38
Estimating the Economic Estimating the Economic Costs of a Finding of Costs of a Finding of Research Misconduct in Research Misconduct in Faculty PI’s: Case Faculty PI’s: Case Studies from ORI Annual Studies from ORI Annual Reports Reports Elizabeth Gammon, Ph.D, CPA; Elizabeth Gammon, Ph.D, CPA; Luisa Franzini, PhD; Stephen Luisa Franzini, PhD; Stephen Linder, PhD; Jacquelyn Linder, PhD; Jacquelyn Slomka, PhD Slomka, PhD Fleming Center Fleming Center University of Texas-School of University of Texas-School of 1

Elizabeth Gammon, Ph.D , CPA; Luisa Franzini , PhD; Stephen Linder, PhD; Jacquelyn Slomka , PhD

Embed Size (px)

DESCRIPTION

Estimating the Economic Costs of a Finding of Research Misconduct in Faculty PI’s: Case Studies from ORI Annual Reports. Elizabeth Gammon, Ph.D , CPA; Luisa Franzini , PhD; Stephen Linder, PhD; Jacquelyn Slomka , PhD Fleming Center University of Texas-School of Public Health. - PowerPoint PPT Presentation

Citation preview

Page 1: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Estimating the Economic Estimating the Economic Costs of a Finding of Costs of a Finding of

Research Misconduct in Research Misconduct in Faculty PI’s: Case Studies Faculty PI’s: Case Studies from ORI Annual Reportsfrom ORI Annual Reports

Elizabeth Gammon, Ph.D, CPA; Elizabeth Gammon, Ph.D, CPA; Luisa Franzini, PhD; Stephen Luisa Franzini, PhD; Stephen Linder, PhD; Jacquelyn Slomka, Linder, PhD; Jacquelyn Slomka, PhDPhDFleming CenterFleming CenterUniversity of Texas-School of University of Texas-School of Public HealthPublic Health

1

Page 2: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Why look at economic Why look at economic costs of research costs of research misconduct?misconduct?“ …“ …institutional leaders may wish to ignore institutional leaders may wish to ignore

or minimize allegations of possible research or minimize allegations of possible research misconduct to protect the revenue that the misconduct to protect the revenue that the researcher generates; some may avoid researcher generates; some may avoid investigations because they are costly in investigations because they are costly in terms of time and money.”terms of time and money.”

Titus, et al. Repairing research integrity. Nature. 453(7198):980-2, 2008 Jun 19. Titus, et al. Repairing research integrity. Nature. 453(7198):980-2, 2008 Jun 19.

2

Page 3: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Study AimsStudy Aims Survey Research Integrity Officers (RIO) Survey Research Integrity Officers (RIO)

responsible for handling findings of responsible for handling findings of research misconduct regarding cost research misconduct regarding cost issues;issues;

Develop a model to estimate the Develop a model to estimate the economic costs of research misconduct economic costs of research misconduct in publicly funded medical research from in publicly funded medical research from the perspective of NIH; andthe perspective of NIH; and

Use the model to estimate economic Use the model to estimate economic costs in known findings of research costs in known findings of research misconductmisconduct

3

Page 4: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Methods Methods Analytical Framework: Analytical Framework:

Transaction CostsTransaction Costs

All economic costs 1

Transaction costs - Costs of makingexchange or the indirect productionexpenses.

Production costs - Costs oftransforming inputs into outputsor the direct production expenses.

Motivation costs – Costs of motivatingspecialized agents to align their interests, e.g.:Cost of cheating or opportunistic behavior, Williamson [1975, 85].

Agency cost among owners, managers,and debt holders, Jensen and Meckling [1976].

Coordination costs – Costs of coordinatingactions between specialized agents, e.g.:Cost of obtaining information, Stigler [1961].Cost of coordinating input in production, Alchian and Demsetz [1972].Cost of measurement, Barzel [1982].

1http://www.encycogov.com/B11ResearchTraditions/TCE/Exhi_1DecomposeTC.asp

4

Page 5: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

MethodsMethodsSequential Mixed Methods Sequential Mixed Methods

Study DesignStudy Design

5

QualitativeQualitative methodsmethods Quantitative Quantitative methodsmethods

Page 6: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

MethodsMethodsData Sources Data Sources

Sample Selection and Qualitative MethodsSample Selection and Qualitative Methods

ORI Annual Reports, 2000-2005ORI Annual Reports, 2000-2005 Findings of MisconductFindings of Misconduct

Internet searchInternet search Institutional RIOInstitutional RIO

6

Page 7: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

MethodsMethodsData Sources Data Sources

Quantitative MethodsQuantitative Methods Wage rates: American Association of Wage rates: American Association of

Medical College 2007 Report on Medical Medical College 2007 Report on Medical School Faculty Salaries School Faculty Salaries

Time Inputs: 42 CFR Parts 50 and 93 Time Inputs: 42 CFR Parts 50 and 93 Final RuleFinal Rule

NIH Awards: Computer Retrieval of NIH Awards: Computer Retrieval of Information on Scientific Projects (CRISP) Information on Scientific Projects (CRISP) and NIH Awards by State and Foreign and NIH Awards by State and Foreign SiteSite

7

Page 8: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResultsFindings of Faculty Research Misconduct Findings of Faculty Research Misconduct

2000-20052000-2005Rank Funding Agency Investigat

or(Case)

MD/PhD

Year

MisconductType

Professor(N= 4)

NIAMS,NIADNIA,NIDDK,NCRRNIAIDNINDS

KammerPoehlmanRadolfPrasad

MDPhDMDPhD

2005200520032002

Fabrication/FalsificationFabrication/FalsificationFabrication/FalsificationFabrication/Falsification

AssociateProfessor(N=5)

NHLBINHLBINIDCDNEINIDDK

GelbandYaoDreyerHartzerGanz

PhDMD/PhDMD/PhD

PhDMD

20032002200020002002

FalsificationFalsificationFabrication/FalsificationFalsificationFabrication/Falsification

AssistantProfessor(N=7)

GMMHNHLBINIAIDNIAIDNIDDKNIA

XiongRuggieroPandurangiSultanDuanArnoldPadgett

PhDPhDPhD

MD/PhDMDPhDPhD

2001200120012004200020012001

Fabrication/PlagiarismFabricationFalsification/PlagiarismFalsification/PlagiarismFalsificationFabrication/FalsificationPlagiarism

Instructor(N=1) NINDS

Jacoby MD/PhD 2001 Falsification/Plagiarism

8

Page 9: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Key informant interviewsKey informant interviews

Economic costs are not measured nor Economic costs are not measured nor considered in research misconduct considered in research misconduct findingsfindings

Emphasis on proper completion of the Emphasis on proper completion of the inquiry and investigation within the inquiry and investigation within the mandated timelinemandated timeline

9

Page 10: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults RIO interviews RIO interviews

Research Misconduct Questionnaire Research Misconduct Questionnaire ParticipationParticipation Total Sample

RIO Interview Participation (n) %

Total RIOs in sample 16 100

Consented to telephone interview 12 75 Case RIO 6 37.5 Assumed RIO position after case finding 6 37.5Declined telephone interview 2 12.5No response to interview request 2 12.5

10

Page 11: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

RIO experience in positionRIO experience in position Range = (< 6 months, >20 years)Range = (< 6 months, >20 years) All had additional research administration related All had additional research administration related

dutiesduties All RIOs believed measuring economic costs All RIOs believed measuring economic costs

was appropriatewas appropriate No institutions in the study sample measured No institutions in the study sample measured

economic costs of research misconducteconomic costs of research misconduct Faculty time was the single most costly Faculty time was the single most costly

elementelement

11

Page 12: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Model - Economic cost components Model - Economic cost components of research misconductof research misconduct

Type 1 Type 2 Type 3 Type 4 TotalCosts

Investigative Costs

+ GrantAward(s)

+ Voluntary

Exclusion

Agreement

+ Retraction Cost

= TotalCost

12

Page 13: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Model - Economic cost components Model - Economic cost components of research misconductof research misconduct

Type 1 Type 2 Type 3 Type 4 TotalCosts

Investigative Costs

17 cases

+ GrantAward(s)

13 cases

+ Voluntary

Exclusion

Agreement

3 cases

+ Retraction Cost

7 cases

= TotalCost

17 cases

13

Page 14: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResultsInvestigative Costs Investigative Costs

Key Assumptions for Investigative CostsKey Assumptions for Investigative Costs

100% RIO time = Estimated annual burden 100% RIO time = Estimated annual burden for ORI defined tasks + institutional tasks for ORI defined tasks + institutional tasks

RIO expends 50% of each day during an RIO expends 50% of each day during an inquiry and investigation overseeing the inquiry and investigation overseeing the investigation investigation

RIO hourly wage rate is $119 for PhD and RIO hourly wage rate is $119 for PhD and $144 for MD $144 for MD

Assumption for mixed faculty rank hourly Assumption for mixed faculty rank hourly wage rate is $144/hr.wage rate is $144/hr.

14

Type 1

Investigative Costsn=17

Page 15: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

1.1. Receipt of allegationReceipt of allegation

2.2. Preliminary assessmentPreliminary assessment

3.3. Conduct of inquiry and investigationConduct of inquiry and investigation

4.4. Institutional decision $102,115 - Institutional decision $102,115 - $141,090$141,090

5.5. ORI oversight reviewORI oversight review

6.6. PHS decisionPHS decision

7.7. Imposition of PHS administrative actions Imposition of PHS administrative actions

$ 14,110 - $ 14,110 - $ 24,495 $ 24,495

15

Type 1Type 1

Investigative Investigative CostsCostsn=17n=17

Page 16: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Results Results Type 1

Investigative Costsn=17

16

      Time Input   Cost   Input

  Federal Register Average Estimated Institutional PhD MD

Process Step     RIO Process(Hours) Added Process (Hours)   ($119/hour)   ($169/hour)

   

Receipt of allegation  

Inventory and sequester evidence 35 $ 4,165 $ 5,915

Supervise respondent access to research record 5 595 845

Subtotal     40     $ 4,760   6,760

Page 17: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

17

Type 1

Investigative Costsn=17

      Time Input   Cost   Input

  Federal Register Average Estimated Institutional PhD MD

Process Step     RIO Process(Hours) Added Process (Hours)   ($119/hour)   ($169/hour)

   

Inquiry  

RIO administrative oversight (50% effort)1 221 $ 26,299 37,349

Notify presumed respondent 1 119 169

Respondent review and comment on Inquiry report 1 119 169

Notice to respondent if investigation is warranted 0.5 60 85

Conduct of inquiry  

Receipt and recording of allegation 1 119 169

Inquiry Panel assembly 1 119 169

Inquiry Panel time2  

3 Full Professors @ 2 hrs x 3 mtgs 18 2,592 2,592

Inquiry Panel Preparation Time (3x.5x3 mtgs) 4.5 648 648

RIO support for Panel Inquiry 3 357 507

Legal support 2 238 238

Institutional notice to ORI of warranted investigation 16 1,904 2,704

Subtotal     18.5 250.5   $ 32,574   $ 44,799

Page 18: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Results Results

18

      Time Input   Cost   Input

  Federal Register Average Estimated Institutional PhD MD

Process Step     RIO Process(Hours) Added Process (Hours)   ($119/hour)   ($169/hour)

   

Investigation  

RIO administrative oversight (50% effort)1 394 $ 46,886 $ 66,586

Notify presumed respondent 1 119 169

Conduct of investigation  

Selection of investigation panel 1 119 169

Charge to panel 1 119 169

Administration support for panel  

Investigation Panel time2  

3 Full Professors @ 2 hrs x 5 mtgs 30 4,320 4,320

Investigation Panel Preparation Time (3x.5x 5 mtgs) 7.5 1,080 1,080

RIO support for panel investigation 3 357 507

Legal support 4 476 476

Record and transcribe witness interviews 15 1,785 2,535

Submission of required documentation to ORI 80 9,520 13,520

Subtotal 96 440.5 $ 64,781 $ 89,531

   

Total institutional inputs per case     154.5 691   $ 102,115   $ 141,090

Page 19: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

19

Type 1 Type 2Type 2 Type 3 Type 4 TotalCosts

Investigative Costs

+ GrantGrantAwardAward

(s)(s)

+Voluntar

y Exclusio

nAgreem

ent

+ Retraction Cost

= TotalCost

Page 20: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

Frequency of Grant Frequency of Grant Applications Cited in Applications Cited in

Misconduct Findings per Misconduct Findings per Investigator Investigator (n=54)(n=54)

02

46

8

Num

ber

of In

ve

stiga

tors

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Number of Grant Applications

20

Page 21: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Grant Applications

Funding Status

Grant

ApplicationsNumber

% of Total(n=54) Economic Cost

No evidence of funding

31 57.4 -

PI guilty of research misconduct 19

35.2 $5,935,797

Investigator not PI 4 7.4 $5,644,062

Type 2Type 2

Grant Grant Award(s)Award(s)

n=13n=13

21

Page 22: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

22

Type 1 Type 2Type 3Type 3 Type 4 Total

Costs

Investigative Costs

+ GrantAward(

s)

+VoluntarVoluntar

y y ExclusioExclusio

nnAgreemAgreem

entent

+ Retraction Cost

= TotalCost

Page 23: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResultsType 3Type 3

Voluntary Voluntary Exclusion Exclusion

AgreementAgreementn=3n=3

Calculated VEA (n=2)

RIO reported VEA (n=1)

23

Page 24: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResultsType 3Type 3

Voluntary Voluntary Exclusion Exclusion

AgreementAgreement

RIO EstimatedAdministrative Hourly VEA

Case Action Time Input Total Hours Wage Rate Cost

Xiong1 General certification of research activities for 36 months 2 hours/ month for 36 months 72 119$ 8,538$ 2 Formal written apology 1 hour 1 119$ 119 3 Certify publications for 36 months(2002-2004 publication date) 28 publications @ 1 hour/publication 10 119$ 1,186 4 Certify grant applications for 36 months 33 grant aplications @ 1 hour/application 33 119$ 3,913 5 Review of formal essay of publication quality on plagiarism 1 hour 1 119$ 119

13,874$

Padgett1 General certification of research attribution for 36 months 2 hours/ month for 36 months 72 119$ 8,538$ 2 Certify grant reports and applications for 36 months

PI on two R29 2 grants @ 2 reports/ grant @ 1 hour/report 4 119$ 474 PHS funding credit on publication with 2003 publication date 5 grant reports @ 1 hour/report 5 119$ 593

9,605$

24

Page 25: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults Type 3Type 3

VEAVEA

RIO reported VEA – Radolf case

60 month certification period2 full tenured professors4-8 hours per certification60 certifications

$74,880 VEA Cost 25

Page 26: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

26

Type 1 Type 2 Type 3Type 4Type 4 Total

Costs

Investigative Costs

+ GrantAward(s

)

+ Voluntary

Exclusion

Agreement

+RetractiRetraction Coston Cost

= TotalCost

Page 27: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Calculated retraction costsCalculated retraction costs

RIO reported retraction costs RIO reported retraction costs (Poehlman Case)(Poehlman Case)

Type 4Type 4

Retraction Retraction CostsCostsn=7 n=7

27

Page 28: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults Investigator # Articles

RetractedRIO Hourly

WageRetraction

Cost

Duan 2 $169 $ 678

Ruggiero 4 $119 $ 949

Arnold 1 $119 $ 237

Prasad 1 $119 $ 237

Yao 1 $119 $ 237

Gelband 8 $119 $ 1,897

Poehlman 10 110*

$169 $ 3,388$ 24,153

Type 4Type 4

Retraction Retraction CostCost

28*RIO provided

Page 29: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResults

Total Total

Cost

29

Page 30: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

ResultsResultsInvestigator

Type 1

Investigative Cost

Type 2

Grant Award(s)

Type 3

VEA

Type 4

Retraction Cost

Total Cost

Hartzer $ 126,610 - - - $ 126,610

Duan $ 165,585 $ 544,836 - $ 678 $ 711,099

Dreyer $ 165,585 $ - $ - $ - $

165,585

Xiong $ 120,612 $ - $ 13,874 $ - $

134,486

Padgett $ 120,612 $ - $ 9,604 $ - $

130,216

Ruggiero $ 120,612 $ 48,662 $ - $ 949 $

170,223

Pangurangi $ 120,612 $ - $ - $ - $

120,612

Arnold $ 120,612 $ - $ - $ 237 $

120,849

Jacoby $ 159,587 $ 282,332 $ - $ - $

441,919

Prasad $ 120,215 $ 1,254,109 $ - $ 237 $

1,374,561

Yao $ 120,215 $ 106,652 $ - $ 237 $

227,104

Ganz $ 122,975 $ - $ - $ - $

122,975

Radolf $ 187,756 $ 447,190 $ 74,880 $ - $

709,826

Gelband $ 320,860 $ 543,217 $ - $ 1,897 $

865,974

Sultan $ 116,160 $ - $ - $ - $

116,160

Kammer $ 116,225 $ 745,346 $ - $ - $

861,571

Poehlman $ 201,626 $

1,963,453

$ - $ 27,541 $

2,192,620

Total $ 2,526,458 $ 5,935,797

$ 98,358 $ 31,776 $ 8,592,390

30

Page 31: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

DiscussionDiscussion

Economic costs of findings of Economic costs of findings of research misconduct are research misconduct are measureablemeasureable

Research misconduct cost driversResearch misconduct cost drivers Misaligned incentivesMisaligned incentives Downstream costsDownstream costs

31

Page 32: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

DiscussionDiscussion Economic costs of findings of research misconduct Economic costs of findings of research misconduct

are measureableare measureableRank

Investigator(Case) MD/PhD Year

MisconductType Total Cost

Professor(N= 4)

KammerPoehlmanRadolfPrasad

MDPhDMDPhD

2005200520032002

Fabrication/FalsificationFabrication/FalsificationFabrication/FalsificationFabrication/Falsification

$ 709,826$ 861,571$ 1,374,561$ 2,192,620

AssociateProfessor(N=5)

GelbandYaoDreyerHartzerGanz

PhDMD/PhDMD/PhD

PhDMD

20032002200020002002

FalsificationFalsificationFabrication/FalsificationFalsificationFabrication/Falsification

$ 122,975$ 126,610$ 165,585$ 277,104$ 865,974

AssistantProfessor(N=7)

XiongRuggieroPandurangiSultanDuanArnoldPadgett

PhDPhDPhD

MD/PhDMDPhDPhD

2001200120012004200020012001

Fabrication/PlagiarismFabricationFalsification/PlagiarismFalsification/PlagiarismFalsificationFabrication/FalsificationPlagiarism

$ 116,160$ 120,612$ 120,849$ 130,216$ 134,486$ 170,223$ 711,099

Instructor(N=1)

Jacoby MD/PhD 2001 Falsification/Plagiarism $ 441,919

32

Page 33: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

DiscussionDiscussion

Investigative Costs Grant Award VEA Retraction Cost

Repeated misconduct Repeated misconduct Admission of misconduct

Repeated misconduct

Complexity of grant specific aims

Discovery date of misconduct Concurrent with grant application process Pre-award Concurrent with active grant period Post grant project period expiration

Tenure status

NIH award type Career development award (K series) Research training/fellowships (T/F series) Research grants (R series) Program project & center grants (P series)

Research misconduct cost drivers

33

Page 34: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

DiscussionDiscussion Misaligned incentivesMisaligned incentives

Deterrence theoryDeterrence theory Expenditures to deter misconduct determine Expenditures to deter misconduct determine

probability of discovery probability of discovery Misconduct detection costs have been Misconduct detection costs have been

unmeasuredunmeasured Unfunded mandateUnfunded mandate Unmeasured prevention costs Unmeasured prevention costs

PunishmentPunishment Inconsistent, uncertainInconsistent, uncertain Research institutions have Research institutions have

responsibility for detection but bear responsibility for detection but bear little risklittle risk

34

Page 35: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

DiscussionDiscussion

Citation Maps Retracted Articles by Duan..

Original Article

Most frequently-cited articles

Article A cites Article B

Downstream costs Duan case13 publications acknowledge $ 7,314,689 total grant funding

35

Page 36: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

LimitationsLimitations

Study measures only one category of Study measures only one category of research misconductresearch misconduct

Research misconduct unmeasured ifResearch misconduct unmeasured if UndetectedUndetected UnreportedUnreported

36

Page 37: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

LimitationsLimitations

No processes in place to document, estimate No processes in place to document, estimate or measure costs associated with research or measure costs associated with research misconductmisconduct Economic cost model relies heavily on Economic cost model relies heavily on

assumptionsassumptions Cost categories not consideredCost categories not considered

Value of a ruined careerValue of a ruined career Findings of misconduct attributable to non faculty Findings of misconduct attributable to non faculty Responsible Conduct of Research program costsResponsible Conduct of Research program costs Impact of flawed evidence base on public healthImpact of flawed evidence base on public health

37

Page 38: Elizabeth Gammon,  Ph.D , CPA; Luisa  Franzini , PhD; Stephen Linder, PhD; Jacquelyn  Slomka , PhD

QuestionsQuestions

38