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Protecting unpublished work

Duke Chapel with blooming cherry blossoms in the foreground

A faculty who runs a research lab and has an established career in a preeminent research specialty is frequently called upon to review both research award submissions and scientific or medical article submissions by funding organizations and publications. The faculty feels a strong obligation to mentor their junior colleagues, students and postdocs by providing them with exposure to various scientific approaches and methodologies.

When the faculty receives an invitation to review unpublished or unfunded research, they often share these materials with their lab members and junior colleagues. One of these individuals reaches out through the Duke Speak Up program to inquire about this practice. The individual reporting the concern is uncomfortable with this practice of sharing unpublished or unfunded materials.

Duke’s Values in Action

Duke Valus in Action: Data Protection, Privacy and Confidentiality

Duke faculty, staff, students, patients, collaborators and research subjects entrust us with their personal and confidential information.  We balance the free exchange of information with the need to protect sensitive or regulated information and to ensure information is available for authorized use.

Relevant Policies:
Research Policy Manual
Faculty Handbook



Resources:
Duke Office of Scientific Integrity
My Research Path
Duke Speak Up Program

Fact finding and intervention:

After reviewing the concern, the following details are determined:

  • When faculty receive requests to review manuscripts or research applications, there is an accompanying nondisclosure agreement or confidential disclosure agreement with expectations regarding securing the contents of the item being reviewed. In most cases, preapproval should be obtained to share the contents.
  • Per Chapter 5 of the Research Policy Manual, faculty must adhere to all University, regulatory, sponsor, and provider requirements regarding the sharing of research data and outputs.
  • Per Chapter 3 of the Research Policy Manual, there is a responsibility to maintain a climate of trust. Integrity of research forms the foundation of respect among scholars and students and between the academic world and the public.
  • The Duke Office of Scientific Integrity (DOSI) contacts both the faculty and the department to discuss this.

Resolution and action plan:

  • DOSI and the department chair meet with the faculty to go over expectations to follow guidelines indicated in the Research Policy Manual and by sponsors or publications with respect to protecting research information and data, whether generated at Duke or elsewhere.
  • The faculty is reminded of reputational risk and is encouraged to seek preapproval from sponsors or publications prior to sharing any unpublished work they are reviewing.
  • The department chair and the Director for Graduate Research (DGS) meet with the lab members to go over best practices related to protecting information contained in manuscript or research applications.
  • The chair adds this to their agenda for the planned annual faculty retreat.

*This vignette is loosely based on real cases received through Duke’s Speak Up program and/or other investigatory offices.  Creative license was taken to protect the identities of those involved.*