sam bruton office of research integrity 4/9/14. research misconduct (narrow sense): fabrication,...
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Sam BrutonSam Bruton
Office of Research IntegrityOffice of Research Integrity
4/9/144/9/14
Research Misconduct (narrow sense):Fabrication, Falsification and Plagiarism (FF&P)
Research Misconduct (wider sense)
includes also, e.g., c. of i., data storage, abuse of graduate students, authorship, sabotage, etc.
Research Misconduct: Developing AwarenessSummerlin’s Mice, 1970’s
New Scientist, 2/28/81
1981, Gore subcommittee of House Science and Technology Committee holds hearings on fraud in biomedical research.
www.sfgate.com/.../2008/02/11/gore250x357.jpg
Broad and Wade, 1983
Baltimore Case
May 1986 – Post-doc Margot O’Toole alleges fraud.
Evolving Definitions
PHS (late 1988): “…fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research."
1989: The “Final Rule," Responsibilities of Institutions for Dealing With and Reporting Possible Misconduct in Science, (42 CFR Part 50, Subpart A)
NSF (early 1990’s), includes: “…Retaliation of any kind against a person who reported or provided information about suspected or alleged misconduct…”
CRI (1990’s): “…significant misbehavior that intentionally impedes the progress of research, or that risks compromising the integrity of scientific practices"
NAS (1990’s): three categories - 1) FF&P, 2) other kinds of research misconduct, 3) misconduct not unique to science.
Also: disagreements about standard of evidence.
1997 – first ORI conference on Research Misconduct
http://ori.dhhs.gov/about/history.shtml
Current Federal Standard, Dec. 2000 Def.:
Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.
A finding of research misconduct requires that:
1) There be a significant departure from accepted practices of the scientific community for maintaining the integrity of the research record; and,
2) The misconduct be committed intentionally, or knowingly, or in reckless disregard of accepted practices; and the allegation be proven by a preponderance of evidence.
Why these 3 alone?
Common “sin”: intent to deceive.
These three distinguished from others by Seriousness,
Universality,
and General “Prosecutability”.
How Widespread?
One Answer: Not Very
http://mychinaconnection.com/wp-content/uploads/2010/09/one-bad-apple-makes-the-barrel-bad.png
Another: Very common
http://seawayblog.blogspot.com/2008/12/tip-of-iceberg.html
A 2005 survey by Nature estimated 2,325 instances of misconduct per year, only 58% were reported to institutional officials.
ORI (HHS) Stats:Typically 20 – 30 findings of guilt/year
OIG (NSF) Stats: Sept. 2013 Semiannual – 6 misconduct findings in 86 investigations.
Recent Cases: Retraction Watch
Most analysts think misconduct is on the rise.
Retractions in life sciences papers since 1977. 67% due to misconduct.
from: Fang et al., “Misconduct accounts for majority of retracted scientific publications,” PNAS, Sep. 2012.
Other disturbing findings in Fang:Numbers likely under-estimate incidence.Many retracted papers continue to be cited.Fraud contributed to most retractions in high-impact journals.Plagiarism more common in lower-impact journals.
Note: Duplicated publication, or “self-plagiarism,” not generally prosecuted by ORI/OIG, but cause for retractions.
Detecting Misconduct:
Reports/ComplaintsForensic tools, e.g.
plagiarism detection and image forensics.
Recent Examples
Plagiarism in PLoS One:http://www.plosone.org/article/info%3Adoi%2F10.1371%2Fjournal.pone.0016011
In Fish Biology and Fisheries:http://link.springer.com/article/10.1007/s11160-013-9322-x/fulltext.html
What to Do About It?
Teaching Tools
2007: ORI Introduction to RCRby Nicholas Steneck, PhDhttp://ori.dhhs.gov/education/products/RCRintro
CITI Modules
USM Scholarly Misconduct Policy
1. Research Misconduct as defined by federal policy: “fabrication, falsification or plagiarism in proposing, performing, or reviewing research or reporting research results.” 2. Abuse of confidentiality, including improper use of information gained by privileged access, such as information obtained through service on peer review panels and editorial boards. 3. Violation of University regulations concerning the use of human subjects, animal subjects, and laboratory safety. 4. Misappropriation of funds or resources, such as the misuse of research funds for personal gain.
https://www.usm.edu/institutional-policies/current-policies
Other Changes:
-Replacement of Ombudsman with RIO
-Added protections for respondents.
-Clarification, e.g., sequestration of evidence.
-Remove Presidential Review
Procedures:
Assessment
Inquiry
Investigation
Allegations
Received by RIO in writing or verbally.
May be made anonymously
Must be made in good faith
Interim protective actions will be taken if necessary.
Office of Research Integrity:http://www.usm.edu/research/office-research-integrity(601) [email protected]
To maximum extent possible:
Respect for confidentiality of those involved
Protection from retaliation
Assessment:RIO assesses whether alleged actions: 1) fall under df. of misconduct
2) Allegations are “sufficiently credible” to merit an inquiry.
Inquiry:
Purpose is to determine whether formal inquiry is warranted.
Committee of three
Examines written evidence and collects testimony.
Respondent and complainant comments attached to final report
InvestigationPurpose is to make recommended findings on whether scholarly misconduct has occurred.
Develops factual record by examining evidence in depth.
Committee of five
Preponderance of evidence standard
Respondent and complainant comments again attached to final report
Committee’s findings accepted or rejected by DO.
Range of possible sanctions:
Letter of reprimand,Probation,Suspension,Restrictions on activities,Reduction in rank,Termination,Restitution of funds
Restoration:
All reasonable efforts possible made to protect and restore reputations when no finding of misconduct
Magdalena Koziol
Transgenic zebrafish experiments failed due to poisoning by a fellow postdoc.Now suing Yale and lab boss.Bhrigu case at Michigan: ORI ruled was misconduct, because tampering “caused false results to be reported in the research record.”