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; [email protected]
John Baumann: 812.856.7987; [email protected]; [email protected]