1. Responsibilities and Ethics in the
Conduct of Research
January 14, 2013
RESOURCES at:
http://graduateschool.nd.edu/ethics-resources
2. On the index card at your seat:
• Please jot down a description of an unethical
situation in your professional life in which you
wanted to act on behalf of your values but
didn't know what to do
• If you can't think of one, jot down a
description of a situation you have heard
about with respect to research and reflect on
how you may have acted if it had happened to
you.
3. Welcoming Remarks
Chris Maziar
Acting Dean of the Graduate School
Vice President & Senior Associate Provost
Professor of Electrical Engineering
Bob Bernhard
Vice President for Research
Professor of Aerospace & Mechanical
Engineering
4. Recognizing and Approaching
Ethical Problems
Jessica McManus Warnell
Mendoza College of Business
jmcmanus@nd.edu
5. Consider this scenario
• After a busy day, you are having dinner with a
fellow graduate student from your program. You
discuss your research and end up spending the
next few hours brainstorming together different
ideas. The next day, you sit down to work on a
description for your next research project and
decide one of the ideas that came up last night
has merit and is worth pursuing.
• Can you simply take the topic and pursue it on
your own?
6. Today’s goal:
• Discuss how we can approach this type of
dilemma with principled analyses and
strategies for effective resolution
7. Decision Model for
Resolving Ethical Issues
AWARENESS/ KNOWLEDGE/ ACTION/
SENSITIVITY JUDGMENT BEHAVIOR
1. Get the facts (unbiased, fair, accurate)
2. Understand the issues involved, including relevant principles and obligations,
and how they may conflict (classification & assessment)
3. Identify stakeholders and how they will be affected (perspective-taking)
4. Explore alternatives and their consequences (moral imagination)
5. Consider universalizability and make a principled decision
8. The Case of the Good Idea
1) Get the facts
Who, what, when, how
2) Understand the issues, relevant principles and obligations, and how they
may conflict
Dishonesty, integrity, justice, veracity, fidelity, loyalty, justice
3) Identify stakeholders and how they will be affected
Advisor, friend, work group, university, academic community
4) Explore alternatives and their consequences
Use the idea – go for it!
Use the idea – with attribution
Moral imagination – a better resolution?
5) Consider universalizability and make a principled decision
Is this decision precedential? Universalizable?
9. Table Talk
• Share the dilemmas that you jotted down with
your table.
• Select one and work through how you would
apply the decision model to this dilemma
• Are there any steps that are particularly
difficult?
10. Decision Model for
Resolving Ethical Issues
AWARENESS/ KNOWLEDGE/ ACTION/
SENSITIVITY JUDGMENT BEHAVIOR
1. Get the facts (unbiased, fair, accurate)
2. Understand the issues involved, including relevant principles and obligations,
and how they may conflict (classification & assessment)
3. Identify stakeholders and how they will be affected (perspective-taking)
4. Explore alternatives and their consequences (moral imagination)
5. Consider universalizability and make a principled decision
11. Pay attention to post-decision making
After one determines the appropriate course of
action, how, specifically, does he/she act on it
within a given context?
Why do we overestimate our ability to act
ethically, and act unethically without meaning
to? How can we address “ethical fading”?
12. Ethics is a habit
• “Living an ethical life is something you do. It is not simply
a theory or a certain understanding. Ethics should be
viewed as a practical activity that has a tactical
dimension, and as such, requires practice, much like
playing a sport or instrument….
• Becoming an ethical leader requires paying attention to
the small decisions made every day. A pattern of ethical
decision making becomes a habit, and good habits
become virtues. In turn, virtues add up to character.”
- Rev. John Jenkins, “The Ethics of Leadership”
13. Possible next steps
Identify your purpose – why am I doing what I’m doing?
and acknowledge choice
Engage with curriculum in conceptual foundations of
ethics, and, critically, in application of ethics to our
chosen field of study
Acknowledge challenges, reasons and rationalizations,
and “blind spots”
Be explicit – acknowledge, discuss, practice, model ethics
14. Resources
• Mendoza College of Business Ask More of
Business Framework
• Giving Voice to Values Program
• Blind Spots resources page
• Blurb about 4 component model
15. Mentoring
Jennifer Tank (Biology)
Jessica Collett (Sociology)
Ed Maginn (Chemical and Biomolecular Engineering)
Erin Drew (English)
16. Importance of Mentoring
Expectations for “graduate success” vary across departments
– Be as detailed as you can in your dialogue
– (e.g. hours, access to advisor, synergy vs. independence).
Importance of communication and establishing expectations
• “failure to thrive” is often due in part to a lack of communication
Recognize not all faculty are naturally the best mentors
• “manage” your advisor to get the mentoring you need
• Exchange information with peers as a litmus test on progress
Take-home: You must be self-motivated!
• Products (publications, presentations etc.) = next job and your future!
• U of M resources are excellent guides for TWO-way communication and
effective student-mentor relationships
17. Supporting findings from research
on mentoring
• All students experience uncertainty – at one time
or another – in graduate school
• All students want mentoring
– However, its frequency and form vary across
disciplines and gender lines
• Few faculty are explicitly trained in mentoring
– The limits of observation (for students)
– The problems with assumptions (for everyone)
18.
19. Table Talk
• Have you had this discussion with your
advisor?
• Describe the culture of expectations in your
department or program
• Does your advisor know your goals and do you
know your advisor’s goals?
21. But what if I don’t work in lab..
• In some disciplines, students work alone, but
we are still responsible to our adviser/dept for
producing work in a timely fashion
Some questions to ask your DGS and adviser:
-When do you expect me to begin presenting or publishing
work?
-How frequently should I turn in drafts/chapters to you?
-What can I do to help you as you read and respond to my
work? (How rough is too rough? Stick to deadlines? Etc.)
22.
23. Table Talk
• Can you describe the student’s goal for this
conversation? Did he get what he wanted?
• How do you think the advisor felt? Why?
26. Table Talk
• Describe whether your perception of the
interaction has changed
• How do you think your
gender/race/nationality could influence your
interactions with your advisor
28. Possible next steps
Read U of M guides (from mentor and advisee
perspective) (on the workshop resource page)
Have a conversation with your mentor.
Talk to your peers about the expectations in your
discipline and in your program
The key is communicating, understanding and
respecting needs and expectations.
29. Resources
Great place to start…
University of Michigan resources on mentoring
Note: also posted on Notre Dame resource page
• How to Get the Mentoring You Want: A Guide for Graduate
Students at a Diverse University
– http://www.rackham.umich.edu/downloads/publications/
mentoring.pdf
• How to Mentor Graduate Students: A Guide for Faculty at a
Diverse University
– http://www.rackham.umich.edu/downloads/publications/
Fmentoring.pdf
31. Conflict of Interest and
Conflict of Commitment
Liz Rulli, Office of Research
Jeff Kantor, Chemical and Biomolecular
Engineering
32. Conflict of Interest
Dictionary Definition:
A conflict between the private interests and the
official responsibilities of a person in a position
of trust.
‐www.merriam‐webster.com/dictionary
33. Conflict of Interest
University Policy Definition:
An actual Conflict of Interest arises in a situation where financial or other
personal or professional considerations compromise an individual’s
objectivity, professional judgment, professional integrity, and/or ability to
perform his or her professional responsibilities to the University.
Perceived or potential Conflicts of Interest can be said to exist in situations
where an individual member of the University community (Member), a
member of the individual’s family (Family), or a close personal relation (Close
Relation) has financial interests, personal relationships, or professional
associations with an individual, individuals, or outside organization, such
that his or her activities within the University could appear to be influenced
by that interest or relationship.
34. Conflict of Interest
Federal Funding Agency Requirements:
Federal Conflict of Interest Policy focuses around ensuring
objectivity in research. If you have a significant financial
interest that is related to your role at the university that
could potentially impact the design, conduct or reporting
of research, that significant financial interest is
considered a financial conflict of interest.
You must disclose the interest/potential conflict before
proposals are submitted. If the interest rises to the level
of a financial conflict of interest it must be managed or
eliminated before conducting the work.
35. Conflict of Commitment
ND Faculty Policy
A conflict of commitment refers to a situation
in which a faculty member engages in an
activity, whether paid or unpaid, that
compromises his or her professional
obligations to the University.
36. How is a COC Different from a COI?
• A conflict of interest may not involve a
significant commitment of one's time
– doing business with the university
– in personnel decisions
• A conflict of commitment can occur when
there is no conflict of interest
– excessive involvement with outside organizations.
37.
38. Table Talk
Discuss any conflicts of interest
that you identify from the scenario
42. Graduate Students Need to Know
1. Funding agency focus on ensuring objectivity
in research
2. Disclosure and management is key
3. Protections in place for students and
processes in place for oversight
4. Students may be “covered researchers”
43. Graduate Students Need to Know
1 You need to be aware of your obligations to
the agencies that are supporting your work.
2 Disclose significant outside involvements to
your advisor . (Guideline: 1 day per month)
3 Do not let personal obligations interfere with
University commitments.
4 Cooperate with effort reporting.
44. Areas of Special Concern for Students
• You are identified as a “covered researcher”
• You are informally aware that your advisor has an
outside activity but you haven’t discussed any
possible implications for you
• It is unclear whether your intellectual
contributions for some activities are being
exploited for private interests
• You are involved in activities where relationships
are unclear (financial, evaluative, data ownership,
who you are working for)
45. Areas of Special Concern for Students
• Excessive coursework that conflicts with major
area of interest, or with research funding.
• Use of university resources for private purposes.
• Engagement with outside activities that
compromise progress towards your degree.
• Financial aid from other sources that require a
time commitment.
• Outside employment.
• Outside consulting.
46. Resources
• University Conflict of Interest Policy
– http://conflictpolicy.nd.edu/
• University Conflict of Commitment Policy
– http://policy.nd.edu/policy_files/ConflictofCommitmentPolicy.pdf
• NIH Financial Conflict of Interest Page
– http://grants.nih.gov/grants/policy/coi/
• NIH Financial Conflict of Interest FAQ’s
– http://grants.nih.gov/grants/policy/coi/coi_faqs.htm
• NSF Financial Conflict of Interest Policy
– http://www.nsf.gov/pubs/manuals/gpm05_131/gpm5.jsp#510
• Other Agencies Adopting PHS/NIH COI Guidelines
– http://sites.nationalacademies.org/PGA/fdp/PGA_070596
• CITI COI Training Module
– https://www.citiprogram.org/default.asp?language=english
52. Avoiding plagiarism
What Is Plagiarism?
Why do we have such a
concept?
Table Talk
Complications
53. What is plagiarism?
“The uncredited use (both intentional and unintentional)
of somebody else‟s words or ideas.”
From The OWL at Purdue, http://owl.english.purdue.edu/owl/resource/589/01/. Accessed August 20, 2009.
Originally from a Latin term, plagiarius, meaning “kidnapping”
Oxford English Dictionary
55. “Plagiarism 1”
Unintentional or inadvertent
Comes from ignorance or imperfect mastery of complicated
rules
Often results in
Omitting quotation marks from properly used quoted material
Omitting attribution from properly used quoted or
paraphrased material
http://operachic.typepad.com/photos/uncategorized/2008/02/14/jobs_perplexed.jpg
56. “Plagiarism 2”
Deliberate or intentional
Comes from an attempt to circumvent guidelines
Often results in:
Importation of improper amount of someone else‟s
material
Sentences
Paragraphs
Use of someone else‟s paper (classmate, fraternity
brother, website)
57. “Plagiarism”
Statistics
66% (60 – 80 %) of students in college and high school
admit they have copied material
without attributing it to its source.
Donald L. McCabe, Linda Klebe Treviño, and Kenneth D. Butterfield, “Cheating in Academic Institutions: A Decade of Research.” Ethics and Behavior
11, no. 3 (2001): 219-232.
Also Character Counts (Josephson Institute). Charactercounts.org.
58. Avoiding plagiarism
What Is Plagiarism?
Why do we have such a
concept?
Table Talk
Complications
59. Why do we have such a
concept?
Economic
Moral
Legal / Professional / Ethical
Pedagogical / Educational
60. Why?
Economic:
Copyright
Making a living from writing
Professional advancement
from credit for ideas
http://uechi.typepad.com/.a/6a00d8341d471653ef011168420948970c-320wi
61. Why?
Moral: Idea of author and individual
We own our own words and ideas
People are creative and have important original
contributions to make
?? ??
http://www.livius.org/a/1/greeks/homer.JPG http://www.sllib.org/Pages/Digital%20Library/Shakespeare.jpg
http://famouspoetsandpoems.com/pictures/william_wordsworth.jpg
62. Why?
“Legal” / professional / ethical within
an academic framework:
Academic “guild”
Footnotes
Indicate sources, evidence, due diligence
Permit others to trace influence
Students as apprentices
http://cdn-write.demandstudios.com/upload//1000/100/90/1/61191.jpg
63. Why?
Pedagogical / Educational: Intended to support learning,
which assumes a need for originality and engagement
http://www.bendlearningcenter.com/art/college_students.jpg
64. Avoiding plagiarism
What Is Plagiarism?
Why do we have such a
concept?
Table Talk
Complications
65. Table Talk 1a
Do you need to acknowledge…..
information you copy directly from a book?
66. Table Talk 1b
Do you need to acknowledge…..
information you quote from an online article?
67. Table Talk 1c
Do you need to acknowledge…..
information you summarize from a popular
magazine?
68. Table Talk 1d
Do you need to acknowledge…..
concepts you learned from a class text?
69. Table Talk 2a
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were members of a restless generation of Americans, destined
to leave behind the eighteenth-century world of their fathers. Bates,
the oldest, was born when George Washington was still president;
Seward and Chase during Jefferson’s administration; Lincoln shortly
before James Madison took over. Thousands of miles separate their
birthplaces in Virginia, New York, New Hampshire, and Kentucky.
Nonetheless, social and economic forces shaped their paths with
marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham
Lincoln (New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase acceptable?
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were men of an impatient generation of Americans, fated to
escape the eighteenth-century world of their forebears.
70. Only a few words were substituted.
The structure is identical to the original.
The source was not cited.
This would be considered plagiarism.
71. Table Talk 2a
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and
Edward Bates were members of a restless generation of Americans,
destined to leave behind the eighteenth-century world of their
fathers. Bates, the oldest, was born when George Washington was
still president; Seward and Chase during Jefferson’s administration;
Lincoln shortly before James Madison took over. Thousands of miles
separate their birthplaces in Virginia, New York, New Hampshire, and
Kentucky. Nonetheless, social and economic forces shaped their
paths with marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham
Lincoln (New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase acceptable?
Abraham Lincoln, William Henry Seward, Salmon Chase, and
Edward Bates were men of an impatient generation of Americans,
fated to escape the eighteenth-century world of their forebears.
72. Table Talk 2b
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were members of a restless generation of Americans, destined
to leave behind the eighteenth-century world of their fathers. Bates,
the oldest, was born when George Washington was still president;
Seward and Chase during Jefferson’s administration; Lincoln shortly
before James Madison took over. Thousands of miles separate their
birthplaces in Virginia, New York, New Hampshire, and Kentucky.
Nonetheless, social and economic forces shaped their paths with
marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham
Lincoln (New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase acceptable?
Nineteenth-century political leaders such as Abraham Lincoln and his
erstwhile rivals Seward, Chase, and Bates, despite differences in age
and origin, shared many aspects of their trajectory (Goodwin 2005: 28).
74. Table Talk 2b
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were members of a restless generation of Americans, destined
to leave behind the eighteenth-century world of their fathers. Bates,
the oldest, was born when George Washington was still president;
Seward and Chase during Jefferson’s administration; Lincoln shortly
before James Madison took over. Thousands of miles separate their
birthplaces in Virginia, New York, New Hampshire, and Kentucky.
Nonetheless, social and economic forces shaped their paths with
marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham
Lincoln (New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase acceptable?
Nineteenth-century political leaders such as Abraham Lincoln and his
erstwhile rivals Seward, Chase, and Bates, despite differences in age
and origin, shared many aspects of their trajectory (Goodwin 2005: 28).
75. Table Talk 2c
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were members of a restless generation of Americans, destined to
leave behind the eighteenth-century world of their fathers. Bates, the
oldest, was born when George Washington was still president; Seward
and Chase during Jefferson’s administration; Lincoln shortly before
James Madison took over. Thousands of miles separate their birthplaces
in Virginia, New York, New Hampshire, and Kentucky. Nonetheless, social
and economic forces shaped their paths with marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham Lincoln
(New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase with quotation acceptable?
Nineteenth-century political leaders such as Abraham Lincoln and his
erstwhile rivals Seward, Chase, and Bates, despite differences in age and
origin, shared many aspects of their trajectory, and were “members of a
restless generation of Americans, destined to leave behind the
eighteenth-century world of their fathers” (Goodwin 2005: 28).
76. The original information is accurately conveyed.
The ideas in the passage are credited.
The distinction between the original author’s and
the paraphraser’s words is clearly indicated by the
use of quotation marks and page number.
This is acceptable.
77. Table Talk 2c
[original text]
Abraham Lincoln, William Henry Seward, Salmon Chase, and Edward
Bates were members of a restless generation of Americans, destined to
leave behind the eighteenth-century world of their fathers. Bates, the
oldest, was born when George Washington was still president; Seward
and Chase during Jefferson’s administration; Lincoln shortly before
James Madison took over. Thousands of miles separate their birthplaces
in Virginia, New York, New Hampshire, and Kentucky. Nonetheless, social
and economic forces shaped their paths with marked similarities.
Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham Lincoln
(New York: Simon and Schuster, 2005), p. 28.
Is this paraphrase with quotation acceptable?
Nineteenth-century political leaders such as Abraham Lincoln and his
erstwhile rivals Seward, Chase, and Bates, despite differences in age and
origin, shared many aspects of their trajectory, and were “members of a
restless generation of Americans, destined to leave behind the
eighteenth-century world of their fathers” (Goodwin 2005: 28).
78. Important things to
remember
Any exact phrase from the original must be put in
quotation marks and the source indicated.
Paraphrasing must not be a simple substitution of a
few words but must be in your own words.
A hint: Read over the original and then without
looking at it summarize it in your own words.
Any time you use words (quotations) or ideas
(paraphrases) from a source, you must provide
information about the source.
79. Avoiding plagiarism
What Is Plagiarism?
Why do we have such a concept?
Table Talk
Complications
80. Paradoxes, Peculiarities,
Complications
Unnamed authors (especially in the past; folklore)
Impossibility of naming every influence
Inconsistency across
Time
Place (relevant for international students)
Discipline
Individual
Nature of learning as having been influenced
Genres, which derive from conventions, not originality
“Common knowledge”
“Self-plagiarism”: double-counting
82. “Self-plagiarism”
Double credit
Turning in the same material twice
Republishing the same material twice (or more)
without acknowledging the previous source
83. Some subtleties
Plagiarism is not the same thing as….
copyright infringement
academic fraud
examination cheating
stealing data
fabricating data or quotations
84. When in doubt….
Give Credit!
http://psuprssa.files.wordpress.com/2012/02/422701_339872559385800_286997421339981_1019238_956035530_n.jpg
85. University of Notre Dame
Graduate School Policy
John Lubker
Associate Dean of Students
86. Graduate School Policy
Violation of integrity in research/scholarship
Plagiarism; fabrication or falsification in proposing,
performing, or reporting research; or other
misrepresentation in proposing, conducting,
reporting, or reviewing research.
Misconduct includes practices that materially and
adversely affect the integrity of scholarship and
research.
87. Graduate School Policy
Plagiarism
A person’s words and ideas are his or her own; they
belong to the individual and should be considered
the individual’s property. Those who appropriate the
words and/or ideas of another, and who attempt to
present them as their own without proper
acknowledgement of the source, whether
intentional or not, are committing plagiarism or
intellectual theft.
88. Graduate School Policy
Plagiarism
Any representation of the work of another that is
not properly referenced is considered to be
plagiarism. Ignorance of what constitutes plagiarism
is not a defense to an allegation of a violation of the
academic integrity policy. It is the responsibility of
students to familiarize themselves with this
definition of plagiarism and to learn proper citation
techniques.
89. Graduate School Policy
Violations of Academic Integrity
Handled at dept level
Found innocent
Found guilty
Appeals to the dean of the Grad School
90. What do I do now?
Understand your rights and responsibilities
http://graduateschool.nd.edu/
Academic Code – “Academic Integrity”
Bulletin of Information – “Academic
Integrity”
Guidance with properly referencing your work
Writing Center
English for Academic Purposes
91. Creations and Data: rights and
responsibilities
Patrick J. Flynn
Professor of Computer Science and Engineering
92. Setting the stage: questions
• If you create (discover, author, compose) something
wonderful as a result of research conducted here at ND
– “Researcher” versus “owner”
– Who owns it? What does “ownership” mean?
• If you collect some great data sets as part of your research
here at ND, what can be done with the data?
– Can you take it to your next job?
– Can you give it to other researchers if they ask you?
• Why do these questions matter?
93. Creations and matching IP concept
• Authorship (copyright)
• Composition (copyright, trademark)
• Invention (patent, trade secret)
• Distinctions later
94. Creator
• Policy does not influence your status as a creator
• But you still need to be able to prove your role as the
“originator”
– Keep good records of your work (lab notebook, etc.): process, date
stamp, data collection
• Disclosure of creation
– Any publication is a disclosure (if contemplating patent, you have one
year after disclosure to file)
• Collaborative creations: assign credit by consensus, if possible
95. Owner
• Not necessarily the same as creator
• Right to commercialize
• University owns inventions created by
– faculty (if invented in course of their Univ. duties)
– graduate students (in most cases)
• Authorship (books, compositions): more complex
• Sponsor of research may also have certain rights (negotiated as
part of sponsorship agreement)
• The OVPR and the Tech Transfer Office should rule on ownership
questions – do not rule on this yourself!
96. Research Data: ownership and rights
• The University owns the data you collect
– Controls whom else, at ND or outside ND, can get it
– Controls whether you can continue to use it
• Some data has special issues that essentially mandate active central
management and/or involvement
– Human subjects (IRB approval process)
– Animals (IACUC approval process)
– Export controls (ITAR review)
97. Take-home points
• Be creative!
• Understand the university context
• Live with the restrictions – they are not burdensome
• Understand your obligations
• Take advantage of opportunities for innovation if the
circumstances are right
99. Intellectual Property
• What is it?
• What should a first year graduate student
know about or care about Intellectual
Property (IP)?
100. 4 basic types of intellectual property
• Patents
– Covers things (manufactured articles, compositions of matter) & ways
to make things (methods, processes)
– 20 year life
• Copyrights
– Covers expression of ideas (writings, paintings, music, performances)
– Life of author + 70 years
• Trademarks/service marks
– Covers origin of goods & distinguishes from competitors
– Unlimited life if maintained
• Trade Secrets
– Covers information
– Unlimited life if secrecy of information is maintained
101. Notre Dame IP policy
• ND’s IP policy “governs the protection and administration of
intellectual property developed in support of the University’s
mission.”
• “It is the policy of the University of Notre Dame, subject to
the exceptions contained herein, that the University claims
the exclusive right to all intellectual property arising from
University Research. “
• “University Research” means any research or development
activity which is undertaken in connection with an externally
funded project, or which is related to duties and
responsibilities for which a person is compensated by the
University, or which is conducted with substantial use of
University facilities, or resources.
102. Notre Dame IP policy (cont.)
• “Creators of intellectual property have an obligation to
disclose intellectual property in the manner prescribed within
this policy, to assign intellectual property rights to the
University, and to assist the University in legally protecting the
intellectual property. The University and the creator share in
any royalty income resulting from the intellectual property as
described in this policy.”
• Applies “to all faculty, staff, students, and others who make
use of University facilities, equipment, or other resources or
who receive funds from the University in the form of salary,
wages, stipend, or other support, but not including
undergraduate student financial aid.”
103. Notre Dame IP policy (cont.)
• ND normally waives rights to student-created IP “where
the use of University facilities, equipment, or other
resources has been properly authorized, except when:
– faculty or staff involvement is substantial,
– the work is part of a larger University work or specifically
commissioned by the University,
– the use of facilities, equipment, or other resources is
substantially in excess of the norm for educational
purposes, or
– the intellectual property resulted from the student’s
employment with the University.”
• http://policy.nd.edu/policy_files/IntellectualPropertyPolicy.pdf
104. University IP checklist
• Designed to help determine
creator’s reporting obligations
• Employment status
• Commissioned work or
otherwise funded by ND
• Use of ND resources
• Contribution by other ND
personnel
• Assistive, not determinative
• If in doubt, best to ask
Office of Technology Transfer
phone: (574) 631-4551
email: ott@nd.edu
web: http://ott.nd.edu
106. • Copyright is a form of protection grounded in the U.S.
Constitution; Article 1, Section 8 empowers Congress to
“Promote the Progress of Science and Useful Arts, by
securing for limited Times to Authors and Inventors the
exclusive Right to their respective Writings and
Discoveries”.
• Copyright protection is provided for by law (title 17, US
Code). It applies to original works of authorship fixed in
a tangible medium of expression. Both published and
unpublished works are protected.
• A form of Intellectual property
107. Works eligible for copyright protection
Literary works including translations
Musical works with accompanying words
Dramatic works with accompanying music
Pictorial, graphical, and sculptural works
Motion pictures and other audiovisual works
Choreographic works
Sound and digital recordings
Architectural works
Software
Technical manuals
108. Who can be an author?
A writer
A musician or artist
A photographer
A student or professor
A company or organization
An unknown entity
But who controls the rights????
109. What are the exclusive rights given to an author ?
To prepare derivative works based upon the work; Only the owner of
copyright in a work has the right to prepare, or to authorize someone else
to create, a new version of that work.
To reproduce the work
To distribute copies of the work to the public
To perform the work publicly
To display the copyrighted work publicly
To perform the work publicly by means of a digital audio transmission
110. Works you can use without permission
Works you create yourself
Work not protected by federal law
Works in the Public Domain
Works governed by Creative Commons License
Works which would be considered Fair Use
111. Works in Favor Works Against
Teaching-Research- Scholarship Commercial Activity
Nonprofit educational institution Profiting from use
Criticism-Comment Entertainment
News reporting Bad faith behavior
Transformative use Denying credit to original author
Restricted access
Parody
112. Table Talk
• Discuss your reactions to this scenario
• Do you know who owns the data?
• How would you resolve this conflict?
113. Possible Next Steps
• Questions about ownership rights in IP or need to disclose new IP?
– contact the Office of Technology Transfer
• Phone: (574) 631-4551
• Email: ott@nd.edu
• Web: http://ott.nd.edu
• Questions about Copyright issues?
– contact Linda Sharp
• Phone: (574) 631-6818
• Email: sharp.1@nd.edu
117. Research Misconduct
Darren Davis
Department of Political Science
Office of the Vice President for Research
118. Federal Regulations in University Research
Research
Misconduct
(F-F-P)
Human Animal
Subjects Welfare
Regulations Regulations
119. Federal Laws on Research Misconduct
• Public concern over research misconduct initially arose in the
early 1980‟s.
William Summerlin (1974)
Vijay Soman & Philip Felig (1978)
John Darsee (1981)
Stephan Breunig (1983)
• At the time, research institutions sometimes ignored or covered
up potential misconduct problems rather than investigate them.
• In December 2000 the Office of Science and Technology Policy
adopted a federal policy on research misconduct.
120. • Department of Health and Human Services (DHHS) enacted
regulation effective 6/15/05
“Public Health Service Policies on Research Misconduct”
Implements legislative and policy changes applicable to research
misconduct that occurred over last several years.
Covers any entity that applies for a research, research-training or
research-related grant or cooperative agreement with the Public Health
Service (PHS)
121. Purpose of Research Misconduct Policies
• Establish definitions for research misconduct
• Outline procedures for reporting and investigating
misconduct
• Provide protection for whistleblowers and persons
accused of misconduct
122. Research Misconduct Defined
• What is it?:
The Department of Health and Human Services defines
research misconduct as:
Fabrication, falsification, or plagiarism in proposing,
performing, or reviewing research results.
Fabrication: making up results and recording or reporting them
Falsification: manipulation of research materials, equipment,
or processes, or changing or omitting results such that the
research is not accurately represented in the record.
Plagiarism: the appropriation of another’s ideas, processes,
results, or words without giving proper credit.
123. Criteria for Research Misconduct
• Represents a significant departure from accepted
practices
• Has been committed intentionally, or knowingly, or
recklessly; and
• Can be proven by a preponderance of evidence
• What is NOT MISCONDUCT: honest, unintentional error
124. Research Misconduct and Integrity
• 1. Falsifying or „cooking‟ research data
• 2. Ignoring major aspects of human-subject requirements
• 3. Not properly disclosing involvement in firms whose products are based
on one„s own research
• 4. Relationships with students, research subjects or clients that may be
interpreted as questionable
• 5. Using another‟s ideas without obtaining permission or giving due credit
(plagiarism)
• 6. Unauthorized use of confidential information in connection with one‟s
own research
• 7. Failing to present data that contradict one‟s own previous research
• 8. Circumventing certain minor aspects of human-subject
requirements
125. Misconduct and Integrity (continued)
• 9. Overlooking others‟ use of flawed data or questionable interpretation
of data
• 10. Changing the design, methodology or results of a study in response
to pressure from a funding source (falsification)
• 11. Publishing the same data or results in two or more publications
• 12. Inappropriately assigning authorship credit
• 13. Withholding details of methodology or results in papers or proposals
• 14. Using inadequate or inappropriate research designs
• 15. Dropping observations or data points from analyses based on a gut
feeling that they were inaccurate
• 16. Inadequate record keeping related to research projects
126. Why does research misconduct happen?
• Publish or Perish Pressure
• Desire to “get ahead”
• Personal problems
• Character issues
• Cultural Differences
127. Consequences
(if misconduct is substantiated)
• Withdrawal or correction of all pending and published papers and
abstracts affected by the misconduct
• Reprimand, removal from project, rank and salary reduction, dismissal
• Restitution of funds to the granting agency
• Ineligibility to apply for Federal grants for years
• I.E. the end of your research career!
128. Mentor Responsibilities
• Mentors have the responsibility to ensure that all trainees (post-docs,
grad students, undergrads) are aware of the responsible conduct of
research
Define the Relationship
- Role of Trainee
- Publication/Authorship
- Serving as PI or Co-PI
• Obligation to report
Good faith report
129. Research on Research Misconduct
Admission rates of data fabrication,
falsification and alteration in non-self
reports.
Fanelli D (2009) How Many Scientists Fabricate and Falsify
Research? A Systematic Review and Meta-Analysis of Survey Data.
PLoS ONE 4(5): e5738. doi:10.1371/journal.pone.0005738
http://www.plosone.org/article/info:doi/10.1371/journal.pone.000
5738
130. What can someone concerned about
potential Research Misconduct do?
• Talk to someone else (confidentiality will be protected)
Vice President for Research
Responsible Academic Officer
-The Chair, Dean or Director of the Department, School, Institute or
Center where the Respondent is a member
Director of Research Compliance
Office of General Counsel
• Try to resolve the concern informally
• If informal resolution fails, an Inquiry and Investigation may follow
131. “The Lab”
http://ori.hhs.gov/thelab
Please check your nametag for your room assignment.
BR stays in Ballroom
NDR moves to the Notre Dame Room
132. “The Lab”
Key Learning Points
• As a scientist, review any article on which you‟re listed as a co-author
• If you suspect research misconduct, seek advice from those you
respect and talk to the research integrity officer
• Don‟t confront someone you suspect of falsifying data; your action
could tip off the person and hinder any further investigation
• Report any instances of retaliation to the research integrity officer
• Bob Bernhard, Vice President for Research
133. Publication and Peer Review
Prashant Kamat (Radiation Lab)
Eric Lease Morgan (Hesburgh Libraries)
Joan Brennecke (Chemical and Biomolecular Engineering)
134. Scientific Knowledge
Scientific Knowledge
The object of research is to extend human
knowledge beyond what is already known.
But an individual’s knowledge enters the
domain of science only after it is presented to
others in such a fashion that they can
independently judge its validity
(NAP, “On Being a Scientist” 1995)
135. Sharing Scientific Knowledge
Sharing
Scientific Knowledge
“Science is a shared knowledge based
on a common understanding of some
aspect of the physical or social world”
(NAP, “On Being a Scientist” 1995)
Presentations
- Social conventions play an important role in establishing
the reliability of scientific knowledge
Publications in peer reviewed journals
- Research results are privileged until they are published
Thesis
136. Why Publish?
Why Publish?
• “A paper is an organized description of
hypotheses, data and conclusions, intended
to instruct the reader. If your research does not
generate papers, it might just as well not have
been done” (G. Whitesides, Adv. Mater., 2004,
16, 1375)
• “if it wasn’t published, it wasn’t done” - in
E.H. Miller 1993
137. Scientific Publication is a Team Effort
Journal
Authors Reviewer
ACS Journals:http://pubs.acs.org/about.html
138. Authorship Authorship
Great Manuscript!
• The list of authors establishes accountability as But LAB CHIEF
well as credit. always gets listed
as FIRST author!
• Policies at most scientific journals state that a
person should be listed as the author of a paper
only if that person made a direct and substantial
intellectual contribution to the design of the
research, the interpretation of the data, or the
drafting of the paper.
• The acknowledgments section can be used to
thank those who indirectly contributed to the
work.
Including “honorary,” “guest,” or “gift” authors dilutes
the credit due the people who actually did the work,
inflates the credentials of the added authors, and
Responsible authorship?
makes the proper attribution of credit more difficult.
(“On Being a Scientist” , NAP) (From ORI
http://ori.dhhs.gov/educ ation/products/RCR
intro/c02/0c2.html )
139. Author Responsibilities
Author Responsibilities
– Preparation and Submission of Manuscripts:
Follow General Rules:
– Ensure work is new and original research
– All Authors are aware of submission and agree with content
and support submission
– Agree that the manuscript can be examined by anonymous
reviewers.
– Provide copies of related work submitted or published
elsewhere
– Obtain copyright permission if figures/tables need to be
reproduced
– Include proper affiliation
140. What is publishable .
What is publishable?
Journals like to publish papers that are going to be
widely read and useful to the readers
• Papers that report “original and significant” findings that are
likely to be of interest to a broad spectrum of its readers
• Papers that are well organized and well written, with clear
statements regarding how the findings relate to and advance the
understanding/development of the subject
• Papers that are concise and yet complete in their presentation
of the findings
141. What is not acceptable
What is not acceptable
• Papers that are routine extensions of previous reports
and that do not appreciably advance fundamental
understanding or knowledge in the area
• Incremental / fragmentary reports of research results
• Verbose, poorly organized, papers cluttered with
unnecessary or poor quality illustrations
• Violations of ethical guidelines, including plagiarism of
any type or degree (of others or of oneself) and
questionable research practices (QRP)
142. Table Talk
• What key points to check before submitting
your manuscript for publication?
• What criterion one needs to follow to
reproduce a figure or table from the published
paper?
• Discuss the importance of adding institute
affiliation and acknowledgment section in the
manuscript.
143. Where to Publish
• It goes almost without saying, you will want to
publish in peer-reviewed journals, but within
that category, you may want to distinguish
between:
– Top tier vs. lower tier
– Society vs. general audience journals
– Theoretical vs. empirical journals
144. Open Access Journals
• “Open access journals” are serial publications
whose content is free – at no financial cost –
for the reader to read.
• Issues surrounding copyrights, dissemination,
and content re-use are advantages of open
access publications.
• Shifting costs, reputation, and the digital-only
nature of open access can be disadvantages.
145. Definitions:
Plagiarismto worry about
Issues and Self-Plagiarism
• Plagiarism: using the ideas or words of another
person without giving appropriate credit (Nat. Acad.
Press document)
• Self-Plagiarism: The verbatim copying or reuse of
one’s own research (IEEE Policy statement)
Both types of plagiarism are considered to be
unacceptable practice in scientific literature
146. ACS Publication Policy
Plagiarism statement for Ethical Guidelines
January 2009
B. 9. It is the responsibility of the author to ensure that the submitted manuscript
is original and shall not contain plagiarized material. Plagiarism is passing off
another person’s work as one’s own, i.e., reusing text, results, or creative
expression without explicitly acknowledging or referencing the original
author or publication.
Authors should be aware this includes self-plagiarism, defined as the reuse of
significant portions of the author’s own published work or works, without
attribution to the original source. Examples of plagiarism include verbatim
copying of published articles; verbatim copying of elements of published articles
(e.g., figures, illustrations, tables); verbatim copying of elements of published
articles with crediting, but not clearly differentiating original work from previously
published work; and self-plagiarism.
It is the responsibility of the author to obtain proper permission and to
appropriately cite or quote the material not original to the author. In this context,
“quote” is defined as reusing other works with proper acknowledgement.
Appropriate citation applies whether the material was written by another author or
the author him or herself.
147. What is Self-Plagiarism?
• How you describe your research is also part of
the creative process
• Your WORDS matter, not just your results
• Even things that may seem mundane to you
(e.g., experimental description) need to be
original
• Verbatim sentences need to be put in
quotations marks
148. Tools to Catch Self-Plagiarism
• Show Ithenticate Example
149. Other Types of Ethical Violations
Other things to worry about
• Duplicate publication/submission of research
findings; failure to inform the editor of related papers
that the author has under consideration or “in press”
• Unrevealed conflicts of interest that could affect the
interpretation of the findings
• Misrepresentation of research findings - use of
selective or fraudulent data to support a hypothesis
or claim
150. Table Talk
• Is it OK to post a copy of a presentation on
your website that includes figures from one of
your published papers?
• What should you do if you read a research
paper that presents results as new and you
realize that you have seen the same results by
those authors in another paper?
151. What do I do now?
- Publish original and significant findings
- Choose appropriate journal for the material
- Take care to avoid all forms of self-plagiarism
152. Resources
• ACS Ethical Guidelines to Publication of Chemical Research –
http://pubs.acs.org/userimages/ContentEditor/1218054468605/ethics.pdf
• Journal Citation Reports – http://eresources.library.nd.edu/databases/jcr
• Thorough introduction to open access publishing - http://bit.ly/oa-
overview
• Whitesides, G. M. Whitesides' group: Writing a paper. Adv. Mater. 2004,
16, 1375-1377.
• ON BEING A SCIENTIST, RESPONSIBLE CONDUCT IN RESEARCH, NATIONAL
ACADEMY PRESS, 1995
(http://www.nap.edu/openbook.php?record_id=4917&page=R1 ) Kamat,
P. V.; Schatz, G. C. Getting your Submission Right and Avoiding Rejection. J.
Phys. Chem. Lett. 2012, 3, 3088-3089.
• Publishing your research 101 Video clips
http://pubs.acs.org/page/publish-research/index.html
153. BREAK
We will resume at 3:45
Animal research session is in the Ballroom
Human Subjects session is in the Notre Dame Room
154. Animal Research and
Laboratory Safety
Mark Suckow
Assistant Vice President for Research
Director, Freimann Animal Care Facility
155. Numbers in Perspective
10000
9,031
9000
Millions of animals killed
8000
7000
6000
5000
4000
3000
2000
1000
365
1 26 150 27 38 105
0
Research exc. Mice, rats and birds rats and birds
Research inc. Mice, Hunting Killed by Automobiles
Ducks for food sheep, calves for Pigs for food Chickens for food
cattle, food
156. René Descartes
Animals are just
machines and thus
incapable of
thinking
Philosopher & Mathematician
(1596-1650)
157. Jeremy Bentham
“But a full-grown horse or
dog is beyond comparison a
more rational, as well as a
more conversable animal,
than an infant of a day, or a
week, or even a month, old.
But suppose the case were
otherwise, what would it
avail? The question is not,
can they reason? Nor, can
they talk, but can they Founder of Modern Utilitarianism
suffer?” 1748-1832
Utilitarianism: If the good outcome exceeds the cost,
then an act is acceptable
158. The Importance of
Animals in Biomedical Research
Most of our children have not even heard
of, much less know anything about, many
of the diseases our ancestors experienced
first-hand. Why? They have either been
eradicated or can be controlled due to
findings from research using animals.
159. A Brief History
• FDR 1935, Social Security Act:
$2 million/year for disease research
• Surging economy post WW II
• Taxpayer funding for health-related
research
• Explosive increase in biomedical
research
160. Post WWII lab animal care
• Housing - homes, basements, barns...
• Food - leftover table scraps
• Caging - wooden, wire
• Bedding - dirty, vermin
• Ventilation/temperature
- no control
• Care - variable
161. Problems
• Animal health concerns
• Surgery and procedure sites
• Inability to repeat research results
162. Imperatives for Animal Use
Nuremberg Code 1949
• Any experiment on humans “should be
designed and based on the results of animal
experimentation”
The Declaration of Helsinki 1964
• Medical research on human subjects “should
be based on adequately performed laboratory
and animal experimentation”
163. Animal Care Panel
1950
• Veterinarians
• In 1967, name changed to:
American Association for Laboratory Animal
Science (AALAS)
164. Guide for the Care and Use
of Laboratory Animals
• 1963 first Guide
by Animal Care Panel
• Revisions: „65, „68, „72,
„78, „85, ‟96, and 2011
165. Guide for the Care and Use of
Laboratory Animals
• Basis for PHS evaluation of animal care
and use program. Failure to follow the Guide
can result in loss of funding to the institution
• Also used by accrediting agency
(AAALAC).
• Government publication
166. The Guide for the Care and Use of
Laboratory Animals
• Outlines and provides references for:
– Veterinary care
– Euthanasia
– Housing and environment
– Personnel qualifications
– Sanitation
– Surgical and post-operative care
– Facility construction
167. The Animal Welfare Act (AWA)
• Passed in 1966
• “Pepper” the stolen
Dalmation, Sports Illustrated
• Life Magazine feature
168.
169.
170. Laboratory Animal Welfare Act
• Passed in 1965; 1966 - Public Law 89-544
• Unannounced USDA Inspections at least annually
• failure to follow the law can result in fines or jail
• Principal purposes:
– Regulate research use of dogs, cats, rabbits, hamsters, guinea
pigs, and nonhuman primates
– Establish standards for housing, transportation, and “adequate
veterinary care” provided by or under direction of a veterinarian
171. Institutional Animal Care and Use
Committee (IACUC)
• Mandated by
USDA, PHS, NSF, accrediting and
funding agencies
• Designates “Institutional Official (Dr.
Robert Bernhard)
• Charged with reviewing and oversight
of animal care and use
172. The IACUC Assures
• Animals are used only when justified; minimum number used;
alternative replacements have been ruled out.
• If procedures that might potentially cause pain are to be
used, adequate pain-relieving medicine is used.
• That personnel working with animals are properly trained
and protected.
• Veterinary care is provided
• Animals are housed safely in clean conditions, with fresh food
and water.
173. Who serves on the IACUC?
• PHS: at least five members
– Chair (Dr. Jeff Scorey)
– Veterinarian (Dr. Mark Suckow)
– Scientist (multiple members)
– Non-scientist (Valerie Schroeder)
– Community member (Dr. Prentiss Jones)
174. What does the IACUC do?
• Review animal care and use protocols
• Ensure training of personnel
• Review occupational health related to
animal exposure
• Inspect animal housing and use areas
• Meets monthly
175. First Step: The IACUC Protocol
• Before any research or teaching using
vertebrates or tissues from
vertebrates, including field research.
• Form available at Office of Research
website (http://or.nd.edu/forms/forms-
list/)
• Contact Tracey Poston, Director of
Research Compliance (1-1461)
176. IACUC Protocol
• Species, type of animal
• Number to be used (with justification)
• Lay description of project and goals
• Description of animal use procedures
and how they connect
177. IACUC Protocol
Alternatives
◦ The Principles of Humane
Experimental Technique - 1959
◦ Replacement
◦ Reduction
◦ Refinement
Assurance that project does not unnecessarily
duplicate previous work.
178. IACUC Protocol – Some Specifics
• Justify any exceptions to standards
– -housing, bedding, light, etc.
– -use of non-pharmaceutical grade drugs
• Describe likely phenotypes or clinical
outcomes
• State specific endpoints
• Describe methods to eliminate or minimize
any pain or distress
179. Additional Specifics
• Describe any hazards and steps to
mitigate risk
– Biohazards
– Chemical
– Radioisotopes
• Carefully describe who performs
procedures and qualifications
180. AVMA Guidelines on Euthanasia
• Basis for most IACUC determinations of
humane or acceptable euthanasia
• Justification required if method is not
recommended
• Most recent edition published
in June 2007
181. IACUC Protocol Review
• Does the research address an important question?
• Does the research require the use of animals?
• Is the research necessary, in that it does not needlessly
repeat previous work?
• Is the experience of each animal in the study adequately
described and justified?
182. IACUC Protocol Review
• Reviewed by entire committee
• Approve; approve with modifications;
withhold approval
• Decisions cannot be overruled
• Typically 1 -2 months for approval
183. Protocol Amendments
• Any change to protocol:
personnel, species, number, procedur
es/methods, etc.
• Form available at Office of Research
website
(http://or.nd.edu/forms/forms-list/)
184. Training
• Required and key to success!
• Basic on-line training for all
– Valerie Schroeder, RVT (1-6087)
• Specialized on-line training
• Hand-on training
185. Occupational Health for Animal Users
• Anyone handling animals or entering
facility
• Risk-based assessment
• Allergy
• Vaccinations
• Contact Jenna Leevy at RMS (1-5037)
186. Where do you fit in?
• Do not begin any studies before protocol
approval
• Training and occupational health
• Report any animal-related concerns to
IACUC
• Handle animals with care and
compassion
187. Where is Animal Research Done at
Notre Dame
• Freimann Life Science Center
– -Dr. Mark Suckow, DVM, Director (1-6085)
– -Main site on campus; administrative center
– -35,000 sf
• Raclin-Carmichael Hall
• Some laboratories
• UNDERC (mostly field studies)
• Other field sites
188. Freimann Life Science Center
• All animals ordered through FLSC
(contact: Kay Stewart, 1-6085).
• Highly skilled technical staff
• Access is controlled
• Several procedure rooms, but clean up
your mess!
189. Why Should We Do Any of This?
• USDA Regs are part of Public Law
• Freedom of Information Act 1966
• If taxpayer $$ are used, public can access information
• USDA inspection reports on the web (off and now on again…)
• Negative Outcomes
– -Loss of funding
– -Loss of ability to do animal research
– -Public perception of Notre Dame
• It‟s in the interest of the animals!
190. General Rules for Working with Animals
• The use of any animal or animal tissue is a privilege, not a right.
• Animals feel pain and distress just as humans do.
• Experiment should be done with the lease possible infliction of
pain, suffering, and distress.
• The Principal Investigator is required to determine that there is not an
alternative technique to animal use.
• ANY experiment involving animals or animal tissues must be approved by
the IACUC.
191. Laboratory Safety
• YOU are responsible for your safety
• Integrated Laboratory Safety Plan
• Follow all rules, take all precautions – no
short cuts!
• Questions/Concerns: call RMS at 1-5037
194. Research on Human Subjects
Darcia Narvaez
Chair, Institutional Review Board
Department of Psychology
195. Evolution of Institutional Review Boards (IRBs)
1974 National Research Act, established the National Commission for the Protection of
Human Subjects of Biomedical and Behavioral Research.
Charged with identifying the basic ethical principles that should underlie the conduct of
biomedical and behavioral research involving human subjects and to develop guidelines
which should be followed to assure that such research is conducted in accordance with
those principles.
The National Commission for the Protection of Human Subjects of Biomedical and
Behavioral Research prepared the Belmont Report in 1979. The Belmont Report attempts to
summarize the basic ethical principles identified by the Commission in the course of its
deliberations.
In 1981, the Department of Health and Human Services (DHHS) and the Food and Drug
Administration (FDA) issued regulations based on the Belmont Report.
DHHS issued Code of Federal Regulations (CFR) Title 45 (public welfare), Part 46 (protection
of human subjects). The FDA issued CFR Title 21 (food and drugs), Parts 50 (protection of
human subjects) and 56 (Institutional Review Boards).
196. The Common Rule
The “Common Rule” is the set of regulations which were developed to
ensure compliance with the principles of the Belmont Report. The
regulations fall under the Department of Health and Human Services.
These regulations have been adopted by many other federal
departments which regulate human research.
There are many other regulations with which the University of Notre
Dame are required to comply, such as the Food and Drug
Administration, but these are all in addition to the “Common Rule”.
197. Basic Principles of
the Belmont Report
1. Respect for Persons
2. Beneficence
3. Justice
198. Respect for Persons
• Treat individuals as autonomous agents
• Do not use people as a means to an end
• Allow people to choose for themselves
• Provide extra protections to those with diminished autonomy
(i.e., Prisoners, Children, Cognitively Impaired, etc.)
199. Beneficence
• The two general rules formulated from the principle of beneficence
are:
First, do no harm
Second, maximize possible benefits and minimize risks
200. Justice
• Treat people fairly
• Fair sharing of burdens and benefits of the research
An injustice occurs when:
1. benefits to which a person is entitled are denied without
good reason, or
2. when burdens are imposed unduly.
201. What Is Research?
45 CFR 46.102(d)
• Research means a systematic investigation, including research
development, testing and evaluation, designed to develop or
contribute to generalizable knowledge. Activities which meet this
definition constitute research for purposes of this policy, whether or
not they are conducted or supported under a program which is
considered research for other purposes. For example, some
demonstration and service programs may include research activities.
202. What Are Human Subjects?
45 CFR 46.102(f)
• Human subject means a living individual about whom an investigator
(whether professional or student) conducting research obtains
– Data through intervention or interaction with the individual, or
– Identifiable private information.
203. IRB Review of Research
• All research projects are categorized into one of three categories for
the IRB review process. Each category is different in the level of
scrutiny and submission procedures. The IRB is responsible for
making the final decision of which category a research project falls
under.
Full
Expedited
Exempt
Research Not Involving Human Subjects
204. The IRB has the authority to:
• Approve
• Require modifications prior to approval
• Table
• Disapprove all research activities including proposed
changes in previously approved human subject
research.
205. The policy of the University of Notre Dame, and most other colleges and
universities in the U.S., mandates that all human subject research be
reviewed and approved, regardless of funding.
Structure of University of Notre Dame’s IRB
Federal guidelines partially define IRB membership:
Community representative unaffiliated with the university
Non-scientist
Diverse
Membership (9 appointed members)
Professional
Volunteer
Methodological diversity (quantitative and qualitative)
Disciplinary diversity
Centers and Institutes represented (Kroc, ACE, ISLA, CSR)
206. Human subject research at Notre Dame:
• Surveys and interviews (international, national, local, and elite)
• Community based research
• Laboratory experiments
• Ethnographic research
• DNA Research
• Internet based research – forums and chat rooms
207. Challenges faced by Notre Dame’s IRB:
• Student Research (Undergraduate and Graduate)
Lack of familiarity with issues in human subject research
Training in methodology and research ethics
Personal security
Data security
• International Research
Vulnerable populations
High risk areas
Ethical issues
Student involvement
Research may begin before approval of research
• Biased perceptions of the IRB
• Lack of knowledge of human subject research and IRB processes
• Non-Social Science researchers venturing into human subject research
Editor's Notes
Chris and Bob – here are the points we want you to make:Emphasis on the importance of RCR/Ethics across disciplinesFocus on practical ethics and rcr components Situations that you will likely encounter in your graduate career We want you to be able to recognize these Provide you with resources to help if/when they happen to youPromote lunch time speakerEncourage full participation throughout the dayMorning through lunch – all studentsAll day – all students potentially on funded research
As an undergraduate – primary issue involves plagiarism of external sourcesGraduate work– introduces the issue of inappropriate use of peer work
5-7 minutes for discussion; Introduce these discussion points then display next slide with framework
5-7 minutes – ask for volunteers
Awareness & Analysis: Traditional focus of most ethics classes (corporate or academic); necessary precursorsAction: GVV begins with: “What if you were going to act on your values? What would you do and say?”and then focuses on the tools for doing so; critical next stepNote my article on GVV as resource for leadership and effectiveness development for emerging professionalsResearch tells us we are more likely to make ethical decisions if we anticipate them, practice them, voice them in front if peers; those who successfully displayed moral courage have the experience in common of having voiced values in front of peers and explicitly considered decision-making prior when stakes weren't as high;It’s about anticipating common reasons and rationalizations for unethical behavior, developing strategies for confronting them, practicing these strategies with dilemmas relevant to our professional activities (“scripting”) and engaging in peer discussions (“peer coaching”). Ethical fading = allowing the ethical dimensions of a situation to fade to the background – “rationalizations” – for perceived “practical” considerations (financial, immediate, etc.)There has been a series of articles circulating in the business/psychology domains accusing authors of manipulating results etc. It is a big deal, with thoughts it may lead to revocation of tenure.In terms of Blind Spots, the main idea is we are all vulnerable to making unethical choices. We need to recognize, look where ethical fading may occur, look at reward systems for institutions and decide whether it fits with ours and look at situations where we allow motivated blindness to occur (where we are motivated not to see the unethical behavior of others and hence don't give voice to values).
Consistent with Aristotelian ethics of virtue and character
Student is “caught up” in dual relationship with faculty mentor– as mentor and as bossWork for company vs. work to complete degree (time and effort)Intellectual property – data and ownershipSupervised and evaluated by same person in two different rolesPaid for only one activity, with future job offer as incentive
The researcher’s *intent* is key to whether or not a particular project falls within this definition of research.