1. The Not-So-Good, the Bad, and the Ugly

2. Research Misconduct at Penn State
Candice A. Yekel, Director
Office for Research Protections
September 24, 2009

3. RA10 Definition
(1) fabrication, falsification, plagiarism or other practices that seriously deviate from accepted practices within the academic community for proposing, conducting, or reporting research or other scholarly activities;
(2) callous disregard for requirements that ensure the protection of researchers, human participants, or the public; or for ensuring the welfare of laboratory animals;

4. RA10 Definition (continued)
(3) failure to disclose significant financial and business interest as defined by Penn State Policy RA20, Individual Conflict of Interest;
(4) failure to comply with other applicable legal requirements governing research or other scholarly activities

5. RA10 Process Written allegation Inquiry Investigation
60 days to complete
Fact-finding, not a determination of guilt or innocence
Investigation
120 days to complete
Senior VP for Research appoints 5 full professors to investigate
Recommendations and sanctions
Reporting

6. PSU Research Misconduct Cases (2002-2008)
21 allegations of misconduct – 11 of the allegations went to full investigation
13 of 20 resulted in confirmed misconduct
14 allegations involved plagiarism
5 allegations involved fabrication and/or falsification
2 allegations involved human participant research
1 allegation involved a breach of confidentially in a grant proposal review

7. PSU Research Misconduct Cases (2002-2008)
3 of the allegations involved individuals who were graduate students at the time of the misconduct.
Penalties can range from letter of reprimand to dismissal from the University.
4 of the 12 misconduct findings led to a recommendation of dismissal from the University

8. Research Misconduct - Plagiarism
PSU ( ) – 14 allegations: 13 went to an inquiry, 7 went to an investigation, 7 were confirmed misconduct
67% of PSU allegations involved plagiarism
54% of PSU confirmed misconduct
NSF – 68% of confirmed misconduct ( )
ORI – 6% of confirmed misconduct ( )

9. Research Misconduct – Fabrication & Falsification
NSF: ( )
11% Fabrication
11% Falsification
ORI: ( )
22% Fabrication
40% Falsification
27% Fabrication & Falsification
PSU: ( )
25% of the confirmed misconduct (3 falsification and/or fabrication)

10. Case Studies

11. Case #1 – Protect Thy Brother
Handout

12. Case #1 – Discussion What are the ethical issues raised by this case?
Do the familial relationships make a difference in this case? Why or why not?
Should this case be considered research misconduct? Why or Why not?
What consequences should Julie Smith face?
What consequences should Sandy Smith face?

13. Case #2 – Cut and Paste
Handout

14. Case #2 - Discussion
Did Dr. Clip Art do anything wrong? What are the ethical issues raised by the case?
Did Dr. Clip Art plagiarize? If yes, what did he plagiarize?
Is there any way that Dr. Clip Art could have obtained permission to include the figure in his proposal?
Are the actions demonstrated in this case ever justified?
Why does it matter what Dr. Clip Art writes in his proposal? After all, it is not a published work.
Should this case be considered research misconduct? If yes, what would be an appropriate sanction?

15. Case #3 – To Trust or Not to Trust
Handout

16. Case #3 - Discussion
In what ways did Dr. Simpson act as a good mentor to Susan?
What could Dr. Simpson have done that might have prevented this case from occurring?
We don’t know what prompted Susan to fabricate data, but what responsibilities did Susan have that might have prevented this case from occurring?
What ramifications do the events of this case have on Dr. Simpson?

17. Questions