Ethics and the Responsible Conduct of Research for Graduate Education and Beyond

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Ethics and the Responsible Conduct of Research
for Graduate Education and Beyond

• Kellina Craig-Henderson, Ph.D.
• Program Director
• and Human Subjects Research
• Protections Officer
• National Science Foundation

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Responsible conduct in the research enterprise is
a shared responsibility.
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The Belmont Report
Ethical Principles and Guidelines for the
Protection of Human Subjects of Research

• 45 CFR 690
• (same as 45 CFR 46- HHS)
• The Common Rule for the protection of human
  subjects
• (www.bfa/dias/policy/docs/45cfr690.pdf)

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• Respect for Persons
• Beneficence
• Justice

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Respect for persons

• This principle has 2 separate moral requirements
• Respect individuals autonomy.
• In the case of diminished autonomy,consult their
  legally authorized representative.

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Beneficence

• Two general rules apply here
• Do not harm!
• Maximize possible benefits, and minimize possible
  harms.

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Justice
Who should receive the benefits of research and
bear its burdens?

• To each person an equal share.
• To each person according to individual need.
• To each person according to individual effort.
• To each person according to societal
  contribution.
• To each person according to merit.

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Responsibility
Federal Regulations

• The Sponsor
• The Grantee
• The Researcher

Federal Regulations
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National Science FoundationOne sponsors
responsibility includes RCR requirement
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Legislative history Introduced - May 10,
2007 Passed House - May 22, 2007 Passed
Senate July 19, 2007 Differences resolved
Aug 2, 2007 Signed by President Aug 9, 2007

• America Creating Opportunities to Meaningfully
  Promote Excellence in Technology, Education and
  Science Act The America COMPETES Act

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America COMPETES Act SEC. 7009

• The Director shall require that each institution
  that applies for financial assistance from the
  Foundation for science and engineering research
  or education describe in its grant proposal a
  plan to provide appropriate training and
  oversight in the responsible and ethical conduct
  of research to undergraduate students, graduate
  students, and postdoctoral researchers
  participating in the proposed research project.

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Responsibility
Federal Regulations

• The Sponsor
• The Grantee
• The Researcher

Federal Regulations
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Ethics in Research Grantees responsibility

• Context-driven
• Environment- dependent

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Empirical study

• Martinson et al., 2006 provides support for the
  effect of the contexts of science on misconduct
• Perceptions of procedural injustice are
  associated with self reports of misbehaviors.
• This relationship is strongest among early-career
  scientists, those in un-tenurable positions,
  female scientists in traditionally-male fields.

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Responsibility
Federal Regulations

• The Sponsor
• The Grantee
• The Researcher

Federal Regulations
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Scientists behaving badly
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Top 10 Misbehaviors

• Falsifying or cooking research data
• Ignoring major aspects of human subjects
  requirements
• Not properly disclosing involvement in forms
  whose products are based on ones own research
• Relationships with students, research subjects or
  clients that may be interpreted as questionable
• Using anothers ideas without obtaining
  permission or giving due credit

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Top 10 misbehaviors contd

• Unauthorized use of confidential information in
  connection with ones own research.
• Failing to present data that contradict ones own
  previous research.
• Circumventing certain minor aspects of HS
  requirements (e.g., informed consent).
• Overlooking others use of flawed data or
  questionable interpretation of data.
• Changing the design, methodology or results of a
  study in response to pressure from a funding
  source.

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Empirical study

• De Vries et al., 2006 provides evidence of
  everyday misbehaviors among researchers.
• They conclude that many of these misbehaviors are
  normal misbehaviors.
• Must direct attention to the social conditions,
  and context that lead to these unacceptable
  misbehaviors.

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Research misconduct is not rare

• What is considered misconduct varies by
• The Sponsor
• The Grantee
• The Researcher

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When you observe potential misconduct, what
should you do?

• It depends.

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1. Constructive confrontation2. Conflict
management3. Grievance processes4.
Whistle-blowing
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Reducing misconduct in research starts with

• TRAINING!!!

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Case study 1

• A graduate student is conducting a study to find
  out how bilingual English-Spanish speaking
  students navigate bi-cultural, bilingual identity
  in a rural high school setting. The study will
  take place in small town in Eastern Washington
  State that has one high school with approximately
  400 students. The research methods include 
  weekly interviews, and  in-depth classroom
  observation of four Spanish-English bilingual 14
  17 year old students over one academic year. 
  The researcher will also conduct interviews with
  administration, teachers, parents, and other
  students about their thoughts on language and
  local identity.  What are some of ethical issues
  inherent in the design of this study?  What are
  some of the ethical issues that might unfold
  during the conduct of the study?

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Case 2 Who Owns the Field Notes?

• Jerry Vaughn contracted with a federal agency to
  conduct a social impact assessment of proposed
  topographic changes in an aboriginal habitat in a
  far north region of North America. The contract
  contained no stipulations regarding ownership of
  data. In order to determine the potential impacts
  on the culture of peoples living in that region,
  Vaughn engaged in participant observation
  (keeping a detailed field notebook of same)
  conducted in-depth personal interviews and took
  over 1,000 photographs of people working,
  socializing, and enjoying other everyday and
  special activities.

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Case 3 Professor Purloins Student's Work Her
Recourse?

• Joelle Smith wrote an elaborate research proposal
  that was to be submitted to the National Science
  Foundation (NSF) for her doctoral dissertation
  research. Her dissertation supervisor signed off
  on the proposal indicating his support of the
  project and his willingness to supervise Smith's
  work. The project was funded for a two-year
  period. Smith went into the field and at regular
  intervals sent copies of her field notes and
  other written data, along with preliminary
  analyses of her field problem, to her
  dissertation advisor.

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For more information, if you are a researcher
please feel free to contact your Institutional
Official (IO), or if you are an IO or member of
the Sponsored Research Office, please contact
your Funding Agency (i.e., program officer or
human subjects protections officer), or the
Office for Human Research Protections (OHRP) of
HHS.
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Contact Information
Kellina M. Craig-Henderson, PhD (703)
292-7023 Khenders_at_nsf.gov Social Psychology
program National Sceince Foundation 4201 Wilson
Blvd., 995.45 Arlington, VA 22230