The Legal Consequences of Research Misconduct: False Investigators and Grant Proposals

2020 ◽  
Vol 48 (2) ◽  
pp. 331-339
Author(s):  
Eric A. Fong ◽  
Allen W. Wilhite ◽  
Charles Hickman ◽  
Yeolan Lee

In a survey on research misconduct, roughly 20% of the respondents admitted that they have submitted federal grant proposals that include scholars as research participants even though those scholars were not expected to contribute to the research effort. This manuscript argues that adding such false investigators is illegal, violating multiple federal statutes including the False Statements Act (18 U.S.C. §1001), the False Claims Act (31 U.S.C. §3729), and False, Fictitious, or Fraudulent Claims (18 U.S.C. §287). Moreover, it is not only the offending academics and the false investigators that face civil and criminal penalties because administrators may also be liable if they sign off on proposals and are in a position to know that false investigators might be included. Policy recommendations that should reduce the use of false investigators include changing institutional cultures, better training and oversight of the responsible conduct of research, and, most importantly, making all grant reviews double blind.

2021 ◽  
Vol 17 (4) ◽  
pp. 501-521
Author(s):  
Aidan C Cairns ◽  
Caleb Linville ◽  
Tyler Garcia ◽  
Bill Bridges ◽  
Scott Tanona ◽  
...  

When scientists act unethically, their actions can cause harm to participants, undermine knowledge creation, and discredit the scientific community. Responsible Conduct of Research (RCR) training is one of the main ways institutions try to prevent scientists from acting unethically. However, this only addresses the problem if scientists value the training, and if the problem stems from ignorance. This study looks at what scientists think causes unethical behavior in science, with the hopes of improving RCR training by shaping it based on the views of the targeted audience ( n = 14 scientists). Previous studies have surveyed scientists about what they believe causes unethical behavior using pre-defined response items. This study uses a qualitative research methodology to elicit scientists’ beliefs without predefining the range of responses. The data for this phenomenographic study were collected from interviews which presented ethical case studies and asked subjects how they would respond to those situations. Categories and subcategories were created to organize their reasonings. This work will inform the development of future methods for preventing unethical behavior in research.


2018 ◽  
Vol 37 (4) ◽  
Author(s):  
Heidi Laine

The purpose of this article is to examine the conceptual alignment between the ethical principles of research integrity and open science. Research integrity is represented in this study by four general codes of conduct on responsible conduct of research (RCR), three of them international in scope, and one national. A representative list of ethical principles associated with open science is compiled in order to create categories for assessing the content of the codes. According to the analysis, the current understanding of RCR is too focused on traditional publications and the so called FFP definition of research misconduct to fully support open science. The main gaps include recognising citizen science and societal outreach and supporting open collaboration both among the research community and beyond its traditional borders. Updates for both the content of CoCs as well as the processes of creating such guidelines are suggested.


2016 ◽  
Vol 0 (0) ◽  
pp. 1-10 ◽  
Author(s):  
Chris H.J. Hartgerink ◽  
Jelte M. Wicherts

Abstract This article discusses the responsible conduct of research, questionable research practices, and research misconduct. Responsible conduct of research is often defined in terms of a set of abstract, normative principles, professional standards, and ethics in doing research. In order to accommodate the normative principles of scientific research, the professional standards, and a researcher’s moral principles, transparent research practices can serve as a framework for responsible conduct of research. We suggest a “prune-and-add” project structure to enhance transparency and, by extension, responsible conduct of research. Questionable research practices are defined as practices that are detrimental to the research process. The prevalence of questionable research practices remains largely unknown, and reproducibility of findings has been shown to be problematic. Questionable practices are discouraged by transparent practices because practices that arise from them will become more apparent to scientific peers. Most effective might be preregistrations of research design, hypotheses, and analyses, which reduce particularism of results by providing an a priori research scheme. Research misconduct has been defined as fabrication, falsification, and plagiarism (FFP), which is clearly the worst type of research practice. Despite it being clearly wrong, it can be approached from a scientific and legal perspective. The legal perspective sees research misconduct as a form of white-collar crime. The scientific perspective seeks to answer the following question: “Were results invalidated because of the misconduct?” We review how misconduct is typically detected, how its detection can be improved, and how prevalent it might be. Institutions could facilitate detection of data fabrication and falsification by implementing data auditing. Nonetheless, the effect of misconduct is pervasive: many retracted articles are still cited after the retraction has been issued. Main points Researchers systematically evaluate their own conduct as more responsible than colleagues, but not as responsible as they would like. Transparent practices, facilitated by the Open Science Framework, help embody scientific norms that promote responsible conduct. Questionable research practices harm the research process and work counter to the generally accepted scientific norms, but are hard to detect. Research misconduct requires active scrutiny of the research community because editors and peer-reviewers do not pay adequate attention to detecting this. Tips are given on how to improve your detection of potential problems.


2021 ◽  
pp. 79-104
Author(s):  
Susan Estabrooks Hahn ◽  
Adam Buchanan ◽  
Chantelle Wolpert ◽  
Susan H. Blanton

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