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October 2012
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Conduct Matters

Retrieving the evidence

Keeping track of records keeps researchers on track.

I am a principal investigator (PI) trying to complete a manuscript using data produced by a postdoc in my lab who is departing after two years. During his time in my lab, I thought everything was going fine – he was running experiments and reporting successful outcomes. Because he came from another lab at Hopkins and had already authored several papers, I assumed he knew how to keep proper records of his experiments and I saw no reason to review his lab notebooks. Now that he is departing, I’ve discovered that his records are horrendous! His films are unmarked and scattered everywhere, and there are no lab notebooks anywhere! His samples in the freezer are also in disarray. I repeatedly asked him to show me the records of his experimental results and he responded simply that the experiments were done and they worked. I fear that over two years of work may be wasted because of his lack of attention to record keeping. What should I do?

There are two teachable moments in the scenario you present. First, proper documentation of research is essential. Second, as PI and mentor of a postdoc, you are responsible for providing guidance and supervision in all aspects of research and ensuring that lab members are familiar with responsible conduct of research standards.

As stated in the SOM Rules and Guidelines for the Responsible Conduct of Research, “The retention of accurately recorded results is of utmost importance for the progress of scientific research. Researchers spend a good deal of their time collecting data; original laboratory data must be retrievable not only to answer scientific questions, but also to respond to questions that may arise about the propriety of research conduct. Data are used to confirm or reject hypotheses, to identify new areas of investigation, to frame the development of new techniques and more. Errors may be mistakenly characterized as misconduct when the primary experimental results are unavailable. Moreover, a common denominator in most cases of alleged research fraud has been the absence of a complete set of verifiable data.”

It may seem obvious that all researchers should know they must keep organized records of their experiments, but unfortunately, it is not uncommon for there to be inadequate or even nonexistent documentation. As head of a lab, you need to remember that although postdocs have received their degrees, they are still “trainees” who rely on their PIs to model and set expectations for responsible conduct of research. The SOM Rules and Guidelines for the Responsible Conduct of Research state, “Within a research unit, responsibility for supervision of each student, fellow, or other (non-faculty) member must be assigned to a specific faculty member. For individual research projects, supervision should be carried out by the responsible investigator … The preceptor should supervise the design of experiments and the processes of acquiring, recording, examining, interpreting, and storing data.” Both faculty and postdocs are expected to follow the SOM guidelines that promote the responsible and ethical conduct of research.

As for your question about what to do now, you cannot publish the data until you replicate the results and the experiments are properly recorded.

Complete information on RCR guidelines and related policies can be found on the OPC website: http://www.hopkinsmedicine.org/Research/OPC/Policies_Regulations/

 
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