University Counsel Administration

Research Misconduct Policy

Frequently Asked Questions

What is research misconduct?
Does the research misconduct policy apply only to faculty?
If I think research misconduct has occurred, to whom do I report it?
What happens after a report of research misconduct is made?
How long does the process take?
What happens if I am accused of research misconduct?
Will I be penalized for reporting research misconduct?
What happens to my research records if I am accused of research misconduct?
How can I get a copy of the UNM Research Misconduct Policy?

What is research misconduct?

A researcher commits research misconduct under UNM's policy if he or she fabricates or falsifies data or research results or plagiarizes another person's ideas or work. Research misconduct also occurs if a researcher wantonly disregards truth or objectivity or fails to comply or attempt to comply with legal requirements governing the research; however, other University policies and procedures will be followed in resolving such cases. It is important to understand that research misconduct is not a mistake in reasoning, disagreeing with recognized authorities, misinterpreting results, an error in planning or carrying out an experiment, or an oversight in attribution.

Does the research misconduct policy apply only to faculty?

No. The policy applies to anyone involved in a research project at UNM, including faculty, undergraduate and graduate students, staff, contractors and visiting scholars. Anyone engaged in research at UNM must follow ethical standards. Any person may bring an allegation of research misconduct against anyone involved in conducting research.

If I think research misconduct has occurred, to whom do I report it?

The allegation can be brought to any one of a number of people. A report may be made to the supervisor of the researcher whose actions are in question. This may be the researcher's chair, director or principal investigator. Alternatively, the allegation can be reported to the dean of the researcher's college or to the Vice Provost for Research (if the allegation concerns a main campus researcher) or the Vice President for Health Sciences (if the allegation concerns a HSC researcher). The allegation must be made in writing and signed and dated by the complainant. The report will be forwarded to the Vice Provost for Research or Vice President for Health Sciences, as appropriate.

What happens after a report of research misconduct is made?

A preliminary assessment is conducted to determine if the allegation falls within the definition of research misconduct and whether there is sufficient information to allow for further inquiry. If the allegation is vague, an effort will be made to obtain more information.

The allegation will go to the next step, which is review by an inquiry committee, if it falls within the definition of research misconduct and there is sufficient information to follow up on. The researcher accused of wrongdoing is then notified of the complaint. The inquiry committee reviews the research record and conducts interviews. The inquiry committee's final product is a written report recommending whether or not the evidence warrants conducting a formal investigation. The inquiry committee does not decide whether or not research misconduct occurred.

If a formal investigation is deemed necessary, a new committee is appointed. The investigation committee conducts an in-depth examination of the allegation. The investigation committee reviews the research record and interviews the complainant, the accused researcher and others who might have information concerning the allegation. The investigation committee writes a report and submits it to the Provost (if the accused researcher is from main campus) or the Vice President for Health Sciences (if the accused researcher is from HSC).

The Provost or Vice President for Health Sciences makes the final decision on whether research misconduct occurred and if it did, what action should be taken, including sanctioning the researcher. The accused researcher has a limited right to appeal the decision to the UNM President.

How long does the process take?

The preliminary assessment of an allegation is done within seven working days after receipt by the Vice Provost for Research or Vice President for Health Sciences. If an inquiry committee reviews the allegation, that step should be completed within 60 days. If the decision is made to proceed with a formal investigation, it will be completed within 180 days. However, if funding from the United States Public Health Service supports the research in question, the investigation will be completed within 120 days.

What happens if I am accused of research misconduct?

An accused researcher will be treated with fairness and respect throughout the process. Care will be taken to ensure confidentiality to the maximum extent possible and to protect the privacy of the researcher and others on the researcher's team. The committee(s) looking into the allegation will be made up of fair, unbiased faculty with the necessary expertise to review the research being questioned. The accused has the right to meet with the committees and to comment on the findings of the inquiry and investigation committees before a final decision is made. If the final decision is that no research misconduct occurred, UNM will take appropriate steps to restore or protect the reputation of the researcher and the credibility of the research project.

Will I be penalized for reporting research misconduct?

UNM's policy provides that every effort shall be made to protect a person who in good faith alleges research misconduct. A good faith allegation is made with the honest belief that research misconduct may have occurred. Even if the final decision is that there was no research misconduct, a complainant acted in good faith if he or she honestly believed it did or may have occurred. However, making a false report is a serious offense. If the complainant knows that the allegation is false, or makes the allegation totally disregarding or ignoring facts that disprove it, he or she is acting in bad faith. Persons making bad faith claims will be subject to disciplinary action, up to and including termination (if an employee) or expulsion (if a student).

UNM policy prohibits retaliation against a person making a good faith allegation of research misconduct. Appropriate steps will be taken during and after the process to protect the complainant from retaliation.

What happens to my research records if I am accused of research misconduct?

After the researcher is informed that an allegation has been made and that an inquiry is going to be conducted, all original research records that may be relevant to the allegation are immediately secured. While the difficulty that this can pose for the researcher is recognized, this step protects the researcher from a future claim that the records were tampered with in response to the allegation. In order to minimize disrupting the research, as soon as practicable, a copy of the sequestered records will be provided to the researcher if requested. After the inquiry is completed, if the case is going to proceed to an investigation it is possible that additional records may need to be secured.

How can I get a copy of the UNM Research Misconduct Policy?

The policy is available on-line at: http://research.unm.edu/policy_procedure/2464.pdf

You may also request a copy from the Research Compliance Services Office by calling 277-2257.

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Research Misconduct Policy

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UCO Home What We Do & Who Does It Administration Employment Law General Law Health Law Research & Technology Law Services Staff Policies Standard Contracts IP Policy Regulations PAO Protocols Copyright Information Training Summaries FAQs Forms Links Invention Disclosure Form Forms UNM Policy Manuals Scheduled Training Frequently Asked Questions Legal Links		Research Misconduct Policy *Frequently Asked Questions* What is research misconduct? Does the research misconduct policy apply only to faculty? If I think research misconduct has occurred, to whom do I report it? What happens after a report of research misconduct is made? How long does the process take? What happens if I am accused of research misconduct? Will I be penalized for reporting research misconduct? What happens to my research records if I am accused of research misconduct? How can I get a copy of the UNM Research Misconduct Policy? What is research misconduct? A researcher commits research misconduct under UNM's policy if he or she fabricates or falsifies data or research results or plagiarizes another person's ideas or work. Research misconduct also occurs if a researcher wantonly disregards truth or objectivity or fails to comply or attempt to comply with legal requirements governing the research; however, other University policies and procedures will be followed in resolving such cases. It is important to understand that research misconduct is not a mistake in reasoning, disagreeing with recognized authorities, misinterpreting results, an error in planning or carrying out an experiment, or an oversight in attribution. Does the research misconduct policy apply only to faculty? No. The policy applies to anyone involved in a research project at UNM, including faculty, undergraduate and graduate students, staff, contractors and visiting scholars. Anyone engaged in research at UNM must follow ethical standards. Any person may bring an allegation of research misconduct against anyone involved in conducting research. If I think research misconduct has occurred, to whom do I report it? The allegation can be brought to any one of a number of people. A report may be made to the supervisor of the researcher whose actions are in question. This may be the researcher's chair, director or principal investigator. Alternatively, the allegation can be reported to the dean of the researcher's college or to the Vice Provost for Research (if the allegation concerns a main campus researcher) or the Vice President for Health Sciences (if the allegation concerns a HSC researcher). The allegation must be made in writing and signed and dated by the complainant. The report will be forwarded to the Vice Provost for Research or Vice President for Health Sciences, as appropriate. What happens after a report of research misconduct is made? A preliminary assessment is conducted to determine if the allegation falls within the definition of research misconduct and whether there is sufficient information to allow for further inquiry. If the allegation is vague, an effort will be made to obtain more information. The allegation will go to the next step, which is review by an inquiry committee, if it falls within the definition of research misconduct and there is sufficient information to follow up on. The researcher accused of wrongdoing is then notified of the complaint. The inquiry committee reviews the research record and conducts interviews. The inquiry committee's final product is a written report recommending whether or not the evidence warrants conducting a formal investigation. The inquiry committee does not decide whether or not research misconduct occurred. If a formal investigation is deemed necessary, a new committee is appointed. The investigation committee conducts an in-depth examination of the allegation. The investigation committee reviews the research record and interviews the complainant, the accused researcher and others who might have information concerning the allegation. The investigation committee writes a report and submits it to the Provost (if the accused researcher is from main campus) or the Vice President for Health Sciences (if the accused researcher is from HSC). The Provost or Vice President for Health Sciences makes the final decision on whether research misconduct occurred and if it did, what action should be taken, including sanctioning the researcher. The accused researcher has a limited right to appeal the decision to the UNM President. How long does the process take? The preliminary assessment of an allegation is done within seven working days after receipt by the Vice Provost for Research or Vice President for Health Sciences. If an inquiry committee reviews the allegation, that step should be completed within 60 days. If the decision is made to proceed with a formal investigation, it will be completed within 180 days. However, if funding from the United States Public Health Service supports the research in question, the investigation will be completed within 120 days. What happens if I am accused of research misconduct? An accused researcher will be treated with fairness and respect throughout the process. Care will be taken to ensure confidentiality to the maximum extent possible and to protect the privacy of the researcher and others on the researcher's team. The committee(s) looking into the allegation will be made up of fair, unbiased faculty with the necessary expertise to review the research being questioned. The accused has the right to meet with the committees and to comment on the findings of the inquiry and investigation committees before a final decision is made. If the final decision is that no research misconduct occurred, UNM will take appropriate steps to restore or protect the reputation of the researcher and the credibility of the research project. Will I be penalized for reporting research misconduct? UNM's policy provides that every effort shall be made to protect a person who in good faith alleges research misconduct. A good faith allegation is made with the honest belief that research misconduct may have occurred. Even if the final decision is that there was no research misconduct, a complainant acted in good faith if he or she honestly believed it did or may have occurred. However, making a false report is a serious offense. If the complainant knows that the allegation is false, or makes the allegation totally disregarding or ignoring facts that disprove it, he or she is acting in bad faith. Persons making bad faith claims will be subject to disciplinary action, up to and including termination (if an employee) or expulsion (if a student). UNM policy prohibits retaliation against a person making a good faith allegation of research misconduct. Appropriate steps will be taken during and after the process to protect the complainant from retaliation. What happens to my research records if I am accused of research misconduct? After the researcher is informed that an allegation has been made and that an inquiry is going to be conducted, all original research records that may be relevant to the allegation are immediately secured. While the difficulty that this can pose for the researcher is recognized, this step protects the researcher from a future claim that the records were tampered with in response to the allegation. In order to minimize disrupting the research, as soon as practicable, a copy of the sequestered records will be provided to the researcher if requested. After the inquiry is completed, if the case is going to proceed to an investigation it is possible that additional records may need to be secured. How can I get a copy of the UNM Research Misconduct Policy? The policy is available on-line at: http://research.unm.edu/policy_procedure/2464.pdf You may also request a copy from the Research Compliance Services Office by calling 277-2257.