1. Research Misconduct

2. Research Misconduct

3. Examples of Misconduct
Ptolemy may have copied sky charts
2. Paul Kammerer (1920s) faked breeding results in toads using India ink
Sponsored Programs

4. + + Examples of Misconduct
3. William T. Summerlin (1970s) faked results of skin transplants on mice with a black felt-tip pen
4. ( ) Dr. Woo Suk Hwang of South Korea was found guilty of research misconduct
5. (2006) Jon SudbØ falsified data in clinical research and reported funding from a non-existent grant + +
Sponsored Programs

5. Scientific Fraud
There are many examples of published studies or report that have been later found incorrect, misleading, or fraudulent.
These are always detected, eventually due to the scientific method and peer review.
The net effect is loss of time, resources, and public mistrust.
Significant recent examples:
MMR Vaccine / Autism study
Speed of Himalayan glacier melting
Human stem cell cloning study 5

9. What is Research Misconduct?
“Fabrication, falsification, or plagiarism in
proposing, performing, or reviewing research,
or in reporting research results”
OSTP Definition

10. OSTP
The Office of Science and Technology Policy (OSTP) is an office in the Executive Office of the President (EOP), established by United States Congress on May 11, 1976, with a broad mandate to advise the President on the effects of science and technology on domestic and international affairs.

11. Fabrication is 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, processes, results, or words without giving appropriate credit

12. Research misconduct does not include honest differences of opinion

13. Be “proven by a preponderance of evidence.”
Legal Parameters
Represent a “significant departure from accepted practices”
Have been “committed intentionally, or knowingly, or recklessly”
Be “proven by a preponderance of evidence.”

14. Not in the OSTP Misconduct Definition, but Sometimes Included in Institutional Definitions
Violation of Federal rules
Abuse of confidentiality
Authorship or publication violations
Failure to report misconduct
Obstruction of misconduct investigation
Retaliation against whistleblowers

15. Actions That Are Not Misconduct
Sexual Harassment
Misuse of funds (financial fraud)
Gross negligence of persons in their professional duties
Vandalism (including tampering with experiments and
instructions
Violations of research responsibility (animals, DNA)
Whistle-blowing
Cover-up of misconduct
Malicious allegations

16. Questionable Research Practices (Not Scientific Misconduct)
1. Failing to retain significant research data for a reasonable period
2. Maintaining inadequate research records, especially for results that are published or are relied on by others
3. Conferring or requesting authorship on the basis of a specialized service or contribution that is not significantly related to the research reported in the paper

17. Questionable Research Practices (Not Scientific Misconduct)
4. Refusing to give peers reasonable access to unique
research materials or data that could support
published papers
5. Using inappropriate statistical or other methods of measurement to enhance the significance of research findings
6. Inadequately supervising research subordinates or exploiting them

18. Questionable Research Practices (Not Scientific Misconduct)
7. Misrepresenting speculations as fact or releasing
preliminary research results, especially in the
public media, without providing sufficient data
to allow peers to judge the validity of the results
or to reproduce the experiments

19. Why Does It Occur? Poor supervision Too much work Lack of training
Lack of interest
Fame and fortune
Prove a held theory
Cut corners

20. If…. 1. the data seem too good to be true, they probably are.
2. the author cranks out one publication after another, question his research practices.
3. a researcher says her plagiarism is a one-time indiscretion---check further (it probably isn’t).

21. Whistleblowers
NAS: “…someone who has witnessed misconduct has an unmistaken obligation to act”.
Protected under the 1st Amendment and the False Claims Act of 1986
Individuals will report misconduct only if their institution has a viable support/protection system in place

22. Whistleblowers (continued)
2/3 of whistleblowers report at least one negative outcome:
pressure to drop allegations
counter-allegations
ostracized by colleagues
fired/denied promotions
threats of suits/being sued
3/4 of whistleblowers would do it again!

23. Sanctions 1.) Retract articles already in print
2.) Surrender or suspend grants or contracts
3.) Letters of Reprimand
4.) Imposition of Special Requirements
Certification
Senior PI to oversee work and assure correctness
5.) Rescind privilege of serving as PI
6.) Rescind graduate faculty status
7.) Termination of employment
8.) Students: expulsion

24. Parting Advice Follow the general norms of science and the
specific norms of your discipline.
Violations of the public’s trust in science are
devastating to all.
Do the right thing!
If in doubt, don’t!