegations of Research Misconduct
Introduction
Purpose
The University of North Carolina at Chapel Hill ("University") is dedicated to upholding the highest standards in academic research. This policy describes the University’s commitment to:
- Maintaining the integrity and validity of academic research,
- Conducting ethical and responsible academic research, and
- Complying with relevant federal regulations governing academic research.
Together, these commitments help the University have a solid foundation for:
- Proposing, performing, or reviewing research; and
- Reporting research results.
This foundation supports all academic research, regardless of the scientific or scholarly discipline.
The University seeks to keep the public's trust in the honest and ethical conduct of its researchers. For research to fulfill its role in the University and society, all research done under the University's name must meet the highest standards of integrity and ethics.
Scope
This policy applies to anyone engaged in research or research training on behalf of the University ("Covered Individuals"). This includes:
- Faculty;
- Staff (SHRA and EHRA non-faculty);
- Students;
- Guest researchers (e.g., unpaid volunteers, interns, and visiting scholars);
- Collaborators; and
- Consultants.
This policy also applies to subawardees and/or subcontractors involved with University research or research training.
This policy also applies to all research conducted on behalf of the University, regardless of where the alleged Research Misconduct happened or the source of financial support for the research.
Finally, this policy is focused on addressing alleged Research Misconduct as defined in the "Definitions" section of the University’s Procedure for Responding to Allegations of Research Misconduct. This policy does not address other types of misconduct that may occur in the research setting. Other types of misconduct are addressed in separate University policies.
Policy
Each member of the University community has a personal responsibility for:
- Complying with this policy, and
- Helping their research colleagues and partners avoid any activity that might be considered to violate this policy.
General Principles
A. Responsibility to Report Research Misconduct
Any Covered Individual who suspects Research Misconduct in University academic research must report their concerns. Covered Individuals have three ways to make a report:
- Telling their department chair (or equivalent leader like an Institute or Center director),
- Using the University’s Carolina Ethics Line hotline, or
- Reporting directly to the Institutional Research Integrity Officer ("RIO").
B. Cooperation with Research Misconduct Proceedings
Covered Individuals must cooperate with the RIO and other University officials during any review of Allegations of Research Misconduct and any Inquiries and Investigations. Covered Individuals, including Respondents, must provide evidence relevant to Research Misconduct Proceedings to the RIO or other appropriate University officials.
C. Confidentiality
Research Misconduct Proceedings are confidential personnel matters. The RIO is responsible for informing Committee Members, witnesses, and anyone else involved in the Research Misconduct Proceeding of the need to maintain confidentiality.
The RIO also must try to protect the confidentiality of Respondents, Complainants, and other relevant individuals, such as research participants identifiable from research records or evidence. The RIO must limit disclosure to those with a "need to know" to conduct a thorough, competent, objective, and fair Research Misconduct Proceeding or as required by law.
D. Precautions to Protect Against Conflicts of Interest
The University and RIO must take reasonable steps and precautions to make sure the individuals responsible for carrying out any part of the Research Misconduct Proceeding are impartial and free from bias or prejudice. These individuals include, but are not limited to:
- Members of Inquiry and Investigation Committees,
- Deciding Officials, and
- University officials.
The University and RIO must take reasonable steps and precautions to ensure that the individuals responsible for carrying out any part of the Research Misconduct Proceeding have no unresolved real or apparent personal, professional, or financial conflicts of interest related to the Research Misconduct Proceeding.
E. Interim Administrative Actions and Notifying External Sponsors of Special Circumstances
During the Research Misconduct Proceeding, the RIO must check if public health or safety is at risk. This responsibility includes:
- Protecting human or animal subjects;
- Looking for signs of violations of civil or criminal law;
- Safeguarding sponsored funds and equipment;
- Maintaining the integrity of externally supported research; and
- Protecting University resources, staff, students, and trainees.
If the RIO determines public health or safety is at risk, the RIO must work with other University officials and relevant external sponsors to either act or suggest steps to prevent harm.
Examples of such actions include, but are not limited to:
- Additional monitoring of the research process and the handling of external funds and equipment,
- Reassigning personnel or responsibility for handling external funds and equipment,
- Removing the Respondent from the research at issue,
- Additional review of research records and results, and/or
- Delaying publication.
The RIO must notify external sponsors as required to:
- Alert external sponsors that public health or safety is at risk, and
- Identify what steps the University has taken to prevent harm.
F. Additional Responsibilities of Subawardees and Subcontractors
The University expects recipients of subawards or subcontracts from the University to evaluate any claim of Research Misconduct related to these agreements. If needed, those receiving subawards or subcontracts should carry out initial assessments, Inquiries, and Investigations according to their own policies, relevant federal regulations, or requirements from the sponsor.
G. Consequences for Violating this Policy and Related Procedure
The University considers any violation of this policy and related procedure to be a violation of the trust the University places in each member of the University community. The University will address any alleged violation using the steps outlined in the related Procedure for Responding to Allegations of Research Misconduct.
Exceptions
None.
Definitions
See the University’s Procedure for Responding to Allegations of Research Misconduct.
Related Requirements
External Regulations
University Policies, Standards, and Procedures
Contact Information
Primary Contact
- Title: Institutional Research Integrity Officer
- Unit: Office of the Vice Chancellor for Research
- Email: eric_everett@unc.edu
- Phone: 919-962-0988