Research Integrity & Misconduct Research Ethics, Education, and Policy Office of Research Administration

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 ProceduresOnResearchMisconduct.pdf ProceduresOnResearchMisconduct.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? 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.

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.

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

Procedures Institutional Policies are required to include: Designation of individuals who are authorized to receive and investigate allegations of misconduct, Provisions for an initial inquiry to determine whether the allegations have any merit, Provisions for a formal investigation to reach conclusions about the truth of the allegations,

Procedures Institutional Policies are required to include (cont): Designation of an individual who is authorized to weigh (adjudicate) the conclusions reached in the investigation and impose administrative actions to redress the misconduct (sanctions) or take steps to vindicate the person charged, Provisions for reporting findings to ORI,

Procedures Institutional Policies are required to include (cont): Provisions for protection of the whistleblower and respondent. Misconduct allegations must not be made public until they have been fully investigation and confirmed.

IU Policy and Procedure INDIANA UNIVERSITY: Policy and Procedures on Research Misconduct ciesProceduresOnResearchMisconduct.pdf ciesProceduresOnResearchMisconduct.pdf IU Research Integrity Officers Shelley Bizila: ; John Baumann: ;