number of important terms are used in this policy
and shall be defined as follows:
Allegation means any written or oral statement or
other indication of possible scientific misconduct
made to an institutional official.
Complainant means a person who makes an allegation
of scientific misconduct.
Conflict of interest means the real or apparent interference
of one person's interests with the interests of another
person, where potential bias may occur due to prior
or existing personal or professional relationships.
Deciding Official means the institutional official
(i.e., the Vice President for Research) who makes
final determinations on allegations of scientific
misconduct and any responsive institutional actions.
The Deciding Official will not be the same individual
as the Research Integrity Officer and should have
no direct prior involvement in the institution's inquiry,
investigation, or allegation assessment.
Employee means, for the purpose of this policy only,
any person paid by, under the control of, or affiliated
with the institution, including but not limited to
scientists, physicians, trainees, students, fellows,
technicians, nurses, support staff, and guest researchers.
Good faith allegation means an allegation made with
the honest belief that scientific misconduct may have
occurred. An allegation is not in good faith if it
is made with reckless disregard for or willful ignorance
of facts that would disprove the allegation.
Inquiry means gathering information and initial fact-finding
to determine whether an allegation or apparent instance
of scientific misconduct warrants an investigation.
Investigation means the formal examination and evaluation
of all relevant facts to determine if misconduct has
occurred, and, if so, to determine the responsible
person and the seriousness of the misconduct.
ORI means the Office of Research Integrity, the office
with the Department of Health and Human Services (DHHS)
that is responsible for the scientific misconduct
and research integrity activities of the U.S. Public
PHS means the U.S. Public Health Service, an operating
component of the DHHS.
PHS regulation means the Public Health Service regulation
establishing standards for institutional inquiries
and investigations into allegations of scientific
misconduct, which is set forth at 42 C.F.R. Part 50,
Subpart A, entitled "Responsibility of PHS Awardee
and Applicant Institutions for Dealing with and Reporting
Possible Misconduct in Science."
PHS Support means PHS grants, contracts, or cooperative
agreements or applications therefor.
Research Integrity Officer means the institutional
official, e.g., the Associate Vice President for Research
or senior faculty member, responsible for assessing
allegations of scientific misconduct and determining
when such allegations warrant inquiries and for overseeing
inquiries and investigations.
Research record means any data, document, computer
file, computer diskette, 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 scientific 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; correspondence; 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
Respondent means the person against whom an allegation
of scientific misconduct is directed or the person
whose actions are the subject of the inquiry or investigation.
There can be more than one respondent in any inquiry
Retaliation means any action that adversely affects
the employment or other institutional status of an
individual that is taken by an institution or an employee
because the individual has in good faith, made an
allegation of scientific misconduct or of inadequate
institutional response thereto, or has cooperated
in good faith with an investigation of such allegation.
Scientific misconduct or misconduct in science means
fabrication, falsification, plagiarism, or other practices
that seriously deviate from those that are commonly
accepted within the scientific community for proposing,
conducting, or reporting research. It does not include
honest error or honest differences in interpretations
or judgements of data. In addition, the institution
reserves the right to require adherence to other definitions
of scientific misconduct as required by contractual
obligations with external sponsors of research.