Research Integrity & Misconduct

Research Ethics, Education, and PolicyOffice of Research Administration

Introduction John R. Baumann, Ph.D.

Research Integrity OfficerExecutive DirectorResearch Ethics, Education and PolicyOffice of Research AdministrationOffice of Vice President for ResearchIndiana Universitybaumannj@iu.edu

Contents of Presentation

Introduction: Institutional Responsibilities What is Misconduct? Process Policy Requirements IU Policy and Procedure

Introduction Why do we care? What does it matter? Institutional Responsibilities

Develop Policies and Procedures Respond to Allegations of Scientific

Misconduct Restore Reputation of Exonerated Individuals Protect Positions of Whistleblowers Foster Research Integrity

Introduction INDIANA UNIVERSITY: Policy and

Procedures on Research Misconduct http://www.researchadmin.iu.edu/Policies/

PoliciesProceduresOnResearchMisconduct.pdf Provide guidance in the following areas:

Definitions for misconduct in research, Procedures for reporting and investigating

misconduct, and Provide protection for whistleblowers and

persons accused of misconduct.

What is Misconduct? Research Misconduct is defined as

fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

What is Misconduct? The definition of misconduct does not include

disputes of honest error or honest differences in interpretations or judgment of data

There must be a significant departure from accepted practices of the relevant research community; and

The misconduct must be committed intentionally, knowingly, or in a reckless disregard of accepted practices; and

What is Misconduct? The allegation be proven by a

preponderance of evidence. Misconduct does not include disputes of

authorship. Such matters are the responsibility of the

grantee institution and, if necessary PHS agencies.

What is Misconduct? Fabrication – 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, process, results, or words without giving appropriate credit.

Procedures Allegation – A written allegation of misconduct that

triggers the procedures. Inquiry – The process for which information gathering

and preliminary fact-finding to determine if a Charge or apparent instance of Research Misconduct has substance and therefore warrants an Investigation: Research Integrity Officer

Investigation – The process for the formal examination and evaluation of all relevant facts to determine whether Research Misconduct has occurred, and if so, the responsible person and the seriousness of the misconduct: Deciding Official

IU Policy and Procedure

INDIANA UNIVERSITY: Policy and Procedures on Research Misconduct http://www.researchadmin.iu.edu/Policies/

PoliciesProceduresOnResearchMisconduct.pdf IU Research Integrity Officers

Shelley Bizila: 317.274.5524; sbizila@iupui.edu John Baumann: 812.856.7987; baumannj

@iu.edu