2.6.2.3: Sanctions

The Senior Vice President for Academic Affairs, in consultation with the unit dean, shall impose sanctions against individuals found guilty of unethical behavior in research and shall advise them of their right to file a grievance through regular University grievance procedures. Sanctions shall be imposed in accordance with the following guidelines:

1. Mitigating factors, such as present demeanor or past disciplinary record, as well as the nature of the offense and injury or harm resulting from it, shall be considered.

2. Repeated ethical violations in research shall result in more severe sanctions.

3. Attempts to commit ethical violations in research shall be treated in the same manner as completed violations.

The following sanctions, listed generally in order of severity, may be applied either singly or in combination:

1. Written warning to the individual that such conduct violates ethical research principles.

2. Suspension from specified activities for a designated period of time.

3. Financial restitution for misuse of University funds.

4. Monitoring of research activities and publications by an appropriate individual or ad hoc committee for a specified period of time.

5. For faculty, ineligibility for salary increases for a specified period of time.

6. Ineligibility for in-house funding for a specified period of time.

7. Recommendation for dismissal or expulsion in accordance with University policies.

A documented effort shall be made to ensure that the severity of the sanction(s) matches the severity of the offense and that the action is consistent with prior sanctions levied for similar instances of unethical conduct in research.