Title:	Academic, Scholarly, and Professional Integrity and Misconduct (ASPIM), Policy on
Policy Owner:	Graduate Faculty Council; University Senate
Applies to:	All members of the University community
Campus Applicability:	Storrs and Regional Campuses
Approval Date:	July 11, 2023
Effective Date:	August 28, 2023
For More Information, Contact:	For Undergraduate Education: Director or Associate Director, Office of Community Standards (community@uconn.edu)   For Graduate Education: Director of Graduate Student and Postdoctoral Scholar Support, The Graduate School (gradschool@uconn.edu)
Official Website:	policy.uconn.edu

BACKGROUND

The University of Connecticut is committed to fostering an intellectual community in which the highest ethical standards of academic, scholarly, and professional integrity prevail.  All members of the university community, including administrators, faculty, staff, and students, have a shared responsibility to uphold this commitment.  This commitment relates to all aspects of academic, scholarly, and professional activity, which include not only activities related to instruction, but also those related to the production and dissemination of scholarship, research, and creative works, and to professional conduct within clinical and other professional settings. Integrity in all of these activities is of paramount importance, and the University requires that the highest ethical standards in teaching, learning, research, and service be maintained. This includes “ethical aspects of scholarship that influence the next generation of researchers as teachers, mentors, supervisors, and successful stewards of grant funds” (Council of Graduate Schools, 2012).

Issues related to academic and scholarly integrity at the University of Connecticut are governed by the Academic, Scholarly, and Professional Integrity and Misconduct Policy (DATE). To recommend changes to the policy or to the implementing procedures, a committee must be convened that brings together all the above relevant stakeholders, including University Senate and Graduate Faculty Council. The committee must then bring those changes to the University Senate and Graduate Faculty Council, and each body must vote to approve any changes.

Students’ responsibilities with respect to academic and scholarly integrity are described in the following documents: Responsibility of Community Life: The Student Code.

PURPOSE

To ensure a commitment to academic, scholarly, and professional integrity in all levels of the university community.

Such a commitment ensures that:

• all individuals accept full responsibility for their own work and ideas;
• all academic/scholarly credit awarded to an individuals represents the work of that individual;
• no student benefits from an unfair advantage;
• faculty, staff, advisors and others who support the intellectual development of students are committed to fostering, guiding, and monitoring students for adherence to all principles of academic and scholarly integrity;
• the grades earned, the degrees or certificate conferred were appropriately earned by the individual;
• the reputation of the University with respect to academic and scholarly integrity are protected
• faculty, staff, and students adhere to the professional standards of conduct specific to each program offered at the university;
• this policy is used consistently across the University, including undergraduate and graduating students and schools/colleges.

APPLIES TO

This policy applies to all members of the University Community engaged in academic and scholarly efforts in, but is not limited to, the following contexts in undergraduate and graduate education:

• courses, including online courses (e.g., assignments, exams, projects, thesis);
• experiential and service-learning courses and activities;
• study abroad programs;
• clinical and practice placements, internships, and externships;
• program assessments (e.g., comprehensive exams, thesis, program reviews);
• research, including undergraduate, graduate, postdoctoral scholar, and faculty research; and
• processes involving submitting information (i.e., admissions, for scholarships/fellowships, for competitions, for awards, or other university programs); and
• professional events and conferences

All members of the University community are responsible for ensuring that the principles of academic and scholarly integrity are upheld.

This policy applies to graduate students and postdoctoral scholars, with the exception of PharmD students in the School of Pharmacy and professional students with degrees conferred by the Schools of Dental Medicine, Medicine, or Law.

This policy does not apply to legal, regulatory, or compliance requirements that fall outside the Academic and Scholarly Integrity Policy. In addition, this policy does not remove any reporting requirements to the appropriate oversight authority in instances of noncompliance or alleged noncompliance.

DEFINITIONS

Academic Integrity:  a commitment by the University Community to uphold just and ethical behaviors, which includes truthfulness, fairness, and respect (ICAI, 2021).

Scholarly Integrity: a commitment by the University community to both ”… research integrity and the ethical understanding and skill required of researchers/scholars in domestic, international, and multicultural contexts. It is also intended to address ethical aspects of scholarship that influence the next generation of researchers as teachers, mentors, supervisors, and successful stewards of grant funds.” (p. xix, Council of Graduate Schools, 2012).

Professional Integrity. Standards of behavior defined by the various professions in which students are prepared through their degree or certificate programs.

Academic, Scholarly, and Professional Integrity Misconduct is defined as unethical academic and scholarly behavior during a course (e.g., on an assignment or exam), as part of other degree requirements (e.g., requirements regarding placement, capstone or comprehensive exams, or placement exams), or at other times during undergraduate, graduate, or professional study and performance, including during engagement in fieldwork, clinical placements, or research. These behaviors include:  

• Cheating: Unauthorized acts, actions, or behaviors in academic or scholarly areas. Examples of cheating include, but are not limited to:
  • providing or receiving help on an assignment or exam intended to reflect the individual student’s work product when not authorized to do so by the instructor. 
  • buying, selling, circulating, or using a copy of instructional materials, assignment or test, including uploading such information to online services, or using materials prepared by services that sell or provide papers or other course materials.
  • asking someone to complete an assignment, exam, or other requirement on your ones behalf or completing an assignment, exam, or requirement for another student. 
  • Failure to disclose unauthorized assistance on work submitted for evaluation, i.e., assistance obtained outside channels approved by instructors, that is used to complete a course, program, or degree requirement. This includes assistance from other students, teaching assistants, Quantitative Learning Center, Writing Center, or mediated support from the Center for Students with Disabilities.
• Plagiarizing: Using one’s own previously published, presented, or disseminated material, or another person’s language/text, data, ideas, expressions, digital/graphic element, passages of music, mathematical proofs, scientific data, code, or other original material without authorization of the originating source or proper acknowledgement, attribution, or citation of the originating source. Examples of plagiarism include but are not limited to:
• submitting as one’s own any work (in whole or part) completed by another individual, including any work that has been purchased from an individual, commercial research firm, or obtained from the internet.
• submitting for evaluation or credit any work that was previously used or submitted for credit in another course or as part of a degree requirement (e.g., a thesis or dissertation) without authorization to do so from the instructor. (This includes self-plagiarism in the form of re-using, in part or whole, the content of a paper from another class or context.).
• submitting any work prepared for or used in a previous publication, academic competition, clinic, or other activity (e.g., grant or application submission) without prior approval and full disclosure or when permitted by established editorial or other policy. (This includes self-plagiarism in the form of using, in part or whole, the content of a paper that was previously published without attribution).
• unauthorized use of previously completed work or research for a thesis, dissertation, or publication.
• Misrepresenting: Deliberately knowing and providing false or misleading information, including information about oneself or others. Examples of misrepresenting include but are not limited to:
  • engaging in “any omission or misrepresentation of the information necessary and sufficient to evaluate the validity and significance of research, at the level appropriate to the context in which the research is communicated” (D. Fanelli, Nature 494:149; 2013).
  • making unauthorized alterations to any document or digital file pertaining to academic or scholarly activity, including assignments, exams, and research data.
  • making up information for the purpose of deception (e.g., fabrication of data in research).
  • making false, inaccurate, or misleading claims or statements, including claims/statements made when asking for assistance (e.g., requesting an extension on an assignment), applying for admission to an undergraduate or graduate program, applying for a scholarship or an academic, scholarly, or research award, or submitting manuscripts for publications.
  • allowing someone to use one’s identity or using someone else’s identity for academic or scholarly advantage (e.g., signing in electronically for an absent student).
  • accepting credit for work for which the individual did not contribute (e.g., misrepresenting an individual’s role in a group assignments).
• Noncompliance: Failure to conform with codified and publicly available academic, scholarly, or professional standards, processes, or protocols.Examples of noncompliance include but are not limited to:
• not attending to the professional standards governing the professional conduct of students in particular fields (e.g., pharmacy, nursing, education, counseling, and therapy).
• violating protocols governing the use of human or animal subjects. 
• breaching confidentiality in academic and scholarly activity (e.g., disclosing the identity of study participants).
• disregarding the applicable university, local, state, or federal regulations that guide academic or scholarly activities.

Instructor: any faculty, teaching assistant, or any other person (e.g., lab supervisor, clinical supervisor, professional staff) authorized by the University to provide educational services (e.g., teaching, research, advising)

POLICY STATEMENT

All members of the university community, including administrators, faculty, staff, and students, have a shared responsibility to uphold the highest ethical standards of academic, scholarly, and professional integrity and to report any violations of those standards of which they are aware.

Instructor Expectations: To foster a culture of academic integrity, instructors are responsible for communicating the expectations for academic and scholarly integrity to students and for engaging in practices that mitigate violations of this policy. Specifically, instructors are expected to:

• include a link to the Academic, Scholarly, and Professional Integrity and Misconduct policy as part of course syllabi or documentation for any other academic/scholarly activity and include any additional unit-specific expectations.
• review academic and scholarly integrity policy and any other disciplinary- or activity-specific expectations.
• provide clear guidance for all assignments, activities, and assessments, including noting what resources can be used and whether collaboration is permitted.
• ensure individuals engaged in research, creative, or professional activities understand the standards, protocols, and guidelines to which they must adhere.
• adhere to the University processes for reporting misconduct, engaging in the review process, and assigning consequences to address violations, which should include opportunities for education and remediation.

Student Expectations:   To uphold the principle of academic and scholarly integrity in all aspects of their intellectual development and engagement at the University, students are expected to:

• be responsible for their own work and their own actions related to all academic and scholarly endeavors.
• assume they are to do independent work and seek clarification prior to collaborating with others or using outside resources.
• understand and abide by the standards, protocols, and guidelines to which they must adhere in research, creative, or professional activities .

If students witness or become aware of a violation of academic or scholarly integrity, they are encouraged to communicate this to the appropriate university representative (e.g., faculty, staff, advisor).

A cumulative record is maintained of all academic or scholarly integrity violations and such record will be reviewed and considered as part of subsequent incidences. Individuals engaged in research are expected to follow all standards, rules and regulations that guide the proper conduct of research or creative activity.

ENFORCEMENT

Violations of this policy and its related procedures may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.

Notes:  Student misconduct is governed by the University’s Student Code, which is administered under the direction of the Division of Student Affairs. Enforcement of its provisions is the responsibility of the Director of Community Standards (for undergraduate students), The Graduate School (for graduate students), and the Office of the Vice President for Research (for research misconduct). Identified misconduct will be routed to the appropriate unit.

Faculty misconduct is also governed by the Code of Conduct and misconduct is addressed by the appropriate university administrative unit(s) (e.g., School/College, Provost Office, Office of the Vice President of Research, Human Resources).

REFERENCES

International Center for Academic Integrity [ICAI]. (2021). The Fundamental Values of Academic Integrity. (3rd ed.) https://academicintegrity.org/images/pdfs/20019_ICAI-Fundamental-Values_R12.pdf

Council of Graduate Education (2012). Research and Scholarly Integrity in Graduate Education: A Comprehensive Approach. https://cgsnet.org/research-and-scholarly-integrity-graduate-education-comprehensive-approach-2

Responsibilities of Community Life: The Student Code

PROCEDURES/FORMS

Undergraduate Education: Academic, Scholarly, and Professional Misconduct

Graduate Education: Academic, Scholarly, and Professional Misconduct

[Note: UConn will continue to use the existing procedures administered by Community Standards for undergraduate education and The Graduate School for graduate education until such time that the university transitions to the new Procedures for Addressing Alleged Violations of the Policy on Academic, Scholarly, and Professional Integrity, which was approved by Graduate Faculty Council and the University Senate.]

POLICY HISTORY

07/11/2023 Approved by the President (06/26/2023 Approved by Senior Policy Council; 05/01/2023 Approved by University Senate; 10/26/2022 Approved by Graduate Faculty Council)