The essential need for research misconduct allegation audits
- Published
- Accepted
- Subject Areas
- Ethical Issues, Legal Issues, Science Policy
- Keywords
- ORI, Inspector General, GAGAS, research misconduct, allegation audits, performance audits, HHS, NSF, fabrication and falsification, Yellow Book
- Copyright
- © 2015 Loikith et al.
- Licence
- This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, reproduction and adaptation in any medium and for any purpose provided that it is properly attributed. For attribution, the original author(s), title, publication source (PeerJ PrePrints) and either DOI or URL of the article must be cited.
- Cite this article
- 2015. The essential need for research misconduct allegation audits. PeerJ PrePrints 3:e1577v3 https://doi.org/10.7287/peerj.preprints.1577v3
Abstract
The percentage of allegations of biomedical research misconduct in the United States that are dismissed by responsible institutions without any faculty assessment or auditable record is near 90%. Recently, members of the U.S. Congress have complained that the penalties for those against whom findings of research misconduct are made are too light and that too few grant funds associated with research misconduct have been recovered for use by other researchers and taxpayers. Here we describe the laws that empower federal agencies which can oversee investigations of biomedical research misconduct: the Office of Research Integrity (ORI) and Office of the Inspector General (OIG), both located within the Department of Health and Human Services (HHS). Research misconduct pertaining to U.S. physical sciences funded through the National Science Foundation (NSF) is overseen by the NSF's OIG. While OIGs may provide some improvement over ORI in the handling of research misconduct, we have found that a much more serious flaw exists which undermines an ability to conduct performance audits as to the effectiveness by which allegations of research misconduct are handled in the United States. Federal audit standards (GAGAS/Yellow Book), if applied to the handling of research misconduct, would allow a determination as to whether the handling of allegations of biomedical research misconduct actually functions adequately, and if not, how it might be improved. Specifically, we propose that independent, external peer review under GAGAS audit standards should be instituted without delay in assessing the performance of ORI, or any other similarly tasked federal agency, in handling allegations of research misconduct.
Author Comment
Version as submitted for first peer review, with bold emphasis added and some additional typographical corrections.