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Responsible and Ethical conduct of Research
A brief overview for the
UT Martin Campus
What does it mean?
• the practice of scientific investigation with integrity.
• the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research.
2 Revised August 2013
Why does it matter?
• The public and regulatory demand for accountability has increased.
• Perceived breaches of integrity result not only in loss of respect for the individual researcher but also loss of respect for the institution as well as damage to the public trust.
• Institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers have received training.
3 Revised August 2013
Individual responsibility
• Every person associated with research has a responsibility to ensure the integrity of the research environment by reporting misconduct.
• Suspected incidences of misconduct should be reported as soon as possible to a supervisor or appropriate administrator.
• See Section 2.10.4 (p. 100) of the UT Martin Faculty Handbook for policy http://www.utm.edu/departments/acadaff/_docs/fachbook.pdf
4 Revised August 2013
The University’s responsibilities
• promote and encourage integrity;
• discourage and detect misconduct;
• take appropriate disciplinary action;
• act confidentially and professionally;
• limit voluntary disclosure of information.
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Research misconduct
The BIG THREE are
• Fabrication: making up data or results.
• Falsification: changing data or results.
• Plagiarism: using the ideas or words of others without giving the appropriate credit.
• See policy regarding misconduct:
• http://www.utm.edu/departments/rgc/_pdfs/statementofpolicyonmisconduct.pdf
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Other ethical transgressions
• Ethical transgressions associated with research can cause serious harm to individuals and institutions. Examples include
– cover-ups of misconduct in science,
– sexual harassment or misconduct,
– malicious allegations of misconduct in science, &
– violations of due process in handling complaints of misconduct in science.
7 Revised August 2013
Mentor and trainee responsibilities Issues include • disrespect toward students’ efforts, • misappropriation of students’ work, • harassment of students, • abuse and misuse of students’ time and efforts, • suppression of whistleblowing, • faculty-directed malfeasance, • neglectful teaching and/or insufficient course
structure, and • inadequate advising and mentoring.
8 Revised August 2013
A good mentor, or not?
• Please take a few moments to watch the video.
• http://nationalethicscenter.org/resources/45
• Name at least three ways the professor in the video failed to provide good mentorship.
• Put yourself in the role of the student. What actions would you consider?
9 Revised August 2013
Responsible authorship
• complete, accurate and unbiased reporting of methods and results in order to facilitate replication;
• accurate attribution of contributions, influences, references, etc.;
• avoiding duplicate publications or dividing unnecessarily into multiple publications; and
• appropriate authorship and acknowledgements
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Responsible Authorship
• Please take a few moments to watch the video.
• http://nationalethicscenter.org/resources/40
• While publications are an important part of scholarship, tenure and promotion, what are some of the dangers illustrated here?
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Peer review
• should ensure accuracy and significance and protect the reputation of authors
• applies to publications of research results, research plans, instructional plans
• Consider serving as a reviewer for professional and/or funding agencies
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Peer review
• Please take a few moments to watch this video.
• http://nationalethicscenter.org/resources/44
• What are some good reasons for becoming a peer reviewer?
• What are some good reasons for forgoing that responsibility?
13 Revised August 2013
Human subjects
• Guidelines governing human subjects research at UT Martin can be found in the UT Martin Handbook for Human Subjects Research on the ORGC website.
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When must I file an IRB application?
• If you are planning any research involving human subjects, you must file an IRB application and receive IRB approval before you begin to collect any data.
• The purpose of the IRB is to review human subject research to ensure that human subjects are adequately protected.
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Class-related Projects that require IRB approval
• All master’s thesis and research projects involving human subjects
• All projects for which findings may be published or otherwise disseminated
• All class-related projects for which the data collected will be archived for any purposes other than administrative evaluations
16 Revised August 2013
Animal research
• Federal regulations govern the care and use of all animals used in teaching and research.
• USDA, OLAW, PHS
• Protocols for animals must be reviewed and approved by the UT Martin Institutional Animal Care and Use Committee (IACUC).
• Guidelines governing the use of animal subjects in research at UT Martin can be found in the Bylaws of the Institutional Animal Care and Use Committee (IACUC) on the ORGC website.
17 Revised August 2013
Why should I file a protocol?
• Animal research is even more carefully scrutinized than human subjects research with additional precautions/ethical considerations because animals cannot give consent or speak for themselves.
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Requirements
• Investigators are required to adhere to the policies and procedures of their institution’s IACUC, to have appropriate training, to minimize the pain and suffering of animals, and to avoid the unnecessary use of animals
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UT Martin Academic Policy regarding Training
• Federal regulations require that all IRB and IACUC members and all persons involved with the care of animals on campus have documentation of training on file.
20 Revised August 2013
CITI Training requirements
• UT Martin requires all graduate students, undergraduate students, and postdoctoral researchers to complete the online CITI training prior to engaging in any research endeavors.
• Training for faculty is recommended, but not required.
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Why is it important?
• UT Martin is bound by Federal-wide Assurances to uphold these guidelines.
• We are regularly visited by USDA for the review of IACUC proceedings and animal care facilities.
• We could be visited by OHRP at anytime without prior notification.
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Implications for UT Martin
• Failure to have and follow appropriate procedures for IRB and IACUC review and approval can result in federal investigations, sanctions, and fines for the university.
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Data acquisition, management, sharing and ownership
• collection methods;
• safety;
• data integrity;
• records retention, storage, and protection;
• sharing of data collected for research and scholarly inquiry activities;
• data ownership;
• intellectual property
24 Revised August 2013
Data Ownership
• Generally speaking, the University owns any
data that is collected as a function of your employment or through sponsored funding administered by the University.
• There may be some exceptions. If in doubt, ask the ORGC.
25 Revised August 2013
Intellectual property
• The University is committed to protecting the
intellectual property rights of the University and its faculty, staff, and students.
• Disclosures should be filed with the ORGC.
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Data management
• How will the data be stored once it is collected?
• Some data must be retained for three years or longer.
• Some data must be stored in a secured location with controlled access.
• Know the requirements for your data.
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Data sharing
• Research data should be stored in such a manner that it can be made accessible to fellow researchers interested in replicating your results.
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Conflicts of interest and commitment
• ensure the objectivity of research
• eliminate any conflicting bias • financial,
• personal,
• professional, or
• commitment
• CITI Program training for Financial Conflicts of Interest required for PHS-funded programs
29 Revised August 2013
Conflicts of interest and commitment
• This video illustrates some of the issues related to conflicts of interest.
• http://nationalethicscenter.org/resources/39
• Name at least three ethical issues you observed from this video.
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Collaborative research
• regarding sub-awards, sub-agreements, data, intellectual property, and management
• clearly define roles, responsibilities, and expectations
• secure written agreements to avoid disputes
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Collaboration
• Failure to have and follow written agreements among collaborators can lead to trouble and damage friendships as illustrated in this video.
• http://nationalethicscenter.org/resources/43
• Would a similar situation discourage you from collaborating with your peers?
• What steps could have mitigated the conflicts?
32 Revised August 2013
UT Martin Policies
• For compliance issues: – http://www.utm.edu/departments/rgc/compliance.php
• For Handbooks – http://www.utm.edu/departments/rgc/handbooks.php
• For forms – http://www.utm.edu/departments/rgc/forms.php
• For RCR policy – http://www.utm.edu/departments/acadaff/_docs
/Responsible%20Conduct%20of%20Research.pdf
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“Whoever is careless with the truth in small matters cannot be trusted with important matters.” StickyNotesandQuotes.wordpress.com
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Access to Online Training
• The training website is www.citiprogram.org
• Training is available to anyone affiliated with UT Martin at no cost to the individual
• Facilitates training at your convenience
• CITI provides certification of completion
• For specific instructions contact the ORGC
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Contact the ORGC
• For additional information
• To request face-to-face training for a group or class
• 100 Hall-Moody Administration Bldg.
• Office phone: 731-881-7015
• Office fax: 731-881-7018
• http://www.utm.edu/departments/rgc/
36 Revised August 2013
