Conduct of Research Policy

Responsible Unit: Office of Scholarly Activity   | Executive lead: Provost
Created: 03/25/22 | Reviewed/Revised: N/A | Effective: 6/7/2022
Compliance: N/A
Approving Body: PAC | Classification: Institution-wide

Policy:   
The purpose of this policy is to provide a framework for the fair and open conduct of research at Pacific Northwest University (PNWU), assure scientific freedom, and reflect PNWU’s institutional commitment to quality in the search for new knowledge. By its design and nature, this policy addresses broad aspects of research conduct. Additional sources of information regarding standards of research conduct are contained in relevant federal, state, and local regulations.

A. Scope
The PNWU Conduct of Research Policy applies to any person paid by, under the control of, or affiliated with PNWU, such as employed or volunteer faculty, preceptors, trainees, technicians, and other staff members, students, fellows, guest researchers, or collaborators at affiliated institutions.

B. Research Ethics
All those included in the scope of this policy are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, integrity, and accuracy. Any instance of suspected academic fraud or research misconduct should be reported to the Provost, the Research Integrity Officer, or as otherwise provided in PNWU’s Research Misconduct Policy and Standard Operating Procedures, which describe PNWU’s process for conducting inquiries and investigations (See PNWU Policy Library). Faculty, staff, and students are required to cooperate fully in any inquiry or formal investigation of such allegations, e.g., by providing requested documents and information. Failure to comply may result in disciplinary action.

C. Openness of Research
Two of the University’s essential purposes are to impart knowledge and to enlarge humanity’s store of knowledge. Conducting research in an open manner supports these core purposes. Yet both are clearly inhibited when open publication, free discussion, or access to research are limited. As such, PNWU does not permit the conduct of secret or classified research. Agreements may, however, permit sponsors a brief period to review proposed publications and presentations to identify (1) proprietary information that may require patent or copyright protection, or (2) information confidential to the sponsor that must be removed. In general, sponsors are granted review periods of 30 to 45 days prior to submission for publication, but review and delay periods should total no more than 90 days. 

D. Research Involving Human Subjects
In accordance with federal regulations and University policy, PNWU has negotiated a Federal Wide Assurance, filed with the U.S. Department of Health and Human Services, which requires that every PNWU investigator conducting human subjects research, whether or not funded by a federal sponsor, to submit a proposed research plan to the PNWU institutional review board (IRB) for review. In addition, investigators who participate in human subjects research must complete training in human subjects research, and otherwise must comply with IRB policies and procedures. Research activities may not begin until the IRB has fully approved the research plan and all related consent documents, and the required training has been completed (See the Human Research Protection Policy in the PNWU Policy Library).

E. Investigator Eligibility and Responsibilities Related to Sponsored Programs
As the recipient of sponsored programs awarded to support the activities of its faculty, PNWU is responsible for establishing, administering, and monitoring processes and procedures to meet its obligations to the sponsors and to comply with all applicable requirements. The type of research (or other supported activities), funding source, performance location, materials and methods, and other factors will determine the full range of requirements applicable to a sponsored program. To fulfill these obligations, PNWU has designated specific roles and responsibilities related to the oversight of sponsored programs.

  • Investigators are individuals who play a significant role in the design, conduct, and/or reporting of research and share in the associated responsibilities such as adherence to research integrity principles, professional standards and norms, institutional policies, and compliance with applicable regulatory requirements (e.g., national/federal, state, indigenous/tribal, locality, and sponsor).
  • The Principal Investigator (PI)/Project Director (PD) are investigators designated by PNWU to direct the activities supported by a sponsored program. The named PI/PD on a specific project is responsible for ensuring that PNWU meets its obligations to sponsors for the design, conduct and reporting of research and other sponsored activities. As such, the PI/PD bears primary responsibility for day-to-day performance and fiscal management of the project. All applications to and awards from extramural sponsors must follow PNWU policy. These applications and awards are also subject to policy and eligibility criteria from the sponsor.

To ensure that sponsored research is conducted by those who have the requisite education, training and experience, as well as the appropriate affiliation to PNWU, the University will typically support submission of research proposals only when the PI or PD has a CV that demonstrates such requisite background through successful conduct of related projects and research products, such as publications. Also, PNWU requires PIs or PDs to hold a PNWU appointment equal to or greater than 0.5 FTE.  PI or PD status for those individuals whose appointments do not fall within the above-stated eligibility criteria may be granted special permission upon written approval from the provost.

F. Publication Practices
Publication of study findings is an integral and essential component of research. Other than presentation at scientific meetings or other considerations related to intellectual property matters, publication in a scientific journal should usually be the mechanism of first disclosure of new findings. Authors should be aware of and make significant efforts to avoid publishing in predatory publisher venues (See the Research Support page on PNWU Library’s website for more information). Lead or corresponding authors affiliated with PNWU should first consult with the Office of Scholarly Activity (OSA) about the journal in which a manuscript may be submitted to. OSA can answer questions about the quality of the targeted journal and assess the journal for predatory publishing risks. PNWU strongly discourages the publication of manuscripts in known predatory journals because of the risk to the author’s and the University’s reputation. 

Each publication should contain sufficient information for the reader to assess its validity and to replicate the study. In addition, each paper should acknowledge all sponsors of the research (including specific award numbers) and disclose any financial interests that the authors have in these sponsors. (See the Financial Conflicts of Interest Policy in the PNWU Policy Library).

Faculty members and research staff of the University with an appointment of equal to or greater than 0.5 FTE should use the PNWU name to identify themselves (e.g., “Jane Doe, Professor, Pacific Northwest University of Health Sciences”) in publications. In using the PNWU name to identify themselves in connection with activities conducted with outside individuals and entities (e.g., presentations, publications in research or educational journals), faculty and staff members should use caution so that the PNWU name is used in a manner that does not imply PNWU endorsement or responsibility for the particular activity, product, or publication involved.

G. Data Management
Federal “Guidelines for the Conduct of Research” at the National Institutes of Health provides that, “research data, including detailed experimental protocols, primary data from laboratory instruments, and procedures of reduction and analysis of primary data, are the essential components of scientific progress. Scientific integrity is inseparable from meticulous attention to the acquisition and maintenance of these research data”. (See Responsible Science: Ensuring the Integrity of the Research Process: Volume II, Part B, Section 7 , National Academies Press, 1992).

Research data should always be immediately available to scientific collaborators, supervisors, and institutional officials for review. In collaborative projects involving different units, all investigators should know the status of all contributing data and have direct access to them. PNWU requires that all documents related to federally sponsored projects, including primary research data, be available to federal auditors for the period specified by federal regulation¾in most cases, a period of three years from the filing of the final financial report. PNWU expects faculty members to retain all research data, whether resulting from federal sponsorship or not, in their laboratories or other bona fide research locations, and to provide access to the data when requested to do so by authorized institutional officials. Requests from sponsors for access to research data should be forwarded to the Office of Scholarly Activity. (For more details on research data management and retention at PNWU, see SOP 113.03).

Definitions: 
Research: a systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge.

Investigator: The Project Director (PD) or Principal Investigator (PI) and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research or proposed research, which may include, for example, senior research staff, collaborators, or consultants.

Principal Investigator (PI)/Project Director (PD): The PI or PD are the individual(s) designated by the applicant organization/recipient (i.e., PNWU) to have the appropriate level of authority and responsibility to direct the project or program to be supported by a research award. The applicant organization (i.e., PNWU) may designate multiple PIs/PDs or Co-PIs/PDs who share the authority and responsibility for leading and directing the project, intellectually and logistically.

Research data: Recorded factual material commonly accepted in the scientific or scholarly community as necessary to validate research findings, excluding preliminary analyses, drafts of scholarly or scientific work, plans for future research, peer reviews, communications with colleagues and physical objects (e.g., laboratory samples). See OMB Uniform Guidance 2 CFR § 200.315.

Sponsored Program: Any externally funded research, public service, or scholarly activity (including hosting or attending conferences) at the University that has a defined scope of work often including a set of specific programmatic objectives and/or deliverables, and line-item-based budget, providing the basis for sponsor expectations and awardee accountability (i.e., a reciprocal transfer of something of value). Sponsored programs are funded through agreements that usually include terms and conditions for the disposition of tangible properties and outcomes (e.g., equipment, records, specified technical reports), or intangible properties and outcomes (e.g., rights in data, copyrights, and inventions). Note: The terms sponsored program, sponsored project, and/or sponsored activity are often used interchangeably.

Procedure:
PNWU SOP 113.03 Data Management and Disposition

Related Documents:
Research Misconduct Policy
Human Research Protection Policy
Financial Conflicts of Interest in Funded Research Policy

Policy Resources

For assistance with policies and procedures contact:

Lori Fulton
lfulton@pnwu.edu