Research Misconduct

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Research Misconduct and Social Control Douglas
Adams, Ph.D. University of Arkansas Kenneth D.
Pimple, Ph.D. Poynter Center Indiana University
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I. Introduction Goal To apply theories,
concepts, methodologies, and empirical data from
the discipline of Criminology and Criminal
Justice to the phenomena of Research
Misconduct. Objectives 1. ESTABLISH
Equivalence of the Dependent Variable 2. APPLY
Social Control Concepts to Research Misconduct 3.
EXPLORE Policy and Pedagogical Implications
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THE DISCIPLINE OF CRIMINOLOGY - CRIMINOLOGY -
DEVIANCE - CRIMINAL JUSTICE
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CRIMINOLOGY - NATURE (ESSENCE OF) - EXTENT
(DISTRIBUTION, PREVALENCE AND MAGNITUDE) -
CAUSE (THEORIES) - CONTROL (DETERRENCE AND
PUBLIC POLICY) - INFORMAL SOCIAL CONTROL EMPHASIS
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DEVIANCE - VIOLATION OF SOCIAL NORMS -
QUANTITATIVE DEVIATION FROM SOCIAL MEAN
(UNCOMMON BEHAVIOR)
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• CRIMINAL JUSTICE( Police Science)
• STUDY OF FORMAL SOCIAL CONTROL
• - FOCUS ON COPS, COURTS, AND CORRECTIONS
• - EMPHASIS ON FORMAL CONTROL MECHANISMS

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CRIMINOLOGY APPLIED TO RESEARCH MISCONDUCT -
NATURE (ESSENCE OF, AND DEFINITIONS OF RM) -
CAUSE (OPPORTUNITY, NEED, GREED, CULTURE) -
CONTROL (DETER, DETECT and SANCTION)
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II. Equivalence of the Dependent Variable -
Research Misconduct is... - Crime is... -
Research Misconduct - is Crime - is White
Collar Crime
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RESEARCH MISCONDUCT IS DEFINED AS... FABRICATION,
FALSIFICATION, OR PLAGIARISM IN PROPOSING,
PERFORMING, OR REVIEWING RESEARCH, OR IN
REPORTING RESULTS
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• CRIME IS
• - A VIOLATION OF CRIMINAL LAW
• THE USE OF FORCE OR FRAUD IN THE PURSUIT
• OF SELF-INTEREST

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CRIME IS A VIOLATION OF CRIMINAL LAW From a
legalistic view, crime is defined
as ...behavior in violation of the criminal
law... (Sutherland and Cressey,19608)
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CRIME IS THE USE OF FORCE OR FRAUD IN PURSUIT OF
SELF INTEREST From a generalist view, crime is
defined as ...acts of force or fraud
undertaken in pursuit of self-interest. (Gottf
redson and Hirschi, 1990 15)
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Force is both actual, as well as
implied. Using "force" is the use of an
individual's "power" in order to compel another
to do something they are resistant or unwilling
to do otherwise. In a dominant-subordinate
relationship, "force" is used when the dominant
individual uses power to compel a subordinate to
comply. Fraud is deception, both overt and
covert
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RESEARCH MISCONDUCT (AS A FORM OF CRIME) - IS A
VIOLATION OF ESTABLISHED POLICIES AND
PRINCIPLES (LAWS) - POLICIES / PRINCIPLES ARE
DEFINED BY A LEGITIMATED ENTITY (i.e.. org.
edu gov)
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RESEARCH MISCONDUCT (AS A FORM OF CRIME) -
INCLUDES THE USE OF FORCE (THREATS,
EXPLOITATION OF RELATIONSHIPS) Force (real or
implicit) used to induct silence of
subordinates - INCLUDES FRAUD
(DECEPTION) Fraud could be perceived as FFP
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WHITE COLLAR CRIME (STANDARD DEFINTION) -
ILLEGAL OR UNETHICAL ACTS - VIOLATION OF PUBLIC
TRUST - A PART OF LEGITIMATE JOB ACTIVITY - BY
PERSONS OF RESPECTABLE STATUS - FOR PERSONAL OR
ORGANIZATIONAL GAIN
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WHITE COLLAR CRIME and RESEARCH
MISCONDUCT Crime of specialized access a
criminal act committed by abusing ones job or
profession to gain specific access to a crime
target. (Felson, 2002) - BEHAVIOR OCCURS IN
AUTHORIZED SETTING - BEHAVIOR (SKILL SET) IS
SIMILAR FOR BOTH MISCONDUCT AND LEGITIMATE
ACTIVITY
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III. Social Control and Research
Misconduct SOCIAL CONTROL... IS A SYSTEMATIC
SET OF BELIEFS AND PRACTICES, CARRIED OUT WITHIN
SOCIAL GROUPS, IN ORDER TO ENCOURAGE CONFORMITY
AND REDUCE DEVIANCE OF INDIVIDUAL MEMBERS, AS
WELL AS THE GROUP. CONTROL IS ACCOMPLISHED
THROUGH DETERRANCE, DETECTION and SANCTIONS
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SOCIAL CONTROL INTERNAL PROPENSITY EXTERNAL
OPPORTUNITY
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PROPENSITY INTERNAL SOCIAL CONTROL Propensity
represents any and all internal psychological
conditions that influence individual choices,
including but not limited to self-control,
processes of logic and/or rational calculation,
and values, beliefs or preferences
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PROPENSITY INTERNAL SOCIAL CONTROL Propensity
represents any and all internal psychological
conditions that influence individual choices,
including but not limited to self-control,
processes of logic and/or rational calculation,
and values, beliefs or preferences Discussion
of propensity will be limited to how it
influences opportunity and/or social control
processes
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OPPORTUNITY EXTERNAL SOCIAL CONTROL Opportunity
includes any and all external conditions that
stimulate motivation and/or facilitate or inhibit
the enactment of individual choices
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OPPORTUNITY EXTERNAL SOCIAL CONTROL Opportunity
includes any and all external conditions that
stimulate motivation and/or facilitate or inhibit
the enactment of individual choices Adams and
Pimple (2005) conceptualize opportunity for
specific acts of research misconduct using
Felsons (2002) Routine Activity Theory
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OPPORTUNITY EXTERNAL SOCIAL CONTROL Opportunity
includes any and all external conditions that
stimulate motivation and/or facilitate the
enactment of individual choices Adams and
Pimple (2005) conceptualize opportunity for
research misconduct using Felsons (2002) Routine
Activity Theory Today, we will explore, in
general, how mechanisms of formal and informal
social control affect opportunity
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EXTERNAL SOCIAL CONTROL CARRIED OUT
THROUGH FORMAL - RULES, AND THEIR
ENFORCEMENT INFORMAL INTERACTION FREQUENCY,
EMERGENT NORMS AND GROUP PRESSURE TO CONFORM
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FORMAL SOCIAL CONTROL - Police, Courts,
Correction Institutions, and / or any other
authoritative entity (i.e. research
organization). - Research Settings Formal
agents of control include ORI - Research
Integrity Officers IRB members - Very low
interaction ratio (formal agents population) -
Infrequent contact between formal agents and
others (usually related to reporting /
enactment of misconduct)
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FORMAL SOCIAL CONTROL - Overall, only about 40
(more or less) of all misconduct known to
agents of social control - Serious more
awareness Trivial less awareness - Reluctance
to report misconduct - by peers / associates
less reports - by strangers more reports -
Due Process carried out by formal agents /
organizations - Sanctions carried out by formal
agents / organizations
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INFORMAL SOCIAL CONTROL - Family, Friends,
Co-workers, Associative relationships -
Research Settings Informal agents of control
include Faculty Researchers Post Docs
Grad Students - High interaction ratio (informal
agents population) - Frequent (ubiquitous)
contact between informal agents
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INFORMAL SOCIAL CONTROL - Much more than 40 of
violations are probably known, but not
reported to formal agents - Due process (if any)
would be informal by peers - Sanctions (if any)
would be informal by peers
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FOR BOTH FORMAL AND INFORMAL SOCIAL CONTROL
BEHAVIORAL COMPLIANCE IS THE RESULT
OF DETERRANCE - Formal - Fear - Informal -
Conformity Pressure DETECTION - Formal -
Increased Surveillance - Informal - Increased
Social Interaction SANCTIONS - Formal- Severity
of, Public Awareness - Informal - Shamed by
group
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CAUSES OF MISCONDUCT (WHITE COLLAR
CRIME), RESEARCH MISCONDUCT, AND DETERRANCE
THROUGH SOCIAL CONTROL PROCESSSES - NEEDY -
GREEDY - ORGANIZATIONAL CULTURE
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NEEDY - NON-SHAREABLE PROBLEM - IN GENERAL,
FINANCIAL / OTHER PRESSURE - EXAMPLE - NEED
Ph.D. FOR JOB, OR A PEER-REVIEWED PUBLICATON
FOR TENURE
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NEEDY - NON-SHAREABLE PROBLEM - FORMAL -
REMIND RESEARCHER OF SANCTION SEVERITY IN ORDER
TO AFFECT RATIONAL- CALCULATION DECISION
PROCESS - INFORMAL PROBLEM IS SHARED BY
RESEARCH GROUP MEMBERS, CO-AUTHORS I.E.
COLLABORATIVE PROCESSES ENCOURAGED
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GREEDY - EXCESSIVE DRIVE TO IMPROVE CAREER
STATUS, SATISFY EGO, FINANCIAL GAIN - EXAMPLE
AMBITIOUS RESEARCHER SUBMITS FRADULENT FUNDING
GRANT APPLICANT
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GREEDY - EXCESSIVE DRIVE TO IMPROVE CAREER
STATUS, SATISFY EGO, FINANCIAL GAIN - FORMAL -
REMIND RESEARCHER OF SANCTION SEVERITY IN ORDER
TO AFFECT RATIONAL- CALCULATION DECISION
PROCESS - INFORMAL FREQUENT SOCIAL
INTERACTION CREATES CONFORMITY PRESSURE THAT
MAY CURTAIL / INHIBIT EXCESSIVE AMBITION
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ORGANIZATIONAL CULTURE A BLEND OF EXCESSIVE
CAREER PRESSURES AND AN ORGANIZATIONAL
ENVIRONMENT THAT IS TOLERANCE OF RESEARCH
MISCONDUCT - EXAMPLE RESEARCHER EMBEDDED IN
SETTING THAT APPERS TO BE TOLERANT OF
MISCONDUCT
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ORGANIZATIONAL CULTURE A BLEND OF EXCESSIVE
CAREER PRESSURES AND AN ORGANIZATIONAL
ENVIRONMENT THAT IS TOLERANCE OF RESEARCH
MISCONDUCT - FORMAL - REMIND RESEARCHER OF
SANCTION SEVERITY TO AFFECT RATIONAL-CALCULATION
DECISION PROCESS. ZERO-TOLERANCE. - INFORMAL
RCR VALUES AND NORMS ARE COMMUNICATED AND
REENFORCED THROUGH FREQUENT GROUP INTERACTION
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IV. Policy and Pedagogical Implications a. 1960
-1970 Research Revolution in policing - Shift
from Zero-Tolerance, Problem-oriented policing
to Community Policing (integrates formal /
informal) - Zero Tolerance - Re-establish
lawful environment - Aggressive response
to ALL misconduct - Creates hostility
from the lawful - Problem-oriented - Specific
misconduct events addressed - Formal
Agents are viewed as outsiders by the
research community
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- Community Policing - Build / Maintain
partnership between Formal and Informal agents
of control - Shift in emphasis from enforcement
to deterrence - Results in reduction of fear of
police (formal agents) - Police / Citizens are
Co-Producers of Deterrence
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IV. Policy and Pedagogical Implications b.
Research Environment will continue to grow
larger, more diverse, more transient, more
decentralized. - Diverse environment reduces
Informal Social Control without intervention
to rebuild / maintain social bonds.
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Formal Social Control - To improve increase
rules / surveillance / sanctions Informal
Social Control - To improve increase social
interaction between research community members
- Management Practices may reduce misconduct -
Training with Interaction emphasis may deter /
detect
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FORMAL SOCIAL CONTROL OPTIONS - MORE RULES and
their STRICT ENFORCEMENT - ENHANCE REPORTING
REDUCE BARRIERS - RANDOM AUDITS OF RESEARCH -
MANDATORY REPORTING OF MISCONDUCT - INCREASED
MONITORING OF RESEARCHER BEHAVIOR USING
SURVILLANCE TECHNOLOGY
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INFORMAL SOCIAL CONTROL OPTIONS - PAIRED
RESEARCH OF MENTOR/SUBORDINATES - REGULAR
MEETINGS OF RESERCH GROUP IN ORDER TO DISCUSS
DATA / ANALYSIS - SPAN OF CONTROL RATIO OF 18
OR LOWER BETWEEN P.I AND SUBORDINATES -
INFORMAL, EARLY INTEVENTION BY MENTOR (could be
supplemented with EI system)
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INFORMAL SOCIAL CONTROL OPTIONS - RCR TRAINING
WITH INTERACTION EMPHASIS (in contrast to
CPU-based instruction. i.e. CITI) - TRAINING
SHOULD OCCUR IN SMALL GROUPS WITH OTHERS FROM
SIMILAR DISCIPLINES - TRAINING SHOULD BE AS
SOCIAL AND AS INTERACTIVE AS POSSIBLE IN
ORDER TO DEVELOP AND MAINTAIN SOCIAL LINKS
BETWEEN COMMUNITY MEMBERS.
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CLOSING COMMENTS Its good to teach right from
wrong, but you cannot really expect other people
to do what you tell them when you arent
watching. On the other hand, morals do play a
role in society. Each of us knows the rules and
the fact that someone might punish us or turn us
in for violating them. Morals give Joe a license
to watch Peter and Peter a license to watch
Joe. (Felson, 200215)