FAQ on procedures in cases of alleged research misconduct

How is it possible to ensure that the entire investigation procedure is carried out as promptly as possible?

Established measures include:

  • Setting clear deadlines
  • Settting up a transparent process regarding the sequence of procedural steps, including the required time frame
  • The more severe the accusation, the longer the proceedings can take.

Is every violation of the principles of good research practice automatically a case of research misconduct?

Not every violation or breach of the rules of good research practice constitutes research misconduct. Only those intentional or grossly negligent violations that are described as offences in an institution’s rules and regulations can be considered to be cases of research misconduct.

Should ombudspersons and/or commissions process anonymous complaints?

The explanatory notes on Guideline 18(interner Link) state the following:

HEIs and non-HEI research institutions are responsible for deciding whether to investigate anonymous allegations. Disclosures made anonymously can only be investigated if the complainant provides the party investigating the allegation with solid and sufficiently concrete facts.

The DFG Rules of Procedure for Dealing with Scientific Misconduct (VerfOwF) stipulate that anonymous disclosures are to be reviewed, see item III.1.a).

Anonymous disclosures are often the only way to make accusations, especially in connection with professional dependency relationships.

Guideline 6 of the Code of Conduct explicitly limits an ombudsperson’s term of office. Does this regulation apply to members of investigating committees, too?

This would be possible and reflect the fundamental notion of avoiding dependency relationships; it is not a mandatory requirement under the Code, however. 

Who do I contact with regard to matters of good research practice or if I suspect research misconduct? What should I consider when making an allegation? What might a typical review of such a suspected case look like?

These and other questions are answered by the Procedural Guide to Good Research Practice(externer Link) (in German only).