Ethical Conduct of Research and Creative Activities Applicability This policy (this “Policy”) will apply to all instances of alleged unethical conduct of research, research training, and creative activities within the Texas Christian University community. For purposes of this document, the term “research” will mean both research and creative activities. Introduction Reported instances of unethical conduct in research occur in only a very small fraction of the total number of research projects conducted annually. Even so, this small number of transgressions not only presents a serious threat to the integrity of the research processes but also undermines the very foundation of a university. Unethical conduct of research is reprehensible and will not be condoned by Texas Christian University. Researchers must bear the responsibility for monitoring and evaluating their procedures and results of research activities under their supervision. All faculty and students are expected to: a. be familiar with and act in accordance with this policy; b. adhere to commonly accepted practices and standards governing creative activities and research; and c. report any acts of unethical conduct which are known or are suspected to have occurred. Definitions For the express purposes of this policy, the following definitions will apply: Unethical Conduct The term “Unethical Conduct” when used here will mean knowing misrepresentation of data, research procedures, or data analysis; plagiarism and other improprieties of authorship; violation of Federal, State, or institutional rules on research involving human subjects, animals , DNA, new drugs and devices and radioactive materials, or other practices that seriously deviate from those commonly accepted within the scientific (or other relevant) community for proposing, conducting, or reporting research. Honest error or honest differences in interpretation or judgments of data do not constitute unethical conduct. Inquiry The term “Inquiry” when used herein will mean the process to determine whether there is sufficient cause to warrant an Investigation. Investigation The term “Investigation” when used herein will mean the formal examination and evaluation of all relevant facts to determine if unethical conduct has occurred. Other Definitions Other defined terms when used herein will have the meaning assigned to them in this Policy. Procedures Any and all instances of alleged Unethical Conduct in research should be reported in writing to the Associate Provost for Academic Affairs (the “Associate Provost”). Upon receipt of a written allegation of Unethical Conduct, an Inquiry will be conducted by the Associate Provost. a. Inquiry: The Associate Provost will notify the person against whom an allegation of Unethical Conduct has been brought (the “Accused”) in writing of his or her intent to initiate an Inquiry into the matter. The purpose of the Inquiry is to determine whether an Investigation is warranted. The Inquiry will be completed within 60 days after the receipt by the Associate Provost of the initial report of the allegations unless circumstances clearly warrant a longer period. At the conclusion of the Inquiry, a written report (the “Inquiry Report”) will be prepared that identifies what evidence was reviewed, summarizes relevant interviews, and stated the conclusions of the Inquiry. If the Inquiry takes longer than 60 days to complete, the Inquiry Report shall include documentation of the reasons for exceeding the 60-day period. The Associate Provost will issue the Inquiry Report to the Accused prior to issuing it to any other person. The Accused shall have an opportunity to make written comments upon the Inquiry Report and to have such comments accompany the Inquiry Report. The Accused shall submit such written comments to the Associate Provost within 10 days of his or her receipt of the Inquiry Report from the Associate Provost. If after reviewing the comments of the Accused, the Associate Provost concludes that an investigation is necessary or desirable, an Investigation shall be conducted. If the Associate Provost concludes an investigation is not necessary or desirable, the Inquiry shall conclude Texas Christian University’s proceedings regarding the allegations of unethical conduct that were made against the accused. The Inquiry Report, shall be dated and given to the Accused, to that individual’s academic dean, to the person who made the allegation of Unethical Conduct (the “Accuser”), and to the Provost and Vice Chancellor for Academic Affairs. A copy of the Inquiry Report will also be retained in the Office of the Associate Provost for Academic Affairs. The contents of the Inquiry Report may not be disclosed by any person other than the Accused, except as needed to conduct the Investigation, if any, or when disclosed in accordance with paragraphs (4), (5) or (6) hereof. b. Investigation: If the Associate Provost for Academic Affairs concludes in the Inquiry Report that an Investigation shall be conducted, the Investigation will begin within 30 days after the date of the date of the completed Inquiry Report. In order to ensure a fair and impartial Investigation, the Associate Provost for Academic Affairs will appoint an Investigation Panel (the “Panel”). The Panel will be comprised of the Associate Provost for Academic Affairs, as Chair of the Panel, and three other members who may come from within and/or outside the University and who have the expertise necessary to conduct the Investigation. Precautions will be taken to avoid real or apparent conflicts of interest on the part of those involved in the Investigation. The Accused, the Accuser and any other individual(s) who might have information regarding key aspects of the allegations will be notified in writing that an Investigation will be conducted and will be interviewed by the Panel. Complete transcripts of the interviews shall be prepared and provided to each interviewed party for written comment. These comments, if any, and the transcripts will then be included as part of the Investigation file. The Investigation should be completed as expeditiously as possible and, in any event, within 120 days of the initiation of the Investigation. After all interviews have been conducted, the Panel shall submit the transcripts of all interviews to the Accused for written comment. The Accused shall have 10 days to submit any comments in writing to the Panel. Following its review of the Accused’s comments, if any, the Panel will issue a written investigation report (the “Investigation Report”), including its conclusions and recommendations to the Provost and Vice Chancellor for Academic Affairs. The Investigation Report shall include a determination whether Unethical Conduct has occurred and shall suggest a suitable sanction if it is concluded that the Accused has committed Unethical Conduct. The comments of the Accused made in accordance with this paragraph shall be included in the Investigation Report. The Accused, the Accuser and the responsible Academic Dean(s) will receive a copy of the Investigation Report. The results of an Investigation and the contents of the Investigation Report shall not be disclosed by any person other than the Accused, in accordance with paragraphs (4), (5) and (6) hereof. c. Sanctions: In the event of a finding by the Panel that Unethical Conduct has occurred, the Provost and Vice Chancellor of Academic Affairs may follow the recommendations for sanctions in the Investigation Report and/or impose other sanctions. The Provost shall issue his conclusions in the form of a written report (the “Provost’s Report”) which shall be provided to the Panel, the responsible academic deans, the Accused and the Accuser. d. Informing Other Persons or Entities About the Proceedings: If required by local, state or federal laws or regulations or by any entity, person or agency funding the research in question, TCU may at any time so required, inform the agency, entity or persons it is required to inform, of the Inquiry, the Investigation, the allegations, and the contents of the Inquiry Report, the Investigation Report, and the Provost’s Report. e. Confidentiality: No person involved in or who becomes aware of allegations, the Inquiry or the Investigation shall reveal or discuss any information regarding the content of or existence of the same to any person or entity except when (1) the person to whom the information is revealed has a need to know the information in order to participate in any proceedings conducted under this Policy or (2) the information is revealed or discussed in accordance with Paragraphs (4) or (6) hereof. f. Disclosure of Investigation Results: Following the issuance of the Provost’s Report, and if the Investigation Report concludes that there has been Unethical Conduct by the Accused, the results of and records of the Investigation including, without limitation, the Investigation Report and the Provost’s Report, may be made public and/or disclosed to any person including funding agencies, collaborating colleagues of the Accused, institutions, journal editors, professional associations, licensing boards, and potential employers of the Accused who request employment references regarding the Accused, unless the Provost and Vice Chancellor of Academic Affairs prohibits or limits such disclosure in the Provost’s Report. g. Protection of the Accuser: The privacy of an Accuser who reports apparent Unethical Conduct is good fail shall be protected to the maximum extent that is consistent with the fair treatment of the Accused. Retaliation against the Accuser by any person for making allegations of Unethical Conduct shall be prohibited and will subject a person who retaliates to disciplinary proceedings by Texas Christian University. If the Inquiry Report or Investigation Report concludes that there has been no Unethical Conduct on the part of the Accused, the University may bring a disciplinary action against the Accuser when there is evidence that the Accuser made the allegations of Unethical Conduct recklessly or in bad faith. h. Restoring the Reputation of the Accused: If the Inquiry Report and, when an Investigation is conducted, the Investigation Report conclude that there has been no Unethical Conduct on the part of the Accused, the University shall undertake diligent efforts, as appropriate, to attempt to restore the reputation of the Accused. i. Records: All records of the Inquiry and Investigation shall be kept in the files of the Office of the Associate Provost for Academic Affairs for a period of at least three years following the conclusion of the Investigation or of the Inquiry if there is not Investigation. j. Compliance with Other University Rules and Regulations: Any proceedings conducted hereunder will be conducted in accordance with the other rules and regulations of Texas Christian University.