Research MisconductResearch Misconduct

Adapted with permission fromAdapted with permission fromVirginia Tech UniversityVirginia Tech University

Office of the Vice-President for ResearchOffice of the Vice-President for Research

Federal Laws on MisconductFederal Laws on Misconduct

Code of Federal Regulations:Code of Federal Regulations:►45 CRF 689 45 CRF 689 (for NSF)(for NSF)►42 CFR Parts 50 and 93 42 CFR Parts 50 and 93 (for the (for the

Department of Health and Human Department of Health and Human Services)Services)

Agencies OverseeingAgencies Overseeing Research Misconduct Research Misconduct

►U.S. Department of Health and Human U.S. Department of Health and Human Services, Office of Research IntegrityServices, Office of Research Integrity

►National Science Foundation, Office of National Science Foundation, Office of Inspector GeneralInspector General

Definition of Research Definition of Research MisconductMisconduct

►Fabrication, falsification, Fabrication, falsification, or or plagiarism plagiarism in in proposing, performing, or reviewing proposing, performing, or reviewing research resultsresearch results

Research MisconductResearch Misconduct►FabricationFabrication:: making up results and making up results and

recording or reporting themrecording or reporting them►FalsificationFalsification:: manipulation of research manipulation of research

materials, equipment, or processes, or materials, equipment, or processes, or changing or omitting results such that changing or omitting results such that the research is not accurately the research is not accurately represented in the record.represented in the record.

►PlagiarismPlagiarism:: the appropriation of the appropriation of another’s ideas, processes, results, or another’s ideas, processes, results, or words without giving proper credit.words without giving proper credit.

What is it notWhat is it not::►Honest errorHonest error►Differences of opinionDifferences of opinion

Research MisconductResearch Misconduct

Real-world examples includeReal-world examples include::►PI claiming Ph.D. and many publicationsPI claiming Ph.D. and many publications►PI made up interviews with autistic children during clinical trialsPI made up interviews with autistic children during clinical trials►Students not able to replicate PI’s results in lab; discovered fraud, reported itStudents not able to replicate PI’s results in lab; discovered fraud, reported it►PI falsified data for grant applications and subsequent publicationPI falsified data for grant applications and subsequent publication►Graduate student discovered inconsistencies in data on aging project; reported itGraduate student discovered inconsistencies in data on aging project; reported it

Research MisconductResearch Misconduct

CriteriaCriteria►Represent a Represent a significant departuresignificant departure

from accepted practicesfrom accepted practices►Have been committed Have been committed intentionallyintentionally, ,

or or knowinglyknowingly, or , or recklesslyrecklessly; and ; and ►Be proven by a preponderance of Be proven by a preponderance of

evidenceevidence

Top ten “POOR” behaviors

1. Falsifying or ‘cooking’ research data2. Ignoring major aspects of human-

subject requirements3. Not properly disclosing involvement

in firms whose products are based on one‘s own research

4. Relationships with students, research subjects or clients that may be interpreted as questionable

Top ten “POOR” behaviors5. Using another’s ideas without

obtaining permission (intellectual property violation) or giving due credit (plagiarism)

6. Unauthorized use of confidential information in connection with one’s own research

7. Failing to present data that contradict one’s own previous research

8. Circumventing certain minor aspects of human-subject requirements

9. Overlooking others' use of flawed data or questionable interpretation of data

10. Changing the design, methodology or results of a study in response to pressure from a funding source (falsification)

Top ten “POOR” behaviors

Other “POOR” behaviors

►Publishing the same data or results in two or more publications

► Inappropriately assigning authorship credit

►Withholding details of methodology or results in papers or proposals

Other “POOR” behaviors

►Using inadequate or inappropriate research designs

►Dropping observations or data points from analyses based on a gut feeling that they were inaccurate

► Inadequate record keeping related to research projects

Why does misconduct Why does misconduct happen?happen?

►Publish or Perish Publish or Perish pressurepressure

►Desire to “get ahead”Desire to “get ahead”►Personal problemsPersonal problems►Character issuesCharacter issues►Cultural differencesCultural differences►??????

How is misconduct identifiedHow is misconduct identified

►Suspected and reported by a colleagueSuspected and reported by a colleague►Failure to confirm research results Failure to confirm research results

by own lab or othersby own lab or others

ConsequencesConsequences (if misconduct is substantiated) (if misconduct is substantiated)►Withdrawal or correctionWithdrawal or correction of all pending of all pending

and published papers and abstracts and published papers and abstracts affected by the misconductaffected by the misconduct

►Restitution of fundsRestitution of funds to the granting to the granting agencyagency

► Ineligibility to apply for federal grantsIneligibility to apply for federal grants for yearsfor years

►The end of your funded projects career!The end of your funded projects career!

Who is investigatedWho is investigated and who is held accountable? and who is held accountable?

► InvestigatedInvestigated All authors that are involved in the All authors that are involved in the

specific data in questionspecific data in question

►Held accountableHeld accountable Primary authorPrimary author Other authors whose results are found Other authors whose results are found

culpableculpable The PIThe PI

Mentor ResponsibilitiesMentor Responsibilities

►MentorsMentors have the have the responsibilityresponsibility to to ensure that all trainees (post-docs, grad ensure that all trainees (post-docs, grad students, undergrads) are students, undergrads) are awareaware of the of the responsible conduct of researchresponsible conduct of research

►Obligation to reportObligation to report

Sinclair RequirementsSinclair Requirements►Provide assurances necessary to Provide assurances necessary to

permit Sinclair to participate in permit Sinclair to participate in federally supported programsfederally supported programs

►Promote responsible conduct of Promote responsible conduct of researchresearch

►Establish policies and procedures Establish policies and procedures for investigating and reporting for investigating and reporting instances of alleged research instances of alleged research misconduct misconduct

►Respond to allegations of possible Respond to allegations of possible misconductmisconduct

Sinclair ActionsSinclair Actions

►Post requirements on Grants Post requirements on Grants websitewebsite

►Current:Current: Communicate with PIs, Communicate with PIs, obtain written confirmationobtain written confirmation

►Future:Future: PIs and Co-PIs sign PIs and Co-PIs sign assurances with submission assurances with submission

►Refer issues to Sinclair General Refer issues to Sinclair General CounselCounsel

►Respond to allegations according to Respond to allegations according to regulationsregulations

Information SourcesInformation Sources

►Department of Health and Human Department of Health and Human Services Office of Research IntegrityServices Office of Research Integrityhttp://ori.dhhs.gov/http://ori.dhhs.gov/

►National Science Foundation National Science Foundation Proposal & Proposal & Award Policies & Procedures GuideAward Policies & Procedures Guide (NSF (NSF 07-140 June 2007) Chapter VII - Grant 07-140 June 2007) Chapter VII - Grant Administration Disputes and Administration Disputes and MisconductMisconduct

►NSF Office of Inspector Generalhttp://nsf.gov/oighttp://nsf.gov/oig

Questions?Questions?

Contact UsContact Us

►Neil Herbkersman, Director Grants Neil Herbkersman, Director Grants DevelopmentDevelopmentneil.herbkersman@sinclair.eduneil.herbkersman@sinclair.edu937-512-2524937-512-2524

► Karla Hibbert-Jones, Assistant Director Karla Hibbert-Jones, Assistant Director Grants DevelopmentGrants Developmentkarla.hibbert-jones@sinclair.edukarla.hibbert-jones@sinclair.edu937-512-4573937-512-4573