K.1.2 Scientific Integrity | Marine Biological Laboratory

Marine Biological Laboratory
Policy No. K.1.2

Division of Research

Initiated by: Director of Research
Approved by: MBL Director/President
Date: February 17, 1994
Revision #5: January 1, 2026
Distribution: All scientific staff

1.0 Purpose and Policy Statement:
The Marine Biological Laboratory (MBL) is committed to maintaining integrity, transparency, and accountability in all aspects of research and scholarly activity. To this end, MBL will not tolerate any action or conduct on the part of its staff or personnel that compromises scientific integrity. The purpose of this policy is to protect the integrity of research, provide clear responses for handling misconduct, preserve whistleblower protection, and ensure fair and confidential treatment of cases of misconduct.

2.0 Definitions and Responsibilities

2.1 Scientific integrity is defined as adherence to responsible research conduct that includes (1) honesty in proposing and performing research; (2) accuracy in analyzing and reporting data;(3) fairness and objectivity in making decisions and communicating research.

2.2 Scientific misconduct is defined as any fabrication or falsification of data or other documentation, plagiarism, or other unethical practices that seriously deviate from those practices that are commonly accepted within the scientific community for proposing, conducting or reporting research. Honest error or honest differences in interpretations or judgments of data do not constitute a compromise of scientific integrity.

Scientific misconduct in this policy also refers to any retaliation by individuals or institutions against a person who reports or provides information in good faith about suspected or alleged misconduct.

Applicable parties include all MBL researchers (both publicly and privately funded) conducted at or supported by MBL. MBL does not assume responsibility for visiting scientists with primary affiliations at other institutions. Any breech in scientific integrity brought to MBL from these individuals will be submitted to the affiliated institution. MBL will notify the institutions responsible in matters related to this policy.

2.3 Personnel definitions. The MBL defines the following parties associated with scientific misconduct review:

Research Integrity Officer (RIO) is the MBL Director of the Division of Research (DDR) who receives complaints and allegations; convenes an internal review with the Director of the Office of Sponsored Programs (DOSP). Together the RIO and DOSP will decide whether to initiate an assessment for an inquiry; will appoint an investigation committee; will ensure compliance with federal regulations; will ensure confidentiality and procedural fairness; will serve as liaison with federal agencies
Deciding Official (DO) is the MBL Director/President or designee who will make a final determination by reviewing the findings at each stage; make a final determination about whether misconduct occurred; decide on institutional actions; manage and ensure appropriate actions are instituted
Inquiry and Investigation Committees will include the RIO, DOSP, Chief Financial Operating Officer(CFOO) and Director of Human Resources (DHR), who will constitute and oversee committees to examine all relevant evidence, conduct interviews, determine the nature of the misconduct if present (as fabrication, falsification or plagiarism) and produce reports. All members of the committees and any witnesses or those interviewed are protected from retaliation and by confidentiality.
Legal counsel will be consulted to ensure compliance with all laws and regulations, advise on legal matters and risks, review and manage communications.
Complainant is the individual who reports the misconduct by submitting a reasonable allegation based on evidence and experience, provides specific information pertaining to the complaint, maintains confidentiality. The complainant is protected from retaliation, and their identity is kept confidential to the extent possible.
Respondent is the individual accused of misconduct who will respond to allegations with evidence and explanations, cooperate with any inquiry or investigation, maintain confidentiality. The respondent is presumed innocent until proven otherwise, has the right to review documents and will be notified in a timely manner of outcomes.

3.0 Handling Scientific Misconduct: Assessment and Inquiry Phase

3.1 Assessment. Suspicions of scientific misconduct by MBL personnel will be brought to the RIO, who will initiate an initial assessment to determine credibility and specificity within one week of receipt from the complainant. The RIO will determine along with DOSP with final approval by the DO whether an inquiry should be conducted.

3.2 Inquiry Committee. If the assessment determines the complaint is credible, an inquiry to determine whether the facts warrant a formal investigation will ensue. The RIO will make a good faith effort to convey the initiation of the inquiry to the respondent. An inquiry committee will comprise at the minimum the RIO, DHR, and other members deemed not in conflict with the respondent or the complainant. The inquiry committee will conduct a review of the charges, may solicit information from the respondents, may interview selected individuals and will determine whether an investigation is warranted. Any research records and evidence will be sequestered and secured in the Office of Human Resources.

If suspicions of misconduct involve the RIO, reports will be directed to the DO of the MBL. Inquiries will be conducted by an inquiry committee appointed by the DO in communication with the DOSP and DHR, which will include individuals with the necessary and appropriate expertise to address the circumstances.

3.3. Communications during Inquiry. During the inquiry, as well as in following investigation(s), treatment with confidentiality and respect, as much as possible, will preserve the reputation(s) of respondents and will be designed to avoid intrusion into the respondent’s privacy. Every effort will be made to protect the privacy of the complainants, and to provide the respondents with confidential treatment and a prompt and thorough investigation. The respondent will be given opportunity to comment on allegations and findings of the inquiry and of any subsequent investigation. Anonymous allegations will be accepted and may be pursued if sufficient information is provided to permit initiation of an inquiry.

3.4 Conclusion of Inquiry. The MBL’s inquiry will be completed within sixty (60) calendar days of its initiation unless circumstances clearly warrant a longer period, in which case those circumstances shall be clearly documented. If the committee deems the allegation is within the definition of research misconduct, a report will be prepared detailing the process and the conclusion.

The inquiry report will be communicated to the DO, who will decide whether an investigation is warranted. Detailed documentation and reports from the inquiry will be maintained in a secure area for at least three (3) years, including evidence reviewed, interview summaries, and the conclusions of the inquiry. A copy of the report of the inquiry will be given to the respondent and comments solicited. Any comments will be included in the record.

Within thirty (30) calendar days of the DO’s decision that an investigation is warranted, the RIO will provide the funding agency with the DO’s written decision and a copy of the inquiry report. The RIO will also notify those institutional officials who need to know of the DO's decision

4.0 Handling Scientific Misconduct: Investigation Phase

4.1 Investigation Committee. If the inquiry committee decides that grounds exist for suspecting that scientific misconduct has taken place, the RIO, along with DO, will appoint a second committee responsible for a formal investigation of the allegations. Precautions will be taken against real or apparent conflicts of interest on the part of those involved in any inquiry or investigation.

The formal investigation will begin within thirty (30) days of the completion of the inquiry and will include examinations of documentation, including but not necessarily limited to relevant research data and proposals, publications, correspondence, and memoranda or telephone calls. Interviews should be conducted, as far as possible, with all individuals involved either in making the allegation or against whom the allegation is made, as well as with other individuals who might have information regarding key aspects of the allegations. Complete summaries of these interviews will be prepared, provided for the interviewed party for comment or revision, and be included as part of the investigation file.

4.2. Completion of Investigation. The investigation will be completed, and a written report of the findings will be presented to the DO within 120 calendar days of the initiation of the investigation, unless circumstances clearly warrant a longer period. The report of both committees and the investigation file shall be maintained by the DOSP in a secure area for at least three (3) years. A copy of the report of the investigation will be given to the respondents and their comments, if any, will be made as a part of the record.

4.3. Actions During and After Investigation. During and after the formal inquiry and investigation process, the RIO along with the DOSP are responsible for:

Requisite and appropriate reporting to funding agencies and to other institutions that may be required, as promulgated in 42 CFR Part 50 [esp. 42 CFR Part 50.104 (a)(4)], 45 CFR 689, and specific agency guidelines, which requirements are incorporated herein by reference;
Undertaking diligent efforts, as appropriate, to restore the reputation(s) of the person(s) alleged to have engaged in misconduct when allegations are not confirmed;
The protection of the position(s) and reputation(s) of the person(s) who, in good faith, made the allegations;
Imposition of appropriate sanctions on the individual(s) for whom the allegation of misconduct has been substantiated;
Imposition of appropriate sanctions on the individual(s) shown to have knowingly made false charges of scientific misconduct;
Taking appropriate administrative actions to protect federal funds and ensure that the purposes of federal financial assistance are being carried out.

These policies and procedures apply to all research (both publicly and privately funded) conducted by MBL employees at MBL or supported by MBL. MBL does not assess or conduct inquiries or investigations for visiting scientists, staff or educators affiliated with other institutions. MBL will notify home institutions of complaints and will assist as possible with external institutional assessments or inquiries.

4.4 Investigation Findings. MBL will notify funding agencies of DO decisions including closing of the case, finding of no misconduct or finding of misconduct.

If the DO determines that research misconduct is substantiated by the findings, they will decide on the appropriate actions to be taken, after consultation with the RIO. Appropriate institutional actions could include and are not limited to retraction of papers or writing materials, removal of the respondent from research, termination of position, salary reduction or other actions at the discretion of the DO.

If misconduct is not found to have occurred, the RIO will communicate to the best of their ability the outcomes in an appropriate forum or individually.

5.0 Data Management

The MBL policy on data handling applies to all MBL employees and to all other scientists receiving funding from MBL through public or privately funded grants including internal MBL support.

Records of unpublished results shall be retained for at least seven (7) years. All records of research that result in a scientific publication shall be retained at least seven (7) years after the report appears.

All records of research are the property of MBL and shall always be available for inspection by duly authorized representatives of MBL and/or funding agencies.

After publication and consistent with the maintenance of intellectual property rights, MBL investigators will share with other researchers, at the appropriate incremental cost, the samples, physical collections and other supporting materials created or gathered in the course of the work.

Any investigator who, upon leaving MBL, wishes to retain research data obtained at MBL, will be required to sign a statement acknowledging MBL’s data accessibility requirements. The full text of the statement is given on a form for this purpose appended to this policy.

6.0 Policy Clarification and Updates
Policy clarification and updates are available from the Office of Research Administration.