Research Misconduct Policy

Policy Number:
Res-300
Effective Date:
May 10, 2007
Last Revised Date:
October, 2023
Applies To:
Classified Staff, Appointed Personnel, University Staff, Students
Responsible Unit(s):
Research Integrity Program
Responsible Unit Email(s):
rio@arizona.edu
Status:
Active
Reference:
University Handbook for Appointed Personnel 2.13.09

Purpose and Summary

A community of scholars and researchers has an obligation to itself and to the general public to adhere to the highest standards of integrity and ethical behavior in scholarly and Research activities. At the University of Arizona (University), the primary responsibility for scholarly and Research integrity rests with the individuals who perform Research and who undertake scholarship. The University is committed to promptly responding to Allegations of Research Misconduct as well as to protecting the integrity and reputation of its researchers and scholars from false or unproven Allegations of Research Misconduct. Therefore, to ensure its obligations to the public, to the community of University researchers and scholars, and to the state and federal agencies involved in supporting, monitoring, and partnering with the academic research community, the University promulgates this Policy that satisfies the requirements of the Public Health Service (PHS) Policy on Research Misconduct, 42 CFR Part 93 ("the PHS regulation") and National Science Foundation Policies on Research Misconduct, 45 CFR Part 689.

Scope

This Policy applies to all Research conducted at, for, or on behalf of the University by Institutional Members.

This Policy does not apply to alleged Research Misconduct that occurred more than six years prior to the University or Sponsor’s receipt of the Allegation. Exceptions to this six-year limit may include, at the Research Integrity Officer’s (RIO) discretion, and without limitation:

  • Referrals of Allegations of Research Misconduct to the University from a federal agency beyond the six-year period;
  • Allegations of Research Misconduct that were not reasonably discoverable at an earlier time;
  • Continued or renewed incident of alleged Research Misconduct that occurred before the six-year period through the use of, republication of, or citation to the portion(s) of the Research Record alleged to have been Fabricated, Falsified, or Plagiarized, for the potential benefit of the Respondent (“Subsequent Use Exception”);
  • Allegations of Research Misconduct that would have a substantial adverse effect on public health or safety;
  • Applications of this Policy that are required by law or are otherwise in the best interest of the University; and
  • Applications of a different limitation period imposed by a contract or Sponsor.

Definitions

Allegation means a disclosure of possible Research Misconduct through any means of communication and brought directly to the attention of an institutional or Department of Health and Human Services (HHS) official. 

Assessment means a consideration of whether the Allegation of Research Misconduct appears to fall within the definition of Research Misconduct and if it is sufficiently credible and specific so that potential evidence of Research Misconduct may be identified.

Complainant means a person who in Good Faith makes an Allegation of Research Misconduct.

Fabrication means making up data or results and recording or reporting them as factual.

Falsification means manipulating Research or scholarship materials, equipment, or processes, or changing or omitting data or results such that the scholarship or Research is not accurately represented in the record.

Good Faith means, as applied to a Complainant or witness, having a reasonable belief in the truth of one’s Allegation or testimony, based on the information known to the Complainant or witness at the time. An Allegation or cooperation with a Research Misconduct proceeding is not in Good Faith if made with knowledge of or reckless disregard for information that would negate the Allegation or testimony. Good Faith, as applied to an institutional or committee member, means cooperating with the Research Misconduct proceeding by impartially carrying out the duties assigned for the purpose of helping an institution meet its responsibilities under 42 CFR Part 93. An institutional or committee member does not act in Good Faith if their acts or omissions during the Research Misconduct proceedings are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the Research Misconduct Proceeding. 

Intentionally (to act Intentionally) means to act with the aim of carrying out the act.

Inquiry means preliminary information-gathering and fact-finding to determine if each Allegation has substance and follows the procedures of the PHS regulation (i.e., that sufficient evidence exists that Research Misconduct may have occurred to warrant an Investigation).

Institutional Deciding Official means the institutional official who makes final determinations on Allegations of Research Misconduct and any institutional actions. The same individual cannot serve as the Institutional Deciding Official and the RIO.

Institutional Member means an individual (or individuals) who is employed by, is an agent of, or is affiliated by contract or agreement with an institution. Institutional members may include, but are not limited to, officials, tenured and untenured faculty, teaching and support staff, researchers, research coordinators, technicians, postdoctoral and other fellows, students, volunteers, subject matter experts, consultants, or attorneys, or employees or agents of contractors, subcontractors, or sub-awardees.

Investigation means the formal development of a factual record and the examination of that record that meets the criteria and follows the procedures of the PHS regulation.

Knowingly (to act Knowingly) means to act with awareness of the act.

PHS Support means PHS funding, or applications or proposals for PHS funding, for biomedical or behavioral research, biomedical or behavioral research training, or activities related to that research or training, that may be provided through funding for PHS intramural research; PHS grants, cooperative agreements, or contracts; subawards, contracts, or subcontracts under those PHS funding instruments; or salary or other payments under PHS grants, cooperative agreements, or contracts. 

Plagiarism means the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit. Plagiarism includes the unattributed verbatim or nearly verbatim copying of sentences and paragraphs from another’s work that materially misleads the reader regarding the contributions of the author. It does not include the limited use of identical or nearly identical phrases that describe a commonly used methodology. Plagiarism does not include self-plagiarism or authorship or credit disputes, including disputes among former collaborators who participated jointly in the development or conduct of a research project. Self-plagiarism and authorship disputes do not meet the definition of Research Misconduct.

Recklessly (to act Recklessly) means to propose, perform, or review research, or report research results, with indifference to a known risk of Fabrication, Falsification, or Plagiarism. 

Research means a systematic experiment, study, evaluation, demonstration, or survey designed to develop or contribute to general knowledge (basic research) or specific knowledge (applied research) relating broadly to public health by establishing, discovering, developing, elucidating, or confirming information about, or the underlying mechanism relating mechanisms related to, biological causes, functions, or effects; diseases; treatments; or related matters to be studied.

Research Misconduct means Fabrication, Falsification, or Plagiarism in proposing, performing, or reviewing scholarly, Research or in reporting Research results. Research Misconduct does not include honest error or differences of opinion.

Research Misconduct Proceeding means any actions related to alleged Research Misconduct taken under the PHS regulation, including Allegation Assessments, Inquiries, Investigations, Office of Research Integrity (ORI) oversight reviews, and appeals.

Research Record means the record of data or results that embody the facts resulting from scientific inquiry. Data or results may be in physical or electronic form. Examples of items, materials, or information that may be considered part of the Research Record include, but are not limited to, research proposals, raw data, processed data, clinical Research Records, laboratory records, study records, laboratory notebooks, progress reports, manuscripts, abstracts, theses, records of oral presentations, online content, lab meeting reports, and journal articles.

Respondent means the individual(s) against whom an Allegation of Research Misconduct is directed or who is the subject of a Research Misconduct Proceeding.

Retaliation means an adverse action, taken against any Complainant, witness, Committee member, or any other participant in a Research Misconduct Proceeding in response to (1) a Good Faith Allegation of Research Misconduct, or (2) Good Faith cooperation with a Research Misconduct Proceeding.

Sponsor means any agency of the U.S. federal government, state government, private foundation, corporation, or other entity external to the University that provides funds to support a Research project, Research program, or other Research, or scholarly activity.

Policy

  1. For all Allegations that fall within the scope of this Policy, the University will follow its Procedures for Responding to Allegations of Research Misconduct through to completion.
  2. To have a finding of Research Misconduct means a final, institutional decision, made by the Institutional Deciding Official on behalf of the University, in which Research Misconduct was found to have occurred. A Finding of Research Misconduct requires that: (1) there be a significant departure from accepted practices in the relevant Research community; (2) the Research Misconduct be committed Intentionally, Knowingly, or Recklessly; and (3) the Allegation be proven by a preponderance of the evidence.
  3. Retaliation is prohibited by this Policy. Individuals who engage in acts of Retaliation will be subject to applicable legal or disciplinary action.  
Responsibilities
  1. The University will:
    • Maintain an active assurance of compliance with PHS;
    • Respond to each Allegation of Research Misconduct in a thorough, competent, objective, and fair manner;
    • Promptly take all reasonable and practical steps to obtain all Research Records and other evidence and sequester them securely before or at the time of notifying the Respondent of the Allegation(s) and whenever additional items become known or relevant;
    • Ensure that the institutional record contains all required elements;
    • Take precautions to ensure that individuals responsible for carrying out any part of the Research Misconduct Proceeding do not have potential, perceived, or actual personal, professional, or financial conflicts of interest with the Complainant(s);
    • Comply with Sponsor requirements for reporting cases of possible Research Misconduct when Sponsored project funds are involved;
    • Maintain the institutional record and all sequestered Research Records and other evidence in a secure manner according to the Procedures after completion of the institutional and/or HHS proceeding; Provide information related to the alleged Research Misconduct and proceedings to ORI upon request and transfer custody or provide copies of the institutional record or any component of it and any sequestered evidence to HHS, regardless of whether the evidence is included in the institutional record. Additionally, the institution will promptly notify ORI of any special circumstances that may arise;
    • Take all reasonable and practical steps to protect the positions and reputations of the Complainant and any other persons involved in the Research Misconduct Proceedings from potential or actual Retaliation;
    • Cooperate with ORI during any Research Misconduct Proceeding or compliance review, including addressing deficiencies or additional Allegations in the institutional record if directed by ORI and to assist in administering and enforcing any HHS administrative actions imposed on institutional members;
    • Take steps to manage published data or acknowledge that data may be unreliable; and
    • Consistently and fairly apply the Procedures for Responding to Allegations of Research Misconduct.
  2. All individuals subject to this Policy and involved in Research are expected to:
    • Maintain and further the highest standards of ethical practices in scholarship and Research; exercise integrity and transparency in conducting Research and recording and reporting results; take care in the execution of scholarship and Research; and promote fairness in the recognition of the work of others.
    • Report, in Good Faith, observed, suspected, apparent, or actual Research Misconduct to the RIO. Any University employee other than the RIO who receives an Allegation of Research Misconduct is responsible for immediately forwarding the Allegation to the RIO and keeping the contents of the Allegation confidential.
    • Respect the right of individuals to make Good Faith Allegations of Research Misconduct, even if the Allegations cannot be proven true.
    • Cooperate with the Research Misconduct Proceedings, including, but not limited to, providing information, Research Records and other relevant information to the RIO, their designee, or any other person charged with reviewing or investigating Allegations of Research Misconduct.
    • Maintain confidentiality with respect to the subject matter of the Allegations and the names of all individuals involved in the Research Misconduct Proceeding and limiting disclosure to those with a legitimate need to know. This limitation on disclosure no longer applies once the institution has made a final determination of Research Misconduct findings.
  3. The Senior Research Officer appoints the RIO.
  4. The RIO has primary responsibility to implement this Policy and the Procedures for Responding to Allegations of Research Misconduct.
  5. The Complainant is responsible for making Allegations in Good Faith, maintaining confidentiality, and cooperating with all stages of a Research Misconduct Proceeding.
  6. The Respondent is responsible for maintaining confidentiality and cooperating with all stages of a Research Misconduct Proceeding.

Compliance

The Research Integrity Program is responsible for overseeing compliance with this Policy. 

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