of Ethics Online Collection:None
Policy and Procedures for Responding to Allegations of Misconduct in Scientific Research and Publication
Integrity in scientific research and publication is vital to the advancement of knowledge and to continued public confidence in science. Instances of misconduct cast doubt not only on the integrity of individual scientists, but also on the ability of the scientific community to regulate itself. It is, therefore, in the best interest of the public and of science to deal effectively and responsibly with instances of alleged or actual misconduct, and to do so in a manner that does not impair the freedom and creativity that traditionally characterize scientific research and publication.
AAAS is an organization engaged in scientific research and publication. Its mission is "to improve the effectiveness of science in the promotion of human welfare." Clearly, this mission may be compromised by scientific misconduct. For this reason AAAS has assumed its responsibility to establish and implement policies and procedures for dealing with allegations or evidence of scientific misconduct within the Association.
There is at AAAS a presumption of high standards of ethical behavior by all staff and associates engaged in research and publication. Nevertheless, it is important to be prepared to respond expeditiously and fairly to allegations of scientific misconduct. Accordingly, the Association has adopted the following policies and procedures (hereinafter "Policy and Procedures") for dealing with alleged or actual misconduct occurring as part of research or publications conducted or sponsored by the AAAS. This Policy and Procedures applies to all AAAS employees who work on research and publication projects and to those who collaborate with them on such projects. They do not otherwise apply to AAAS members working on other kinds of projects. The AAAS Executive Officer will designate a single individual to be responsible for administering this Policy and Procedures (hereinafter referred to as the 'Administrator").
Definition
For the purpose of this Policy and Procedures, AAAS adopts the definition of "misconduct" promulgated by the National Science Foundation, which states:
"Misconduct" means (1) 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 of laboratory animals; or (3) failure to meet other material legal requirements governing resear6h.
it is the responsibility of individuals working for or with AAAS on federally or privately funded research or publication projects to report instances of suspected or actual misconduct to the Administrator. Any oral or written disclosure regarding possible misconduct will be kept confidential except as otherwise provided in the Policy and Procedures.
Inquiry
Whenever an allegation or complaint involving possible misconduct is brought to the attention of the Administrator, he or she will appoint an Ad Hoc Committee of Inquiry of one or two individuals to carry out an initial inquiry to determine the credibility of the allegation. Upon initiation of the inquiry, the Administrator shall alert the AAAS Executive Officer that such an inquiry is underway without revealing any details. In the same manner, the Administrator shall alert the Directorate Director(s) where the parties are .employed and/or the Editor of Science. The Administrator shall also notify the respondents within a reasonable time of the charges and of the process of inquiry that will follow. All involved parties will be expected to cooperate fully with the Ad Hoc Committee by answering questions and/or providing any materials necessary to conduct the inquiry.
During the inquiry, information will be gathered in order to determine if an investigation of the allegations is warranted. The Administrator will be responsible for disseminating information to the appropriate individuals. Copies of all correspondence and documents involved in the case will be kept in a confidential file by the Administrator.
The purpose of the initial inquiry is to separate apparently frivolous, unjustified, or clearly erroneous allegations from those which deserve further investigation. An inquiry is not a formal hearing. Confidentiality is desirable during the inquiry in order to protect the rights of all parties and will be maintained to the maximum extent feasible. However, cases that depend upon specific observations or statements by the complainant may require disclosure of the identity of that individual to the respondent.
The inquiry should be completed within 30 days after receipt by the Administrator of the first written communication of an allegation of misconduct. The Ad Hoc Committee of Inquiry shall submit a written report to the Administrator summarizing the findings of its inquiry. An investigation shall be recommended if the Ad Hoc Committee of Inquiry finds reasonable grounds for a belief that misconduct or serious scientific error has probably occurred. In such case, the Administrator will inform both the respondent and complainant. Sponsors or cosponsors of the research or publications in question should also be notified unless precluded by compelling reasons.
If an allegation is found by the Ad Hoc Committee to be unsupported but submitted in good faith, all parties involved will be informed and no further formal action will be taken. AAAS will take reasonable steps to minimize the damage to reputations that may result from inaccurate reports if confidentiality is breached. Any individuals involved in retaliation against the complainant will be subject to disciplinary action. Allegations not made in good faith or without reasonable basis may lead to disciplinary action against the complainant.
Investigation
- Purpose
An investigation will be initiated when the Ad Hoc Committee issues a finding, consistent with the standards set forth above, that an investigation is warranted. The investigation will explore further the allegations for the purpose of determine whether misconduct has occurred. The scope of the investigation may be broadened beyond the initial allegations should this be warranted. The respondent will be informed of such an expansion of the investigation if it occurs. The investigation will focus on the accusation of misconduct as defined previously and examine all relevant and material factual information in each case.
- Structure
The investigation will be conducted by an Investigative Body composed of at least three members, appointed by the Administrator to review and determine the specific case. Members may be chosen both from the AAAS staff and from individuals outside AAAS who possess appropriate expertise. Members of the Investigative Body will be chosen who have appropriate scientific expertise and experience in the area of the given case, to assure a sound knowledge base from which to work. No person who served on the Ad Hoc Committee of Inquiry shall be eligible to serve on the Investigative Body in the same case.
Conflicts of interest will be examined scrupulously in selecting members of the Investigative Body and any relationship with any parties to the matter, whether business, professional or social, must be fully disclosed to the Administrator. Any individual with an appearance of, potential, or actual conflict of interest will not be chosen to serve on the Investigative Body.
- Process
The Administrator will initiate an investigation promptly upon receipt of a recommendation to that effect from an Ad Hoc Committee of Inquiry. The complainant and respondent will be notified - that an investigation has been initiated and of the names of the members of the Investigative Body when they have been appointed. All involved parties are obligated to cooperate with the Investigative Body in providing information relating to the case. The Investigative Body will provide all relevant information to the respondent in a timely manner. The respondent will have the right to address the charges in writing and to present evidence. The respondent may be represented by legal counsel if he/she chooses.
The Investigative Body may, in its sole and unfettered discretion, elect to hold a hearing or meeting with all the concerned parties, but shall not be obliged to do so. If the allegations are subsequently determined by the Investigative Body to be unfounded, a respondent may make a claim to have his/her legal expenses reimbursed by AAAS.
Where warranted, the Investigative Body may recommend to the Administrator interim administrative actions to protect the integrity of ongoing projects.
The Administrator shall notify the sponsor of the research or publication as soon as the decision has been made to undertake an investigation unless there are compelling reasons not to do so. The AAAS will seek assurances that this information and all subsequent communication with the sponsor during the course of the proceedings will be treated confidentially. The sponsor will be notified of significant developments during the investigation, as well as the final findings of the Investigative Body. At the conclusion of the proceedings, all entities initially notified of the investigation will be informed by the Administrator of its final outcome. Other entities may be notified an judged necessary by the Administrator.
The AAAS will make reasonable efforts to complete the investigation within 120 days of its initiation. The Investigative Body will be required to submit an interim report to the Administrator when it becomes apparent that this deadline cannot be met, detailing the circumstances and requesting an extension.
- Findings
Upon conclusion of the investigation, and after a majority vote, the Investigative Body will submit its findings in writing to the Administrator. The findings may include, but are not limited to: (1) a finding of misconduct; (2) a finding that no culpable conduct was committed but serious scientific errors were discovered; or (3) a finding that no misconduct or serious scientific error was committed. The report should contain a recitation of the material facts and an explanation of the basis for the finding(s).
The Administrator will promptly provide the respondents and complainants with a copy of the full report of the investigation. All persons and entities initially informed of the investigation will also be notified promptly by the Administrator. The AAAS will retain the findings of the investigation in a confidential and secure file.
No disciplinary measures should be taken against the complainant and every effort should be made to prevent retaliatory action against the complainant if the allegations, however incorrect, are found to have been made in good faith. If the allegations are found to have been made recklessly or other than in good faith, disciplinary actions may be taken against the person or persons responsible.
Disposition
Within 15 days of receipt of the Investigative Body's findings and recommendations, the Administrator shall forward them, along with his/her recommendations for disposition of the matter, to the AAAS Executive Officer, with a copy to the Director of the AAAS Office of Human Resources as well as to the respondents and complainants. If no misconduct was found, the Administrator may recommend that the matter be closed, with both the respondent and complainant so notified. If no misconduct was found, but serious scientific error was revealed, then there should be a recommendation on how the (potential) consequences of such error can be mitigated or avoided. If misconduct did occur, then the Administrator may recommend one of several disciplinary actions including: a written reprimand, removal from a particular project, special monitoring of future work, suspension without pay, rank reduction and appropriate adjustment of salary, and termination. The same disciplinary action or actions may be taken against a complainant found to have made allegations of misconduct in bad faith. The decision on disposition shall reside with the AAAS Executive Officer, pending any appeals.
Appeal/Final Decision
Within 15 days of receipt of the decision by the Executive Officer on the recommendations, any person potentially aggrieved by such decision may file a written appeal addressed to the Executive Officer. The appeal should explain why such person believes the decision is incorrect, unjust or unwarranted in the circumstances. Such appeal shall not contain any factual allegations not previously presented
to the Investigative Body unless such facts were unknown at the time of that Body's investigation and could not have been uncovered by the profferer with reasonable diligence.
The appeal shall be heard and decided by a majority vote of a pane-1 consisting of the Executive officer, the Director of the Office of Human Resources, and a third AAAS professional staff member chosen by the Administrator. The panel may accept, reject or modify the initial decision of the Executive Officer.
Richard S. Nicholson
Executive Officer
February 28, 1990.
