Research Misconduct Policy

Responsible Unit: Office of Scholarly Activity| Executive lead: Provost 
Created: 10/10/2021 | Reviewed/Revised: N/A | Effective: 10/10/2021 
Compliance: U.S. Department of Health and Human Services 42 CFR Part 93, NWCCU 2.D.2, 2.F.1
Approving Body: PAC | Classification: Institution wide 

Policy:  
Maintaining high ethical standards in the conduct of research is an important University responsibility imposed by public trust and is essential to the discovery of new knowledge and the reputation of research and teaching institutions. 

Research misconduct is prohibited in any form as it violates the trust of agencies, foundations, and other entities that sponsor research at the University as well as the public and subjects who might participate in the research. This policy and its associated standard operating procedures aim to promote timely, effective and fair responses to allegations of research misconduct and address such problems as: fabrication, falsification, or plagiarism (as defined below) in proposing, performing, or reviewing research, or in reporting research results. 

The administrative procedures to be followed by the University pursuant to this Policy are, in all cases, subject to the requirements of law. The University will comply with all applicable federal and state laws, regulations and policies with respect to research misconduct. 

This Policy is based on the Federal Policy on Research Misconduct of the Office of Science and Technology Policy (the “OSTP Policy”), Public Health Service (PHS) 42 CFR Part 93. 

All federal agencies that conduct or support research have been directed to implement the OSTP Policy. To the extent that any research that is subject to allegations of research misconduct was supported by, or is proposed to be supported by, any federal agency that has not implemented the OSTP Policy, or the terms of this Policy are inconsistent with such agency’s policy, the terms of such agency’s policy shall apply to the administrative processes described. Should a case arise in the future at the University involving an allegation of research misconduct where a different federal sponsoring agency’s funds have been requested or received, any conflict between the PHS Regulations and that agency shall, as required, be governed by said agency’s regulations. 

This policy applies to all persons affiliated with PNWU including, but not limited to, faculty, affiliate faculty, students, and staff. All persons affiliated with PWNU are required to report observed, suspected, or apparent research misconduct. This policy applies regardless of funding source. 

In dealing with allegations of research misconduct, employees are urged to keep in mind the following basic principles: 

  1. That research, teaching, and patient care should conform to the highest standards; 
  2. That members of the academic community have a responsibility to report what they believe to be research misconduct and to cooperate in investigations of research misconduct; this duty of cooperation includes the obligation to provide all documentation reasonably requested by those charged with investigatory responsibilities herein; 
  3. That allegations of research misconduct are to be investigated promptly, thoroughly, objectively and fairly; and 
  4. That the rights and reputation of all parties involved in allegations of research misconduct, including those suspected of research misconduct and those who report research misconduct in good faith, are to be protected from retaliation. 

Upon receipt of an allegation of research misconduct, PNWU will secure the relevant research record and review the allegation in a prompt and fair manner. Retaliation against complainants or witnesses is prohibited. A finding of research misconduct requires that there be significant departure from accepted practices of the relevant research community, that the misconduct be committed intentionally, knowlingly, or recklessly and that the allegation is demonstrated by a preponderance of the evidence (42 CFR 93.103). 

Individuals who are found to have committed research misconduct are subject to disciplinary action, up to and including discharge or expulsion. In addition, where appropriate, the findings will be reported to external entities and/or authorities and the external entity or authority may take additional action. All disciplinary actions will follow University policies and procedures. 

Definitions:  
Fabrication: Making up data or results and recording them or reporting them. 

Falsification: Manipulating research materials, equipment, processes, or changing or omitting data or results such that the research is not accurately represented in the research record. 

Misuse of Data: Reporting of incomplete results where the reporting of all results would influence conclusions that might be drawn. 

Plagiarism: An act or instance of using or closely imitating the language and thoughts of another author without authorization and the representation of that author’s work as one’s own, as by not crediting the original author. 

Research misconduct: Fabrication, falsification, plagiarism in proposing, performing, or reviewing research, or in reporting research results. (42 CFR 93.103)  Note: Research misconduct does not include honest error and differences of interpretation, authorship disputes that do not involve plagiarism, and violations of other University policies (e.g., sexual harassment policy). 

Research Record: The record of data or results that embody the facts resulting from scientific inquiry, and includes, but is not limited to, research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, and journal articles. 

Procedures:  
SOP 153 – Recognizing, Assessing and Responding to Possible Research Misconduct or Noncompliance 
SOP 129 – Required Reporting: Protocol violations, deviations and noncompliance 

Related Documents: 
Public Health Service Policies on Research Misconduct – 42 CFR Part 93 
PNWU Whistleblower Protection Policy 

Policy Resources

For assistance with policies and procedures contact:

Lori Fulton
lfulton@pnwu.edu