DFG Ombudsman Germany Safeguarding Good Scientific Practice Recommendation of the Germany Research Foundation Prof. Ulrike Beisiegel Chair of the DFG Ombudsman Director of the Institute of Molecular Cell Biology Medical Faculty, University Hamburg, Germany

German Research Foundation DFG Ombudsman Germany German Research Foundation (Deutsche Forschungsgemeinschaft, DFG) The German Research Foundation is the central, self-governing research funding organization that promotes research at universities and other publicly financed research institutions in Germany.

DFG Ombudsman Germany Why did the DFG become active in the issue of good scientific practice ? In 1997 a severe case of scientific misconduct in Germany had led the Executive Board of the DFG to appoint an international commission chaired by the President with the mandate to explore causes of dishonesty in the science system, to discuss preventive measures, to examine the existing mechanisms of professional self regulation in science and to make recommendations on how to safeguard them.

DFG Ombudsman Germany Recommendations of the Commission on Professional Self Regulation in Science Proposals for Safeguarding Good Scientific Practice January, 1998 http://www.dfg.de ‘The conduct of Science rests on basic principles …. The first among these is honesty towards oneself and towards others. … Conveying the principle of honesty to students and to young scientists and scholars is one of the principle missions of Universities. Safeguarding its observance in practice is one of the principle tasks of the self-government of science‘.

DFG Ombudsman Germany 16 Recommendations to the institutions of science and all their individual members…. http://www.dfg.de Recommendation 2 Universities and independent research institutions shall formulate rules of good scientific practice in a discussion and decision process involving their academic members. These rules shall be made known to, and shall be binding for, all members of each institution. They shall be part of teaching curricula and of the education of young scientists and scholars.

Ombudsman as First Contact and Mediator DFG Ombudsman Germany Ombudsman as First Contact and Mediator Recommendation 5 Universities and research institutes shall appoint independent mediators to whom their members may turn in conflict situations, including cases of suspected scientific misconduct. Recommendation 16 The DFG should appoint an independent authority in form of an Ombudsman and equip it with the necessary resources for exercising its functions. Its mandate should be to advise and assist scientists and scholars in questions of good scientific practice and its impairment through scientific dishonesty, and to give an annual public report on its work. Current DFG Ombudsman (since May 2005): Prof. Ulrike Beisiegel (Life Science) Prof. Siegfried Hunklinger (Physics) Prof. Wolfgang Löwer (Law) Executive officer: Helga Nolte

Most important principles for the Ombudsman DFG Ombudsman Germany Most important principles for the Ombudsman Advise in good scientific practice Provide fair mediation 3. Keep the necessary confidentiality 4. Protect the ‚whistle blower‘ …….if the Ombudsman sees evidence for serious scientific misconduct the case has to be turned to the respective committee

Committees for verification of serious allegations DFG Ombudsman Germany Committees for verification of serious allegations Recommendation 8 Universities and research institutes shall establish procedures for dealing with allegations of scientific misconduct’… including ‘sanctions depending on the seriousness of proven misconduct’. Recommendation 9 Research institutes independent of the universities not legally part of a larger organization may be well advised to provide for common rules, in particular with regard to the procedure for dealing with allegations of scientific misconduct (Nr. 8). ….formally all institutions adopted the recommendation

Other Partners in the Scientific Community DFG Ombudsman Germany Other Partners in the Scientific Community Recommendation 12 Scientific journals shall make it clear in their guidelines for authors that they are committed to best international practice with regard to the originality of submitted papers and the criteria for authorship. Reviewers of submitted manuscripts shall be bound to respect confidentiality and to disclose conflicts of interest. Recommendation 13 Research funding agencies shall, in conformity with their individual legal status, issue clear guidelines on their requirements for information to be provided in research proposals on (i) the proposer’s previous work and (ii) other work and information relevant to the proposal. The consequences of incorrect statements should be pointed out.

Funding Agencies Recommendation 14 DFG Ombudsman Germany Funding Agencies Recommendation 14 In the rules for the use of funds granted, the principal investigator shall be obliged to adhere to good scientific practice. When a university or a research institute is the sole or joint grantee, it must have rules of good scientific practice (Nr. 1) and procedures for handling allegations of scientific misconduct (Nr. 8). Institutions which do not conform to recommendations 1 to 8 above shall not be eligible to receive grants.

Eight Years Ombudsman of the DFG in Germany DFG Ombudsman Germany Eight Years Ombudsman of the DFG in Germany (1999-2007) Including the report of the first team employed by the DFG, Profs Trute, Geiler, Grossmann) Number of Inquiries: above 300 Number of Procedures: 250 (some inquiries with no follow up) Nature of the majority of cases dealt with: Authorship questions (Recommendation 11) Incomplete references and plagiarism (Recommendation 12) Lack of responsibility in direction and supervision (Recommendations 3)

Major causes of misconduct DFG Ombudsman Germany Major causes of misconduct 1. Lack of communication 2. Lack of education and mentorship 3. Publication pressure 4. Unhealthy competition instead of fruitful cooperation 5. Lack of time for research 6. Lack of time in the review system

Critical Points in the System of Self Regulation DFG Ombudsman Germany Critical Points in the System of Self Regulation Lack of power for the Ombudsman Universities take not enough responsibility Recommendation not (yet) part of the education Government not yet sufficiently aware

Future Strategies of the current DFG Ombudsman DFG Ombudsman Germany Future Strategies of the current DFG Ombudsman increase the awareness for good scientific practice increase the acceptance of the Ombudsman educate young scientist in good scientific practice improve system of mentorship at universities implement adequate organizational structures to improve communication and reduce hierarchy

Thank you for your attention ! http://www.dfg.de DFG Ombudsman Germany Thank you for your attention ! http://www.dfg.de DFG-Ombudsman@rrz.uni-hamburg.de