thical issues

ETHICAL ISSUES IN RESEARCH AND SCHOLARSHIP

OUTLINE

• 7 Areas of Research Misconduct

• Ethical Issues Regarding Copyright

• Model for Considering Scientific Misconduct

• Protecting Human Participants

• Protecting Animal Subjects

7 AREAS OF RESEARCH MISCONDUCT

• Definition by U.S Department of Health and Human Services Office of Research Integrity:

  • "Fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. It does not include error or differences of opinion."

• Specific Areas of Research Misconduct:

  • Plagiarism

  • Data Fabrication/Falsification

  • Nonpublication of Data

  • Faulty Data-Gathering Procedures

  • Poor Data Storage and Retention

  • Misleading Authorship

  • Unacceptable Publication Practices

PLAGIARISM

• Definition:

  • The act of using someone else's ideas, writings, or drawings.

• Citation Guidelines:

  • It is inappropriate to use small, medium, or large sections of text from a source, even with a citation.

  • Changing a few words while maintaining original sentence structure is insufficient to avoid plagiarism.

  • Direct quotes should be used sparingly and must always be cited.

• Consequences:

  • Plagiarism incurs severe penalties across academic institutions.

  • Co-authors of a plagiarizing author can also face punitive consequences.

• Best Practices:

  • Never submit work with your name without reviewing and approving it first.

PLAGIARISM EXAMPLE

• Original Source:

  • After graduation in 1900, Einstein faced one of the greatest crises in his life. Because he studied advanced subjects on his own, he often cut classes; this earned him the animosity of some professors, especially Heinrich Weber. Unfortunately, Einstein asked Weber for a letter of recommendation. Einstein was subsequently turned down for every academic position that he applied to.

  • Citation: Albert Einstein. (2014). In Encyclopædia Britannica. Retrieved from http://school.eb.com/levels/high/article/106018

• Student's Version:

  • When Einstein graduated in 1900, he was confronted by a huge crisis. He often studied advanced subjects by himself at home while skipping classes, which irritated some professors, especially Heinrich Weber. Yet Einstein still asked Weber for a letter of recommendation, which guaranteed his rejection for every academic position to which he applied.

DATA FABRICATION AND FALSIFICATION

• Context:

  • High pressure exists to publish positive research results, particularly in medical and health-related disciplines due to factors like:

  • Expense

  • Need for External Funding (e.g., grants)

  • Riskiness of Research

  • Results in temptation to alter data or fabricate results.

• Institutional Involvement:

  • Established scholars can be indirectly involved if they collaborate with those who falsify data to uphold grant predictions.

• Definition of Falsification:

  • The practice of perceiving desired outcomes instead of the actual results, leading to confirmation bias in reporting.

• Example:

  • David Baltimore (Nobel laureate) co-authored a paper in 1986, which was incorrectly perceived as confirming expected results. Accusations arose against his co-authors, leading to his resignation from Rockefeller University.

NONPUBLICATION OF DATA

• Definition:

  • The practice of excluding certain data subsets that do not support desired outcomes.

• Issues:

  • Poor data should be identified (e.g., calibration errors in instruments).

  • Altering or removing values during analyses is referred to as "cooking" and is unacceptable.

  • Outliers: Extreme results by participants that are sometimes unjustifiably excluded (trimmed).

  • Must investigate whether an outlier is genuine or erroneous.

• Ethical Obligation:

  • Authors should publish all findings from research, regardless of whether they align with hypotheses.

FAULTY DATA-GATHERING PROCEDURES

• Risks of Poor Practices:

  • Continuing data collection from participants who do not meet the study's requirements (e.g. poor effort, non-adherence).

  • Using malfunctioning research equipment.

  • Not following agreed-upon ethical procedures when treating participants.

  • Incorrectly recording data, leading to potential misconduct or falsified results.

POOR DATA STORAGE AND RETENTION

• Guidelines:

  • Data must be stored as originally recorded and not altered.

  • Lab notebooks should be maintained securely.

• Ownership:

  • Typically, the institution or funding agency owns the research data, not the individual authors.

MISLEADING AUTHORSHIP

• Authorship Standards:

  • The order of authorship should reflect individual contributions to the research and project.

  • The first author is generally credited with developing the research idea and plan.

  • Subsequent authors should be listed based on their contributions, with senior authors often appearing last.

  • Technicians' contributions do not always warrant co-authorship.

UNACCEPTABLE PUBLICATION PRACTICES

• Cultural Pressure:

  • Untenured faculty face pressure to publish to achieve promotions or tenure, resulting in the "Publish or Perish" culture.

  • Instances of inappropriate authorship, such as professors including themselves as authors on student research without involvement, are wholly unacceptable.

• Dual Publication:

  • Publishing the same research in multiple journals is prohibited; however, reprinting agreements may exist.

ETHICAL ISSUES REGARDING COPYRIGHT

• Ownership of Published Materials:

  • Researchers may need to use tables or figures from other sources, which are typically under copyright.

  • Permission must be sought from copyright holders.

• Fair Use Guidelines:

  • 1) Purpose: Is the usage commercial or educational?

  • 2) Nature: Is the copying considered common? (e.g., personal use is expected, but copying entire works is not.)

  • 3) Amount: How much content is being copied?

  • 4) Effect: Impact on market value, such as copying academic journal articles versus entire issues.

MODEL FOR CONSIDERING SCIENTIFIC MISCONDUCT

• Sanctions for Research Misconduct:

  • Institutions may impose various sanctions on fraudulent researchers, including:

  • Restriction of Academic Duties

  • Termination of Project Work

  • Reduction in Professional Rank

  • Fines for University Costs

  • Salary/Promotion Freeze

  • Monitoring of Research with Past Publication Review

  • Prohibition from Receiving Future Grants

  • Legal Referrals

PROTECTING HUMAN PARTICIPANTS

• General Considerations:

  • Research often involves human subjects, including special populations (e.g., children, elderly, individuals with disabilities).

• Ethical Responsibilities:

  • Researchers must assess potential risks or discomforts, which can include:

  • Physical Risks

  • Psychological Risks

  • Emotional Risks

  • Social Risks

• Risk-Benefit Analysis:

  • The benefits of research must outweigh the risks to participants.

• Informed Consent:

  • Participants must be informed of research details prior to involvement and provide consent.

PROTECTING HUMAN PARTICIPANTS: INFORMED CONSENT

• Content of Informed Consent Forms:

  • Must be comprehensible without jargon.

  • Include:

  • Purpose of research

  • Expected time commitment

  • Procedures participants will undergo

  • Foreseeable risks and discomforts

  • Benefits of participation

  • Confidentiality procedures

  • Compensation details (if applicable)

  • Contact information for IRB and lead investigator

  • Voluntary participation notice and withdrawal rights

PROTECTING ANIMAL SUBJECTS

• Institutional Oversight:

  • Research involving animals is overseen by the Institutional Animal Care and Use Committee (IACUC), ensuring humane treatment.

• Ethical Justifications for Animal Use:

  • Significant advancements in human health, justified by:

  • Drug Testing

  • Modeling Human Diseases

  • Basic Research

  • Educational Purposes

  • Surgical Technique Development

• Animal Welfare:

  • Animals must be well cared for, and procedures leading to incapacitation must be humane.