POLICY
STATEMENT*
Approved
by President Kupchella on March 17, 2008
I.
INTRODUCTION
The integrity of the research process is an
essential aspect of a university's intellectual
and social structure. Research is defined as
all research, scholarship, and creative activity
that support the intellectual endeavors of the
University. Although incidents of misconduct
in research may be rare, those that do occur
threaten the entire research enterprise.**
The
integrity of the research process must depend
largely upon self-regulation. Formalization
of the rights and responsibilities of the University
of North Dakota and faculty/staff members in
conducting research and producing creative activity
are imperative. The University is responsible
for promoting practices that prevent misconduct
and also for developing policies and procedures
for dealing with allegations or other evidence
of fraud or serious misconduct. All members
of the University community, including students,
staff, faculty, and administrators, share responsibility
for developing and maintaining standards to
assure ethical conduct in research and the detection
of any abuse of these standards.
It
is important to create an atmosphere that encourages
openness and creativity. Good and innovative
research cannot flourish in an atmosphere of
oppressive regulation. Moreover, it is particularly
important to distinguish misconduct in research,
scholarship, and creative activity from the
honest error and the ambiguities of interpretation
that are inherent in the research/creative process
and that are normally corrected by further research
and study. The following policies and procedures
apply to faculty, staff and students, in certain
circumstances (see Section IV.A). They are not
intended to address all academic issues of an
ethical nature such as discrimination and affirmative
action which are covered by other University
policies.
Inquiries
regarding this Policy may be directed to the
Research Development and Compliance office.
II.
ETHICAL STANDARDS
The
primary way to encourage appropriate conduct
in research and scholarship at the University
of North Dakota is for the faculty and staff
to promote and maintain a climate consistent
with high ethical standards. To reduce the likelihood
of misconduct and promote high quality in research,
scholarship and creative activity, the faculty
and administration should promote and facilitate
the following:
| A. |
Encouragement
of Intellectual Honesty
Because of the importance of a climate
of intellectual honesty in a university
community, a commitment to the ethical
responsibilities of academia by all of
its members is essential. This commitment
is evidenced by adherence to such common
practices as submission of work to peer
review, avoidance of conflict of interest,
scholarly exchange of ideas and data,
and self-regulation. Mentor relationships
between academic leaders and new practitioners
serve to enhance the transmission of ethical
standards. |
| |
|
| B. |
Acceptance
of Responsibility by Research Supervisor
University policies must define a focus
of responsibility for the conduct of research
and must ensure that the individual(s)
charged with the supervision of researchers
can realistically execute the responsibility.
These supervisors of research should be
experienced academicians who serve as
mentors in transmitting the ethics and
responsibilities underlying scientific
and humanistic research. The larger the
research team, the more critical the role
of the supervisor in promoting open communication
and scholarly exchange of ideas, data,
and results and in assuming responsibility
for the conduct and outcomes of the research
process. It is also the responsibility
of the supervisor to review and publish
as much primary data as possible. |
| |
|
| C. |
Establishment
of Well-Defined Research Procedures
Well-designed and strictly adhered to
research methods are a deterrent to fraud.
Bias in data analysis and interpretation
can be avoided by following practices
that are common to the disciplines. |
| |
|
| D. |
Appropriate
Assignment of Credit and Responsibility
Authors or creators should recognize the
contributions of others through adequate
citation and/or acknowledgment. They should
also name as authors or creators only
those who have had a genuine role in the
research or creative activity and who
accept responsibility for the quality
of the work being reported or presented. |
| |
|
*
This policy statement was derived from a policy
statement, "Ethical Conduct in Academic
Research and Scholarship," developed at
the University of Houston. It has been copied
and extensively modified with the permission
of Julie T. Norris, Assistant Vice President
and Director, Office of Sponsored Programs,
University of Houston.
**
The National Institutes of Health (NIH) and
the National Science Foundation (NSF) require
that entities receiving federal research funds
establish formal policies and procedures that
ensure an impartial process for the receipt
and disposition of allegations of misconduct
in science, including prescribed phases, timelines,
definitions, and notification procedures. This
policy is designed to comply with those federal
requirements.
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