UCLA

Definitions

Allegation refers to any oral or written report of suspected Research Misconduct brought directly to the attention of an official at UCLA or at the federal agency that has oversight responsibility for the questioned Research.

Assessment means a consideration of whether an Allegation of Research Misconduct appears to fall within the definition of Research Misconduct and is sufficiently credible and specific so that potential Evidence of Research Misconduct may be identified. The Assessment only involves the review of readily accessible information relevant to the Allegation.

Complainant is a person who in Good Faith makes an Allegation.

Evidence means anything offered or obtained during a Research Misconduct Proceeding that tends to prove or disprove the existence of an alleged fact. Evidence includes but is not limited to tangible items, testimony, information in any form and documents whether in hard copy or electronic form.

Good Faith as applied to a Complainant or witness: the Complainant or witness believes that the Allegation made or the testimony given is true based on the facts as that individual understands them at the time. As applied to a committee member and others involved in the Research Misconduct Proceeding, Good Faith means cooperating with the Research Misconduct Proceeding by carrying out duties impartially.

Inquiry refers to preliminary information-gathering and fact-finding to conclude whether an Allegation has sufficient substance to warrant an Investigation. An Inquiry does not require full review of the Evidence related to the Allegation.

Institutional Certifying Official (ICO) is the official responsible for assuring that UCLA has written policies and procedures for addressing Allegations of Research Misconduct and for complying with those policies and procedures. At UCLA, the Research Integrity Officer also serves as the ICO.

Institutional Deciding Official (IDO) means the official who makes final determinations on Allegations of Research Misconduct and any institutional actions. The same individual cannot serve as the Research Integrity Officer (RIO). At UCLA, the Vice Chancellor for Research and Creative Activities (VCR) serves as the IDO, except that the Vice Chancellor Academic Affairs and Personnel will serve instead, if in a particular Research Misconduct Proceeding, the VCR has a conflict of interest or is unavailable.

Institutional Record is comprised of the records compiled or generated during the Research Misconduct Proceeding, except records that UCLA did not consider or rely on during the Research Misconduct Proceeding. The Institutional Record includes, but is not limited to, Assessment summary, final Inquiry, and Investigation reports, but does not include drafts of the Assessment summary or Inquiry or Investigation reports. The Institutional Record also includes:

• Research Records;
• transcripts of any interviews conducted during Investigations;
• information provided by the Respondent and others;
• documentation of decisions not to continue to an Investigation; and
• IDO’s written determination of Research Misconduct findings, whether UCLA found Research Misconduct and if so, who committed the Research Misconduct, and a description of relevant institutional actions taken or to be taken.

Intentionally means to act with the aim of carrying out the act.

Investigation is the formal development of a factual record and the examination and evaluation of that record to find if Research Misconduct has occurred and, if so, to determine the responsible person(s).

Knowingly means to act with awareness of the act.

Preponderance of the Evidence is the standard used in determining whether Research Misconduct occurred: i.e., proof by Evidence that, compared with Evidence opposing it, leads to the conclusion that the fact at issue is more likely true than not.

Recklessly means to propose, perform, or review Research, or report Research results, with indifference to a known risk of Fabrication, Falsification, or Plagiarism.

Research refers to, in any academic discipline, a systematic experiment, study, evaluation, demonstration or survey designed to develop or contribute to general knowledge (basic Research) or specific knowledge (applied Research) by establishing, discovering, developing, elucidating or confirming information about, or the underlying mechanism relating to, causes, functions or effects; diseases; treatments; or related matters to be studied.

Research Integrity Officer (RIO) refers to the institutional official responsible for administering UCLA’s written policies and procedures for addressing Allegations of Research Misconduct. At UCLA, the Vice Chancellor for Research and Creative Activities (VCR) will appoint a member of the UCLA faculty as a Special Advisor to serve as the Research Integrity Officer (RIO). At UCLA, the Research Integrity Officer also serves as the ICO.

The Special Advisor should be qualified to handle the procedural requirements involved and will be supported by staff of the Office of the Vice Chancellor for Research and Creative Activities in fulfilling the RIO’s responsibilities. 

Research Misconduct is Fabrication, Falsification, or Plagiarism in proposing, performing, or reviewing Research, or in reporting Research results. It does not include honest error or differences of opinion.

• Fabrication is making up data or results and recording or reporting them.
• 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.
• Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit, but does not include self-plagiarism or authorship or credit disputes, including disputes among former collaborators who participated jointly in the development of a Research project. It does not include the limited use of identical or nearly identical phrases that describe commonly used methodologies.

Research Misconduct Proceeding refers to any formal University action (or other action by a Research Sponsor with regulatory responsibility) related to an Allegation, including but not limited to UCLA’s receipt of an Allegation, Assessment, Inquiry or Investigation determination by the IDO.

Research Record is the record of data or results that embody the facts resulting from Research, including but not limited to, Research proposals, laboratory records (both physical and electronic), progress reports, abstracts, theses, oral presentations, databases, internal reports, books, and journal articles, as well as any documents and materials provided to the Research Sponsor or to UCLA, or its employees, by a Respondent in the course of a Research Misconduct Proceeding.

Research Sponsor is a governmental or non-governmental entity that funds Research, such as the Public Health Service (PHS), the National Science Foundation (NSF), or the American Cancer Society (ACS), or that has oversight responsibility for Research Misconduct, such as the Office of Research Integrity of the U.S. Department of Health and Human Services (ORI).

Respondent is a person against whom an Allegation of Research Misconduct is directed or who is the subject of a Research Misconduct Proceeding.

Retaliation refers to an adverse action taken against a Complainant, witness, committee member, or any individual involved in the Research Misconduct Proceeding by UCLA or one of its members in response to a) a Good Faith Allegation of Research Misconduct; or b) Good Faith cooperation with a Research Misconduct Proceeding.