Procedures for Handling Allegations

Yale, advancing its research mission, expects and encourages all members of the Yale community engaged in research to conduct its research activities to the highest standards to protect the accuracy and reliability of the research record and published results. Yale’s policy outlines the procedures for the handling of allegations of research misconduct and the related processes.

Rights of Those Involved; Responsibilities

Below are some important principles related to the research misconduct proceedings:

• Confidentiality: All participants in a research misconduct proceeding are responsible for keeping the information related to the proceedings confidential.
• Duty to cooperate: The Complainant (the person(s) who file the misconduct complaint) and the Respondent (the person(s) against whom a misconduct complaint is filed) have a duty to cooperate with University officials, and to provide research records and other pertinent information.
• Good faith complaints: Complaints should only be filed if the allegation can be supported by specific and credible evidence. Allegations of research misconduct are serious and can damage the reputation of a respondent.
• Protection of Complainants and Respondents: University officials will assist to protect the positions and reputations of Complainants and Respondents involved in misconduct proceedings. Respondents are assumed to be innocent of any charges unless the contrary is established by a final decision under the research misconduct policy. Complainants who have acted in good faith in alleging misconduct will be protected from retaliation.
• Conflicts of Interest: The Dean of the school in which the respondent holds a position has the responsibility to implement the research misconduct policy and is responsible for ensuring that misconduct proceedings are not tainted by inappropriate conflicts of interest.
• Data Sequestration: Upon receiving complaints, all relevant research records, or other materials, wherever such data may be located, must be secured to protect the integrity of the university and its process, and protect the person accused of misconduct by preventing any claims of subsequent alterations of data.

It is imperative that if any Yale faculty, student, or staff believes they have information that could involve research misconduct, that person must reach out and provide any information they may have. The Yale Faculty Handbook, Section XX.C, states in part:

It is a fundamental responsibility of Yale faculty, staff, students, and administration to maintain the trust of the public in all research and scholarly activity and to preserve the University’s reputation for high standards of scholarly integrity.

All members of the faculty are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, truth, and accuracy. Any instance of suspected academic misconduct should be reported to the Dean of the relevant school or of the FAS…. Faculty and students are required to cooperate fully in any inquiry or investigation of such allegations, e.g., by providing requested documents and information.

To that end, it is our shared responsibility to:

• Report suspected academic and research misconduct, and
• Assure that academic and research misconduct is dealt with in a timely and effective manner.

Some examples of research misconduct can be found on the NIH Research Misconduct - Definitions website.

Allegations of research misconduct may be reported confidentially to the University’s Research Integrity Officers, who are the deans’ designees, or you can contact Yale’s hotline; Hotline FAQ’s | It’s Your Yale.

Do you need help or want to speak confidentially?
Please contact:
Maneesha Joshi, Director, Research Integrity
Email: maneesha.joshi@yale.edu
Phone: 203-785-6989