Research Confidentiality of Information
I. PURPOSE AND SCOPE
To define the research confidentiality of information policy of the American College of Education and describe the procedures to protect the personal information of human subjects.
Ethical guidelines require that research involving human subjects protect the privacy of the subjects and the confidentiality of their data. Research participants are entitled to have their personal information kept private. Leaking any confidential data may cause harm to the subject, such as the loss of a job, financial loss, or emotional stress. In addition, human subjects or an organization may not wish to participate in research unless there is a guarantee of confidentiality.
II. STATEMENT OF THE POLICY
American College of Education upholds the ethical guidelines regarding research studies. Any use of student records used in research, will comply with FERPA requirements and protect the confidentiality of all participants. ACE ensures that the information received from human subjects or organizations during research studies will be kept confidential and participants will be fully informed of their rights.
III. PROCEDURES
- The Institutional Review Board will carefully review all applications for research to verify there are provisions to protect the confidentiality of information to be provided by research participants.
- The IRB will review procedures to ensure that potential investigators include provisions for maintaining the confidentiality of data during data collection. In addition, the IRB will ensure that the research proposal includes a plan to encode or change personal data such as names.
- The IRB must be informed as soon as an instance of unauthorized release or loss of data has occurred. The IRB will conduct an investigation in order to determine whether or not a violation of protocol or another form of non-compliance has occurred, and determine, along with academic leadership, an appropriate course of action in response.
- Only the researchers specified in the proposal should be allowed to access the personal data.
- All digital data files must be kept confidentially stored using security procedures such as password and data encryption. Non-digital data, including paper notes, hard copies, audio/video tapes, etc. must also be stored in a locked location with access limited to the research team. Data must be kept for ten years if the research is published. Procedures for data disposal must also protect identities and maintain confidentiality.
Research Conflict of Interest
I. PURPOSE AND SCOPE
American College of Education requires that research be conducted in an ethical manner. However, there are times when financial, professional or personal interests may impact or appear to impact the research activities of the institution. Therefore, this policy provides guidelines to avoid a conflict of interest (COI).
II. STATEMENT OF THE POLICY
American College of Education requires that all employees conduct the College’s affairs in accordance with high ethical standards. As a result, ACE does not allow any conflict of interest to occur in research. Financial interests related to research which must be reported include those received for personal financial benefit from the research sponsoring entity, as well as any equity ownership, any management positions, any ownership of intellectual property, licenses, and all financial interests and relationships with the sponsor of any research. The IRB will inspect each research proposal for possible COI and will make the final decision regarding the research. ACE researchers must abide by the COI requirements of any Federal agencies if the research is sponsored. Employees and students are expected to report any possible COI to the IRB. Each instance of suspected conflict of interest will be evaluated by the IRB. If the IRB determines that COI has occurred, a management plan described in the procedures below will be carried out.
III. PROCEDURES
Any ACE employee or student intending on engaging in research that will involve a conflict of interest needs to inform academic leadership and the IRB. The IRB will have the final decision regarding the research proposal.
Any ACE employee or student may complete the disclosure form if they feel that conflict of interest has occurred during research.
The disclosure form will be submitted to the Institutional Review Board (IRB) for evaluation. The IRB may consult with various individuals as needed.
If no COI has occurred, the person submitting the disclosure form will be notified in writing.
If an instance of COI has occurred, the IRB will meet with the faculty/staff/student (person(s)) heading the research and his/her/their immediate supervisor/faculty in order to develop and approve a management plan. The plan may include severing the relationships that are causing the COI; removing contract terms that are causing the COI; admitting and disclosing the COI in all publications/presentations, written notification to the research sponsor, and in the informed consent to human research participants; modifying the scope of the project; divesting the financial interest giving rise to the conflict; designating a colleague or Department Chair with no COI to the research to serve as lead investigator; destruction of data already collected. In rare cases the individual may be disqualified from the project. After the plan has been approved, the IRB will inform everyone involved in the research in writing of the COI and related management plan.
Research Misconduct
I. PURPOSE AND SCOPE
American College of Education expects all faculty, students, and staff to follow high standards of academic integrity with regard to research activities. ACE promotes research within the College by providing an environment conducive to ethical research which includes the introduction and enforcement of related policies. As a result, ACE does not tolerate any research misconduct but insures that due process is followed.
II. STATEMENT OF THE POLICY
American College of Education does not tolerate research misconduct and will start an inquiry if an allegation that satisfies the definition of research misconduct is reported. A formal investigation will follow the initial inquiry. The respondent will be found either in compliance or not in compliance of the charge, and if found not in compliance, may be permanently administratively dismissed from the college. Academic sanctions may include, but are not limited to, withdrawal from the associated course with a grade of F and/or a reduction of a grade in the course. Disciplinary sanctions may include, but not limited to, suspension for a specified period of time, permanent separation from the institution, and/or filing of criminal charges.
III. PROCEDURES
- An allegation of research misconduct may be filed by anyone, even if they have no relationship with ACE; however, prior to filing an allegation, it is preferred that the complainant speak with their respective leader/supervisor.). An allegation should be filed only if sufficient credible evidence exists to support it, such as, but not limited to, fabrication of results, falsification of results, plagiarism, or serious deviation from accepted practices. Any allegations must be forwarded to the academic discipline committee or Human Resources, which will determine, within 10 working days of receiving the allegation, whether or not an inquiry is necessary. If the allegation lies within the definition of misconduct of research, the academic discipline committee or Human Resources will start the inquiry process.
- If an inquiry is not necessary, the academic discipline committee or Human Resources will dismiss the allegation and provide both the respondent and the complainant with written notification.
- The academic discipline committee or Human Resources will be responsible. The committee will include at least one core faculty member and at least one administrator/staff person. The committee will be briefed on the allegation and the inquiry plan. The academic discipline committee or Human Resources will have 30 calendar days to complete the process.
- The student will remain enrolled until found not in compliance by the academic discipline committee, and all appeals are exhausted. If the investigation is linked to a particular course, the student will receive an “I” until the process is complete, the outcome might be a grade of an “F” or reduction of a grade.
- The faculty or staff member will remain employed until found not in compliance by Human Resources, and all appeals are exhausted.
- A report shall be produced at the end of the investigation which will:
- Describe allegations
- Identify the respondent, including name and position
- Identify the complainant’s name, position, and comments
- Include the names and titles of inquiry committee members
- Identify and summarize research records and evidence
- Include a contract or funding source information (if applicable)
- Describe and document any federal support, including policy and procedures used
- Include a statement of findings for each allegation
- Recommend whether any action should be taken if the investigation is not recommended.
- After the report is finalized, academic discipline committee or Human Resources will then inform the respondent and the complainant of the decision in writing. The academic discipline committee or Human Resources will also secure all records of the evidence and proceedings. All documents entered as part of the student’s electronic permanent record, maintained in the current Student Information System at American College of Education, will be retained indefinitely.
- An appeal may be made in writing to the academic discipline committee or Human Resources within 10 working days of receiving the decision notice provided that it is limited to a grievance of sanctions that were imposed as a result of a finding of research misconduct or a claim that the process was flawed which made the outcome inaccurate.
- Upon a final decision of research misconduct, the respondent, if an employee, may be terminated from employment. A student may be dismissed from the College with the decision for dismissal as a part of their permanent record. Academic sanctions may include, but are not limited to, withdrawal from the associated course with a grade of F and/or a reduction of a grade in the course. Disciplinary sanctions may include, but not limited to, suspension for a specified period of time, permanent separation from the institution, and/or filing of criminal charges.
- If the final decision is not research misconduct, the person will have his/her reputation restored by removing any mention of the procedure from the respondent’s human resource file and permanent academic record.
- A temporary record file which contains copies of the documents used during the investigation, as well as original records will be sealed and filed within a designated location, such as SharePoint, for 5 years after completion of the investigation. Originals will be returned to those who provided them.
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