Integrity Workshop

John C. Galland, Ph.D., Director*

Matt Tabora-Roberts, M.F.A.
A Grueneberger,
Art
G
b
M.F.A.
MFA
*Division of Education and Integrity
Office of Research Integrity
United States Department of Health and Human Services
Quest for Research Excellence
Ethical Considerations in Research Collaborations
Seattle, WA
September 22
22-23,
23 2011

ORI Promotes integrity of

PHS-supported research
DIO
Regulation
(FFP)

Honesty of the record (FFP)

DIO Mission: Oversee institutional
investigations of research misconduct when
research is supported by PHS funds

Responsible conduct (RCR)

DEI Mission: Prevent research misconduct;
promote research integrity; protect the research
record; conserve federal resources; & guard
public trust

DEI
Education
(RCR)

Guardians of the Trust:

R
Responsible
ibl
A ffor:
Shared Responsibility
1. Assessing & adjusting
Professional
their ethical
climates
2 Supporting
2.
S
i Societies
the
h
individual researchers
ability to function at
the leading edge of
professional integrity
Sponsors

(NIH
study
yp
panels))
NAS -Integrity
Integrity in Scientific
Research: Creating an
Environment that Promotes
Responsible Conduct (2002)
Government
Institutions

Press
Vendors

DIO
Community
Regulation
(FFP)
Researcher
DEI
Public
(Whistleblowers)
Education
(RCR)

Industry

Publishers
& editors
(peer
review)

Partnerships for Success

What jeopardizes research

i
integrity?
i ?
Anything that introduces uncontrolled
variation into the dataset?
An experimentalist approach

When self interest replaces truth as the

primary goal
Pellegrino,
g
, ED. Character and the ethical conduct of research.
Accountability in Research 1992:2:1-11.

Legal Definition of Research

Mi
Misconduct
d
Fabrication, Falsification,
f
or
Plagiarism (FFP) in proposing,
performing, or reviewing research,
or in reporting research results
What iff you were to add another letter
what would it stand for?

DEI Roles Cloud

Educate

Disseminate

Research

manage

Assure
Review
Provide

Build
F
u
n
d

Enha
ance

Communicate
Ease
Administer

Guide
supply

DIO & DEI Working Together

FFP=Falsification,Fabrication,Plagiarism
QRP=QuestionableResearchPractices
RCR=ResponsibleConductofResearch
ERP=ExceptionalResearchPractices

Frequency

.1%
1%
1%
FFP

QRP

99 9%
99%99.9%
RCR

ResearchPerformanceLevel

ERP

Reasons for RCR Instruction

To Prevent scientific misconduct (FFP)
To reduce questionable research practices
(QRP)
Required for trainees and human-subject
researchers in US
Required for NSF funded students & scholars
To enhance compliance
p
with regulations
g
To reduced litigation costs
To reduce sanctions
To earn and maintain the public trust

Assumption
The vitality of our world
worlds
s people and
economy depends on researchers who
are innovative and act responsibly.
responsibly
Yet

ORI Introduction to the Responsible Conduct of Research, Nicholas H. Steneck; http://ori.dhhs.gov/documents/rcrintro.pdf

Expectations: Establishing a
Research Program
What Hurdles Must be Jumped?

Colleagues,
g
Dean ((establish independent
p
research program & national reputation)
Other responsibilities: Scholarship in teaching,
directed service
service, and undirected service;
life/work balance
RFA
Preliminary data
Application
IRB & other certifications/assurances
Collaborating institutions
Community gatekeeper
Human participant
http://www.gocrimson.com/sports/track/2009-10/photos/TFC_0809_Yale_Hurdles_845.jpg

RCR Instructional Areas

Research
misconduct

Human
Subjects

Animal
Welfare

Data

Mentor/
Trainee

Acquisition,
Management,
Sharing, &
Responsibilities
O
Ownership
hi

If yyou were to add another core

area, what would it be?
Publication
Practices &
Responsible

Authorship

Peer Review

Conflict of
Interest and
Commitment

Collaborative
Science

Responsibility
R
ibilit
of
Researchers
in Society

Scope of RCR Education

Information about compliance (i.e., rules,
regulations,
l ti
policies,
li i
guidelines)
id li
)
The ethics of the research itself and of the research
process
Abilities that give rise to ethical behavior Making
morally defendable decisions
ethical sensitivity, reasoning and judgment, identity
formation habits (James Rest, 1983)
formation,

The relationships involved and the manner in which

the research is conducted (that reduces uncontrolled
variability) including its planning
planning, execution
execution, inferring
inferring, &
reporting
The situation or conditions (location, urgency) under
which planning and execution depends

What we really want

want
Researchers to act responsibly
p
y
Research institutions to act responsibly
p
y by
y
fostering an environment of research integrity
Acting responsibly is more than conforming to
government regulation
How can a culture of ethics be created and
sustained in a research environment?

Advancing
g Values:
Its about character
Shared Values in the Culture of Science

Honesty
Accuracy
Acc rac
Efficiency
Objectivity

Photo http://2012hoax.wdfiles.com/local--files/einstein/albert-einstein1.jpg
Values: ORI Introduction to the Responsible Conduct of Research, Nicholas H. Steneck; http://ori.dhhs.gov/documents/rcrintro.pdf

Virtues-Based
Virtues
Based Research Integrity?

Whatt list
Wh
li t off virtues
it
should
h ld b
be emphasized
h i d as
necessary and appropriate to flourish as a
researcher?
How should they be determined?
p
y
How should theyy be ranked in priority?
Can we agree that:
There is such a list of virtues?
Flourishing is the goal?
Role models are necessary to be or become
virtuous
it
researchers?
h ?
http://www.mlahanas.de/Greeks/Aristotle/AristotleAlexander.jpg

Humes Ethics
Just knowing that research misconduct is
wrong is not sufficient to motivate right
conduct
Right
Ri ht research
h conduct
d t mustt b
be a passion
i
That passion defines our virtues, and
whether we honor or break our contracts

Photo: www.intellectuallychallenged.co.uk/id4.html

Inferences from Humes

Hume s Ethics?
Persons have to be repulsed
p
by
y acts of research
misconduct to avoid it themselves or report it
when observed in others
Persons committing misconduct must not feel the
pain such acts have on others or feel that the
pain
i to themselves
h
l
and
d others
h
iis negligible
li ibl
Need education and experience to be sensitive
Right action needs to be practiced; to become
habit

Mini Workshop

1.
2
2.
3.
4.
5.
6.
7.
8.
9.
10
10.
11.
12.
13.
14.
15.
16.
17.

M-L 08 10 12
M L 20 22 24
M-L
M-L 32 34 36
M-L 44 46 48
M-L 47 45 43
M-L 35 33 31
M-L 23 21 19
M-L 11 09 07
J-H 02 04 06
J H 14 16 18
J-H
J-H 26 28 30
J-H 38 40 42
J-H 53 51 49
J-H 41 39 37
J-H 29 27 25
J-H 17 15 13
J-H 05 03 01

18. F-E 08 10 12
19 F-E
19.
F E 20 22 24
20. F-E 32 34 36
21. F-E 35 33 31
22. F-E 23 21 19
23. F-E 11 09 07
24. C-B 02 04 06
25. C-B 14 16 18
26. C-B 26 28 30
27 C-B
27.
C B 29 27 25
28. C-B 17 15 13
29. C-B 04 03 01
30. A-BB 08 10 12
No # A-BB 11 09 7

Recall Steps of the Scientific

M h d
Method

Experiment: What are the

Ch
Characteristics
i i off your best
b
boss
b

Research Excellence Formula

RE =

T + R+ V+ C

RE = 0T + 1R + 2V + 3C +
Aspire
sp e to
to: 0 = 1 = 2 = 3 = 1.0
0
Reality:

= 0.8

Engineer:

= 2.4

How can you achieve > 1?

OCSC.com

Experiment: Work of Art

Presumption

Experiment:
p
Working
g
Together
Story
CELEBRATION
CELEBRATION
ACCEPTANCE

RESPECT

UNDERSTANDING
UNDERSTANDING

TOLERANCE
TOLERANCE

Celebration
Acceptance
Respect
Understanding
Tolerance

Adaptab
bility
Adaptability

Innovat
In
nnovation
tion

Diverrsity

Discov
Disccovery
ery

Leveraging Diversity

Stages in Team Development

Productivity
Diverse
teams

100

Homogeneous
teams

50

0
T1

T2

Time

 Sputnik provided the

motivation
JFK provided
id d the
th
envisioned future
The astronauts provided
the heroes
The labor of researchers
made it happen

From whom will our

motivation vision
motivation,
vision, heroes
and laborers come?
From You?

Inspiration: Innovation &

Problem Solving

A ll 13
Apollo

Experiment: Alternative Use

You have 300,000
b ll point
ball
i t pens iin
your warehouse.
B ll point
Ball
i t pens are
no longer needed
f writing.
for
iti
Thi
Think
k off
30 alternative uses
f your 300,000
for
300 000
ball point pens.

Improv-imation
Improv
imation (Labadabadoo)
What
Whats
s going to happen?

Experiment: Your Scenarios

Character 1:
Character 2:
Conflict between them:
Setting:
Other Information:

Inferences from Experimentation

Courageous conversation
Problem behind the problem
Ask
A k for
f what
h t you wantt

Experiment: Ascites

Inferences from Ascites

Experiment
Trust
Understanding
Presumptions
Allegiances

Experiment: Thermocycler
Thermocycler

Why did we do this experiment?

What did you observe?
H
How
did you ffeel?
l?
What inferences can you draw?

Thank You
Office of Research Integrity
1101 Wootton Parkway, Suite 750,
Rockville MD 20852
http://ori.hhs.gov
p
g ((website))
askORI@hhs.gov (email)