Linda Mason, Ed.D.
Coordinator for Grantwriting and External
Funding Technical Assistance
Oklahoma State Regents for
Higher Education
lmason@osrhe.edu
www.okhighered.org/grant-opps/
IP: 164.58.250.178
ETHICS IN RESEARCH
In general terms, responsible conduct in
research is simply good citizenship applied to
professional life.
Researchers who report their work
Honestly
Accurately
Efficiently
Objectively
Irresponsible, or unethical conduct includes:
Knowingly reporting inaccurate results
Wasting funds
Allows personal bias to influence scientific
findings
UNETHICAL CONDUCT
Irresponsible, or unethical conduct
includes:
Knowingly reporting inaccurate results
Wasting funds
Allows personal bias to influence
scientific findings
ETHICS IN RESEARCH
Principle Investigator
–Truth in follow-through
What are the broader impacts?
Are undergraduate students involved?
Are K-12 students involved?
K-12 teachers?
Are underrepresented staff or students
involved?
Is your local community involved?
Are there statewide, national or international
collaborations?
What is the intellectual merit of the
proposed activity?
How important is the proposed activity to
advancing knowledge and understanding
within its own field or across different
fields?
How well qualified is the proposer?
Does the proposed activity suggest and
explore creative and original concepts?
How well conceived and organized is the
proposed activity?
Is there sufficient access to resources?
ETHICS IN RESEARCH
Research is not an organized profession in
the same way as law or medicines.
Researchers learn best practices in a
number of ways and in different settings.
Norms vary
Local, state and Federal regulations
Shared Values
Honesty – conveying information truthfully
and honoring commitments (15%)
Accuracy – reporting findings precisely and
taking care to avoid errors (30%)
Efficiency – using resources wisely and
avoiding time waste
Objectivity – letting the facts speak for
themselves and avoiding improper bias
Guidance
Not like obtaining a driver’s license
Some laws and policies
Other codes and guidelines
Some responsible practices accepted but
not written – mentoring, not monitored or
tested
Penalties vary
Guidance:
Professional codes
Government regulations
Institutional policies
Personal convictions
Professional Codes
Many professional organizations do have
a code of ethics.
Many are general statements about ideals
and do not contain specific guidance.
Code Resources
Sigma Xi. Honor in Science
http://www.sigmaxi.org/publications
National Academy of Sciences. On Being a
Scientist: Responsible Conduct in Research
http://www.nap.edu/redingroom/books/obas/
National Institutes of Health. Guidelines for the
Conduct of Research in the Intramural Research
Programs at NIK
http://www.nih.gov/campus/irnews/guidelines.htm
Code Resources
– Institute of Medicine. The Responsible
Conduct of Research in the Health
Sciences
http://www.nap.edu/books/0309062373/h
tml/
American Chemical Society
The Chemist’s Code of Conduct, 1994
The public
Chemists have a professional responsibility
to serve the public interest and welfare and
to further knowledge of science.
American Chemical Society
The Chemist’s Code of Conduct, 1994
The Science of Chemistry
Chemists should seek to advance chemical
science, understand the limitations of their
knowledge, and respect the truth.
American Chemical Society
The Chemist’s Code of Conduct, 1994
The Profession
Chemists should remain current with
developments in their field, share ideas and
information, keep accurate and complete
laboratory records, maintain integrity in all
conduct and publications, and give due credit to
the contributions of others. Conflicts of interest
and scientific misconduct, such as fabrication,
falsification, and plagiarism, are incompatible
with this Code.
American Chemical Society
The Chemist’s Code of Conduct,
1994
The Employer
Chemists should promote and protect the
legitimate interests of their employers,
perform work honestly and competently,
fulfill obligations, and safeguard propriety
information.
American Chemical Society
The Chemist’s Code of Conduct, 1994
Employees
Chemists, as employers, should treat
subordinates with respect for their
professionalism and concern for their wellbeing.
American Chemical Society
The Chemist’s Code of Conduct, 1994
Students
Chemists should regard the tutelage of
students as a trust conferred by society for
the promotion of the student’s learning and
professional development.
American Chemical Society
The Chemist’s Code of Conduct, 1994
Associates
Chemists should treat associates with
respect, regardless of the level of their
formal education, encourage them, learn
with them, share ideas honestly, and give
credit for their contributions.
Government Regulations
The 1966 Animal Welfare Act (PL 89-544)
The 1974 National Research Act (PL 93-348)
The 1985 Health Research Extension Act (PL 99158)
– Office of Scientific Integrity Review (OSIR)
Federal Administrative Procedure Act (5 USC 551702) (establishing new regulations)
http://wwwgpoaccess.gov/fr/index.html
Executive Branch Agencies – NIH “Training Grant
Requirement” 1989; “Required Education in the
Protection of Human Research Participants” 1974
“Common Rule” (45 CFR 46A-D)
Institutional Policies
Required by law to have policies that cover
various aspect of research programs if they
accept Federal funds
Committees of review
Procedures for investigating and reporting
misconduct
Approve and mange all grant budgets
Ensure that safety rules are followed
Follow established practices for use of
hazardous substances
Provide training for researchers who use animal
or human participants
Institutional Policies
Website information
Copies of institutional research policies written
Links to state and Federal policies
Required forms and instructions for completion
Responsible conduct training programs
Lists of key resource personnel
Institutional Policies
Misconduct
Establish definitions for misconduct in grant projects
Outline procedures for reporting and investigating
misconduct
Provide protection for whistleblowers and persons
accused of misconduct
Federal Policy on Misconduct
http://www.ostp.gov/html/001207_3.html
Personal Convictions
Written convictions
Peer review
Subject-matter expert review
Personal value expert review
Ethics should be a regular discussion on
campuses, in departments, with peers,
with experts, with a free flow of
information—
ESPECIALLY with PUI’S for
which research is an emerging
field.
Introduction to the Responsible
Conduct of Research
By Nicholas H. Steneck
Published by Office of Research
Integrity, 2004
askori@osophs.dhhs.gov