At MaineHealth (MH) “misconduct in research” is defined as: fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, and reviewing research, or in reporting results from research. This definition does not include honest errors or honest differences in interpretations or judgments of data.

Applicability of the Research Misconduct Policy

The MaineHealth Research Misconduct Policy applies to:

  • All MH employees
  • Students and non-students conducting research at MH, using MH funds or resources, or collaborating with or under the supervision of an MH employee
  • Any individual who claims, cites, reports, or implies that their research was conducted at MH, under MH sponsorship, or in connection with an MH appointment or official affiliation

We want to hear from you.
If you have a question or concern about research compliance or research misconduct, please reach out. We are committed to creating a safe and supportive environment for raising concerns.

  • You may report anonymously
  • Confidentiality will be maintained
  • Protection against retaliation is guaranteed
  • Calls are private and not traced

Contact the Office of Research Compliance / Research Integrity Officer at 207-661-0045.

Produced by the U.S. Department of Health & Human Services (HHS) Office of Research Integrity (ORI), this video series introduces key topics and ethical dilemmas in the responsible conduct of research: https://ori.hhs.gov/integrity-scientific-research-videos

Current research misconduct regulations at 42 C.F.R. Part 93 (“Part 93”) were promulgated May 17, 2005, at 70 Fed. Reg. 28370–28400.

White House Office of Science and Technology Policy (“OSTP”) Federal Research Misconduct Policy, issued on December 6, 2000 the “2000 OSTP Policy”:

“Applies to federally funded research and proposals submitted to Federal agencies for research funding” and required that all “Federal agencies that conduct or support research . . . implement this policy.”

Defines “research misconduct” as “fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results,” which represent a “significant departure from accepted practices”; have been “committed intentionally, or knowingly, or recklessly”; and be “proven by a preponderance of evidence.”

Sets forth three phases to reviewing allegations:

  1. “an inquiry—the assessment of whether the allegation has substance and if an investigation is warranted;
  2. an investigation—the formal development of a factual record, and the examination of that record leading to dismissal of the case or to a recommendation for a finding of research misconduct or other appropriate remedies;
  3. adjudication— during which recommendations are reviewed and appropriate corrective actions determined.”

ORI regulations must be consistent with this policy; a primary purpose of the ORI Part 93 regulations issued in 2005 was to bring the ORI regulations into compliance with the 2000 OTSP Policy.– ORI’s changes to Part 93 cannot vary from the structure/definitions outlined under the OSTP Policy.

Office of Research Integrity (ORI) proposed revisions on October 6, 2023, at 88 Fed. Reg. 69583–69604 (“NPRM”).

HHS released a final rule September 12, 2024, that was formally published in the Federal Register on September 17, 2024, at 89 Fed. Reg. 76280–76309 (“Final Rule”).

Compliance with this rule is required effective January 1, 2026, and institutions are required to submit revised policies and procedures to ORI in annual reports beginning April 30, 2026.

Please note that the MaineHealth Research Misconduct Policy will be updated to be compliant with the HHS final rule.

Responsible Conduct of Research (RCR) is defined as the practice of scientific investigation with integrity. It involves the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research. It is the policy of MaineHealth that all students, postdocs, laboratory personnel, and scientists who participate in any Research Programs and/or are receiving research funds or who participates in research activities funded by National Institutes of Health (NIH) or National Science Foundation (NSF), shall engage in a program of study in the Responsible Conduct of Research. A RCR Project Plan must be submitted at the same time a NSF & NIH (if applicable) proposal is being submitted.  The Plan must indicate the principle investigator’s decision for the required in-person’s RCR training.  The CITI (online) modules are required for all covered students. This policy applies to all undergraduate students, graduate students, and post‐doctoral trainees performing research, whether as an employee or other trainee, on proposals submitted to NSF and to all students funded by or performing research funded by NIH.

Questions? Contact the MH Research Integrity Officer, Daniela Radu.

Research Compliance Office

1 Riverfront Plaza
Westbrook, Maine 04092
hrppIRB@mainehealth.org
207.661.4474

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