Research Integrity Officer
General Policy on Research Misconduct
Research rests on a foundation of intellectual honesty. Scholars must be able to trust their peers, students must be able to trust their teachers, and both sponsors and the public must be able to trust the integrity of the results of research performed in institutions of higher education. The integrity of research is the subject of widely shared professional norms and legal requirements that place specific obligations on the University and all members of the University community.
This document sets forth Indiana University’s policy and procedures concerning research misconduct. It is intended to ensure impartial and accurate adjudication of allegations of research misconduct that respects the legitimate interests of all parties, enhances professional and public trust, and ensures compliance with professional norms and applicable legal requirements.
Allegation: A written disclosure of possible research misconduct to the RIO or DO that triggers the procedures described by this Policy. An allegation must be more than a conclusory statement, and should provide sufficient specificity to allow a determination as to whether the conduct alleged, if true, falls within this Policy.
Complainant: A person who submits an allegation of research misconduct.
Conflict of Interest: A professional or personal relationship or activity with the respondent or other parties, beyond that of a mere acquaintance or colleague, that might affect, or reasonably appear to affect, the individual’s ability to be impartial.
Deciding Official (DO): The University official appointed by the President to implement and oversee this policy consistent with applicable laws.
Inquiry: The process under the Policy for information gathering and preliminary fact-finding to determine if an allegation or apparent instance of research misconduct has substance and therefore warrants an investigation.
Investigation: The process under the Policy for the formal examination and evaluation of all relevant facts to determine whether research misconduct has occurred, and, if so, the responsible person and the seriousness of the misconduct.
ORI: The federal Office of Research Integrity.
Research: A systematic investigation designed to develop or contribute to generalizable knowledge. The term encompasses basic and applied research, as well as research training activities.
Research Integrity Officer (RIO): A person identified by the DO to have primary responsibility for assuring adherence to these procedures.
Research Misconduct: The fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.
Research Record: Any data, document, computer file, digital medium, or any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of research misconduct. A research record includes, but is not limited to, grant or contract applications, whether funded or unfunded; grant or contract progress and other reports; laboratory notebooks; notes; printed or electronic correspondence; memoranda of telephone calls; videos; photographs; X-ray film; slides; biological materials; computer files and printouts; manuscripts and publications; equipment use logs; laboratory procurement records; animal facility records; human and animal subject protocols; consent forms; medical charts; and patient research files.
Respondent: The person against whom an allegation of research misconduct is directed, or the person whose actions are the subject of an inquiry or investigation.
Sponsored Programs: Research, training, and instructional projects involving funds, materials, gifts, or other compensation from external entities (including any individual and government agencies) under agreements with the University.
(By Action of the University Faculty Council: February 10, 1998; By Action of the University Faculty Council: April 24, 2007; Adapted from Policy On Research Integrity And Guidelines For Establishing Procedures For Responding To Allegations Of Research Misconduct, By Action of the University Faculty Council: November 24, 2009 By Action of the University Faculty Council: March 27, 2012)
Revisions to policy approved by UFC and University President, April 18, 2017