Obligations and Protections for Graduate Students and Postdoctoral Research Associates in Reporting Wrong Doing, Non-Compliance or Research Misconduct

This page provides the University of Wisconsin–Madison policy for Obligations and Protections for Graduate Students and Postdoctoral Research Associates in Reporting Wrong Doing, Non-Compliance or Research Misconduct

Adopted By: Research Policy Advisory Committee
Approved By: Vice Chancellor for Research
Adoption Date: November 15, 2007
Revised: February 18, 2010
Revised: 1/29/2018
Reviewed By: Associate Deans for Research
Date: March 16, 2018
Approved By: Vice Chancellor for Research and Graduate Education
Adoption Date: March 16, 2018

Introduction

The University of WisconsinMadison strives to foster the highest scholarly and ethical standards among its students, faculty, and staff. As a recipient of federal funding, the University of Wisconsin must comply with federal laws related to civil rights, animal welfare research misconduct, and others. Though extremely rare, we realize there are times when reportable events of wrongdoing, noncompliance, or misconduct may occur in our midst and that it is our responsibility as an academic community to take steps to rectify them.

Reportable events can occur in the course of carrying out ones normal institutional work assignments, including a breadth of interpersonal interactions, the design, conduct, publication and communication of research, or the preparation of grant proposals, progress reports and final summaries for funding agencies.

Graduate students and research associates are among the most vulnerable groups when reporting wrongdoing, noncompliance, or research misconduct because their source of financial support and progress in their careers may be placed at risk by their decision to report an adverse event. They are also often the closest witnesses when instances of wrongdoing, noncompliance, or research misconduct occur and therefore must be appropriately protected from the consequences of reporting adverse events and be informed of their rights.

Policy

The University of WisconsinMadison provides this policy to empower and protect graduate students and postdoctoral fellows when their report of adverse events occurring in the university workplace has the potential to jeopardize their employment status, continuation of appointment or funding, or progress toward degree.

Through enactment of this policy, the University of WisconsinMadison encourages our students and research associates to report instances of wrongdoing, noncompliance, or research misconduct. Furthermore, the University of WisconsinMadison will, by guaranteeing funding and progress towards degree, support and protect them from circumstances arising because of their good faith disclosure of such instances.

By enacting this policy, the University of WisconsinMadison recognizes that graduate and postdoctoral studies represent unique endeavors that cannot always be replaced or supervised by interchangeable advisors. Consequently, it may be necessary for students and research associates to carry out new research or to find a new advisor or research supervisor as an ultimate consequence of reporting an adverse event. The Graduate School, Deans Office and Department Chair will collaborate with affected students and research associates to secure funds and to identify acceptable advisors so that they may continue their studies while allegation of wrongdoing, noncompliance or research misconduct are under institutional review. This support includes a planned and mutually agreed upon completion of their degree after allegations have been settled.

It is also important to recognize that unfounded or bad faith allegations of wrongdoing, noncompliance, or research misconduct can have serious impacts on the individual accused of the wrongdoing, even when the allegations are subsequently proven wrong. Consequently, students are reminded that under UWS 17, Student Nonacademic Disciplinary Procedures, disciplinary sanctions may be imposed for knowingly making a false statement to any university employee or agents regarding a university matter. Similarly, regarding Research Associates, disciplinary sanctions up to and including termination may be imposed for knowingly making a false statement to any university employee or agents regarding a university matter.

Procedures

Graduate students and research associates may report instances of wrongdoing, noncompliance or research misconduct to their department Chair, or to the Associate Dean for Research of their respective college or school. The University of WisconsinMadison also provides many additional ways to learn about policies and procedures regarding wrongdoing, noncompliance, or research misconduct, and to report these to responsible institutional officials, including by use of anonymous, electronic resources. These are summarized below.

At any time in this process, and particularly if a witness does not believe that due attention has been given to a written report of wrongdoing, the witness should contact the University of Wisconsin Ombuds Office, which serves to provide confidential, impartial, informal, and independent advice on how to proceed.

Resources

For additional details on University of WisconsinMadison commitments, please see:

• UWMadison's policy for Misconduct in Scholarly Research, providing protection from retaliation for individuals who report an adverse event
• The Office of Compliance, which has information on providing equal opportunity and equal access, including our non-discrimination policies and procedures and reporting procedures
• The Research Animals Resources and Compliance, which has information on animal welfare
• UWMadison's policy on Misconduct in Scholarly Research
• UWMadison's policies and procedures regarding academic misconduct, which is associated with instruction

This policy was disseminated by the Office of the Vice Chancellor for Research and Graduate Education along with the Schools/Colleges Associate Deans for Research and be posted on the Schools'/Colleges' Websites.

Keywords: reporting wrong doing research misconduct non-compliance obligations protections graduate students