linda mason, ed.d. coordinator for grantwriting and external funding technical assistance oklahoma...

Linda Mason, Ed.D.Linda Mason, Ed.D.Coordinator for Grantwriting and External Coordinator for Grantwriting and External

Funding Technical AssistanceFunding Technical Assistance

Oklahoma State Regents for Oklahoma State Regents for Higher EducationHigher Education

[email protected]@osrhe.edu

www.okhighered.org/grant-opps/www.okhighered.org/grant-opps/

IP: 164.58.250.178IP: 164.58.250.178

ETHICS IN RESEARCHETHICS IN RESEARCHIn general terms, responsible conduct in research In general terms, responsible conduct in research is simply good citizenship applied to professional is simply good citizenship applied to professional life. life. Researchers who report their workResearchers who report their work

HonestlyHonestlyAccuratelyAccuratelyEfficientlyEfficientlyObjectivelyObjectively

Irresponsible, or unethical conduct includes:Irresponsible, or unethical conduct includes:Knowingly reporting inaccurate resultsKnowingly reporting inaccurate resultsWasting fundsWasting fundsAllows personal bias to influence scientific Allows personal bias to influence scientific findings findings

UNETHICAL CONDUCTUNETHICAL CONDUCT

Irresponsible, or unethical conduct Irresponsible, or unethical conduct includes:includes:

Knowingly reporting inaccurate resultsKnowingly reporting inaccurate results

Wasting fundsWasting funds

Allows personal bias to influence Allows personal bias to influence scientific findings scientific findings

ETHICS IN RESEARCHETHICS IN RESEARCH

Principle InvestigatorPrinciple Investigator–Truth in follow-throughTruth in follow-through

What are the broader impacts? What are the broader impacts?

Are undergraduate students involved? Are undergraduate students involved? Are K-12 students involved? Are K-12 students involved? K-12 teachers? K-12 teachers? Are underrepresented staff or students Are underrepresented staff or students involved? involved? Is your local community involved? Is your local community involved? Are there statewide, national or international Are there statewide, national or international collaborations?collaborations?

What is the intellectual merit of the What is the intellectual merit of the proposed activity?proposed activity?

How important is the proposed activity to How important is the proposed activity to advancing knowledge and understanding advancing knowledge and understanding within its own field or across different within its own field or across different fields? fields?

How well qualified is the proposer? How well qualified is the proposer? Does the proposed activity suggest and Does the proposed activity suggest and

explore creative and original concepts? explore creative and original concepts? How well conceived and organized is the How well conceived and organized is the proposed activity? proposed activity?

Is there sufficient access to resources? Is there sufficient access to resources?

ETHICS IN RESEARCHETHICS IN RESEARCH

Research is not an organized profession in Research is not an organized profession in the same way as law or medicines.the same way as law or medicines.

Researchers learn best practices in a Researchers learn best practices in a number of ways and in different settings.number of ways and in different settings.

Norms varyNorms vary

Local, state and Federal regulationsLocal, state and Federal regulations

Shared ValuesShared ValuesHonesty – conveying information truthfully Honesty – conveying information truthfully and honoring commitments (15%)and honoring commitments (15%)

Accuracy – reporting findings precisely and Accuracy – reporting findings precisely and taking care to avoid errors (30%)taking care to avoid errors (30%)

Efficiency – using resources wisely and Efficiency – using resources wisely and avoiding time wasteavoiding time waste

Objectivity – letting the facts speak for Objectivity – letting the facts speak for themselves and avoiding improper biasthemselves and avoiding improper bias

GuidanceGuidanceNot like obtaining a driver’s licenseNot like obtaining a driver’s license

Some laws and policiesSome laws and policies

Other codes and guidelines Other codes and guidelines

Some responsible practices accepted but Some responsible practices accepted but not written – mentoring, not monitored or not written – mentoring, not monitored or testedtested

Penalties varyPenalties vary

Guidance:Guidance:Professional codesProfessional codes

Government regulationsGovernment regulations

Institutional policiesInstitutional policies

Personal convictionsPersonal convictions

Professional CodesProfessional Codes Many professional organizations do have Many professional organizations do have

a code of ethics.a code of ethics.

Many are general statements about ideals Many are general statements about ideals and do not contain specific guidance.and do not contain specific guidance.

Code ResourcesCode ResourcesSigma Xi. Sigma Xi. Honor in Science Honor in Science

http://www.sigmaxi.org/publicationshttp://www.sigmaxi.org/publications

National Academy of Sciences. National Academy of Sciences. On Being a On Being a Scientist: Responsible Conduct in ResearchScientist: Responsible Conduct in Research

http://www.nap.edu/redingroom/books/obas/http://www.nap.edu/redingroom/books/obas/

National Institutes of Health. National Institutes of Health. Guidelines for the Guidelines for the Conduct of Research in the Intramural Research Conduct of Research in the Intramural Research Programs at NIKPrograms at NIK

http://www.nih.gov/campus/irnews/guidelines.htmhttp://www.nih.gov/campus/irnews/guidelines.htm

Code ResourcesCode Resources– Institute of Medicine. Institute of Medicine. The Responsible The Responsible

Conduct of Research in the Health Conduct of Research in the Health SciencesSciences

http://www.nap.edu/books/http://www.nap.edu/books/0309062373/html/0309062373/html/

American Chemical SocietyAmerican Chemical SocietyThe Chemist’s Code of Conduct, 1994The Chemist’s Code of Conduct, 1994

The publicThe public

Chemists have a professional responsibility Chemists have a professional responsibility to serve the public interest and welfare and to serve the public interest and welfare and to further knowledge of science.to further knowledge of science.


The Science of ChemistryThe Science of Chemistry

Chemists should seek to advance chemical Chemists should seek to advance chemical science, understand the limitations of their science, understand the limitations of their knowledge, and respect the truth.knowledge, and respect the truth.


The ProfessionThe ProfessionChemists should remain current with Chemists should remain current with developments in their field, share ideas and developments in their field, share ideas and information, keep accurate and complete information, keep accurate and complete laboratory records, maintain integrity in all laboratory records, maintain integrity in all conduct and publications, and give due credit to conduct and publications, and give due credit to the contributions of others. Conflicts of interest the contributions of others. Conflicts of interest and scientific misconduct, such as fabrication, and scientific misconduct, such as fabrication, falsification, and plagiarism, are incompatible falsification, and plagiarism, are incompatible with this Code.with this Code.

American Chemical SocietyAmerican Chemical Society

The Chemist’s Code of Conduct, The Chemist’s Code of Conduct, 19941994

The Employer The Employer

Chemists should promote and protect the Chemists should promote and protect the legitimate interests of their employers, legitimate interests of their employers, perform work honestly and competently, perform work honestly and competently, fulfill obligations, and safeguard propriety fulfill obligations, and safeguard propriety information.information.


The Chemist’s Code of Conduct, 1994The Chemist’s Code of Conduct, 1994

EmployeesEmployees

Chemists, as employers, should treat Chemists, as employers, should treat subordinates with respect for their subordinates with respect for their professionalism and concern for their well-professionalism and concern for their well-being.being.



StudentsStudents

Chemists should regard the tutelage of Chemists should regard the tutelage of students as a trust conferred by society for students as a trust conferred by society for the promotion of the student’s learning and the promotion of the student’s learning and professional professional development.development.



AssociatesAssociates

Chemists should treat associates with Chemists should treat associates with respect, regardless of the level of their respect, regardless of the level of their formal education, encourage them, learn formal education, encourage them, learn with them, share ideas honestly, and give with them, share ideas honestly, and give credit for their contributions.credit for their contributions.

Government RegulationsGovernment RegulationsThe 1966 Animal Welfare Act (PL 89-544)The 1966 Animal Welfare Act (PL 89-544)

The 1974 National Research Act (PL 93-348)The 1974 National Research Act (PL 93-348)

The 1985 Health Research Extension Act (PL 99-The 1985 Health Research Extension Act (PL 99-158)158)

– Office of Scientific Integrity Review (OSIR)Office of Scientific Integrity Review (OSIR)

Federal Administrative Procedure Act (5 USC 551-Federal Administrative Procedure Act (5 USC 551-702) (establishing new regulations) 702) (establishing new regulations) http://wwwgpoaccess.gov/fr/index.htmlhttp://wwwgpoaccess.gov/fr/index.html

Executive Branch Agencies – NIH “Training Grant Executive Branch Agencies – NIH “Training Grant Requirement” 1989; “Required Education in the Requirement” 1989; “Required Education in the Protection of Human Research Participants” 1974Protection of Human Research Participants” 1974

““Common Rule” (45 CFR 46A-D)Common Rule” (45 CFR 46A-D)

Institutional PoliciesInstitutional PoliciesRequired by law to have policies that cover Required by law to have policies that cover various aspect of research programs if they various aspect of research programs if they accept Federal fundsaccept Federal fundsCommittees of review Committees of review Procedures for investigating and reporting Procedures for investigating and reporting misconductmisconductApprove and mange all grant budgetsApprove and mange all grant budgetsEnsure that safety rules are followedEnsure that safety rules are followedFollow established practices for use of Follow established practices for use of hazardous substanceshazardous substancesProvide training for researchers who use animal Provide training for researchers who use animal or human participants or human participants

Institutional PoliciesInstitutional PoliciesWebsite informationWebsite information

Copies of institutional research policies writtenCopies of institutional research policies written

Links to state and Federal policiesLinks to state and Federal policies

Required forms and instructions for completionRequired forms and instructions for completion

Responsible conduct training programsResponsible conduct training programs

Lists of key resource personnelLists of key resource personnel

Institutional PoliciesInstitutional PoliciesMisconductMisconduct

Establish definitions for misconduct in grant projectsEstablish definitions for misconduct in grant projects

Outline procedures for reporting and investigating Outline procedures for reporting and investigating misconductmisconduct

Provide protection for whistleblowers and persons Provide protection for whistleblowers and persons accused of misconductaccused of misconduct

Federal Policy on MisconductFederal Policy on Misconduct

http://www.ostp.gov/html/001207_3.htmlhttp://www.ostp.gov/html/001207_3.html

Personal ConvictionsPersonal ConvictionsWritten convictionsWritten convictions

Peer reviewPeer review

Subject-matter expert reviewSubject-matter expert review

Personal value expert reviewPersonal value expert review

Ethics should be a Ethics should be a regularregular discussion on discussion on campuses, in departments, with peers, campuses, in departments, with peers, with experts, with a free flow of informationwith experts, with a free flow of information——

ESPECIALLY with PUI’S for ESPECIALLY with PUI’S for which research is an emerging which research is an emerging

field.field.

Introduction to the Responsible Introduction to the Responsible Conduct of ResearchConduct of Research

By Nicholas H. SteneckBy Nicholas H. Steneck

Published by Office of Research Published by Office of Research Integrity, 2004Integrity, 2004

[email protected]@osophs.dhhs.gov

linda mason, ed.d. coordinator for grantwriting and external funding technical assistance oklahoma...

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