Research Integrity & Misconduct

Research Ethics, Education, and PolicyResearch Ethics, Education, and PolicyOffice of Research AdministrationOffice of Research Administration

Contents of Contents of PresentationPresentation

Introduction: Institutional Responsibilities

What is Misconduct?

Process

Policy Requirements

IU Policy and Procedure

IntroductionIntroduction 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

IntroductionIntroduction INDIANA UNIVERSITY: Policy and

Procedures on Research Misconduct http://www.researchadmin.iu.edu/Policies/

PoliciesProceduresOnResearchMisconduct.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?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?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?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?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.

ProceduresProcedures 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

ProceduresProcedures 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,

ProceduresProcedures

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,

ProceduresProcedures

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 IU Policy and ProcedureProcedure

INDIANA UNIVERSITY: Policy and Procedures on Research Misconduct http://www.researchadmin.iu.edu/Policies/

PoliciesProceduresOnResearchMisconduct.pdf IU Research Integrity Officers

Shelley Bizila: 317.274.5524; sbizila@iupui.edu

John Baumann: 812.856.7987; baumannj@indiana.edu; baumannj@iupui.edu