From: AIP listserver <fyi@aip.org>
Subject: FYI #143 - Research Misconduct Policy
Date: 13 Dec 2000 04:00:06 -0500

FYI
The American Institute of Physics Bulletin of Science Policy News
Number 143: December 12, 2000

Clinton Administration Issues Final Research Misconduct Policy

More than four and one-half years after discussions began about
the development of a research misconduct policy, the Clinton
Administration last week issued a final "Federal Policy on
Research Misconduct."  This government-wide policy is to be
implemented by December 6, 2001, with the assistance of a
National Science and Technology Council implementation group.

The new policy is about three pages long.  It begins with
"Research Misconduct Defined: Research misconduct is defined as
fabrication, falsification, or plagiarism in proposing,
performing, or reviewing research, or in reporting research
results."  The policy provides the following definitions:
"Fabrication is 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, processes, results or words without
giving appropriate credit."  The definition also states,
"Research misconduct does not include honest error or
differences of opinion."

The policy then describes "Findings of Research Misconduct."  "A
finding of research misconduct requires that: There be a
significant departure from accepted practices of the relevant
research community; and The misconduct be committed
intentionally, or knowingly, or recklessly; and The allegation
be proven by a preponderance of evidence."

The policy has separate sections for "Responsibilities of
Federal Agencies and Research Institutions," "Guidelines for
Fair and Timely Procedures," "Agency Administrative Actions,"
and "Roles of Other Organizations." 

Two hundred and thirty-seven comments were received in response
to an initial notice of this policy that was first published in
the Federal Register in October 1999 (see FYI #151 in 1999.)  
The Office of Science and Technology Policy web site on this
policy devotes five pages to the comments that were received. 
In many instances, revisions were made to the original notice.

In a preamble to the policy, OSTP explains, "This policy applies
to federally-funded research and proposals submitted to Federal
agencies for research funding.  It thus applies to research
conducted by the Federal agencies, conducted or managed for the
Federal government by contractors, or supported by the Federal
government and performed at research institutions, including
universities and industry."

In explaining the reason for this new policy, the preamble
states: "Advances in science, engineering, and all fields of
research depend on the reliability of the research record, as do
the benefits associated with them in areas such as health and
national security.  Sustained public trust in the research
enterprise also requires confidence in the research record and
in the processes involved in its ongoing development." 

The "Federal Policy on Research Misconduct" can be accessed at
http://www.ostp.gov/html/001207_3.html while the preamble
containing the summary, summary of comments, other comments, and
next steps, can be accessed at the following site:
http://www.ostp.gov/html/001207_2.html 

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Richard M .Jones
Public Information Division
The American Institute of Physics
fyi@aip.org
(301) 209-3095
http://www.aip.org/gov
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