Responsible Official: Vice Provost for Health Affairs & Academic Integrity
Responsible Office: Provost’s Office
Effective Date: January 1, 2026
Revision Date:
Policy Sections
7002.1 Prohibition of Research Misconduct
7002.1 Governing Principles of Research Misconduct Allegations
Scope
This Policy applies to faculty, students1, trainees, and staff and is applicable to all Research conducted at Yale.
Policy2 Statement
Yale University is committed to the use of honest and verifiable methods in all stages of Research, from proposal to reporting, with adherence to rules, regulations, guidelines and professional codes. Yale University strives to foster a culture of honesty and objectivity, protecting the Research process, and communicating science with accuracy. In furtherance of these commitments, Yale University prohibits Research Misconduct as defined in this Policy; fabrication, falsification, or plagiarism. Accordingly, all faculty, students, trainees and staff are not only required to conduct Research with the utmost integrity, but are also obligated to disclose what they believe, in Good Faith, to be well-founded concerns of Research Misconduct3.
Reason for the Policy
All members of the Yale University community are expected to conduct research with honesty, rigor, and transparency. . Each member of the Yale community is responsible for contributing to an organizational culture that establishes, maintains, and promotes Research Integrity and the responsible conduct of Research. This Policy and related Procedure 7002 PR.01 Procedures Supporting Yale’s Research Integrity Policy, are necessary not only to protect the academic community from the impacts of Research Misconduct, but also to protect the integrity of the Research Records and individuals who may be unjustly accused. This policy and the related procedure do not supplant existing disciplinary procedures but rather establish a process for the review of Allegations which may result in the initiation of disciplinary action if warranted.
Definitions
Accepted Practices of the Relevant Research Community
Practices, commonly accepted professional codes, or norms within the overarching community of researchers.
Allegation
A disclosure of possible Research Misconduct through any means of communication and brought directly to the attention of a Research Integrity Officer (“RIO”) or the Research Integrity and Security Office (“RISO”).
Complainant
Complainant means an individual who in Good Faith makes an Allegation of Research Misconduct.
Good Faith
Good Faith as applied to a Complainant or witness means having a reasonable belief in the truth of one’s Allegation or testimony, based on the information known to the Complainant or witness at the time. An allegation or cooperation with a Research misconduct proceeding is not in Good Faith if made with knowledge of, or reckless disregard for, information that would negate the Allegation or testimony.
Research
A systematic experiment, study, evaluation, survey, or demonstration designed to develop or contribute to general knowledge (basic Research) or specific knowledge (applied Research) in all fields.
Research Misconduct
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. To constitute Research misconduct under this policy, the alleged behavior must represent a significant departure from the Accepted Practices of the Relevant Research Community and must be shown by a Preponderance of the Evidence to have been committed intentionally, Knowingly, or Recklessly.
Research Record
Research Record means the Record of data or results that embody the facts resulting from scientific inquiry. Data or results may be in physical or electronic form. Examples of items, materials, or information that may be considered part of the Research Record include, but are not limited to, Research proposals, raw data, processed data, clinical Research Records, laboratory records, study records, laboratory notebooks, progress reports, manuscripts, abstracts, theses, records of oral presentations, online content, lab meeting reports, and journal articles.
Respondent
Respondent means the individual against whom an Allegation of Research Misconduct is directed or who is the subject of a Research Misconduct proceeding.
Policy Sections
7002.1 Prohibition of Research Misconduct
Yale University prohibits all faculty, students, trainees, and staff from engaging in Research Misconduct. Anyone who has a well-founded, Good-Faith suspicion of Research Misconduct is obligated to report it.
7002.2 Governing Principles of Research Misconduct Allegations
Four general principles govern the University’s response when Allegations of Research Misconduct are brought forward. They are:
- That any well-founded accusation of Research Misconduct must be given serious consideration in accordance with this Policy and related Procedure;
- That an accused person must be assumed innocent until the weight of evidence requires a conclusion to the contrary;
- That appropriate efforts should be made to protect the privacy of Complainants and Respondents, to provide a fair process, and to undertake reasonable and practical efforts, if requested, and as appropriate, in accordance with this policy and related procedure, to protect or restore the reputation of an unjustly accused individual; and
- That deliberate efforts should be made to preserve the integrity of the Research Record.
Notes
1 An Allegation that a student has committed academic misconduct in the course of proposing, conducting or reporting Research or scholarship supported by federal funding will also be addressed under this Policy and associated Procedures. If federally supported Research is not involved, the matter may be addressed either under this Policy and associated procedures or under the student disciplinary procedures of the School or College.
2 When an Allegation under this policy involves federal funding, federal regulations may apply. If they do, they supersede these policies and procedures to the extent necessary to avoid any violation of the federal regulations.
3 Retaliation against an individual for having made an Allegation of Research misconduct is a violation of Yale policy and an offense subject to discipline.
Roles & Responsibilities
Office of the Provost
- Responsible for the content and administration of this policy.
- Reviews the applicability of this policy in coordination with the Research Integrity and Security Office.
Research Integrity and Security Office
- Interprets and provides guidance on this policy.
Yale Faculty, Students, Trainees, and Staff
- Responsible for adhering to the requirements of this policy, including not participating in Research Misconduct.
Related Resources
Procedure 7002 PR.01 Procedures for Addressing Allegations of Research Misconduct