Research Misconduct

If you have reason to believe that research misconduct occurred, IU policy obligates you to report it. To report a concern of potential research misconduct, contact the Research Integrity Officer (RIO) or a Research Integrity Office staff member to discuss your concerns. The RIO is responsible for assessing research misconduct claims, determining when the research claim needs to move into an inquiry for fact-finding purposes, and ensuring that the policy and procedures are followed. 

Contact the Research Integrity Officer Amy Waltz at acthurst@iu.edu or call 317-278-5431, or contact the Research Integrity Office at rio@iu.edu. 

If you prefer to report a research misconduct or compliance concern to Indiana University anonymously, you may do so by accessing IU’s Anonymous Reporting Hotline, EthicsPoint.  

Please note that anonymous reports can be difficult to follow up on, as additional details are often needed in order to take action. We encourage you to reach out directly to the Research Integrity Office to discuss options for making a confidential allegation. 

The Research Integrity Office is committed to ensuring a fair, confidential, and thorough process when concerns about research misconduct arise. Below is an overview of what IU research community members can expect, whether they are reporting a concern or responding to one. 

What to expect if you report a concern

Reporting suspected research misconduct is a serious and protected action. Here's what you can expect:

• Sharing: Be prepared to discuss your concerns with the Research Integrity Officer or her staff. If you
• Confidentiality: Research misconduct proceedings are confidential while the case is ongoing, except when required by law. We may not be able to share specific details about the proceedings while they are ongoing; however, we will attempt to keep you updated regarding the status as much as possible and will make you aware of the outcome. For more information on appeals, see the IU Research Integrity Office SOP on Confidentiality & Reporting [hyperlink to new SOP].  
• Protection from retaliation: IU strictly prohibits retaliation against individuals who report concerns in good faith. Contact Research Integrity Office staff immediately if you feel that a report has resulted in any kind of retaliation. 

What to expect if a concern is raised against you 

Being the subject of a research misconduct concern can be extremely difficult. Research Integrity Office staff are available to ensure you understand the process and facilitate your communication during the inquiry process and with investigation committees. Here's what you can expect:

• Notification: You will be informed if research misconduct proceedings are initiated against you. At that time, you will be expected to provide and make available any and all potentially relevant evidence, including research records, lab notes, etc.
• Opportunity to respond: You will have the opportunity to provide information and respond to the concerns during each phase of the process.
• Confidentiality: Information about the concern will be shared only with individuals who need to know to facilitate the proceedings. For more information on appeals, see the IU Research Integrity Office SOP on Confidentiality & Reporting [hyperlink to new SOP].  
• Reporting: When disputed research is supported by federal funds, IU is required to notify the funding agency when an investigation is initiated. The DHHS Office of Research Integrity (ORI) oversees and directs a wide range of research integrity activities on behalf of the Public Health Services. More information about your rights as a respondent is available from ORI.  
• Support services: Mental health support is available to faculty, staff, and students during the process. Research Integrity Office staff will provide you with additional resources for support.
• Appeal: Upon completion of an investigation, respondents have an option for limited appeal. Appeals are limited to claims that (1) the investigation proceedings deviated from ACA-30 to the extent that the respondent was denied due process, or (2) sanctions related to employment or enrollment status are disproportionate to the findings. For more information on appeals, see the IU Research Integrity Office SOP on Appeals [hyperlink to new SOP].

Best practices for avoiding research misconduct

Research misconduct is often the result of pressure to create results, either specific results that meet a defined hypothesis or results that will lead to grants or publication. Such pressures can lead to sloppy research practices or even potential research misconduct. Research teams can often avoid research misconduct by creating a culture of transparency and openness, creating consistent processes and practices across lab members, and ensuring proper data management. 

• Create a culture of transparency and openness
  • Review and discuss data being used for publications with all members of the team
  • Encourage discussion of methods and conclusions
  • Show respect for all team members
  • Clearly express expectations for all aspects of the project
  • Touch base regularly
  • Provide feedback
• Ensure consistent processes and practices
  • Document processes and procedures
  • Create checklists for conducting interviews, collecting data, completing tests, etc.
  • Provide samples for team members to follow
  • Require detailed documentation at all levels
  • Conduct periodic monitoring
• Ensure proper data management
  • Make all data available to all collaborators
  • Use consistent organization, files names, terms
  • Retain data appropriately