Research Integrity

Integrity in scholarship, teaching, and research is a fundamental principle at UWM. In our research endeavors, we share a guiding value to engage in ethical behavior based on integrity, accountability, and responsibility. Our administration, faculty, staff, and students all share the responsibility for preserving the integrity of research conducted at UWM.

Responsible Conduct of Research (RCR) Training

Responsible conduct of research (RCR) is defined as “the practice of scientific investigation with integrity.” It involves the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research.

UWM strongly encourages all faculty and students to complete RCR training. *Some students and post-doctoral researchers are required to complete RCR training, as described below.

RCR training helps to:
  • Develop, foster, and maintain a culture of integrity in research
  • Discourage and prevent unethical conduct
  • Empower researchers to hold themselves and others accountable to high ethical standards
  • Increase knowledge of, and sensitivity to, ethical issues surrounding the conduct of research
  • Increase knowledge about the regulations, policies, statutes, and guidelines that govern the responsible conduct of research
RCR training subject matter includes:
  • Sound research design and methodology
  • Reproducibility
  • Conscientious data management
  • Appropriate authorship
  • Appropriate mentorship
  • Appropriate use of funds
  • Disclosing and managing conflicts of interest and/or commitment
  • Research ethics and integrity

RCR Training is conducted via CITI. Visit UWM’s Responsible Conduct of Research Training website for instructions on how to access the CITI RCR training.

RCR Training Requirements for Students and Post-doctoral Researchers

Education in the responsible and ethical conduct of research is essential in the preparation of future scientists and engineers. Therefore, RCR training is strongly encouraged and, in some cases, required for UWM students and post-doctoral researchers.

The National Science Foundation (NSF) and the National Institutes of Health (NIH) require that all undergraduate students, graduate students, and post-doctoral researchers who receive financial support for research through NSF or NIH must receive training and oversight in the responsible and ethical conduct of research. UWM uses CITI training for its basic RCR training; supplemental training for RCR topics can be provided upon request.

All UWM undergraduates, graduate students, and post-doctoral researchers financially supported by the National Science Foundation and the National Institutes of Health must complete mandatory RCR training.

Visit UWM’s Responsible Conduct of Research Training website for instructions on how to access RCR training.

For more information, contact Kate Mollen (mollen@uwm.edu), Director, Office of Sponsored Programs.

Research Misconduct

UWM fosters a research environment that discourages misconduct in all research and deals forthrightly with allegations of research misconduct. The responsibility for preserving the integrity of research conducted at UWM is shared by administration, faculty, staff, and students.

The UWM Policy on Research Misconduct defines research misconduct as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. The policy describes the steps in the determination of whether allegations of misconduct require further inquiry and investigation and includes the process for inquiry and investigation. The Research Misconduct Policy applies to anyone who, at the time of the alleged misconduct, was employed by, was an agent of, or was affiliated by contract or agreement with UWM. This includes faculty, staff, employees in training, students, contractors, volunteers, and guests.

For matters regarding research misconduct, contact Dr. Mark Harris, the designated Research Integrity Officer for UWM and the Vice Provost for Research, at 414-229-5483 or mtharris@uwm.edu.

Fiscal Integrity

Fiscal integrity is a shared responsibility across UWM. Units, including the Division of Finance and Administrative Affairs; the Office of Research; Schools, Colleges, Divisions; and Principal Investigators work together to ensure that UWM is meeting its federal and state compliance obligations.

UWM Office of Research

Financial Award Management
Financial award management requirements ensure that UWM is a responsible steward of our sponsor’s resources.

Contact:
Office of Sponsored Programs
-Director: Kate Mollen
-Assistant Director, Post-Award Administration: Carla Durand

UWM Division of Finance and Administrative Affairs

Extramural Support Administration Policy
Outlines parameters related to extramural support, which includes gifts, grants, sponsored contracts, and cooperative agreements.

Contact:
Business & Financial Services
-Financial Manager: David Rice
-Controller: Anthony Helmke

Fiscal Misconduct
Fiscal misconduct is defined as “a deliberate act or failure to act that is contrary to established laws, regulations or policies and which results or was intended to result in either loss or other damage to the State or the UW System or improper personal gain.”

Contact:
Finance and Administrative Affairs
If you suspect someone is engaging in fiscal misconduct:
-Notify your supervisor, who is obligated to inform UWM’s Vice Chancellor for Finance and Administrative Affairs.
Or
-Complete the UWM fraud reporting form. A representative from the Office of the Vice Chancellor for Finance and Administrative Affairs will contact you.

Sponsored Project Purchasing and Procurement
Guidance on procurement practices in accordance with State laws and UW System and UWM policies, procedures, guidelines, and best practices.

Contact:
Business & Financial Services
-Procurement Director: Scrivener, Tom

Institutional Research Compliance

All UWM researchers are subject to sponsor, state, and federal regulations. Research personnel compliance functions including effort reporting, conflicts of interest, and export controls are overseen by UWM’s Research Compliance Manager in the Office of Research.

Payroll Certification (Effort)

UW-Milwaukee recognizes the importance of providing good stewardship in managing extramural funds. The university’s stewardship responsibilities include complying with federal requirements to certify faculty and staff compensation on federally sponsored projects.

To meet the requirements of 200.430 – Compensation for Personal Services, payroll must be certified for all individuals who expend committed effort on federal sponsored projects or are paid from a federal sponsored project. Payroll certification provides documentation that award salary charges are appropriate for the work performed.

UW-Milwaukee’s procedures for proposing, charging, and certification of compensation on sponsored projects can be found in the guidance document titled “Guidelines for Effort Commitments and Payroll Certification Associated with Sponsored Projects.

Project-Based Payroll Certification

UWM uses Project-Based Payroll Certification to meet the requirements of 200.430 Compensation for Personal Services. Project-Based Payroll Certification occurs twice a year using ECC (the Employee Compensation Compliance tool).

For project-based payroll certification, the Principal Investigator, or their approved designee, is responsible for certifying project payroll.

Staff who serve as PI or approved designee on federal sponsored projects must complete a one-time training program on the principles of effort commitments and payroll certification. The Basics of Effort, Commitments and Payroll Certification training is managed through CITI. Please go to the CITI website and log in with your UWM credentials to access the training.

Resources

Please note: With the move to project-based payroll certification in ECC, this webpage will be updated frequently over the next few months. Additionally, as part of the UW System ATP/RAMP project, both UW Milwaukee and UW Madison are involved in this change. Some resource documents and trainings are shared, and some materials may be hosted through UW Madison websites.

Guidance Document

Guidelines for Effort Commitments and Payroll Certification

Intro Videos

Intro to Project-Based Payroll Certification and ECC
RAMP ECC Intro and Demo video

PI or designated certifier

ECC Quick-Start Guide for PI Certifiers
ECC and Payroll Confirmation for PI Certifiers (online training video)

Compensation Compliance Coordinators

ECC Quick-Start Guide for CCCs
ECC for Compensating Compliance Coordinators Training recorded video

CITI Training

The Basics of Effort, Commitments and Payroll Certification

Forms

Certification Delegation Request Form

Contact:
Jeff Nytes
UWM Research Compliance Manager

Export Control

Introduction

The University of Wisconsin-Milwaukee must foster and protect an environment of openness and academic freedom to sustain and strengthen its research and higher education mission. Avenues of inquiry should be unlimited, participation in research and the academic community unrestricted, and dissemination of knowledge unfettered.As policy, UWM will not undertake research with restrictions on openness or academic freedom on its campus. Examples of unacceptable restrictions include classification, required external approval of research results before publication, or exclusion of members of UWM‘s community from participation in research. In particular, foreign faculty, students, or scholars should not be singled out for restriction in access to UWM‘s educational and research activities. Most research can be conducted in accord with this policy and the ideals of freedom of inquiry and open exchange of knowledge.

Allowability of Export Controlled Projects

The Vice Provost for Research may grant exceptions to this policy to the extent such exceptions are consistent with applicable laws and UW-System and Board of Regents’ policies. Exceptions will be rare and may be granted only where the research is critically important to UWM‘s mission and serves a demonstrable greater good or where the impact on open research is limited. For example, exceptions may include, but are not limited to, accepting export controlled information if it is tangential to the intellectually significant portions of the research and extending the length of time for publication review. If these conditions are not met, UWM will decline or discontinue the research or, if an acceptable off-campus affiliate is available to conduct such research, consider whether a collaboration arrangement between UWM or its researchers and the affiliate is appropriate.

Fundamental Research Exemption

The policy statements described above support the fact that research conducted by the faculty, staff, and students of UWM is Fundamental Research as that term is defined in National Security Decision Directive 189. As such, most UWM research will be exempt from export controls. However, where export controls are applicable to our research activities, UWM will require full compliance with the law.

Resources

Export Control Overview
Export Control Glossary
Regulations
License Requirements
Deemed Export
Controlled Research – Foreign Staff/International Students
International Travel
International Shipping

Training

UW Milwaukee training is in development. Until completed, we have received permission to utilize UW Madison’s Export Control Office training page. These resources are specific to UW Madison, but contain useful information applicable to export control at any institution: UWMSN training site

Forms

Technology Control Plan Template
Export Control Screening Form
Export Control Assessment Form

Questions

UWM is committed to export control compliance. The Office of Research oversees many aspects of export control compliance for UWM. Contact Export Control Coordinator Jeff Nytes with questions.

Financial Conflict of Interest

What is it?

Per the UW System Unclassified Code of Ethics and University policy, faculty and academic staff (with half-time appointments or more) are required to disclose outside activities and financial interests annually by submitting an Outside Activities Report (OAR) and must update disclosure throughout the year as their outside interests change. Faculty and academic staff must submit an OAR even if they have no outside activities or financial interests to report. This is to protect employees and the institution by identifying and preventing situations in which there is a conflict between an employee’s personal interests and that employee’s public responsibilities to UWM.

For PIs, co-investigators, and key personnel on PHS-funded awards, there are additional steps required. Objectivity in research is promoted by ensuring research is free from bias resulting from investigator financial conflicts of interest through training (Federal Conflict of Interest (FCOI) training completed in CITI), identification of (Significant Financial Interest Disclosure (SFID) completed in SMA), and management of conflicts and potential conflicts of interest (via a Management Plan completed in tandem with the Research Conflict of Interest Committee and the Office of Sponsored Programs).

What do I need to do?

The Outside Activities Disclosure Report is due by April 30 each year. You should have received an email in early April from “UWM eWorkflow Process Director” with a link to complete your Outside Activities Report (OAR). If you have not completed your OAR, please click on link and complete your report. If you can’t find your email, please contact OAR Support.

Contact:

For help with the annual outside activities disclosure process, please consult the OAR Toolkit and if you have questions, contact OAR Support. If you have specific questions about FCOI, SFID, Management Plans, or research-related conflicts, contact the UWM Research Conflict of Interest Committee.

Research Laboratory Compliance

UWM has various programs to promote safety, compliance, and environmental health in order to facilitate education and research for the faculty, staff, and students. The following laboratory research compliance functions are overseen by UWM’s Office of University Safety & Assurance.

Animal Care Program

What is it?

Provides for the care, health, and well-being of animals used for research and education at UWM.

What do I need to do?

If you intend to work with vertebrate animals, you will need to complete Animal Care Training and submit the required Animal Care Training Forms.

Contact:

Biological Safety Program

What is it?

Protects the health of the UWM community by identifying and managing biohazardous materials and recombinant DNA used in campus activities.

What do I need to do?

You must complete specific training programs and registration forms when working with certain biological materials. Click on each link above to identify the biological safety training program(s) and form(s) required for your research.

Contact:

Human Subjects Protection

What is it?

The HRPP is the home of the Institutional Review Board (IRB) for the protection of human subjects. The IRB holds autonomous decision making when reviewing human subject research studies at UWM. The mission of the IRB is to ensure the adequacy of the research plan, to minimize risks, and to maximize the potential for benefit for human subjects who participate in research.

What do I need to do?

Sponsored projects that involve human subjects are required to be approved by the UWM Institution Review Board (IRB).

Contact:

irbinfo@uwm.edu

Laboratory Safety

What is it?

Promotes safety, compliance, and environmental health in UWM laboratories, shops, and studios.

What do I need to do?

Principal investigators, lab supervisors, or individual departments must prepare a Chemical Hygiene Plan and standard operating procedures for their laboratories.

Contact:

For training and plan preparation support, Jennifer Herriges, Chemical Hygiene Officer, University Safety and Assurances.

Radiation Safety

What is it?

The UWM Radiation Safety Program manages the safe use of radioactive material on campus through training, laboratory audits, laboratory surveys, radionuclide control and inventory, personal dosimetry and waste disposal.

What do I need to do?

Principal investigators are responsible for ensuring their personnel are properly trained in radiation safety techniques as described in the UWM Radiation Safety Manual.Use of byproduct radioactive materials, accelerator produced radionuclides, naturally occurring radionuclides, and machine produced radiation requires authorization. To obtain authorization, you must complete and submit the required forms to the Radiation Safety Program.

Contact:

University Safety and Assurances