UCLA

I. PURPOSE & SCOPE

UCLA is committed to maintaining the integrity of scholarship and Research, and to fostering a climate conducive to Research integrity in accordance with the University’s Policy on Integrity in Research. Such integrity includes not only the avoidance of wrongdoing but also the rigor, carefulness, and accountability that are hallmarks of good scholarship.

This Policy and UCLA Procedure 993.1 implement this commitment and outline the procedures for reporting and responding to Allegations of Research Misconduct, and are also intended to satisfy the requirements of the U.S. Department of Health and Human Services (DHHS), the National Science Foundation (NSF), and other federal agencies.

This Policy applies to:

• All academic appointees, postdoctoral scholars, and staff, who held appointments at UCLA at the time of the alleged Research Misconduct;  

• Others at UCLA (including paid and unpaid students) working on externally (including federally) sponsored Research projects or being supported by externally (including federally) funded Research training grants when Research Misconduct involving their supported work was alleged to have occurred, if the external sponsor requires a process for responding to Allegations of Research Misconduct that is similar to, or based on the federal Research Misconduct regulations; and
• Allegations made on or after January 1, 2026. Allegations made prior to January 1, 2026 will follow UCLA Policy 993, effective date June 17, 2022.

This Policy does not apply to:

• Students (including those preparing Master’s theses or Ph.D. dissertations except as included in section 1. and 2., above);
• Faculty teaching activities, such as the preparation and presentation of classroom materials, including but not limited to, lectures, examinations, or websites;
•  Allegations made prior to January 1, 2026. Allegations made on or after January 1, 2026 will follow this Policy and UCLA Procedure 993.1, effective date January 1, 2026.

II.  DEFINITIONS

For the purposes of this Policy:

See Attachment A: Definitions

Defined terms are capitalized throughout this Policy.

III.  POLICY STATEMENT

All persons engaged in Research at UCLA are responsible for adhering to the highest standards of intellectual honesty and integrity. Those who supervise Research have a responsibility to create an environment that encourages those high standards through open publication and discussion, emphasis on Research quality, appropriate supervision, maintenance of accurate and detailed Research procedures and results, and suitable assignment of credit and responsibility for Research.

All members of the UCLA community are expected to cooperate in reporting suspected Research Misconduct in accordance with this Policy and UCLA Procedure 993.1, and in responding to Allegations by acting in Good Faith, providing Research Records and other relevant information, and participating in Research Misconduct Proceedings.

A. Responsibilities

1. Research Integrity Officer (RIO), on behalf of UCLA, assumes primary responsibility for all administrative aspects of the Research Misconduct Proceedings, including but not limited to:

a.  receiving Allegation(s) of Research Misconduct;

b.  ensuring that Allegation(s) are assessed;

c.  ensuring that Inquiries and Investigations are conducted in accordance with this Policy and UCLA Procedure 993.1;

d.  reviewing and approving requests for extensions of time needed to complete Investigations as appropriate;

e.  ensuring that Inquiry and Investigation committees receive logistical support;

f.  taking reasonable steps to ensure the cooperation of Respondents and others at UCLA with Research Misconduct Proceedings;

g.  keeping the IDO and others who need to know apprised of the progress of the response to the Allegation(s);

h.  assisting Inquiry and Investigation committees in preparing draft reports, transmitting the final Inquiry and, as warranted, Investigation reports to the IDO as needed;

i.  notifying Research Sponsors of Inquiries and Investigations as required; cooperating with Research Sponsors and federal oversight agencies, such as ORI, during Research Misconduct Proceedings, and assisting in administering and enforcing any federal administrative actions imposed upon UCLA or persons at UCLA; and

j.  taking appropriate action to correct the Research Record.

2.  Institutional Deciding Official (IDO) is responsible for:

a.  reviewing summaries of Assessments to determine whether Inquiries are warranted;

b.  making a determination about the composition of Inquiry and Investigation committees;

c.  reviewing final Inquiry reports and determining whether Investigations are warranted;

d.  reviewing final Investigation reports and determining whether there are findings of Research Misconduct;

e.  accepting an admission of guilt and written statement of wrongdoing; and

f.  taking appropriate institutional actions including referring findings of Research Misconduct to other UCLA officials or other institutions for sanctions and discipline as appropriate [See UCLA Procedure 993.1].

B. Retaliation

All members of the UCLA community must refrain from Retaliation or interference with a Research Misconduct Proceeding.  Retaliation is a serious violation of this Policy and other UC and UCLA policies, including but not limited to the UC Policy on Abusive Conduct in the Workplace. UCLA will take reasonable and practical steps to protect the positions and reputations of Good Faith Complainants, witnesses, and committee members and to protect these individuals from Retaliation by Respondents and/or other institutional members.

IV.  REFERENCES

1. UC Policy on Integrity in Research, June 19, 1990;
2. UCLA Policy 910, Management of Sponsored Projects;
3. UCLA Procedure 933.1, Procedures to Responding to Allegations of Research Misconduct;
4. Code of Federal Regulations, Title 42, Part 93: Public Health Services Policies on Research Misconduct, as modified, effective June 16, 2005;
5. UCLA Policy 410 – Non-Consensual Access to Electronic Communications Records;
6. UC Policy on Abusive Conduct in the Workplace effective July 10, 2025.

V.  ATTACHMENTS