Research misconduct is defined by federal law and university policy as fabrication, falsification and/or plagiarism in proposing or performing research or in reporting research results.
- Fabrication is making up data or results and recording or reporting them.
- Falsification is manipulating research materials, equipment or processes or changing or omitting data or results such that the research is not accurately represented in the research records.
- Plagiarism is the appropriation (using) of another person’s ideas, processes, results or words without giving appropriate credit.
An honest error, differences of opinion, and authorship/credit disputes do not constitute research misconduct.
Definitions:Research Integrity Officer (RIO): the individual responsible for oversight of research misconduct at the University.
Respondent: the individual about whom an allegation of research misconduct has been made
Complainant: the individual who makes an allegation of research misconduct
A finding of research misconduct requires that the respondent engages in conduct which constitutes a significant departure from accepted practices of the relevant research community and that the misconduct is committed intentionally, knowingly or recklessly.
What is the process for investigating a research misconduct allegation?When the Office of Research Compliance or the University Research Integrity Officer (RIO) receives an allegation of research misconduct from a complainant, the RIO conducts a preliminary assessment to determine whether 1) the allegation falls within the definition of research misconduct and 2) the allegation is credible and specific enough so that evidence of the misconduct can be identified. Often, faculty members or staff who have expertise in the subject area assist with the assessment.
If the allegation falls within the definition of research misconduct and there is sufficient evidence to support an allegation of misconduct, the RIO appoints a panel of UofM faculty members who have the expertise to review the matter. The inquiry panel reviews available evidence and interviews key witnesses. If the inquiry panel concludes there is evidence of research misconduct, the next step is a formal investigation.
During an investigation, a separate panel of experts explores the evidence in depth and interviews all relevant witnesses. At the conclusion of the investigation, the chair of the panel makes a recommendation regarding whether the respondent engaged in research misconduct and, if so, whether the respondent acted intentionally, knowingly or recklessly.
The panel’s recommendation is transmitted to the RIO, who decides whether to accept the panel’s conclusions.
The Office of Research Compliance has developed the UofM Research Misconduct Policy (RE7001) outlining procedures taken when an allegation of research misconduct is received.
Recent Regulatory Updates
The Office of Research Integrity Issue Final Rule on Public Health Service Policies on Research Misconduct
On September 12th, 2024, the Office of Research Integrity (ORI) issued the 2024 Final Rule on Research Misconduct to promote the responsible conduct of research across PHS-Funded agencies and organizations. The new regulation can be found here.
This chart summarizes the changes in the regulations. Key revisions to the regulations are provided below.
The revised regulations go into effect on January 1st, 2026. In the coming months, we will update our local research misconduct policy to reflect the revisions in the regulations.
How can I avoid being involved in research misconduct?
Research misconduct investigations are difficult for everyone involved, particularly the respondent. The following are some strategies researchers can employ to avoid being the subject of an allegation of research misconduct:
- Discuss authorship with all research collaborators at the outset of a project so everyone involved understands who will be listed as an author, and the expectations regarding the use of the data by those involved in the research.
- Monitor the research in which you are involved –- inform your staff, students and collaborators, that you will verify data collection, entry and reporting. Ask questions about questionable results.
- Set reasonable expectations about the time it will take to collect the necessary data.
- Maintain thorough and complete research records.
- Respect the research process.
- Do not stray from the protocol without obtaining the necessary approvals.
- Communicate any actual or perceived problems with the research. Most research misconduct allegations are the product of communication difficulties between researchers.
- Carefully and accurately report the research. Be specific about methods and procedures used and the data obtained.
- Thoroughly review all papers where you are listed as an author.
- Do not give or agree to guest-author status.
- Promote research integrity –- teach the responsible conduct of research in your courses and labs and encourage attendance at Responsible Conduct of Research programs.
If you suspect that research misconduct has occurred, you can report your suspicion directly to researchcompliance@memphis.edu.