Responsible and Ethical conduct of Research

Responsible and Ethical conduct of ResearchA 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.

2Revised August 2013Why 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.

3Revised August 2013Individual responsibilityEvery 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 2013The Universitys responsibilitiespromote and encourage integrity;discourage and detect misconduct;take appropriate disciplinary action;act confidentially and professionally; limit voluntary disclosure of information.

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Revised August 2013Research misconductThe BIG THREE areFabrication: 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

6Revised August 2013Other ethical transgressionsEthical 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 2013Mentor and trainee responsibilitiesIssues includedisrespect 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, andinadequate advising and mentoring.

8Revised August 2013A 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 2013Responsible authorshipcomplete, 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

10Revised August 2013Responsible AuthorshipPlease 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?11

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Peer reviewshould ensure accuracy and significance and protect the reputation of authorsapplies to publications of research results, research plans, instructional plansConsider serving as a reviewer for professional and/or funding agencies

12Revised August 2013Peer reviewPlease take a few moments to watch this video.http://nationalethicscenter.org/resources/44What are some good reasons for becoming a peer reviewer?What are some good reasons for forgoing that responsibility?13

Revised August 2013Human subjectsGuidelines 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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Revised August 2013Class-related Projects that require IRB approval All masters thesis and research projects involving human subjectsAll projects for which findings may be published or otherwise disseminatedAll class-related projects for which the data collected will be archived for any purposes other than administrative evaluations

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Revised August 2013Animal 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.

17Revised August 2013Why 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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RequirementsInvestigators are required to adhere to the policies and procedures of their institutions 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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Revised August 2013UT Martin Academic Policy regarding TrainingFederal 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.

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Revised August 2013CITI Training requirementsUT 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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Revised August 2013Why 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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Revised August 2013Implications for UT MartinFailure 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

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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.

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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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Revised August 2013Data managementHow 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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Revised August 2013Data sharingResearch 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 commitmentensure the objectivity of researcheliminate any conflicting biasfinancial, personal,professional, or commitmentCITI Program training for Financial Conflicts of Interest required for PHS-funded programs

29Revised August 2013Conflicts of interest and commitmentThis video illustrates some of the issues related to conflicts of interest.http://nationalethicscenter.org/resources/39Name at least three ethical issues you observed from this video.30

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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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CollaborationFailure to have and follow written agreements among collaborators can lead to trouble and damage friendships as illustrated in this video.http://nationalethicscenter.org/resources/43Would a similar situation discourage you from collaborating with your peers? What steps could have mitigated the conflicts?32

Revised August 2013UT Martin PoliciesFor compliance issues:http://www.utm.edu/departments/rgc/compliance.phpFor Handbookshttp://www.utm.edu/departments/rgc/handbooks.phpFor formshttp://www.utm.edu/departments/rgc/forms.phpFor RCR policyhttp://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.com34

Revised August 2013Access to Online TrainingThe training website is www.citiprogram.orgTraining is available to anyone affiliated with UT Martin at no cost to the individualFacilitates training at your convenienceCITI provides certification of completionFor specific instructions contact the ORGCpflowers@utm.edu

35Revised August 2013Contact the ORGCFor additional informationTo request face-to-face training for a group or class100 Hall-Moody Administration Bldg.Office phone: 731-881-7015Office fax: 731-881-7018http://www.utm.edu/departments/rgc/

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