Section Three
IMPORTANT UNIVERSITY POLICIES
RESEARCH MISCONDUCT:
POLICY ON ALLEGATIONS, INVESTIGATIONS AND REPORTING
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This discussion includes:
The fundamental principles of honesty and conscientious observance of good research practices apply to scholarship across the University and to students as well as faculty and staff. These principles are articulated in the paragraphs below. The complete policy statement is in the Research Policy Handbook (http://www.stanford.edu/dept/DoR/rph/2-5.html).
Each member of the University community has a responsibility to foster an environment which promotes intellectual honesty and integrity, and which does not tolerate misconduct in any aspect of research or scholarly endeavor. Research misconduct is extremely troubling - in spite of its infrequency - because when it occurs, it is very destructive of the standards we attempt to instill in our students, of the esteem in which academic research in general is held by he public, and of the financial support of the government and other sponsors for the academic enterprise. The importance of integrity in research cannot be overemphasized.
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Research Misconduct
"Research misconduct" is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. It does not include honest error or differences in interpretations or judgments of data. Stanford prohibits retaliation of any kind against a person who, acting in good faith, reports or provides information about suspected or alleged misconduct.
Although the policy cited here addresses only research misconduct, Stanford's statement on faculty discipline has been interpreted to include such other violations as reckless disregard for accuracy, failure to supervise adequately, and other lapses from professional conduct or neglect of academic duties. Allegations or suspicions of misconduct outside the scope of research misconduct should be directed to the cognizant dean or vice president for investigation, although the process of investigation and reporting obligations may differ from those required for research misconduct cases.
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Determination of Discipline
The determination as to whether discipline is to be imposed is governed by existing policies. In cases involving faculty, sanctions may only be imposed by the President, through the faculty disciplinary process. The Dean of Research will refer cases of significant student misconduct to the Student Judicial Officer. Cases involving staff members will be referred to the appropriate administrator.
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Cautions and Assistance
The gathering and assessing of information in cases of alleged research misconduct can be extremely difficult. It is essential to protect the professional reputations of those involved, as well as the interests of the public and of any who might be harmed by the alleged misconduct. In the course of conducting inquiries or investigations, the following provisions are applicable:
- Expert assistance should be sought as necessary to conduct a thorough and authoritative evaluation of all evidence.
- Precautions should be taken to avoid real or apparent conflicts of interest on the part of those involved in the inquiry or investigation.
- The anonymity of accused individuals and, if they wish it, the confidentiality of those who in good faith reported the alleged misconduct, should be protected as much as possible, and care should be taken to protect their positions and reputations. Except as required in the reporting provisions above, only those directly involved in an inquiry or investigation should be aware that the process is being conducted or have any access to information obtained during its course. Where appropriate, efforts should be made to restore the reputations of those accused when allegations are not confirmed.
Questions on the interpretation of this policy should be directed to the Office of the Vice Provost and Dean of Research and Graduate Policy.
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