02-02---Misconduct in Research

ASU System Policy

Effective Date: May 4, 2012

Subject: Misconduct in Research

1. Purpose
In recent years, well-publicized cases of misconduct in university research,
including fabrication of results, plagiarism, and misrepresentation of findings
have aroused concern among research institutions, individual investigators,
sponsors of research, professional societies, and the general public. Although
verified instances of such dishonest behavior are relatively rare, they raise
serious questions about the integrity of the research process and the stewardship
of public and private research funds. Institutions of higher education, in
particular, enjoy a centuries-old tradition of integrity and objectivity, and cases of
dishonesty in research by members of the university community must be dealt
with carefully and thoroughly if the institution is to merit continued public
confidence and trust.
Certain federal agencies have issued directives requiring awarding institutions to
establish procedures for inquiry into, and investigation of, alleged or apparent
misconduct in scientific research conducted, funded, or regulated by these
agencies. Misconduct in research outside scientific field is equally serious.
Accordingly, the following policy is established to apply to all instances of alleged
or apparent misconduct in research conducted at any campus of the Arkansas
State University System.
The policy applies to all research conducted by faculty, staff members, or
students of Arkansas State University System.

2. Definitions

For the purpose of this policy, the following definitions will be employed:

Misconduct. Misconduct will be defined in accordance with the definition
required or provided by the agency funding the research. In the event that the
funding agency does not require or provide a definition of misconduct, or in the
event that the research is not funded by an agency, misconduct is defined as: (1)
fabrication, falsification, plagiarism, or other serious deviation from accepted
practices in proposing, conducting, or reporting the results of research; (2)
material failure to comply with university or sponsoring agency requirements
affecting the conduct of research; or (3) failure to meet other material legal
requirements governing research activities.

Inquiry. An inquiry is an informal review of an allegation of misconduct in
research for the purpose of determining whether there is reasonable cause to
believe that a university employee or student has engaged in such misconduct.

Investigation. An investigation is an in-depth review of an allegation of
misconduct in research for the purpose of determining whether or not a university
employee or student has engaged in such misconduct.

3. Arkansas State University System Misconduct in Research Policy

The Arkansas State University System will act vigorously to discourage and
detect misconduct in research; will take appropriate disciplinary action against
any of its employees or students who engage in such misconduct, as revealed by
a careful investigation; and will inform and cooperate with those agencies
sponsoring research that appear likely to have been affected by such
misconduct.

Any individual who believes that he or she has knowledge of an act of
misconduct in research by an Arkansas State University employee or student is
responsible for communicating this information to the coordinator of organized
research for that campus or the Office of the Chancellor. The coordinator of
organized research for that campus, or the Chancellor’s designee, shall conduct
an inquiry and, if warranted, an investigation into the allegation in accordance
with that campus’s operating procedure. Each campus within the ASU System
shall create, utilize, and enforce an operating procedure for inquiry into and
investigation of allegations of research misconduct.

(Revised May 4, 2012, Resolution 12-12. Adopted by the Arkansas State University
Board of Trustees on June 23, 2009, Resolution 09-26, supercedes the Misconduct in
Research Policy of October 11, 1990, and revisions of December 16, 1992.)