/Office for Research and Innovation
Research Compliance

Overview of Research Misconduct 

Oversight

The Research Integrity Officer (RIO) is responsible for the oversight of SBU's Research Misconduct Policy. 

All faculty, staff and students

  • Will report observed, suspected, or apparent research misconduct and will cooperate with the Research Integrity Officer (RIO) and other institutional officials in the review of allegations and the conduct of inquiries and investigations.

  • Have an obligation to provide evidence relevant to research misconduct allegations to the RIO or other institutional officials.

Report Research Misconduct by using our online form or if you prefer contact Rebecca Dahl, SBU RIO, at rebecca.dahl@stonybrook.edu or 631-632-6541.

Campus Policy

Research Misconduct Policy

Research Misconduct

What Is Research Misconudct?

Research misconduct is defined as: fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

  1. Fabrication is making up data or results and recording or reporting them.
  2. 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 record.
  3. Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. Note: Unless the activity in question is funded by the NSF, this statement of policy and procedures does not apply to authorship or collaboration disputes. These exclusions from the Plagiarism definition are consistent with the federal Office of Research Integrity's position on the matter, see http://ori.hhs.gov/ori-policy-plagiarism
  4. Research misconduct does not include honest error or differences of opinion.

In order to find research misconduct, the following must be found:

  1. There must be a significant departure from accepted practices of the relevant research community; and
  2. The misconduct be committed intentionally, knowingly, or recklessly; and
  3. The allegation be proven by a preponderance of the evidence
What to do if you suspect research musconduct?

Discuss possible misconduct:

According to the P210:  Research Misconduct Policy -  All faculty, staff, and students will report observed, suspected, or apparent research misconduct to the Research Integrity Officer (RIO) in the Office of Research Compliance. If an individual is unsure whether a suspected incident falls within the definition of research misconduct, he or she may confer with the RIO about concerns of possible misconduct and will be counseled about appropriate procedures for reporting allegations if deemed appropriate. The individual may also initially meet with, or contact, the RIO to discuss the suspected research misconduct informally, which may include discussing it anonymously and/or hypothetically. If the circumstances described by the individual do not meet the definition of research misconduct, the RIO will refer the individual or allegation to other offices as appropriate.

Is this process confidential?

Confidentiality: The RIO will (1) limit disclosure of the identity of respondents and complainants to those who need to know in order to carry out a thorough, competent, objective and fair research misconduct proceeding; and (2) except as otherwise prescribed by law, limit the disclosure of any records or evidence from which research subjects might be identified to those who need to know in order to carry out a research misconduct proceeding.

Protecting respondents, complainants, witnesses, and committee members: University members may not retaliate in any way against respondents, complainants, witnesses, or Inquiry/Investigation committee members. University members should immediately report any alleged or apparent retaliation against these parties to the RIO, who will review the matter and, where appropriate, refer the matter to applicable University officials.

How to file an allegation of research misconduct?

Allegations of research misconduct may be presented verbally or in writing by the complainant to the RIO. The complainant is responsible for making allegations in good faith, and maintaining confidentiality. The complainant must cooperate at all phases of the research misconduct process, including Inquiry and Investigation if required. If anonymity is requested, the RIO will make a best effort to maintain such anonymity throughout the process, as possible.

Additional questions?  Call the Office of Research Compliance

This page is under development.

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Who is covered by the research misconduct policy P210?

 Policy P210 applies very broadly to anyone who reports a suspected instance of research misconduct by a member of the university community, and to all members of the university community engaged in research and scholarly activities, sponsored or unsponsored, regardless of where the activity is performed. The university community consists of all faculty, staff, students, users, and visitors hosted by any of these.  In this Policy the word “member” stands for anyone included in this definition.

What kind of research is covered in the research misconduct policy P210?

“Research” in Policy P210 can be translated as “research and scholarly activity” and refers generally to creative activities that a member performs or expects to submit to public scrutiny in any form of publication, performance, portfolio, or sample of work regardless of medium or venue.  Covered research is not limited to scientific research, but includes design work, literary composition, and policy studies. This policy does not cover student academic dishonesty which must be referred to the student Academic Judiciary.
What is 'Research Misconduct"?

Despite the large categories of people and activities covered, the specific acts of misconduct relevant to Policy P210 are defined very narrowly.  Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.  Research misconduct does not include honest error or differences of opinion.

  • Fabrication - making up data or results and recording or reporting them.
  • Falsification - manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
  • Plagiarism - appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

What do I do if I become aware of research misconduct?

Members of the university community, as defined above, are obliged to report research misconduct whether the misconduct is observed or suspected.  The report may take any form – letter, e-mail, phone call, or personal visit – to the Assistant Vice President for Research, who serves as the university's Research Integrity Officer (RIO). 

Allegations of misconduct are serious, and must be made in good faith.

If you are unsure whether a suspected incident falls within the definition of research misconduct above, then you should discuss the incident confidentially with your supervisor, mentor, or any other individual you feel may be able to help you.   You may also discuss the incident informally with the RIO.  The RIO will keep all such communications strictly confidential consistent with the nature of the information disclosed and whether he/she decides the allegation fits the definition of research misconduct.  If further action is needed, confidentiality will be maintained except as required by law or for purposes of the investigation.
What should I expect if I report a suspected incident of research misconduct?

You will have to be specific enough in your allegation of misconduct to allow the process to move forward.  You may request anonymity, however the ability to keep your identity anonymous will depend on the type of allegation you are making, and the specifics regarding the allegation. The process within the university does require that you be identified as the “complainant” but the RIO will strictly limit disclosure of your identity, as well as that of the “respondent”, to those who need to know in order to carry out a fair, thorough and objective proceeding.  Any records or evidence that may convey the identity of others will also be kept confidential, except as otherwise required by law. 

You too are expected to maintain confidentiality during the proceeding, and you are obliged to cooperate during the ensuing steps of the determination process.  For example you may have to be interviewed by an inquiry or investigation committee, and submit whatever evidence you have relevant to the incident.

What should I expect if I am accused of research misconduct?

You should expect the university to live up to its commitment to a fair, thorough and objective proceeding to determine whether research misconduct has actually occurred.  Unless the RIO determines that the allegation does not fit the definition of misconduct, he/she will notify you of the allegation.  You should read Policy P210 carefully so you understand the definitions of research misconduct and the sequence of events and requirements of the process. 

 The RIO has a great deal of discretion throughout the misconduct determination process, and you are obliged to cooperate with actions he/she may take to obtain custody of, inventory, and sequester research data, records and evidence relevant to the allegation.  The RIO must maintain such material securely consistent with Policy P210 and applicable laws and regulations.  Chain of custody for the material will be documented and receipts provided for any evidence taken into custody.