9.4 Research Misconduct Policy

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Chapter 9: Grants and Sponsored Projects

9.4 Research Misconduct Policy

Related Minnesota State policy: 1C.2 Fraudulent or Other Dishonest Acts
Related Code of Federal Regulations (NSF): 45 CFR 689
Related Code of Federal Regulations (US Department of Health and Human Services):

42 CFR Parts 50 and 93

Purpose:  To ensure ethical research activities at Normandale and describe processes for addressing allegations of research misconduct and for promoting the importance of preventing research misconduct, including training and certification for grant-funded personnel.
Principal Investigators (PIs), Co-Principal Investigators (co-PIs), and Senior Personnel who are funded by Federal awards with activities that include a research component, are expected to assist in Normandale’s prevention and detection of research misconduct activities, including training on, and certifying of, research misconduct information, violations and notifications. The Office of Grants & Sponsored Projects will coordinate these efforts.

Part 1: Definitions

Fabrication is making up data or results and recording or reporting them.

Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

Inquiry consists of preliminary information gathering and preliminary fact finding to determine whether an allegation or apparent instance of research misconduct has substance. If the inquiry establishes that there is a reasonable basis for concluding that the allegation or apparent instance of research misconduct has substance, an investigation is warranted.

Investigation is a formal development, examination and evaluation of a factual record to determine whether misconduct has taken place or, if research misconduct has already been confirmed, to assess its extent and consequences or determine appropriate action.

Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

Research misconduct means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion.

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Part 2: Responsibilities

Office of Grants & Sponsored Projects is responsible for providing training, certifying individuals working on grant-funded research, and coordinating investigation into allegations of research misconduct.

PIs, co-PIs, and other senior personnel working on grant-funded projects that include research activities are required to complete a training on research misconduct and certify that they have taken the training and completed the associated quiz. The Office of Grants & Sponsored Projects will maintain the signed certifications in the grant project files.

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  Policy History:
Date of Adoption:  4/2/2019
Department/Owner: Grants
Date and Subject of Revisions:
Next Review Date:  4/2/2023
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