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Handling Misconduct - Preliminary Assessment
Can Survey Research Staff Commit Research Misconduct?
Can fabrication or falsification of data by lower-level
staff who conduct surveys or interviews or administer questionnaires
with human subjects constitute research misconduct? The answer is
"yes."
The Public Health Service (PHS) has made findings of research misconduct
in several ORI cases involving this type of data. These misconduct
cases involved the acquisition of data through questionnaires or interviews,
administered face-to-face, over the telephone, or through the use
of a computer interface. The data were used in a variety of research
situations, ranging from epidemiological studies of diseases to the
assessment of the effectiveness of therapeutic interventions, or of
health services delivery systems.
Since questionnaires are often administered by individuals who are
not members of the faculty or the professional senior research staff,
institutional officials have questioned whether these individuals
were actually members of the "scientific community" subject
to PHS regulations on research misconduct.
The PHS regulations apply to any individual involved in proposing,
conducting, or reporting research supported by PHS funds or proposed
in applications for PHS funds, regardless of their position.
Institutional officials have also asked ORI about the relationship
of common "data quality control" problems and possible research
misconduct-that organizations involved in the conduct of surveys expect
a certain incidence of "curbstoning" (i.e., fabrication
or falsification of data "on the street"). When detected
by regular "quality control" measures, the problem is often
handled by purging the tainted data from the database.
Such "quality control" measures may serve a preventive and
a detection function and ORI encourages their continued use. However,
the data should not be destroyed because it might provide evidence
of research misconduct. When evidence of intentional fabrication or
falsification of data in PHS-related research is detected in this
way, the institutions should handle the case through the normal procedures
for dealing with PHS research misconduct. Any investigative findings
in these cases must be reported to ORI as required by PHS regulations.
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Assurance
