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RESEARCHINTEGRITY:ENGINEERINGANDTECHNOLOGY
ORIENTATION
Introduction
TIME:3MINS
Screenchallenge
Inbriefwhyacourseonresearchintegrity?
Whyacourseonresearchintegrity(RI)/researchethics?
Glossarytermresearchintegrity(RI)/researchethics
Thiscourseisaboutresponsibleprofessionalbehaviourinresearch.Coursessuchasthisarevariouslycalled'researchethics',
'researchintegrity','scientificdishonesty',or'responsibleconductofresearch'.Wehavechosentheterm'researchintegrity'forthe
course.Iftheterm'integrity'doesnottranslatereadilyintoyournativelanguage,thinkofitsimplyasameasureofhowwellyou
liveuptoyourprofessionalresponsibilities.
Whyisresponsibilityinresearchimportant?Forthesimplereasonthatresponsiblebehaviourisafundamentalcomponentofquality
research.Researchintegrityisnotsomethingyougobackandconsiderwheneverythingelseisdone,norisitasetofbureaucratic
hoopstojumpthrough.Sound,reliableresearchbeginswithknowingandmeetingyourresponsibilitiesasaresearcher.
Ourgoalinwritingthiscourseistoprovideyouwithabasicoverviewofyourresponsibilities.Itisthenuptoyoutomeetthem.By
theendofthecourse,youshouldbeableto:
Know,understandandexplainthekeyresponsibilitiesyouhaveasaresearcher
Identifythechallengesyoucouldfaceinmeetingthoseresponsibilities
Beawareofstrategiesfordealingwithpressuresanddifficultsituations.
Youarecurrentlystartingonthecoursedesignedforengineeringandtechnologyresearchers.Theresponsibilities,challengesand
examplespresentedshouldbeapplicabletoyourwork,butnocoursecanbedesignedspecificallyforyourpreciseresearchinterests.
Wehopethereforethatyouwillusethesuggestionswehaveprovidedforadditionalstudytoexploreinmoredetailtheparticular
challengesandresponsibilitiesrelatingtoyourownwork.YoumayalsofinditusefultoexploreoneoftheResearchIntegritycourses
designedforotherdisciplinaryareas:
Artsandhumanities
Engineeringandtechnology
Naturalandphysicalsciences
Socialandbehaviouralsciences.
Oneofthemostexcitingaspectsofmodernresearchisitsgrowinginterdisciplinarity.Engineersandbenchscientistsworkwith
medicalresearchershumanitiesscholarsworkwithinformationtechnologyandcommunicationscholarssocialscientistsincreasingly
incorporatethenaturalsciencesintheirwork.
Setalongsidethistrendistheincreasinglyinternationalnatureofresearchcollaborationsandthegrowingneedforcommon
standardstowhichallresearcherscanwork,nomatterwheretheyarebased.Inwritingthiscourse,wehavecateredasfaras
possibletoaworldwideaudience:werefertorulesandregulationsfromEurope,theUK,Ireland,Australia,Singapore,HongKong
andvariousothercountrieswhereverpossible.WealsorefertopoliciesandpracticesfromtheUSA,wheremuchoftheresearchinto
misconducthasbeendoneandmanyoftheideasaboutintegrityofresearchhavebeenformallyarticulated.
Asauthors,wehaveworkedasaninternational,interdisciplinaryteamtodevelopthiscourse,withtheultimategoalofhelpingyou
ensurethatyouconductqualityresearch,withintegrityplayingapositiveroleinyourcareerasyouworktodiscovernewknowledge
thatwillbenefitsociety.
GlossarytermInterdisciplinarity
Thecharacteristicofresearchthatusesthetoolsormethodsofmorethanonediscipline.
TheResearchIntegrityAuthorTeam
July2012
https://www.epigeum.com/downloads/ri_accessible/aus/03_engineering/html/orientation/en_introduction.html
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Introduction
Coursefeatures
Thiscoursehasarangeoffeaturesdesignedtohelpyoutolearnandtoapplythecontenttoyourownsituation.
Boxes
Attheendofmanyofthecoursesections,thereareboxescontainingextrainformationoractivities.Forexample,thereisoneatthe
endofthissectionlabelled'Usefulinformation'.Theseboxesrevealmoreinformation.
Theseboxesaredesignedtopresentadditional,supplementaryandsupportinginformationandactivities.Inparticular,the'Optional
activity'boxesprovideopportunitiestoextendyourstudybeyondtheconfinesofthiscourse.
Someofthemresultindocumentsthatcancontributetoaresearchintegrityportfoliotheseareidentifiedbythepresenceofa
'portfolio'icon.
Icons
Certainkeyfeaturesofthecoursehavebeenidentifiedusingicons.Inthefollowingsection,youwilllearnwhateachiconsignifies.
Portfolioicon
Thisisusedtohighlightoptionalactivitieswhichresultindocumentsthatcouldusefullybesavedforfuturereferenceorfor
assessment.Youshouldsavetheworkyouproducefromtheseactivitiestoformpartofyourresearchintegrityportfolio.Youcan
accessthecourseportfoliofromthe'Download'podonthisscreen.
Casestudyicon
Thisisusedtoindicatereferencestoreallifesituations,scenariosandpotentialapplications.
'Dothis'icon
Thisisusedtoindicateparamountprincipleswhichstandaboveallothersandshouldbekeptinmindatalltimes.Theseprinciples
areidentifiedbyorangetext.
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Screenduration
Atthetopofeachscreenyouwillseeanumbershowingtheapproximatetimeitwilltaketocompletethescreen,includingvideo
lengthsandtimeforreflectionwhereappropriate.Pleasenotethatthesescreentimesareindicativeonly.
Usefulinformation
Youwillfindpopupboxesofthisnaturespreadthroughoutthecourse.Theyareorganisedintothefollowingcategories:
Optionalactivity(tofurtherextendyourthinking)
Download(containingfurtherinformationtodownloadandsave,printorfillin)
Usefullink(forexample,torelevantpoliciesororganisations)
Yourcontext(indicatingareaswhereyoumayneedtofindoutthepolicyatyourparticularinstitutionorinyoursubjectarea)
RIinthenews(linkstorecentnewsstoriesorjournalarticles)
RIinpractice(videointerviewswithresearchersofalllevelsreflectingontheirownexperiencesandadvice)
Keyterms(definitionsofparticularterms)
Usefuladvice(doeswhatitsaysonthetin!)
Quotation(interestingorthoughtprovokingcommentsrelatingtothesubjectinquestion)
Statistics(factsandfiguresrelatingtoresearchintegrity)
Download
Clickheretodownloadthecourseportfoliodocument.Thisdrawstogethersupplementaryinformationfromthroughoutthecourse
andprovidesaspaceforyournotesasyouworkthroughthematerial.
ORIENTATION
Coursemap
TIME:2MINS
Screenchallenge
Tointroduceyoutothecoursestructure.
Coursestructure:
Welcome
Introduction
Coursefiles
Module1:Introduction
Module2:Designing
Module3:Conducting
Module4:Reporting
Module5:Responsibilitiestosociety
Application
Application
Closing
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Introduction
Coursesummary
Resourcebank
Guidetoresearchpoliciesandguidelines
References
Coursequiz
ORIENTATION
Authorprofiles
TIME:2MINS
Screenchallenge
Completingthissectionwillintroduceyoutothecoursedevelopmentteam.
Leadauthor:LorelleMeadows,PhD
LorelleMeadowsisAssistantDeanofAcademicProgramsintheCollegeofEngineeringattheUniversityofMichigan.Sheis
primarilyresponsibleforthedesign,managementanddeliveryofthefirstyearprogrammetoundergraduatestudents.Withinthis
programme,sheworkstoimprovetheengineeringfaculty'sdeliveryofcontentaddressingtheprofessionalresponsibilitiesofthe
practisingengineerandresearcher.Herprimaryresearchexperienceandinterestslieinthedevelopmentofunderstandingofthe
influenceofphysicalprocessesonthenearshorezone.Manyoftheresearchprojectsinwhichshehasbeeninvolvedtakean
interdisciplinaryapproach,improvingecosystemunderstanding,healthandmanagement,andprovidingameansofbringingresearch
expertiseintotheclassroom.Shealsohasanactiveresearchprogrammeinengineeringeducation,exploringteamworkinteractions
intheengineeringclassroom.
Leadadvisor:ProfessorNickSteneck,PhD
DirectoroftheResearchEthicsandIntegrityProgramoftheMichiganInstituteforClinicalandHealthResearchandProfessor
EmeritusofHistoryattheUniversityofMichigan,NickSteneckisalsoaconsultanttotheFederalOfficeofResearchIntegrity,HHS.
Hehaspublishedarticlesonthehistoryofresearchmisconductpolicy,teachingandlearningoftheresponsibleconductofresearch,
theuseofanimalsinresearch,classifiedresearchandacademicfreedom,theroleofvaluesinuniversityresearch,andresearchon
researchintegrity.
Leadreviewer:ProfessorJanuszBialek,PhD
JanuszBialekhasMEngandPhDdegreesinElectricalEngineeringfromWarsawUniversityofTechnology.Hehasheldacademic
postsatWarsawUniversityofTechnologyandtheUniversityofEdinburghandnowholdstheChairofElectricalPowerandControl
atDurhamUniversity.
Authorteam
ProfessorMelissaS.Anderson,PhD
MelissaAndersonisprofessorofhighereducation,withaffiliatemembershipinbioethics,attheUniversityofMinnesota,USA.Her
workoverthepast25yearshasbeenintheareasofscientificintegrity,researchcollaboration,andacademyindustryrelations,with
afocusontheresearchenvironmentinrelationtoresearchintegrityandpostgraduateandpostdoctoraltraining.
ProfessorRaymonddeVries,PhD
RaymondDeVriesisaprofessorintheCenterforBioethicsandSocialSciencesinMedicineattheUniversityofMichiganMedical
SchoolandvisitingprofessoratMaastrichtUniversity(Netherlands).HeiscoeditorofTheViewfromHere:BioethicsandtheSocial
Sciences(Blackwell,2007),coeditorofQualitativeMethodsinHealthResearch(Sage,2010),andauthorofAPleasingBirth:
MidwiferyandMaternityCareintheNetherlands(TempleUniversityPress/AmsterdamUniversityPress,2005).
Dr.TerryMay
TerryMaygraduatedfromColoradoStateUniversity(BScandMSc)inWildlifeBiologyandtheUniversityofColorado(PhD)in
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Introduction
EnvironmentalBiology.Hisareaofresearchwasavianecology.HeiscurrentlytheFacultyConflictofInterestInformationOfficerat
MichiganStateUniversity,wherehehascoordinatedworkshopsforpostgraduatestudentsandpostdoctoraltraineesonthe
responsibleconductofresearchandhasdevelopedandtaughtacourseentitled'Thenatureandpracticeofscientificintegrity'.
Dr.AndrewRawnsley
AndrewRawnsley'sresearchexpertiseisinhermeneuticapproachestoethicsandaesthetics.Hehasworkedatseveraluniversities
includingStAndrews,Leuven,andTeesside.Heisactiveinthewidergraduateeducationcommunity,servingontheExecutive
CommitteeoftheUKCouncilforGraduateEducation(UKCGE).Hisexpertiseliesinresearchgovernanceandstandards,andhe
frequentlyconsultsforarangeofuniversitiesacrosstheUK.Andrewhasconsiderableprofessionalexperienceinpublishingand
media.
Reviewerteam
Dr.KarenMelham
KarenMelhamisanethicistattheUniversityofOxfordwhoseworkfocusesonregulationandgoodpracticeintranslationalhealth
research.
ProfessorKarenRoss,PhD
KarenRossisProfessorofMediaandPublicCommunicationandDirectorofPostgraduateResearch,FacultyofHumanitiesand
SocialScience,UniversityofLiverpool,UK.
Dr.RichardSugrue
RichardSugrueiscurrentlyHeadoftheDivisionofMolecularGeneticsandCellBiologyintheSchoolofBiologicalSciencesat
NanyangTechnologicalUniversity,Singapore.
Dr.RenYi
RenYiisDirectoroftheHigherDegreeResearchOfficeattheMacquarieUniversity,Australiaandisactivelyinvolvedwiththe
researchmanagementprofession.
Internationalversioneditor:TonyMayer
TonyMayerhasworkedintheUK,theUSA,Belgium,FranceandSingapore.HisexperienceincludesservingasScientificSecretary
totheEuropeanResearchAdvisoryBoardandasDirectoroftheCOSTOfficeinBrussels.HeiscurrentlytheResearchIntegrity
OfficerofNanyangTechnologicalUniversity,Singapore.HealsoservedasCoChairoftheFirstandSecondWorldConferenceson
ResearchIntegrity.
Accessibilityadvisor:WilmaAlexander
WilmaAlexanderiscurrentlysupportingelearningactivitiesfortheCollegeofHumanitiesandSocialSciencesattheUniversityof
Edinburgh.Sheisespeciallyinterestedinstaffdevelopmentandsupportusingelearningusabilityandaccessibilityofelearning
andprovidingajoinedupandcoherentexperienceofsupportinthehighereducationenvironment.Wilmaveeredintoelearningfrom
aMaster'sinHumanComputerInteraction,butherinterestinaccessibilitydatesfromearlierworkinInformationScienceandwith
museumsandgalleries.Shebelievesthattechnologyhashugepotentialforbreakingdownbarriersbetweenpeople,butthat
appropriateuseinaneducationalcontextrequiresastrongpedagogicfoundation.
Developedinconjunctionwith:
UniversityofBirmingham,UK
BrunelUniversity,UK
DublinCityUniversity,Ireland
DurhamUniversity,UK
EdithCowanUniversity,Australia
EMBO
UniversityofGreenwich,UK
UniversityofHuddersfield,UK
KingAbdullahUniversityofScienceandTechnology,SaudiArabia
LancasterUniversity,UK
UniversityofLiverpool,UK
MacquarieUniversity,Australia
UniversityofMichigan,USA
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MichiganStateUniversity,USA
MichiganTechnologicalUniversity,USA
NanyangTechnologicalUniversity,Singapore
NUIGalway,Ireland
UniversityofSheffield,UK
UniversityCollegeDublin,Ireland
WayneStateUniversity,USA
WesternMichiganUniversity,USA
Copyright,acknowledgementsandlegalnotice|TheEpigeumProductDevelopmentTeam
EpigeumLtd,2012
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Principlesandresponsibilities
MODULE 1: INTRODUCTION
TIME:6MINS
Screenchallenge
Ifyouhadtolistoneprimaryresponsibilityyouhaveasaresearcher,whatwoulditbe?
Thoughresearchersengageinmanydifferentactivities,forthemostparttheyshareacommongoalofadvancingknowledgeor
providingnewunderstandingofissueswhichareofcommoninterestandimportance.Thefactthattheirworkisofinteresttoand
relieduponbyotherscreatesanoverarchingresponsibilitytobehaveinatruthfulandhonestmanner.Indaytodaypractice,
however,researchersneedmorespecificguidanceonresponsibilitiesandthisguidancecomesfromdifferentsources.
Sourcesofresponsibility
Inthefollowingsection,youwillfindoutwhatahandyreferenceguidetoresponsiblebehaviourinresearchifitexistedwould
include.
Researchstandards:Rules,regulationsandotherguidelinesfortheresponsibleresearcher
Moststandards(rules,regulationsandotherguidelines)areontheweb,butyouhavetosearchforthem.Lookforlinksthroughout
thiscourse,orgotothe'Resourcebank'and'Guidetoresearchpoliciesandguidelines'sectionsattheendofthecourseforalistof
thedifferentstandardscovered.
Governmentstandards
Governmentstandardssetoutsociety'sexpectationsforresponsibleresearch.Theycanbelocal,stateorregional,nationalandeven
international.
Areascoveredbygovernmentrulesandregulations
Researchmisconduct
Useofhumanparticipantsandanimalsinresearch
Conflictofinterest
Dataprotectionandsharing
Laboratorymanagement
Laboratorysafety
Employmentpractices
Intellectualproperty
Computermisuse
Rulesandregulationsvarybycountryandlevelofgovernment.
Institutionalstandards
Researchinstitutions,includinguniversities,corporations,andorganisations,cansettheirownstandardsforresponsibleresearch,
whichmaybemorestringentthanthosesetbygovernment.Researchersalsoneedtobeawareofinstitutionalemployment
practicesandstandardoperatingpractices.
Areascoveredbyinstitutionalrulesandregulations
Researchintegrity/misconduct
Laboratorymanagementandsafety
Employmentpractices
Consulting
Academicfreedom
Individualinstitutionsmayhaveonlysomeornorulesgoverningresearch.
Professionalstandards
Mostprofessionalresearchorganisationssetsomestandardsformembership.Thosewithastrongservicecomponentusuallyhave
'codesofconduct'.Thosethatpublishjournalshavepoliciesonpublicationpractices.
https://www.epigeum.com/downloads/ri_accessible/aus/03_engineering/html/course_files/en_1_20.html
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Areascoveredbyprofessionalstandards
Membershipqualifications
Codesofconduct
Authorshipandpublication
Peerreview
Expertopinionandadvocacy
Commonlyacceptedpractices
Someresearchpracticesare'commonlyaccepted'butbackedbynoofficialauthority.Theycanbelocal,institutionalorprofessional.
Theyarenotnecessarilyinlinewithresponsiblepractice.Checkwithanindependentauthoritybeforedoingsomethingjustbecause
itis'commonlyaccepted'.
Personalethics
Yourownsenseofrightandwrongisalsoanimportantstandard,Usethe'inthenews'checktoweighdecisions:wouldyoumake
thesamedecisionifyouknewyourchoicewouldreceivefrontpagecoveragethefollowingday?
TheSingaporeStatement
TheSingaporeStatementonResearchIntegrity,publishedin2010,providesahandyframeworkforthinkingaboutyour
responsibilities.Astheproductofaseriesofglobalconferencesonresearchintegrity,itsummarisesprinciplesandresponsibilities
thatapplywhereverresearchisundertaken.ItisavailableinEnglishand20otherlanguages.
TheSingaporeStatementsetsoutfourbasicprinciplesforresponsibleresearch:
Honesty:beingtruthfulinallaspectsofresearch
Accountability:takingresponsibilityforyouractionsasaresearcher
Professionalcourtesy:treatingcolleagues,staffandstudentsfairlyandwithrespect
Goodstewardship:usingandmanagingresourcesprovidedbyothersresponsibly.
Inthefollowingsection,youwillbepresentedwithfourexamplesofimproperbehaviour.Foreach,decidewhichofthefour
standards(honesty,accountability,professionalcourtesy,goodstewardship)itcorrespondsto.Someofthebehavioursmightfitmore
thanoneprinciple,butoursuggestedanswerwillgiveyouanideaofhoweachprinciplecanbeappliedtoresearch.
Example1:Poorplanningthatresultsinafailedproject
Example2:Keepinganincompleterecordofyourresearch
Example3:Failuretoreportconflictingevidence
Example4:Notmeetingreviewdeadlines
Oursuggestion:
Poorplanningthatresultsinafailedprojectgoesagainsttheprincipleofgoodstewardship.
Keepinganincompleterecordofyourresearchgoesagainsttheprincipleofaccountability.
Failuretoreportconflictingevidencegoesagainsttheprincipleofhonesty.
Notmeetingreviewdeadlinesgoesagainsttheprincipleofprofessionalcourtesy.
TheSingaporeStatementthengoesontooutlinefourteenspecificresponsibilitiesthatprovideagoodchecklisttopostaboveyour
deskorinyourlab.Thefollowingsectionprovidesmoreinformationonthesefourteenresponsibilities.
1.Integrity
Researchersshouldtakeresponsibilityforthetrustworthinessoftheirresearch.
2.Adherencetoregulations
Researchersshouldbeawareofandadheretoregulationsandpoliciesrelatedtoresearch.
3.Researchmethods
Researchersshouldemployappropriateresearchmethods,baseconclusionsoncriticalanalysisoftheevidenceandreportresults
andinterpretationsfullyandobjectively.
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4.Researchrecords
Researchersshouldkeepclear,accuraterecordsofallresearchinwaysthatwillallowverificationandreplicationoftheirworkby
others.
5.Researchfindings
Researchersshouldsharedataandfindingsopenlyandpromptly,assoonastheyhavehadanopportunitytoestablishpriorityand
ownershipclaims.
6.Authorship
Researchersshouldtakeresponsibilityfortheircontributionstoallpublications,fundingapplications,reportsandother
representationsoftheirresearch.Listsofauthorsshouldincludeallthoseandonlythosewhomeetapplicableauthorshipcriteria.
7.Publicationacknowledgement
Researchersshouldacknowledgeinpublicationsthenamesandrolesofthosewhomadesignificantcontributionstotheresearchbut
don'tmeetauthorshipcriteria,includingwriters,funders,sponsorsandothers.
8.Peerreview
Researchersshouldprovidefair,promptandrigorousevaluationsandrespectconfidentialitywhenreviewingothers'work.
9.Conflictofinterest
Researchersshoulddisclosefinancialandotherconflictsofinterestthatcouldcompromisethetrustworthinessoftheirworkin
researchproposals,publicationsandpubliccommunicationsaswellasinallreviewactivities.
10.Publiccommunication
Researchersshouldlimitprofessionalcommentstotheirrecognisedexpertisewhenengagedinpublicdiscussionsaboutthe
applicationandimportanceofresearchfindingsandclearlydistinguishprofessionalcommentsfromopinionsbasedonpersonal
views.
11.Reportingirresponsibleresearchpractices
Researchersshouldreporttotheappropriateauthoritiesanysuspectedresearchmisconduct,includingfabrication,falsificationor
plagiarism,andotherirresponsibleresearchpracticesthatunderminethetrustworthinessofresearch,suchascarelessness,
improperlylistingauthors,failingtoreportconflictingdataortheuseofmisleadinganalyticalmethods.
12.Respondingtoirresponsibleresearchpractices
Researchinstitutions,aswellasjournals,professionalorganisationsandagenciesthathavecommitmentstoresearch,shouldhave
proceduresforrespondingtoallegationsofmisconductandotherirresponsibleresearchpracticesandforprotectingthosewhoreport
suchbehaviouringoodfaith.Whenmisconductorotherirresponsibleresearchpracticeisconfirmed,appropriateactionsshouldbe
takenpromptly,includingcorrectingtheresearchrecord.
13.Researchenvironments
Researchinstitutionsshouldcreateandsustainenvironmentsthatencourageintegritythrougheducation,clearpoliciesand
reasonablestandardsforadvancement,whilefosteringworkenvironmentsthatsupportresearchintegrity.
14.Societalconsiderations
Researchersandresearchinstitutionsshouldrecognisethattheyhaveanethicalobligationtoweighsocietalbenefitsagainstrisks
inherentintheirwork.
Source:www.singaporestatement.org
ConsidertheboxesonatthebottomofthissectiontofindoutmoreabouttheSingaporeStatement.
Keepinginmindthisframeworkforjudgingresponsiblebehaviourinresearchinprinciple,thenextstepistoconsiderwhatweknow
aboutresearchbehaviourinpractice.Thisisawayofpreparingyoutoliveuptoexpectationsandavoidpotentialproblems.
Yourcontext
Doyouknowyourinstitution'sguidelinesandpoliciesforresponsibleresearch?Findthemandfamiliariseyourselfwiththem.
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Principlesvs.practice
TIME:7MINS
Screenchallenge
Howwouldyouexpectresearchprinciplesandpracticestomatchup?Howmanyresearchersactuallyfollowbestpracticesandmeet
theirresponsibilities?
Researchersandresearchinstitutionsgenerallystrivetosethighstandardsforintegrityinresearch.Settinghighstandardsmeans
followingbasicprinciplesandmeetingyourresponsibilitiesasaresearcher.Butdoresearchersfollowrecommendedprinciplesand
bestpracticesinreality?Whathasbeenyourexperience?
ThinkbacktothefourbasicprinciplesforresponsiblepracticeinresearchoutlinedbytheSingaporeStatementonResearchIntegrity
(honesty,accountability,professionalcourtesyandgoodstewardship),andanswerthefollowingquestions.Asyoudoso,thinkabout
howyourviewsmightcomparewiththoseofyourpeers.
Question1of3
Howimportantshouldthefourkeyprinciplesbeforresearchprofessionals?
Answersoptions:
Absolutelycritical
Extremelyimportant
Important
Notreallyimportant
Completelyirrelevant
Question2of3
Howoftendoyoufollowthesefourkeyprinciplesinpractice?
Allthetime,withnoexceptions
Mostofthetime
Sometimes
Occasionally
Notatall
Question3of3
Howoftendoyourcolleaguesfollowthesefourkeyprinciplesinpractice?
Allthetime,withnoexceptions
Mostofthetime
Sometimes
Occasionally
Notatall
Ifyoufeelthatyoufallshortoffollowingthefourkeyprinciplessomeorallofthetime,youarenotalone.Researchersgenerally
recognisethattheydon'talwaysadheretothefundamentalprinciplesforresponsibleresearch/goodresearchpractice.Buttheyalso
routinelyfeeltheirfellowresearchersaremorelaxthantheythemselvesare(Fanelli,2009).
ReferenceFanelli,2009
Fanelli,D.(2009)'Howmanyscientistsfabricateandfalsifyresearch?Asystematicreviewandmetaanalysisofsurveydata',in
PLoSONE4(5):e5738.Availableonlineat:www.plosone.org/article/info:doi/10.1371/journal.pone.0005738
Howcommonismisconductinresearch?
Newsstoriesaboutmisconductinresearcharefairlycommonbutthenumberofcasesasaproportionofthetotalnumberof
researchersseemssmall.Thishasledmanytoconcludethatresearchmisconductisrare.However,itisnotasrareorinfrequentas
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researcherssometimesbelieve.
Tohelpyouunderstandhowoftenresearchmisconductoccurs,inthefollowingsectiongiveyourestimateofthefrequencyofthe
statedseriousmisbehaviour,thencontinuetothefeedbacktoseewhattheactualnumbersareandthesourceoftheinformation.
Wefocusinthissectiononthethreemostwidelyrecognisedformsofresearchmisconduct:fabrication,falsificationandplagiarism.
GlossarytermResearchmisconduct
Behavioursthatsignificantlycompromisetheaccuracyoftheresearchrecordortheproperprofessionalconductofresearch.
Question1of4:
HowmanyPhDorhigherdegreestudentsapplyingforstudentshipsorresearchpostshavebeenfoundtomisrepresent(i.e.
fabricate)theirpersonalpublicationsintheirCVs?
Answeroptions:
Around1in10
Around1in100
Around1in1000
Around1in10,000
Lessthan1in10,000
Feedback:
Earlystudiessuggestedthatmisrepresentationmightbeabove1in10,butarecentmetaanalysisof13studiesputtherateof
misrepresentationataround5%.(Source:Wiggins,M.N.(2010)Ametaanalysisofstudiesofpublicationmisrepresentationby
applicantstoresidencyandfellowshipprogramsinAcadMed85(9):pp.14704)
Question2of4:
Howmanyarticlessubmittedtojournalsforpublicationcontainfalsifieddigitalimages?
Answeroptions:
Around1in10
Around1in50
Around1in100
Around1in1000
1in10,000orless
Feedback:
MichaelRossner,editoroftheJournalofCellBiology,reportedthatDuringourthreeandahalfyearsofscreeningexperienceatthe
JCB,wehavehadtorevoketheacceptanceof1%ofpapersthatpassedpeerreviewbecausewedetectedfraudulentimage
manipulationthataffectedinterpretationofthedata.(Source:Rossner,M.(2006)Howtoguardagainstimagefraud,inThe
Scientist20(3):p.24)
Question3of4:
Howmanyresearchersdoyouthinkwouldadmitinasurveytoengaginginplagiarismoverthepreviousthreeyears?
Answeroptions:
Around1in10
Around1in50
Around1in100
Around1in1000
1in10,000orless
Feedback:
Inresponsetoasurveyconductedin200607,facultymembersinscienceandmedicaldepartmentsatmajorUSuniversitiesself
reportedengaginginthefollowingseriousresearchmisconductoverthepreviousthreeyears:7.1%plagiarism,0.8%falsification,
0.2%fabrication.60%reportedengagingincarelessorneglectfulbehaviours.(Source:Martinson,B.C.,Crain,A.L.,Anderson,M.
S.andDeVries,R.(2009)Institutionsexpectationsforresearchersselffunding,federalgrantholding,andprivateindustry
involvement:manifolddriversofselfinterestandresearcherbehaviour,inAcadMed84(11):pp.14919)
Question4of4:
Ifallstudiesofresearchmisconductwerecompiledintoametaanalysis,howmanyresearchersdoyouthinkmightbeestimatedto
havecommittedseriousmisconductinresearch?
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Around1in10
Around1in50
Around1in100
Around1in1000
1in10,000orless
Feedback:
Ametaanalysispublishedin2009basedon18studiesestimatedthat1.97%oftheresearcherscontactedadmittedtoengagingin
seriousmisconductoverthecourseoftheircareer.(Source:Fanelli,D.(2009)Howmanyscientistsfabricateandfalsifyresearch?A
systematicreviewandmetaanalysisofsurveydata,inPLoSOne4(5):e5738)
Thesenumberssuggestthatmostseriousmisconductinresearchisnotreportedorinvestigated.Forexample,inacountrywith
aroundonemillionresearchers,totalcasesofseriousmisconductaccordingtothefiguresintheactivityabovewouldbeabout
20,000(1in50).Spreadoutover40years(aresearchcareer),wewouldthereforeexpecttoseearound500reportedcasesayear.
YetintheUSA(whichhasaroundamillionresearchersandgoodmechanismsfortrackingreportedmisconduct)thetwomajor
fundingagenciesaveragearound25confirmedcasesayear(NSF,2009ORI2003),suggestingthatonlyoneintwentycasesever
comestolight.IftheU.S.hadonlyonemillionresearcherssubjecttoregulations,totalexpectedcasesaccordingtothefigures
abovewouldbeabout20,000(2%).Spreadoutover40years(aresearchcareer),thiswouldbe500cases/year,meaningthatonly
aboutoneineverytwentycasesisreportedandconfirmed.
ReferenceNSF,2009ORI2003
NationalScienceFoundation,OfficeofInspectorGeneral(2009)Homepage[online].Availableatwww.oig.nsf.gov.[updated
2009cited2009December]OfficeofResearchIntegrity(2003)Homepage[online].Availablefrom:http://ori.dhhs.gov/.
[updated2003cited2009December]
Asurveyin2012conductedbytheBritishMedicalJournal(BMJ,2012)estimatedtherateofmisconducttobehigherstill,withas
manyasoneineightBritishresearchershavingcommittedresearchmisconduct.Atthesametime,thetotalnumberofresearchers
worldwideisgrowingfastby25%toaround7millionbetween2002and2007,andstillrising(RoyalSociety,2011).Sincemost
countriesdon'thavemechanismsfortrackingmisconduct,itisdifficulttoknowhowcommonitisglobally.However,thereisno
reasontobelievethatthesituationinothercountriesismuchdifferentfromthatintheUKortheUSA.Thisdemonstratesthe
possiblemagnitudeofthenumberofseriouscasesofresearchmisconductworldwideinanyoneyear.
ReferenceBMJ,2012
BritishMedicalJournal(BMJ)(2012)'ScientificmisconductisworryinglyprevalentintheUK,showsBMJsurvey',inBritish
MedicalJournal344,DOI:10.1136/bmj.e377(Published12January2012)
ReferenceRoyalSociety,2011
RoyalSociety(2011)'Knowledge,NetworksandNations:Globalscientificcollaborationinthe21stcentury',Policydocument,
March2011.London:RoyalSociety
Questionableresearchpractices(QRPs)
Theimportanceofsocalled'questionableresearchpractices(QRPs)'isfrequentlyoverlookedbecausetheyareseenashavinglittle
ornoimpactontheresearchprocess.(Thatsaid,insomecountries,likeSweden,thedefinitionof'researchmisconduct'also
includesQRPscheckthedefinitioninyourownparticularcountry.)
Whilstgenerallyclassedaslessserious,questionablepracticescanwastefunds,haveanadverseimpactontheresearchrecordand
evenendangerlivesortheenvironment.
GlossarytermQuestionableResearchPractices(QRPs)
Behaviourthatdoesnotliveuptothestandardsforresponsibleconductbutthatisnotconsideredseriousenoughtobeclassed
asresearchmisconduct.
QRPsoccurmuchmorefrequentlythanseriousmisconduct.Estimatesvarybutstudiessuggestthatbetween10%and50%of
researchershavecommittedthistypeofmisbehaviour.Thefollowingfiguregraphicallyapproximateswhatisknownaboutresearch
behaviour.
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ThefollowingsectionprovidessomeexamplesofQRPs.Considereachexampleandtrytothinkofapotentialconsequenceitcould
have.Thencontinuetooursuggestion.
Example1of5:
60%ofauthorslistedonpapersinonejournaldidnotmeetjournalstandardsforauthorship.
Source:(Marusietal,2004)
Potentialconsequence:Thiscouldresultinundeservedpromotions.
Example2of5:
60.5%ofabstractsdidnotadequatelyrepresenttheresearcharticle.
Source:(Wardetal,2004)
Potentialconsequence:Thiscoulddistorttheresearchrecord.
Example3of5:
29.5%ofresearcherskeptresearchrecordsinlooseleafnotebooks72%didnotsigndatabooks.
Source:(AmericanInstitutesforResearch,2003)
Potentialconsequence:Thiscouldwasteresearchfunds.
Example4of5:
17%ofresearchersreportedcircumventingregulations
Source:(Martinson,Crainetal,2009)
Potentialconsequence:Thiscouldendangerhumanlives.
Example5of5:
8%ofthearticlesinfourjournalsdidnotfollowconflictofinterestreportingpolicy.
Source:(Goozner,2004)
Potentialconsequence:Thiscouldresultinbadpolicydecisions.
Asaresearcherinengineeringandtechnology,youmayfeelthattheincidentsreportedinthissectionrelatetothemedicalsciences
andarethereforeofnorelevancetoyou.Itistruethatthemajorityofstudiesintotheoccurrenceofmisconducthavefocusedon
medicaldisciplines.However,thisdoesnotmeanthatsuchmisbehavioursoccuronlyinthosedisciplines!Theyoccurineachand
everyarea,andengineeringandtechnologyisnoexception,withcasesofmisconductregularlybeingreported.
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Engineeringandtechnologyresearchershavethesameresponsibilitytoactwithintegrityasallotherresearchers,andwillfacemany
ofthesamechallenges.Atthesametime,theymustalsofollowtheprofessionalcodesofconductsetoutbythevariousnational
andinternationalengineeringbodies,suchastheInstitutionofEngineeringandTechnology(UK),theEuropeanFederationof
NationalEngineeringAssociationsorEngineersAustralia.Similarsocietiesexistacrosstheworld.
Thefiguresinperspective
Thesereportsandestimatesofmisbehaviourinresearch,however,needtobekeptinperspective.Ininnumerableways,modern
societyreliesonandbenefitsfromthefindingsofresearchers.Thiswouldnotbepossibleifmisbehaviourwentunchecked.Itdoes
not:somemisbehaviouriscaughtandcorrected.Researchresultsareverifiedbyothers(althoughnotasoftenasresearchers
frequentlyclaim).
However,anyonegoingintoresearch,inanyfield,needstoknowthatveryseriousandlessseriousmisbehaviourhappensmore
oftenthaniscommonlyacknowledged.Inonewayoranother,youarelikelytobeconfrontedbysituationswheresomeonehas
engagedinorwillurgeyoutoengageinpracticesthatareirresponsible.Youneedtobepreparedtorecognisethesesituations
andtoknowhowtodealwiththem,beforetheybecomeseriousproblemsforyou.
Therestofthiscoursewillprovidemoreinformationontheseproblemareasandhowtorespondtothem,beginningwiththeserious
offenceofresearchmisconduct.
RIinthenews
Clickheretoaccessarangeofstoriesrelatingtoresearchmisconduct.
Usefullinks
EngineersAustralia:www.engineersaustralia.org.au
EuropeanFederationofNationalEngineeringAssociations:www.feani.org
UKInstitutionofEngineeringandTechnology:www.theiet.org
USNationalSocietyofProfessionalEngineers:www.nspe.org/index.html
Optionalactivity
Duration:10minutes
Inthematerialpreviouslylistedinthissection,didyourateotherresearchersasbeinglesslikelytoadheretothefourkeyprinciples
thanyou?Ifso,whatimpactmightthisassumptionhaveonyourbehaviour?Howdoesthisrelatetothefactthat,forexample,the
majorityofdriversconsiderthemselvestobe'aboveaverage'?Writeafewsentencessummarisingyourreflections.
Keyterms
FFP:Commonlyusedabbreviationfor'fabrication,falsification,andplagiarism',thethreecategoriesofseriousmisconduct.
RIinpractice
Inthefollowingvideotranscript,tworesearchersdiscussthefindingsoftheirresearchintoresearchmisconduct.
MediaVideo
Researchintoresearchmisconduct
Expertinterview1:Dr.DanieleFanelli
Whatquestionwereyouseekingtoanswerandhowdidyouapproachit?
Dr.DanieleFanelli,ResearchFellow,TheUniversityofEdinburgh:Oneofthebasicproblemsinresearchintegrity,infact
somehavecalledit'the$1millionquestion'inscience,is:howmanypeopledoit?SooneofthefirstthingsIwasinterestedin
wastolookatsomeoftheevidencearoundthis,andoneofthemainwayspeopleovertheyearshavetriedtoanswerthis
questionisbysurveys.Sosendinganonymouslyquestionnairestoresearchers,tosamplesofresearchersindifferentfields,
withasetofquestionsabout,'Didyoueverselectyourresultsbasedontheoutcomeinapublication?'Ormoreseriousstuff,
likeeven,'Didyouevermanipulateorfabricateyourdata?'Therewerequiteafewofthesesurveys,alldoneindifferentways,
usingdifferentmethodologies,havingobviouslyslightlydifferentquestionsandwaysinwhichpeoplecouldanswer,whichmade
itaproblemtosortofgetanoverallpictureofwhatthesesurveysweretellingus.SothefirstthingIdidwasametaanalysis
aroundthesedata,whichisaparticularstatisticaltechnique,inwhichyouputtogetherresultsofdifferentquantitativestudies,
againtohaveareasoned,weightedaverageofthedifferentbitsofevidence.
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Whatwereyourinitialfindings?
Dr.DanieleFanelli:Well,acrosssurveys,whichlargelymeansalsoacrossdisciplinesandacrosscountries,althoughmostof
thisresearchisstilldoneintheU.S.andinbiomedicalresearch,butstillyouhadarelativeconsistencyacrossstudies,showing
thatabout2%ofrespondentsintheseanonymoussurveyswillansweressentiallythat,yes,atleastoncetheyhaveeither
openlyfabricatedorfalsifiedtheirdata,ortheyalteredormanipulatedtheirresults.Ifyourestrictedthequestionstowhatare
incriminatingterms,ifyoulike,questionsasking,'Didyoueverfabricateorfalsifyyourdata?'youstillgeta1%responserate,
whichiscuriouslyquiteinlinewithwhatpeoplespeculatedwouldbeareasonableexpectationtherewasalwaysthis1%,2%
ofpeoplecheating.Sothatwasquiteasupportfortheseintuitions.
Howandwhydidyouquestionthesefindings?
Dr.DanieleFanelli:Obviously,nooneisasnaiveastothinkthatasurveyisautomaticallyareflectionofthetruth.An
interestingbitofevidencetherewasthatyouhavemanymoresurveysaskingresearchers,'Well,doyouknowacolleaguethat
hasfabricated,falsifiedresearch,andsoon?'Inthatcase,yougetabout14%ofresearcherssayyes,12%ifyouonlyuse
fabricationorfalsification.Now,again,thereareverygoodreasonswhyyouwouldexpectthatpercentagetosomehow
overestimatethetruenumber,becauseyou'reaskingonepersonaboutthecircleofpeopletheyknow.Sothey'reobviously
eachoneofthemistappingintoahighernumberofpeople,sothepercentagesareboundtobehigher.Buttosomeextent
thatalreadyshowsthatthetruthisprobablysomewhereinbetween.
Isthereanyevidencetosuggestmisconductismorefrequentinanyparticularfield?
Dr.DanieleFanelli:Thereseemedtobesomethingalreadyinthesurveyscomingout,forinstance,thatinbiomedical
research,thepercentageofpeoplereportingresearchmisconduct,eitheronselforonpeopletheyknow,washigherthanin
otherdisciplines,whichcouldmeanthatthere'smoremisconductindeedinbiomedicalresearch,asmanypeoplesuspect.Orit
couldbethatbiomedicalresearchersaremoreawareoftheproblem,ormorewillingtotalkaboutitopenly.
Isthefrequencyofmisconductincreasingordecreasing?
Dr.DanieleFanelli:Theretheevidencewasquiteambiguous,inthatpeopletendedovertheyearstoreport,toadmitlessto
misconduct,so,toreportlessmisconductonthemselves,buttherewasnotemporaltrendinhowmuchmisconducttheysawin
otherpeople,whichisacuriouscontradiction,whichwouldsuggestthatpossiblypeoplearebecomingmorewaryofdiscussing
theproblempersonally,althoughtheirperceptionatleastisnotthatanythingischangingoverall.
Expertinterview2:Dr.RayDeVries
Whatquestionwereyouseekingtoanswerandhowdidyouapproachit?
Dr.RayDeVries,Professor,UniversityofMichigan:Iknowthatpeoplemaybescepticalaboutthefactthattheresearch
environmentinfluencesmisbehaviours,andthatthereareasufficient,alargenumberofmisbehavioursoutthereinthe
researchcommunity.Butwe'veactuallydoneempiricalresearch,asurveywithU.S.scientists,askingthemtoreporttheirown
misbehaviours.
Whatwereyourinitialfindings?
Dr.RayDeVries:Asignificantportion,33%ofallourrespondents,admittedtocommittingoneoftenfairlyserious
misbehaviours,whichsurprisedus.Itsurprisedtheresearchcommunity.
Howdidyourfindingslinktotheresearchenvironment?
Dr.RayDeVries:Thenwhatwedidwaswelinkedtheseselfreportedmisbehaviourswithresearchenvironments,andwe
foundthat,forexample,highlycompetitiveresearchenvironmentswereassociatedwithmoreselfreportedmisbehaviours.So
it'scleartousassocialscientiststhatthereisthislinkbetweentheenvironmentinwhichyouworkandthekindofbehaviours
thatyouwillcommit,especiallyregardingresearchmisbehaviours.
Mediaends
Copyright,acknowledgementsandlegalnotice
EpigeumLtd,2012
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Respondingtoresearchmisconduct
TIME:9MINS
Screenchallenge
Whilereadinganarticlewrittenbyacolleague,younoticethatsignificantportionsarewordforwordthesameasanotherarticle
publishedtwoyearsearlier.Whatshouldyoudo?
Ifyoususpectthatacolleaguehasengagedinresearchmisconduct,youshouldreportyoursuspicions.Thegeneralprincipleatwork
hereisclear:researchreliesonselfregulationtodetectandcorrectseriousmisbehaviour.However,itisnotalwayseasytofollow
thisprincipleandmakeaformalcomplaintaboutmisconduct.Beingacomplainantisarisk,andtherearepotentialnegative
consequences,whichwillbeaddressedattheendofthissection.
Fornow,assumethatyouwillreportbuttowhom?Considerthefollowingquestionandselectwhatyoufeelisthebestoption.
Thencontinueforourownthoughts.
Ifyouhavegoodreasontosuspectacolleague(orevenyourmentor)ofseriousresearchmisconduct,towhomwouldyoufirstreport
yoursuspicions?
Answeroptions:
Yourcolleagueormentor:Becauseyouthinktheyshouldbegivenachancetoexplainwhattheydid.Afterall,youmight
bewrong.Youwouldn'twanttoreportthemtosomeoneelsewithoutfirsttellingthem.
Yourcolleague'sormentor'ssuperior:Becauseitisn'tagoodideatogorighttothetopofanyinstitution.Thereare
chainsofresponsibility.Itisbesttobeginwiththepersonwhoisclosesttothepotentialproblem.
Yourinstitutionalmisconductrepresentative:Becauseyoushouldreportfirsttotheindividualswhohaveoverall
responsibilityforresearch,particularlyifthereissomeonewhoisappointedtodealwithmisconduct.
Thepress:Becauseyoucan'ttrustyourinstitutiontotakeallegationsseriouslyandyoufeelitismorelikelythatyouwillbe
punishedforcausingtrouble.Thebestoptionistoleaktheinformationtothepressandletpublicpressuretakeitscourse.
Noone:Because,althoughyouknowyoushouldreportit,yourcareeristooimportanttoyou.
Feedback:
Ifyourinstitutionorcountryhasaresearchmisconductpolicy,youshouldfollowit.Youaregenerallyadvisedtoreportconcernsand
suspicionstotheinstitutionalmisconductrepresentativesuchastheResearchIntegrityAdvisor(RIA)ortheDesignatedperson
(DP)first.Moregenerally:
Talkingwiththepersonsuspectedofmisconductfirstcouldcomplicatebringingchargeslaterifevidenceisdestroyedor
otheractiontakentocoverupthemisconduct.
Superiorswithinthesystemareoftennottrainedtohandlecasesproperly.
Yourinstitutionalmisconductrepresentative(e.g.RIA)isusuallytrainedtohandlecasesproperlyandprotectallparties
involved.Ifthereisnotrustedinstitutionalofficial,havinganinformalmentortoconsultbeforetakinganyactionisusuallya
goodidea.
Reportingtothepressordoingnothingarenotrecommendedandriskbackfiring.Wheneverpossible,haveauthorised
individualsinvestigatebeforegoingpublic.Theyusuallyhaveadutytoprotectthosewhoreportsuspicionsingoodfaith.If
you'reworried,seekadvicefromtrustedcolleaguestomakesureyou'remakingtherightdecision.
Howdoyouthinkyourpeers'responsesmightcomparetoyourown?
Considerthe'Yourcontext'boxattheendofthissectiontofindoutmoreaboutthepoliciesthatapplytoyou.Youcanexplorethese
andothersinmoredetailonthe'Guidetoresearchpoliciesandguidelines'sectionattheendofthiscourse.Beparticularlymindful
ofthedefinitionofmisconductandtowhommisconductshouldbereported.Knowingyourpoliciesandgettinggoodadviceearlyis
thebestwaytoavoidmakingthewrongdecision.
GlossarytermResearchmisconduct
Behavioursthatsignificantlycompromisetheaccuracyoftheresearchrecordortheproperprofessionalconductofresearch.
Thebasicprinciples
Whilsttherearesignificantdifferencesinthewaycountriesandinstitutionsdefineandrespondtomisconductinresearch,overall
therearesimilaritiesinapproach,whichcanbesummarisedinthreesimplesteps.Thefollowingsectionoutlinesthesestepsinmore
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detail.
1.Individualreport
Thefirststageiswhenanindividualreportssuspectedmisconduct.Ifyoudothis,youshouldtakethefollowingsteps:
Reviewanyevidenceyouhavetomakesureyouhaven'tmisunderstoodanything
Protectyourevidence
Reportyoursuspicionstotheappropriateauthority(e.g.theDP)and/oryourmentor
Consultwithrespectedandtrustedcolleaguesifyouhavedoubtsaboutreporting
Maintainconfidentiality.
2.Institutionalreviewandfinding
Beforereportingdetailsoftheallegation,theinstitutionshouldfollowaclearandfairinvestigativeprocedure,generallyconductedas
follows:
Receiveandlogallallegations
Assessthelikelytruthoftheallegation(preliminaryassessment)
Formallyreviewtheevidence(investigation)
Issueareportbasedontheinvestigation'sfindings.
3.Wrapup
Finally,decisionsaremadeandfollowedthroughbasedontheinvestigation'sfindings.Theprocessusuallyincludesthefollowing:
Determineappropriatesanctionsforanyonefoundtohavecommittedmisconduct
Reportfindingstothosewhoneedtoknoworshouldknow
Takestepstorestorethereputationofanyonefoundinnocent
Makesurethepersonwhomadethecomplaintisprotectedfromretaliation
Correcttheresearchrecord.
Principlesinpractice
Someallegationsareeasilyresolvedfollowingthisgeneralprocedure.Extensiveplagiarism,forexample,canbeeasilydocumented.
Aswillbediscussedinthesectiononplagiarism,therereallyarenoexcusesforcopyingsomeoneelse'sworkwithoutgivingcredit.
Othertypesofmisconduct,however,canbemoredifficulttoidentifyandpursue.Inthefollowingsection,considerthescenario,
reflectonthequestionsandthencontinuetooursuggestions.
Thescenario
Somethingaboutadigitalimageacolleaguepresentedinaseminarlastweekdidn'tlookright.Fortunatelyaversionofthe
presentationwascirculatedinadvance,allowingyoutocalluptheimageandcheckwithphotoprocessingsoftware.Sureenough,
thepartthatpuzzledyouwasclearlycopiedandpastedintotheimage.
Isthisacaseofresearchmisconduct?
Oursuggestion:
Perhaps.Ifthecolleaguewaspresentingresearchresultsandmadenomentionofthecopyandpastemanipulation,heorshewas
dishonestandcouldbeaccusedoffabricationorfalsification.Fabricationandfalsification,orsomewordingthatimpliesdishonestly
manipulatingdata,isincludedinmostdefinitionsofresearchmisconduct.Inthiscase,however,therulesforwhatonecanand
cannotdotodigitalimagescanbevague(thiswillbediscussedinthesectionondata).Youarerighttobesuspiciousbutyou
cannotbecertain.
Sowhatshouldyoudo?
Reportingyoursuspicions
Younowknowthatitisgenerallyrecommendedthatyoushouldreportyoursuspicionstothepersonorofficeinyourinstitution(orin
somecaseswithinyourcountry)chargedwithinvestigatingmisconduct.Therearedifferentwaystomeetthisresponsibility.You
could:
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Sendananonymousnotewithsomeoralloftheevidenceyouhave
Makeaphonecallandconveyyoursuspicionsanonymously
MeetwiththeIntegrityAdvisorandpresenttheinformationthatyouhave
Conveyyoursuspicionsinwritingalongwithanysupportingevidenceyouhave.
Whichcourseofactionisproper?
Oursuggestion:
Expectationsforreportingvaryfrominstitutiontoinstitution.Someinstitutionsplacetheburdenforbringinginitialallegationsonthe
complainantandwillonlyproceediftheyarewrittendownandsupportedbysomeevidence.Otherinstitutionswillrespondto
anonymousallegations.
Findoutwhatyourinstitutionrequiresbeforeproceedingtoreport.Bemindfulofthefactthatnotallallegationsofmisconductare
broughtingoodfaith.Youmustprovideenoughinformationforthepersonreceivingtheallegationstohavereasonablesuspicions.
Thenextstep
WhenanallegationofmisconductlandsonthedeskofaResearchIntegrityAdvisor,whatwouldyouexpecttohappennext?
Theaccusedpersoniscontactedimmediatelytomakehimorherawareoftheallegations?
Theallegationisreportedtoagovernmentagency?
TheResearchIntegrityAdvisororDesignatedPersonsetsupacommitteetoinvestigatetheallegations?
Oursuggestion:
Actually,noneoftheabove.Noteveryseeminglywrongbehaviourisresearchmisconduct.Forofficialactiontofollow,the
misbehaviourmustfallwithinanofficialdefinitionofmisconduct.That'swhythedefinitionofmisconductissoimportant.Misconduct
isalsonotgenerallyreportedtogovernmentagenciesifthereisnogovernmentfundingorviolationofgovernmentrules.The
ResearchIntegrityAdvisormustreviewtheallegationsandmakedecisionsonwhatofficialcourseofactiontofollow.
Theoutcome
Ifthephotomanipulationinthiscasemightberesearchmisconduct,whoultimatelydecideswhethermisconducthasbeen
committed?
TheResearchIntegrityAdvisor?
Acommittee?
Thegovernment?
Theanswertothisquestiondependsontheapplicablemisconductpolicy.However,theprocessgenerallyfollowsthepattern
outlinedhere.
Anindividualorspecialcommitteecarriesoutapreliminaryassessmenttodeterminewhetherthecaseneedstobepursued.
Ifitdoes,then...
Anofficialcommitteeisestablishedtoinvestigatetheallegationsandconcludewhethermisconductwascommitted.Ifthe
committeeconcludesthatmisconductwascommitted,then...
Someseniorpersonindependentoftheinvestigationcommitteereviewsthefindingandrecommendsacourseofaction,
whichcouldrangefromexonerationtosomepunishment,includingjobtermination.Ifsomepunishmentisrecommended,
theninsomecases...
Theaccusedhasarighttoappealtosomehigherinstitutionalauthority.However,appealisnotalwaysanoption.Whenthe
appealprocesshasbeenexhausted,then...
Appropriatefollowupactionistaken,suchasrestoringthereputationofafalselyaccusedresearcher,protectingthecareerof
thecomplainantorretractingfaultyresearchpublications.Then...
Thecaseisclosed.
Weaknesseswiththesystem
Thisisthewayallegationsofmisconductshouldbehandled.Thesystemworkswellinmanycases,butithassomesignificant
weaknesses.Inthefollowingsection,considerthefiveweaknesseslistedandthefivemeasuresthatcouldhelptoovercomethem.
Decidewhichweaknesscorrespondstowhichmeasureandmakeanoteofyourthoughts,thencontinuetoourguidelineanswer.
Weaknesses
Failuretodiscover
Underreporting
Improperinvestigations
Institutionalcoverup
Failuretocorrectresearchrecord
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Measures
Mandatoryreportingandoversightbygovernmentagenciesorindependentnationalmisconductorganisations
Betterteachingandguidanceforreviewersandmoreconscientiousreview
Moreencouragementbyadministratorsandpeerstoreportsuspectedmisconduct
Strengthenedormoreeffectiveguidelinesformakingandlistingretractions
Betterteaching,trainingandsupportforinvestigatingcommittees
Ouranswers:
Failuretodiscoverbetterteachingandguidanceforreviewersandmoreconscientiousreview
Underreportingmoreencouragementbyadministratorsandpeerstoreportsuspectedmisconduct
Improperinvestigationsbetterteaching,trainingandsupportforinvestigatingcommittees
Institutionalcoverupmandatoryreportingandoversightbygovernmentagenciesorindependentnationalmisconduct
organisations
Failuretocorrectresearchrecordstrengthenedormoreeffectiveguidelinesformakingandlistingretractions
Overthelasttwodecades,significantstrideshavebeenmadeinimprovingdefinitionsanddevelopingproceduresforrespondingto
misconductinresearch.Evenso,thesystemsinplaceforreportingandrespondingtomisconducthavenumerousshortcomings.For
variousreasons:
Researchersarereluctanttoreportmisconductwhentheysuspectit
Someresearchinstitutionsarenotaggressiveinpursuingallegations
Complainantsarenotalwaysadequatelyprotected
Institutionalandnationalpoliciesareinconsistentandnotaseffectiveastheycouldbe.
Youcanhelptoaddresssomeoftheseproblemsifyoukeepinmindthat,asaresearcher,youhavetwofundamental
responsibilities:
Toknowandavoidbehavioursthatyourinstitution,yourcountryandyourpeersconsiderseriousmisbehaviour
Toknowwhattodoifyoususpectmisconductandactaccordingly.
Makingthedecisiontoreportsomeone,particularlyafriendorcolleague,isnotaneasyoneandcanhavepersonalconsequences.
Intheboxattheendofthissection,someresearcherssharetheiradviceonfacingthisdifficultsituation.Itwillbeeasiertoface
situationssuchasthisifyouworkinasupportiveresearchenvironmentandhavetrustedandexperiencedmentorsandcolleagues,
asdiscussedinthenextsection.
Keyterms
ResearchIntegrityAdvisor(RIA):RIAsprovideadviceaboutresearchintegritytoanyoneinaninstitution,includingstudents,who
hasaconcernabouttheconductofresearch.RIAsarenormallyseniorresearchersandknowhowresponsibleresearchisdonein
theirfieldofresearch.RIAsarenotinvolvedininvestigationsofallegationsofresearchmisconduct.TheAustralianCodeforthe
ResponsibleConductofResearchrequiresthatinstitutionsappointtheseadvisors.
DesignatedPerson(DP):TheAustralianCodefortheResponsibleConductofResearchrequiresthatinstitutionsappointaDP.
TheDPisthepersonataninstitutionwhoreceivesallegationsofresearchmisconductandconductspreliminaryassessmentsof
allegations.TheDPisoftensomeonewhohasexperienceisresearch,but,inordertohelpensureproceduralfairness,itshouldnot
besomeonewhowouldtypicallyplayaroleinfurtherstepsoftheinvestigation.
Yourcontext
Locateandfamiliariseyourselfwithyourinstitution'smisconductandcomplaintpolicies,andanynationalframeworksor
policiesonmisconduct.Findout,too,whoyourinstitution'sResearchIntegrityAdvisororothernamedpersonresponsiblefor
handlingcasesofresearchmisconductis.
Keyterms
Allegation:Anassertionthatsomethinghashappened.Whensomeonemakesanallegation,theyneedtohaveprooftosupport
theirclaimtheyshouldpresenttheirevidencewhentheyreporttheirsuspicions.
Preliminaryassessment:Aphaseofgatheringinformationinordertoassesstheseriousnessoftheallegation.Thepreliminary
assessmentwilldeterminewhetheraformalinvestigationisnecessary.
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Investigation:Normally,aformalphaseofreviewingevidenceandrelevantdocumentsandinterviewingpeopleinvolvedinorderto
determinethetruthoftheallegationandtodecidewhetherdisciplinarymeasuresshouldbeimposed.
Findings:Theresultsoftheinvestigation.Thisincludesjudgementsabouttheextenttowhichtheresearcherdeviatedfrom
acceptedpracticeandwhethertheresearcherwasawareofthisdeviation,aswellasanassessmentoftheevidencepresented.
Fabrication:Inventingdataorresultsandrecordingand/orreportingthem.
Falsification:Manipulatingdata,methodsorequipment.Falsificationreferstoanyalteration,additionoromissionwhichleadstoan
inaccurateorincompleterepresentationintheresearchrecord.
Complainant:Anindividualwhomakesallegationsaboutmisconduct,eitherinternally(e.g.toaninstitution'sResearchIntegrity
AdvisororDesignatedPerson)orexternally(e.g.tothepressortothepublic).
Usefullinks
Manipulateddigitalimages
Takealookatthefollowingexamplesofdigitallymanipulatedimages.Canyouspotwhatiswrongwiththem?
JournalofCellBiology:http://jcb.rupress.org/content/166/1/11
http://thelede.blogs.nytimes.com/2008/07/10/inaniranianimageamissiletoomany/?hp
www.washingtonpost.com/wpdyn/content/gallery/2010/07/22/GA2010072203183.html?sid=ST2010072105894
www.touristofdeath.com
Dealingwithfinancialmisconduct
Clickonthelinksbelowtoreadaboutasuspectedcaseoffinancialmisconductandplagiarism,andsomeofthelongterm
consequencesforhowresearchmisconductishandled:
ThecaseofDanielKwok:www.kelowna.com/forums/topic/fundingfreezeprofdanielkwoksspendinghasrunafoulof
canadasresearchcouncil
Somelongertermconsequences:www.nature.com/news/2010/101021/full/news.2010.555.html
Usefullinks
EPSRCWhistleblowingpolicy:www.epsrc.ac.uk/about/standards/employment/Pages/whistleblowing.aspx
NewsfromUKRIO:www.ukrio.org/news/
Inaddition,thereareanumberofunofficialblogsthatreportinstancesofmisconductinresearch:
RetractionWatch:http://retractionwatch.wordpress.com/
Yourcontext
Youcanfindupdatesonresearchmisconductfromthewebsitesofyournationalfundingagenciesorbodiesdealingwith
researchintegrity.
RIinpractice
Inthefollowingvideotranscript,someexpertsshareadviceonissuingformalcomplaints,andhowinstitutionscanensurethat
complainantsarebetterprotected.(Youwillnoticethattheterm'whistleblowers'isusedasanalternativetotheterm
'complainants'intheUS,UKandIreland.)
MediaVideo
Whatadvicewouldyougiveyoungresearcherswhoareconsideringblowingthewhistleona
caseofmisconducttheyhaveobserved?
JohnHull,PartnerandHeadofIntellectualProperty,MemeryCrystalLLPLondon:MostinstitutionsintheUKwillhave
reportingmechanismswhichmeanthatindividualswhosuspectthatthiskindofthingisgoingoncanreportit.ThedifficultyI
thinktheyfindthemselvesinisthat,often,they'rereportingmisconducttoaheadofdepartment,andoftenthiscanruffle
feathers,andthereisatendencyonoccasions,perhaps,tosweepthoseallegationsunderthecarpet,whenthatisnotthe
deservedresponse.Ultimately,individualsmayfindthattheyareputtingtheirowncareersontheline,byescalatingittoa
higherlevel.ButI'vecomeacrossonecasewhere,haditnotbeenforthewillingnessoftheindividualconcernedtotakethat
fairlyextremestep,theallegationsofmisconductwouldnothavecometolight,becauselaterinvestigationshowedthatthey
weresweptunderthecarpetatanearlierstage.Itwasthebraveryoftheindividualconcernedtotakeittoahigherlevelwhich
ultimatelyledtothatcasebeingthoroughlyinvestigatedand,infact,provenagainsttheresearcherconcerned.
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Dr.MelissaS.Anderson,ProfessorofHigherEducation,UniversityofMinnesota:Well,firstit'sveryimportantto
understandthatyouhavetohavegoodrecords.Youhavetobeabletoverifywhat'sgoingon.Whatdidyouactuallysee?Who
wasinvolved?Whendidithappen?Wheredidithappen?Whatwasyourroleinthatsituation?Youhavetohavewritten
recordsonallofthosepoints.It'salsoimportanttomakesurethatyou'reprotectingtheintegrityofyourownresearch,tomake
surethatyourownresearchisnotimplicatedinwhat'sgoingwrong.It'simportanttounderstandthatyoushouldnevermake
allegationswithoutfirstconsultingwithsomeonewho'smoreexperienced.Consultwithsomeone,preferablyoutsidethe
situation,whohassomeperspective,orsomeexperienceinaddressingthosekindsofsituations.Findatrusted,more
experiencedperson,withwhomyoucanconsultonaconfidentialoranonymousbasis,andtaketheirgoodadvice.
Dr.RichardSmith,BoardMember,UKResearchIntegrityOffice:Ihaveseveraltimeshadtheexperienceofyoung
researchersringingmeupandsaying,'Ihaveseensomethingratherhorrible,itmakesmefeelveryuncomfortable,Ithink
therehasbeensomemisconductonthepartofoneofmyseniors,'andIfinditIknowwhatIsaytothem,andIsay,'Well,I
havetwothingstosaytoyou,whichinsomewaysarealmostmutuallycontradictoryandratherpainful.'ThefirstthingIsayis
that,'Ithinkthatyouhaveaduty,ifyouseesomekindofmisconduct,toreportit,andtomakesurethatactionistaken.'So
that'sthefirstthing.ThesecondthingIhavetosaytothemisthat,sadly,alltheevidenceonwhistleblowersisthattheyare
usuallymuchmoredamagedthanthepeopletheyblowthewhistleon,evenwhentheyarecompletelyvindicated,completely
right,it'saveryuncomfortablethingtobe.
Howcanwhistleblowersbebetterprotectedatinstitutionalandnationallevel?
Dr.RichardSmith:Whistleblowersshouldbeproperlyprotected,andthatworksatanumberoflevels.Ideally,eachcountry
wouldhavesomekindoflawtoprotectwhistleblowers,andthencertainlywithinaninstitutionthereoughttoberulesprotecting
whistleblowers.Ithinkitveryimportantforinstitutionsthattheydoallowpeopletoexpressdiscomfortwithresearch,orwith
anythingelse,withoutfearingretribution.
Dr.DnalO'Mathna,SeniorLecturerinEthics,DecisionMaking&Evidence,DublinCityUniversity:Ithinkitiswith
anytypeofwhistleblowingsituation,therearerealpressuresonthepersonwho'sthinkingaboutwhistleblowing.Ithinkthat's
whereit'sveryimportantthattherebesometypeofintegrityofficer,sometypeofprotocol,bywhichpeoplecanraisetheir
concerns,theirquestions,canmaybebringwhateverevidencetheythinktheremaybeavailabletosupporttheirclaims.But
reallytoatleastinitiallylistentoallsidesinvolved,andtrytoinvestigate,sothatthetruthcanreallybeuncoveredasbestas
possible.
Mediaends
EpigeumLtd,2012
6/6
2/17/2016
Researchtrainingandprofessionalism
TIME:9MINS
Screenchallenge
Researchersfrequentlylearnaboutresponsiblepracticesonthejob,fromamentororsimplyona'needtoknow'basis.Isthisthe
bestwaytolearnaboutresponsibility?Apartfromtakingacoursesuchasthis,howshouldyoulearnaboutyourresponsibilities?
Wehavealreadyseenthattherearecertainrulesandstandardsthatyouneedtoknow,andthatwhentheseprovelessthanhelpful,
itisagoodideatoturntocolleaguesforadvice.Inordertodothis,youneedtounderstandhowresearchersworkandinteractwith
eachother,theirinstitutions,theirprofessionalassociationsandthepublicmoregenerally.
Researchasaprofession
Unlikemedicine,laworengineering,researchitselfisgenerallynotthoughtofasa'profession'perse.Nonetheless,thereissome
valueinthinkingofresearchashavingitsowninherentprofessionalresponsibilities.Thesestemfromthreeimportantcharacteristics
ofprofessionalismingeneral:specialisedknowledgeandskills,selfregulation,andservice.Researchersalsospendmuchoftheir
timeworkingwithprofessionalcolleaguesbothintheirfieldandinothersettings.
Thefollowingsectiongivesmoreinformationaboutresearchasaprofession..
Characteristics
1.Specialknowledge/skills
Professionalsreceiveadvanced,specialisedtrainingthatenablesthemtodothingsthatotherswithoutsimilartrainingcannot.
2.Selfregulation
Becausethosewithoutsimilartrainingmaynotbeabletojudgeresponsibleprofessionalbehaviour,professionsareexpectedto
regulatethemselves.Societiesdo,however,regulateprofessionalswhenthereisaneedtodoso,throughtrainingstandards,
licensingandotherrequirements.
3.Service
Professionalsaresociety'sexpertsand,assuch,needtohavemorethantheirowninterestsinmindwhentheypractise.(Youwill
learnaboutsociety'sexpectationsofresearchers,andthesocialimplicationsofyourwork,throughoutthiscourse.)
Professionalcontacts
1.Researchinstitution
Researchersworkwithcolleaguesattheirowninstitutioninmanyways.Mostimportantly,administrativecolleaguesprovideguidance
onrules,regulations,legalissuesandsoon.Theymayalso:
Serveasmentorsandprovideadviceoncareerissues
Helpnegotiatethecomplexitiesofplanning,conductingandpublishingresearch
Offeralternativeoptionswhenyouarenotsurewhattodo
Provideexpertisethatyoumightneedonaproject.
Asresearchersstarttoassumebroaderinstitutionalroles,suchasservingasaresearchadministratororheadofaresearchethics
committee,theymayneedadditionaltrainingtolearnabouttheresponsibilitiesassociatedwiththeseroles.
2.Professionalsociety
Professionaloracademicsocieties/organisationsdrawresearcherswithsimilarintereststogetherandplayamajorroleincareer
development.Theymay:
Ownorrunsomeofthejournalsyouwillpublishin
Provideguidanceonresponsibleresearchpracticesinyourareaofresearch
Organiseprofessionalmeetingswhereresearchersoftenfirstannouncethefindingsofnewwork
Advocateforsupportforparticularareasofresearchandfor/againstpoliciesthatcouldinfluencetheareaofresearch
Adjudicatedisputesbetweenresearchersorinvestigatechargesofunprofessionalbehaviour.
Forissuesrelatingdirectlytoyourfieldofresearch,professionaloracademicsocietiesareoftenthebeststartingpoint.
3.Editororpublisher
Inadditiontospecificadviceontherulesandregulationsforpublication,journalandbookeditorscanprovideusefuladviceon:
Thebestoptionsforpublishingyourwork
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Howtodealwithcriticismsraisedbyapeerreviewer
Othersworkinginyourfieldofresearch
Articlesandunpublishedresearchyoumayhavemissed.
Mostestablishedresearchersworkformallywithjournalsinonewayoranother,usuallystartingaspeerreviewers,thenjoining
editorialboardsandsometimestakingontheroleofjournalorserieseditor.
4.Fundingagency/Researchcouncil
Apartfromdetailsofrulesandregulations,researchcolleaguesinfundingagenciesorresearchcouncilscanprovideinformationon:
Colleaguesinyourfieldwhomayhavesimilarinterests
Colleagueswithuniqueskillsthatcouldhelpyourresearch
Interpretationoftherulesandregulations
Currentresearchinterests.
Inadditiontofundingandregulatingresearch,manyfundingagencies/researchcouncilsalsoconducttheirownresearch,often
carriedoutbyveryableresearcherswhoarededicatedtopublicserviceandwellworthcontactingforawiderangeadviceon
responsiblebehaviour/goodpracticeinresearch.
Incombination,thesethreecharacteristicsofresearchtranslateintoresponsibilities.Mostresearchersareintroducedtothese
responsibilitiesthroughbothformalandinformaltraining.
Formaleducationandtraining
Asyouprogressthroughacademia,youwillhaveincreasinglyindepthformaltrainingandexperienceintheresearchskillsand
practicesofyourfield.ThePhD,forexample,generallyconfirmsthatyouhavetheskillsandknowledgetobearesearcherinyour
ownrightandyourlevelofindependence,autonomyandresponsibilityforotherscontinuetoincreaseasyouprogressthroughyour
postdoctoralstudyandintoformalresearchpositions.
So,yourdegreecertifiesthatyouhavecompletedacertainlevelofformaltrainingandyourCVdescribeswhatyoudid.(Besure
thatyourCVisabsolutelyhonestandaccurate:nevergiveintothetemptationtoinflateyourcredentials!Notonlydoesthisgo
againstthecrucialprincipleofhonesty,butitcancomebacktohauntyoulaterinyourcareer.)Butwhatofthelessformalwaysin
whichyouaretrained?
Mentoringandinformaltraining
Untilfairlyrecently,mostresearchersdidnotgetformaltrainingintheresponsibleconductofresearch/goodresearchpractice.Many
nowdo,butagooddealofindependentinitiativeisstillrequiredtolearnallyouneedtoknow.
Oneofthewaysyoucangathersomeofthistacitknowledgeonexpectationsandresponsibilitiesisbytalkingandlisteningtomore
experiencedcolleagues.Muchdiscussionandlearningtakesplaceinformally,duringpersonalconversationsandmeetingsoverthe
courseoftheresearch.
Newordevelopingresearcherscanalsolearnaboutresearchfromexperiencedcolleaguesthroughmoreformalmentoring
programmes.Oneofyourmentorsisyourassignedresearchsupervisor,whoislikelytobeyourfirstportofcallformanyquestions
relatingtoyourwork.However,youmayalsowishtoarrangeamentoringrelationshipwithanothermoreseniorcolleaguethis
couldbesomeoneelsewithinyoursubjectareaorindeedatrustedcolleagueinanentirelydifferentfield.Insomeinstancesthere
maybeanofficiallyappointedseniormentor.
Inthefollowingsection,reflectonthequestionsposedandmakeanoteofyourresponses,thencontinuetoourthoughts.
Question1of2:
Whatcharacteristicsmakeanidealmentor(ormentee)?
Ourthoughts:
Yourresearchsupervisorprovidesessentialguidanceonresponsibleresearchpracticesinyourfieldofstudy.Experienceis
important,butsotooistheabilitytoworkwithothersandconveyresponsibilitiestoothers.Fromthestandpointofthementor,the
mentee'slevelofexperienceisimportant,asistheabilitytoworkwithandlearnfromothers.
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Question2of2:
Whatbenefitsmightarisefromhavinganadditionalmentorwhoisnotyourresearchsupervisor?
Ourthoughts:
Anadditionalmentormaybebetterthanyourresearchsupervisoratprovidingguidanceonbroadcareerdecisionsandadviceon
someofthedifficultintegrityquestionsthatarediscussedthroughoutthiscourseinparticulariftheyturnouttorelatetoyour
supervisororsomeoneelsecloselyinvolvedinyourresearch.
Anincreasingnumberofresearchinstitutionsarerecommendingorrequiringformalmentormenteeagreementstodefinein
advancecrucialresponsibilities,expectationsandrewards.Theseagreementswillvarydependingonthesubjectareaandthenature
oftherelationship,butyoumaywishtocompletethe'Optionalactivity'intheboxattheendofthissectiontobegintobuild
somethingthatwillsuityourowncircumstances.
Theagreementitselfprovidesaconvenientmechanismforinitiatingaconversationbetweenmenteeandmentoraboutkey
questions.Evenifaformalcontractisnotworkedout,itisgoodtohaveachecklistofissuessuchasthisinmindwhenyouagreeto
bementoredbysomeoneortomentorsomeoneelse.
Weclosethissectionwithavideotranscriptofsomeresearchersreflectingontheirownexperiencesandonthevalueand
importanceofagoodmentor.
MediaVideo
Howdoyourresearchmentorsandsupervisorshelpwithresearchintegrity?
NathanTykocki,5thyearPhDstudent,MichiganStateUniversity:So,Ithinktherehavebeentimeswhen,asaresearcher,
peoplehaveaskedmetodothingsthatI'vebeenunsureof,intermsofresearchintegrity,andIthinkthat'smostlybecauseIdon't
knowallthesituationsandwhattodo.Ithinkwhenthesesortsofsituationsarise,I'vejustbeenabletoask.Wehavethatsortof
opennessandcommunicationamongstthepeoplethatIworkwith,that,ifthereisdoubt,it'ssomethingthatIcanbringup,and
therehavebeenafewtimeswhere,ifIwouldn'thaveasked,Iwouldprobablybeinaheapoftrouble!Buttheseinstances,sofar,
havecomeoutwhengoodcommunicationleadstoresolutionbeforeaproblemexists.
Whatarethepotentialconsequencesifresearchmentorsandsupervisorsdonotgive
sufficientprioritytoresearchintegrity?
Dr.NickSteneck,DirectoroftheResearchEthicsandIntegrityProgramoftheMichiganInstituteforClinicalandHealth
Research,UniversityofMichigan:Ilectureallthetimeonresearchintegrity.WhatIhearmorethananythingelseis,'Mymentor
hassaid,"Whyareyougoingtothattalkonresearchintegrity?Yououghttobeinthelaboratory,studyingwhat'sreallyimportant."'
It'sthementorsandthecommunitythatneedtosetthetone,andsay,'Youneedtothinkmorebroadlyifyou'regoingtobea
responsibleresearcher.'Ifthattoneisnotset,it'snotsurprisingthattheyoungresearchersarefocusedrightdownnarrowlyonwhat
they'resupposedtodo.
Whatstepscanbetakentosupportstudentsiftheydonotfeelcomfortablediscussingor
reportingresearchintegrityconcernswiththosetheyworkdirectlywith?
MaryTravers,4thyearPhDstudent,UniversityofOxford:Therearesomesafeguardsagainstusfeelinglikewehavenowhere
toreportanyissuesto,sooneofthethingsthat'simplementedinmydepartmentiswealwayshaveapostdoctoraladvisorfroma
differentresearchgrouptoourown,soifwefeellikeanything'sgoingwrongwithinourgroup,wehavesomeoneoutsidethegroup
whowemightfeelmorecomfortablereportingthesekindsofissuesto.
Whatcanyoudoifyoufeelyourcurrentmentororsupervisorisnotgivingyouthesupport
youneedforquestionsrelatingtointegrity?
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:Ithinkthat
therearegoodandbadmentors.Therearementorswhohaveanaturalaffinitytoteachingstudentsaboutresponsibleresearch
practices,howtoconductresearch,howtopublish,howtocollectdata.ButIthinkthere'salsoresearchmentorsouttherewho
haven'treally,theyunderstandtheseprocesses,buttheyhaven'tnecessarilypaidenoughattentiontothemtoknowhowtomentor
studentswellthroughthoseprocesses.SoIthinkit'sreallyimportantforstudentstolookforgood,strongmentorshipwhenthey're
lookingaroundforresearchmentors.Thatdoesn'thavetobeyourdirectresearchmentor.Itcanbeotherfacultyinyourcollege,or
yourdepartment,whocangiveyouthatkindofguidance.Somebodythatyoucangotothatcananswerquestionsforyou.It'sgood
tobeactive,proactive,andseekthosepeopleout,especiallyifyouhaveaquestionaboutanythingthat'sbeenaskedofyou.
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Mediaends
Usefuladvice
Althoughresearchitselfisnota'profession',manyresearchers(suchasclinicians,engineersorlawyers)belongtodiscipline
specificprofessionalassociationswhosecodesofconducttheymustadhereto.
Optionalactivity
Duration:30minutes
Downloadandfillouttheattachedprofessionalresearchtemplate.
Yourcontext
Someinstitutionsordepartmentsmayrunmentoringschemesaspartofthetraininganddevelopmentofpostgraduate
students.Findoutwhetheryoursisoneofthem.
Optionalactivity
Duration:45minutes
Clickheretodownloadalistofideasforareasanagreementmightcover.
Usethisasastartingpointtodevelopanagreementthatissuitableforyourownparticularneeds,andthendiscusswhatyouhave
donewithyourcolleaguesandyourmentor.
EpigeumLtd,2012
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2/17/2016
Modulesummary
Modulesummary
TIME:9MINS
Thisintroductionhas:
Setoutsomebasicprinciplesandresponsibilitiesforresearch
Alertedyoutowaysinwhichbestpracticeissometimescompromised
Clarifiedwhatismeantbyresearchmisconductandemphasisedtheneedtoreportit
Urgedyoutothinkofresearchintermsofaprofessionalcareer,ratherthanjustajoboractivity.
Toconcludethismodule,thefollowingvideotranscriptgivessomecontrastingviewsonthecausesofmisconduct,as
wellassomeadvicefromexperiencedresearchersonthekeypointstokeepinmind.
MediaVideo
Whydoyouthinkresearchmisconducthappens?
Dr.RichardSmith,BoardMember,UKResearchIntegrityOffice:Ithinkthatresearchmisconducthappens
everywhere.OneofthequestionsIsometimesgetaskedis,'Well,whydoesithappen?,or'Whywouldithappen?',to
whichIalwaysanswer,'Well,whywouldn'tithappen?'Becauseresearchers,scientists,arehumanbeings.Wherever
therearehumanbeings,whethertheyarepriestsordoctors,orwhatever,there'smisconduct,soofcoursethere'llbe
misconduct.Actually,Ithinkitmaybeparticularlyeasyinscience,becausescienceworksverymuchontrust,soI
thinksadlyitcanberathereasyfordisreputablepeopletoabuseit.
Dr.RayDeVries,Professor,UniversityofMichigan:Whenwethinkaboutthereasonspeoplemightgetinvolved
insomethinglikeresearchmisconduct,it'sreallyeasyforpeopletotaketheapproachthat,'Well,therearecertainbad
applesoutthere.Youcandoeverythingyoucando,trainpeoplewithcoursesonresponsibleconductofresearch,but
certainpeoplearejustgoingtomisbehave,regardlessofwhatyoudo.'Thatmaybetrue,butintheresearchI'vedone
withacoupleofmycolleagues,we'vediscoveredthatthere'ssomethingabouttheenvironmentofresearchthat
pushespeopletobehaveinwaysthathavelessintegrity.Soit'snotsimply,'They'rebadapples',whichgivesusthe
opportunitytosay,'I'mnotabadapple.Iwouldn'tbeguiltyofthis.'Butyouhavetothinkaboutthepressuresof
research,thecompetitionforgrantmoney,thecompetitiontogetpublished,thecompetitionfromotherlaboratories,
orresearchteams,andthesearethekindofthingsthatmakeyoutakeshortcuts,makeyouborrowwordswithout
givingcredit,makeyoueliminateoutliersinyourdatathatreallyshouldn'tbeeliminated.Allthesesmallthingsthat
actuallycreateproblemswithintegrity.SoIthinkwegivetoomuchattentiontobadapples,andweneedtothink
moreabout,'Whatisitintheresearchenvironmentthatencouragespeopletobehaveinwaysthatlackintegrity?'
Whatkeypointswouldyouaskyoungresearcherstokeepinmindaboutresearch
misconduct?
Dr.DanieleFanelli,ResearchFellow,TheUniversityofEdinburgh:Alotofattentionisgivenbythemedia,and
byresearchers,infact,onresearchintegrity,onissuesaboutpeopleovertlyandobviouslycommittingdatafabrication,
orotherclearlyegregiousformsofmisbehaviour.Butitisgenerallyunderstoodandacknowledged,infact,andeven
theevidencefromsurveysshows,thatthat'sprobablyjustthetipoftheiceberg,inthatthere'salotmorethatgoeson
intheformofwhataregreyareabehaviours.
Dr.AndrewRawnsley,ExecutiveCommittee,UKCouncilforGraduateEducation:Overthelastfewyears,it's
beenincreasinglyanaspectofinstitutionsthattheyhavesystems,andadministrativecommitteesandsoon,todeal
withtheprocessingofethicsandintegrityfromtheperspectiveofmakingsurethattheinstitutionisprotected,and
thatmembersofthepublicareprotected,andsoon.However,thishasledingeneraltoaperceptionbythe
researchersthatethicsandintegrityisallaboutbureaucracy,whichisanunhealthythingforreallyachievingresearch
integrity.
TonyMayer,EuropeRepresentative,NanyangTechnologicalUniversity:Thecurrenttendenciestogreater
interdisciplinarity,greaterinternationalisation,orglobalisationofresearch,aretrendsthatareincreasinginstrength,
andweareseeingthepressurestopublish,withmultiauthors,fromdifferentdisciplines,andofcoursethereare
majorprojectsworldwide.Thesehavetheirownproblemsofintegrity.
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Modulesummary
Dr.AnneWindham,DirectorofResearchOpportunities,BrownUniversity:Ithinkthattheresearchenterprise
shouldberecognisedasbeingaveryinterdependentthing,andthatfacultymemberswhoarebehaving
inappropriately,conductingtheirresearchinappropriately,engaginginmisconductorfalsifyingdata,arenotjust
impactingtheirowncareerandtheirwork,buttheyareaffectingtheircolleagues,theirdepartment,theirinstitution,
and,beyondthat,thefieldofresearch.
Dr.RayDeVries:Whenyou'reayoungresearcher,learningtodoyourresearch,you'remosteagertolearnthe
methods,strategies,networks,allthethingsthatcanhelpyousucceedasaresearcher,andintegrityseemsjusttobe
abother.'Ofcourse,I'magoodperson,I'llactwithintegrity.'Whatwe'redoingisn'tjustforourpersonalgain,
althoughsucceeding,ofcourse,weallwanttosucceed.Succeedingmeansyou'regoingtobemoreeffectivein
gettingyourresearchmethodsaccepted,yourresearchresultsaccepted,insociety.Butitalsocomeswithaburdenof
doingwhat'sright.
Dr.MelissaS.Anderson,ProfessorofHigherEducation,UniversityofMinnesota:Onethingthat'simportantto
rememberisresearchisfun.It'sagreatpleasuretohaveacareerthat'sgroundedinresearch.Yougettospendyour
timethinkingaboutthingsthatmatterverymuchtoyou.You'veputyearsofworkintothisarea,you'resurrounded
withpeoplewhoareasintenselyinterestedintheworkasyouare.It'sagreatwaytohavealife.Butit'snotallfun.
There'scompetition,there'spressure.Therearealwaysdifficultiesintryingtogetyourworkfunded.Therearedifficult
people,arrogantpeople.Thereareauthorshipdisputes,collaborationsbreakdown,andthere'ssimpleunfairnessin
thesystem.Sometimeyou'llfindyou'lljustgetanunfairreviewforagrant,oramanuscriptthatyou'vesubmitted.It's
notallfun.Sotheimportantthingistofigureouthowtocopewiththosedifficulties,withoutcompromisingyour
integrity.
Dr.TerryA.May,FacultyConflictofInterestInformationOfficer,MichiganStateUniversity:Therearemany
individualthingsthatstudentscandotohelpprotecttheintegrityoftheirresearch.TheonemessagethatIprovideto
themistolookatthisprocessassomethingthataqualityresearcherwoulddoregardless.
Dr.SofiaMerajver,DirectormCenterforGlobalHealth,UniversityofMichigan:Integrityofresearchis
somethingthatyouworkateverysingleday,notjustonceayearwhenyouhavetoreporttotheresearchcommittee.
Mediaends
Ifyouarestillwonderingwhetherintegrityisnothingmorethanbasichonestyappliedtoresearch,weclosethis
modulewithanotherconsiderthesuspiciousdigitalimagecasediscussedearlier.
Torecap:youaresurethatasuspiciousdigitalimagepresentedinaseminarbyacolleaguewasputtogetherusing
cutandpastetechnology.Nothingwassaidaboutthisduringthepresentation.Youknowyouhavearesponsibilityto
reportmisconduct.Isthereanythingthatmightgetinthewayofyourreporting?
Inthefollowingsectionyouwillbepresentedwithsomeofyourcolleagues'thoughtsonthematter.
Mywork
"Ifthisprojectslowsdown,myownworkwillbeaffected.Ihavetogetmydegreebytheendoftheyear."
Mycareer
"IfIreportthis,coulditaffectmycareer?WillIstillgetgoodrecommendations?"
Doesn'treallymatter
"Thecutandpastematerialdoesn'tseemtobeessentialtotheargument,soIguessitreallydoesn'tmatter
thatmuch."
Notmyresponsibility
"Thisisnotmyproblem.Iftheworkisdishonest,itwilleventuallybediscovered."
Ourfriendship
"We'regoodfriendsandhaveworkedtogetherforquiteafewyears.Reportingcouldendourfriendship."
Ifeveryresearcherusedexcusesorjustificationsliketheonesoutlinedintheprevioussection,selfregulationin
researchwouldrapidlybecomeineffective.Itmightnotbeeasy,butifyoususpectacolleagueofmisbehaviouryou
havearesponsibilitytoyourself,yourcolleagueandthewiderresearchcommunitytospeakup.
Noteverychoiceyouhavetomakeasaresearcherisasdifficultasdecidingtoreportasupervisororfriendfor
misconduct,butalldecisionsaboutresponsibilityinresearchhaveconsequences.Theremainderofthiscoursewill
takeyouthroughthethreestagesofresearchplanning,conductingandreportingsettingoutyourresponsibilities
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andalertingyoutopotentialproblemsthatcouldariseineach.
Ltd,2012
Epigeum
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Planningyourresearch
MODULE 2: DESIGNING
TIME:3MINS
Screenchallenge
Beforeheadingoutfortheday,youmightcheckaweatherreportoratleastlookoutside.Why?
Theimportanceofgoodplanning
Everyoneknowsthatplanningaheadisagoodidea.Ifyougetcaughtwithoutproperraingear,youcangetwetverywet.What
canhappenifyoudon'tplanyourresearchproperlyandgetcaughtwithoutthepropergear?Thefollowingparagraphsgivemore
informationaboutthedifferentelementsofplanninginaresearchcontext.
Planning
Ifyoudon'tthinkthroughyourprojectandanticipatewhatyouwillneedinordertodoitproperly,itcouldfail,wastingyourowntime
andthetimeandeffortofthosewhohavehelped(andoftenfunded)you.
Resources
Ifyoudon'tcheckinadvance,youcouldfindoutthatyoudon'thavethenecessaryspacetoconductyourresearch,thatcrucial
materialsyouneedwillnotbeavailable,orthatyoudon'thaveenoughfundingorstafftocarryoutthework.Fundingagenciesmay
alsohavespecificconditionsandguidelinesyouneedtofollow.
Permissions
Permissionsaretheformalapprovalsneededtocompleteaproject.Withoutthem,youcouldarriveatafieldstudysiteandfindthat
youlackthepermissiontoaccessit.Youcan'ttalktooreveninsomecasesobservehumanresearchparticipants,norobserve
animalswithoutpermission.Youmightnotbeabletoacceptfundsifyouhavenotobtainedtheseapprovals.
Stakeholders
Mostresearchprojectsinvolvestakeholdersofvarioussorts:membersofcommunitiesbeingstudied(orforwhomtheresearchwill
haveimportantimplications),advocacygroups,professionalgroupsandbusinessinterests.Ignoringtheirinterestscandelayyour
researchorresultinunforeseenharmtothesegroups.
Methods
Methodsarethewaysinwhichyouwillarriveattheknowledgeorunderstandingyouareseeking.Yourresearchmaynotprovide
convincingevidenceif,forexample,thesampleyouarestudyingisnotrepresentative.Ifflawsorweaknessesarediscoveredafter
yourworkiscompleted,anentireprojectcouldbeinvalidated,whichiswhyitisimportanttoplanmethodswellandhavethem
reviewedbyyourpeers.
Time
Forvariousreasons,researchersoftenunderestimatethetimeitwilltaketocompleteaproject.Fundingagenciesusuallyallow'no
costextensions'butnotalways.Studentsondegreecourses,ontimelimitedprojectfundingorwithvisasmayhavelimitedtimeto
completeaproject.Ifyourunoutoftimeand/orresources,thereisarealchanceyourprojectwillfail.
Conflicts
Iftheclashesbetweenyourvariousinterestsaretoogreat(e.g.ifyouwillreceivedirectfinancialbenefitsifyourresearchreachesa
particularconclusion),thenyoumaynotgetpermissiontopursuetheresearch.Ifconflictsarenotdisclosedattheoutset,and
insteadcometolightonlyafteryoupublish,theimportanceofyourworkcouldbediscounted.Youwillneedtorefertoyourfunding
agencyforguidanceandtoyourinstitutionalrulesforhandlingconflicts.
Protectingyourparticipants
Itiscriticalthatyoudevelopathoroughplantoensurethatyourresearchparticipantsarenotundulyharmedphysically,
psychologically(e.g.toomuchstress)orsocially(e.g.reputationalharmcausedbyaviolationofconfidentiality).Aswewillseein
thismodule,protectingyourparticipants(humanoranimal)alsoinvolvesprotectingyourdata.
Thebestwaytoavoidthesenegativeoutcomesistoworkthroughyourprojectsystematically,moreorlessasyouwouldwork
throughthechaptersinabook,inanefforttoanticipatenotonlywhatyouneedtodobutalsowhatcouldgowrong.
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Planningandresearchintegrity
Poorplanningcanhaveanimpactontheintegrityofyourresearch,fortwokeyreasons:
Firstly,becauseitcanbetemptingtotrytocompensateforalackofproperplanningbycuttingcornersandbendingafew
ruleslateron.Obviously,youshouldnotdothis.Themoreattentionyougivetoplanningyourresearch,thelesslikelyyouare
toexposeyourselftothiskindoftemptation.
Secondly(andcrucially),becausesomeplanninginresearchismandatory,notoptional.Themandatoryaspectofplanning
formsthemaincontentofthismodule.
Thefollowingpointsoutlinethemandatoryplanningyoumustcompletetoensurethatyourworkiscarriedoutresponsiblyandwith
integrity.
Ifyourresearchinvolveshumanparticipants,getpermissionandapprovaltousethem.
Ifyourresearchinvolvesanimals,getpermissionandapprovaltousethem.
Declarefinancialandotherconflictsofinterestand,ifnecessary,setupawaytomanagethem.
Ensureasafeandproductiveresearchenvironment.
Ifyoudon'tgetthesecrucialpiecesinplaceatthestart,theintegrityofeverythingyoudowillbeseriouslycompromised.Some
elementscantaketime,sodon'tleavethemuntilthelastminute.
Quotation
Qualityisnoaccident.
Anon
Questiontoconsider:Thoughsomewhattrite,thisquotationisfoundinmanyoffices,remindingusthatgoodplanningresultsina
qualityproductandreducesaccidents.Inthefieldofresearch,whatkindof'accidents'mightbeavoidedthroughgoodplanning?
Usefuladvice
Researchisalmostalwaysacollaborativeeffortofsomekindthismeansthatplanningisrarelydoneinisolation.Besureto
consultyourcolleaguesand/orsupervisorswhenplanningyourresearch.Beaware,too,thatthereisanincreasingtrend
towardsinternationalcollaborationinresearchandthatdifferentregulationsandapproachesmayapplyasaresult.
Keyterms
Stakeholder:Astakeholderisanyonewhoisinvolvedinoraffectedbyyourresearch.
Nocostextension:Permissionfromafundingagencytoextendthetimetocompleteyourresearch,withnoadditionalfunding
provided.
Optionalactivity
Duration:60minutes
Downloadandsavetheattachedfile.Asyouworkthroughthismodule,useittolisttheresearchintegritychallengesyoumightface
ateachstageofyourproject,plusyourplanofactiontoaddresseachone.
RIinpractice
Planningyourresearchthoroughlyiscrucial,butitisalsoimportanttorecognisethatplansarenotsetinstoneandneedtobe
continuallyrevisitedandrevisedwhileyouareconductingyourresearch.Inthefollowingvideotranscript,onestudentshares
histhoughtsontheresearchplanasa'livingdocument'.
MediaVideo
ThePlanasaLivingDocument
SenNorris,PhDstudent,DurhamUniversity:Wenormallyfindthattheplandoesn'talwaysgetstuckto,thatitgets
developedaswegoalong,fromtheprogressreportsandthemeetings,andwefindoutthatsomethinghasn'tbeenworking.
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Sothenwehavetogobacktotheoriginalplanandsay,'Okay,thisdidn'twork.Weneedtorelookatthis,orwelookatanew
aspect.'Sowefindthattheoverallplangetslookedat.Weknowwhatwe'relookingat,butthespecificsoftheplandon't
alwaysgetfolloweddirectly.
Mediaends
EpigeumLtd,2012
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Researchwithhumanparticipants:Definitions
MODULE 2: DESIGNING
TIME:3MINS
Screenchallenge
Yourfriendwhoisajournalistinterviewspeopleallthetime,butifyouwanttointerviewthosesamepeopleforaresearchproject,
youneedtogetpermission.Whydoyouhavetofollowrulesthatothersdon't?
Societydoesn'thavethesamerulesforallprofessionals.Aswehavealreadyseen,professionsare,inprinciple,allowedtoregulate
themselves.However,whenthereisreasontodoso,societystepsinandsetsrestrictionsonhowtheprofessionsoperateusually
aftersomethinghasgonewrong.Thishashappenedinresearchthatinvolveshumans,anditexplainswhyjournalistsarenot
regulatedinthesamewayasresearcherswhenitcomestointerviewingindividuals.
Itiswidelyknownthatduringthetwentiethcenturysomeresearchparticipantsweretreatedunethically,withthemostnotorious
casesbeingtheatrocitiesoftheNaziexperimentsonprisonersinconcentrationcampsandthemisuseofpoorblackmeninthe
Tuskegeesyphilisstudies.Asaresultoftheseandotherabuses,wenowhaveregulationstoprotecthumanswhoparticipateinor
arethesubjectsofresearch.
Sincetheregulationsforhumanparticipantsarebroadandcoverallareasofresearch,everyoneengagedinresearchneedstohave
somebasicunderstandingoftheircontentandhowtheyoperate.Thisincludesknowingthedefinitionsof'research'and'human
participant',aswellasthebasicprinciplesthatneedtobefollowedinresearchwithhumanparticipants.
Thispartofthecourseisdesignedtoserveasanintroductiontopropertreatmentofhumanparticipants.Researcherswhouse
humanparticipantsintheirresearcharestronglyadvisedtoseekoutadditionaltraininginthecontentandimplementationofhuman
participantregulations.
Whatdowemeanby'research'?
Notallinvestigationorstudyisclassifiedas'research',butthereisnouniversalagreementontheprecisemeaningoftheterm.
Althoughexactdefinitionsmayvaryfromonecountrytothenext(seetheboxontherightforsomeexamples),however,theytend
tosharecertainkeyelements:wecanthinkofresearchgenerallyassometypeofsystematicinvestigationintendedtocontribute
togeneralisableknowledge.
Inthefollowingsection,checkyourunderstandingofwhatthismeansinpracticebyconsideringtheexamplesofinvestigationsthat
mightormightnotbeclassedasresearch.Makeanoteofwhatyouthink,thenmoveontothefeedbacktoseewhatothers
mightsay.
Example1of5:
Collectingbloodsamplesfromvolunteerstotrackageneticmarkerforadisease.
Feedback:
Thiswillalmostcertainlybecategorisedasresearch.Ifyouplantopublishorsharetheinformationyoucollect,thenthisisdefinitely
asystematicstudy.Evenifyouarecollectingtheinformationforsomeotherpurposeanddon'tplantosharetheresultswithanyone,
youwouldstillneedpermissionforthebloodcollection.
Example2of5:
Doingasurveyofemployeestodeterminelevelofsatisfactionwithexistingretirementplans.
Feedback:
Thiswouldnotbeconsideredresearch.Thissurveyisforlocaluseandnotintendedtogathergeneralisabledatatocontributetothe
scientificliterature.
Example3of5:
Interviewingasampleoffellowpostgraduatestudentstogatherpilotdata(i.e.initialdatatotestlogisticsandfeasibility)on
informationtechnologyusage.Thesedatawillbeusedinagrantapplication.
Feedback:
Thiswouldlikelybeconsideredresearch.Pilotdataarecollectedsystematicallywiththeintentionofdiscoveringgeneralisable
knowledge.Eventhoughthesedatawillonlybe'published'inagrantapplication,thisisconsideredresearch.
Example4of5:
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Anobservationalstudyofhowuniversitystudentsuseopenspacesinlibraries,tobeusedbyanarchitecturalfirminplanninganew
librarybuilding.
Feedback:
Thiswouldnotbeconsideredresearch.Althoughthisisasystematicstudy,itspurposeisnottofurtherourgeneralknowledgeof
howallstudentsusestudyspacesandtheresultswillnotbepublishedinthescientificliterature.
Example5of5:
Aninterviewstudyofcivilengineersexaminingtheirideasofpersonalandprofessionalsuccess.
Feedback:
Thiswillalmostcertainlybecategorisedasresearch.Qualitativedata,whetherintheformofinterviews,focusgroupsor
observations,aregatheredsystematicallyandcontributetoourgeneralknowledge.
Whatdowemeanby'humanparticipant'?
Assumingyouaredoingresearch,thenextquestioniswhetherthepeopleinyourstudyfallunderthedefinitionof'human
participant'.Heretoothereareslightdifferencesbetweennations,butgenerallya'humanparticipant'meansalivingindividualabout
whomaninvestigatorconductingresearchobtains:
1.Datathroughinterventionorinteractionwiththeindividual,or
2.Identifiableprivateinformation.
OneexceptiontotheabovedefinitionistheUK,whereregulationscanbemorerigorousforsamplescollectedfromdeceased
persons(undertheHumanTissueAct2004),unlessthepersondiedonehundredyearsagoormore.InUKlaw,humanparticipants
aredefinedbythenatureofwhatiscollectedfromthem,ratherthanbytheirconditionaslivingordeceased.Therearealsocases
wheretheanonymousnatureofdatadoesnotremovetheneedtoobtainconsentbeforethedataisanonymised.
Thissectionfollowsasimilarpatterntothepreviousone:considertheexamplesgivenandmakeanoteofwhetheryouthinkeach
examplerepresents,ordoesnotrepresent,researchinvolving'humanparticipants',thencontinuetoourfeedback.(Theanswers
givenreflect'humanparticipant'aswedefineitinthiscoursecompletethe'Optionalactivity'atthebottomofthissectiontocheck
whetherthisalignswithyourparticularcontext.)
Example1of3:
Collectingbloodsamplesfromvolunteerstotrackageneticmarkerforadisease.
Feedback:
Youaredirectlyinteractingwithyourparticipants.Furthermore,youarenotjustcollectingonesamplefromoneindividualtoaidin
medicaltreatment:youarecollectingbloodfrommanypeopletotrackageneralcondition.
Example2of3:
Collectingdataonpreferredmodesoftransportofadultsbymeansofanationalsurvey.
Feedback:
Thisisanexampleofresearchwithhumanparticipants.Eventhoughsurveysaregenerallyanonymous,theycollectinformation
aboutprivatebehavioursthatcouldbeusedtoidentifyindividuals.
Example3of3:
Anobservationalstudyofthebehaviourofattendeesataninformationtechnologyconference.
Feedback:
Thisisanexampleofresearchwithhumanparticipants.Althoughaconferenceseemstobealarge,anonymousevent,youwillbe
interactingwithpeopleandgatheringdataonbehaviourwhicharepotentiallyidentifiable,especiallyifcollectedbymeansof
photographs.Thereisalsothequestionof'imagerights'andlegislationonprivacytobeconsidered.
Projectsthatmeetthedefinitionof'research'andusehumansinwaysthatclassifiesthemas'researchparticipants'mustbe
approvedbyanindependentreviewbody,generallycalledan'InstitutionalReviewBoard'or'ResearchEthicsCommittee'.Ifyouhave
anydoubtsaboutwhetheryourworkshouldbereviewed,youareresponsibleforgettingadvicefromyourreviewbody.Youcannot
andshouldnotmakethisdecisiononyourown.
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Everyoneengagedinresearchshouldbeawareofthisbasicrequirement.Howmuchmoreyouneedtoknowaboutresearchwith
humanparticipantsdependsonyourareaofstudy.Mostengineeringandtechnologyresearchprogrammesfocusonthe
developmentandtestingofnewmethodsandtechnologiesforsolvingchallengingproblems.Asaresult,onlyasmallsubsetofthis
fieldinvolveshumanparticipantsinresearch(e.g.biomedicalengineering,orergonomicresearchinindustrialengineering).Foran
insightintooneresearcher'sexperience,the'RIinpractice'boxwillgiveyoumoreinformation,andforamorethoroughtutorialon
researchwithhumanparticipants,usethelinksinthe'Usefullinks'boxattheendofthissection.
Usefuladvice
InAustralia,theDepartmentofIndustry,Innovation,Science,ResearchandTertiaryEducationdefinesresearchasthe
'creationofnewknowledgeand/ortheuseofexistingknowledgeinanewandcreativewaysoastogeneratenewconcepts,
methodologiesandunderstandings.Thiscouldincludesynthesisandanalysisofpreviousresearchtotheextentthatitisnew
andcreative'(DIISRTE,2012).
ReferenceDIISRTE,2012
AustralianGovernmentDepartmentofIndustry,Innovation,Science,ResearchandTertiaryEducation(2012)'HERDC
specificationsforthecollectionof2011data'.
InAustraliatheNationalStatementonEthicalConductinHumanResearchacknowledgesthatthedefinitionofresearchis
contentiousandthereforegoesbeyondthatquestiontoask:
Whatishumanresearch?
Whenandbywhatmeansdoeshumanresearch,orotheractivitiessuchasqualityassuranceorimprovement,orclinical
audit,needethicalreview?
Itisimportanttorefertopage8oftheNationalStatementtoestablishwhetheranactivityinvolvinghumanparticipants
requiresreviewbyaHumanResearchEthicsCommittee.
IntheUK,theResearchExcellenceFrameworkdefinesresearchas'aprocessofinvestigationleadingtonewinsights,
effectivelyshared'(HEFCEetal.,2011).
ReferenceHEFCEetal.,2011
HigherEducationFundingCouncilforEngland,ScottishFundingCouncil,HigherEducationFundingCouncilforWales&
DepartmentforEmploymentandLearning,NorthernIreland(2011)'REF2014:Assessmentframeworkandguidanceon
submissions'.
TheinternationallyrecognisedFrascatiManualdefinesresearchas'creativeworkundertakenonasystematicbasisinorderto
increasethestockofknowledge,includingknowledgeofman,cultureandsociety,andtheuseofthisstockofknowledgeto
devisenewapplications'(OECD,2002).
ReferenceOECD,2002
OrganisationforEconomicCooperationandDevelopment(2002)FrascatiManual2002:ProposedStandardPracticefor
SurveysonResearchandExperimentalDevelopment.OECDPublishing.DOI:10.1787/9789264199040en
Yourcontext
Checkonlineandconsultwithyoursupervisortofindoutwhatdefines'research'and'humanparticipant'inyourparticular
context.
Keyterms
Whichtermisbest:researchsubjectorresearchparticipant?Theyarefrequentlyusedassynonyms.However,'subject'emphasises
vulnerability:thispersonissubmittingtotherequestsoftheresearcher.'Participant'emphasisesactiveagreementtobeina
researchproject.
Inthiscourse,wehavechosentousetheterm'participant'throughoutforconsistency.Whatdoyouthink?Whichtermdoyouprefer,
andwhy?Andwhichareyoulikelytohavetouseinrelationtoyourownresearch?
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Keyterms
ThecommitteesthatreviewresearchwithhumanparticipantsmaybecalledInstitutionalReviewBoards(IRBs),Research
EthicsCommittees(RECs),HumanResearchEthicsCommittees(HRECs),ResearchEthicsBoards(REBs)orsimplyEthics
Committees,dependingoncountry.Beawareofthedifferenceandmakesurewhenyouaretalkingwithcolleagues,particularlyin
othercountries,thatyouruseofterms(IRB,REBorREC)isunderstood.Asareflectionoftheinternationalnatureofthiscourse,
wewillcontinuetorefertothereviewcommitteesas'researchethicscommittees'.
Optionalactivity
Duration:15minutes
Findoutthedefinitionofhumanparticipantinyourparticularcontextandseewhetherittallieswiththesuggestedanswersinthis
particularactivity.
RIinpractice
Thisvideotranscriptsshowsoneresearchersharingherexperiencesofhowengineeringledhertoresearchinvolvinghuman
participants.
MediaVideo
Howdidyourresearchinengineeringrelatetohumanparticipants?
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:So,a
fewyearsago,Istartedbecominginterestedinresearchinengineeringeducation,and,becauseofthatinterest,Ifoundmyself
engaginginhumansubjectsresearch,somethingthatIhadneverthoughtIwouldbecomeengagedin,inthepast.Itwas
intimidating,tosaytheleast,tostartthinkingaboutallofthethingsthatIneededtothinkabout.Inadditiontosimplyjust
answeringmyresearchquestion,InowhadtoworryabouttheeffectmyresearchmightbehavingonthesubjectsthatI
wantedtouseintheresearch.
Whatisyourexperienceoftheethicsreviewprocess?
Dr.LorelleMeadows:SoIfindmydealingswiththeresearchethicscommitteetobeincrediblyhelpful.Iactuallywasvery
concernedwhenIstartedworkingwiththem,becauseI'dheardhorrorstoriesabouthowlongittakesyoutogetyourresearch
approvedandI'veactuallyfoundthemtobeincrediblyquickintheirturnaroundtimes,andveryhelpful.Infact,Ijustrecently
appliedforapermissiontousehumansubjectsthroughourIRB[REC],anditwasapprovedwithinaweek.SoIthinkthatthey
havereallystreamlinedtheiractivitiesandtheyalsonowhaveagroupofpeoplewhoyoucanemailorcall,togetimmediate
responsestothequestionsyouhave.
Whatadvicewouldyougiveengineersnavigatingtheethicsreviewprocessforthefirsttime?
Dr.LorelleMeadows:Imanagedtofindtherightkindofresourcesouttheretohelpmenavigatethatnewterrain.There'san
incredibleamountofknowledgeoutthereinthesocialscienceresearchersifyoucanfindacollaboratororamentorthatwill
helpyouout,givingyoupointersintherightdirections,andalsotheIRB[REC]personnelareincrediblyhelpfulinanswering
questions.Theyreallywantyoutohavesuccessfulhumansubjectresearch,andsotheygiveyoualltheinformationyouneed
inordertodothat.
Mediaends
Usefullinks
Thelinksinthefollowinglistleadtosectionsgivingmoredetailonresearchwithhumanparticipants.
Researchwithhumanparticipants:Keyprinciples
Researchwithhumanparticipants:Gettingapproval
Researchwithhumanparticipants:Ethicsandintegrity
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Researchwithanimals:Basicresponsibilities
MODULE 2: DESIGNING
TIME:7MINS
Screenchallenge
Therearemanytypesofanimals,fromspongesandjellyfishtocatsanddogs.Doyouthinktherulesforthehumanetreatmentof
animalsinresearchshouldtreatallanimalsthesame?Why?
Theuseofanimalsinresearcharousesstronglyheldviewsandsensitivities.Theiruseinresearchis,therefore,widelyregulatedin
mostcountriesandbymostresearchinstitutions.
Protectionsforanimalsinresearchstemfromtwoimportantconsiderations:
Animalscannotarguefortheirownprotection
Animalsdeserverespect,althoughtheextentofandreasonforthisrespectisdebated.
Regulationsareawayofspeakingforandprovidingrespectforanimals.
Theprotectionsandrespectproposedforanimalsingeneralarenotappliedtoallanimalsinallcountriesuniformly.Moreover,there
aremanypeoplewhodonotagreethatanimalsshouldbeusedinresearchatall.
Thiscoursedoesnottakeanypositioninthedebateovertheuseofanimalsinresearch.Itsgoalistoprovideyouwithinformation
abouttheprofessionalresponsibilitiesyouhaveifyoudouseanimalsinyourresearch.Italsoexplainshowanimalsareprotected
shouldsomeoneaskabouttheresearchpoliciesatyourinstitution.
Inpractice,engineeringandtechnologyresearchrarelymakesuseofanimalsbutevenifyoudon'tuseanimalsinyourresearchor
yourresearchisnotregulated,itisimportanttounderstandthebasicprinciplesforprotectionandhowtheyareapplied.
The3Rs
Researchershavelongagreedthatanimalsshouldnotbeusedindiscriminatelyinresearch.Thisisreflectedinoneearlyandwidely
acceptedsetofguidelinesknownasthe3Rs(RussellandBurch,1959):
ReferenceRussellandBurch,1959
Russell,W.M.S.andBurch,R.L.(1959)ThePrinciplesofHumaneExperimentalTechnique.London:Methuen.
Replacementofuseofanimalswithotheralternativeswhereverpossible
Reductioninthenumbersofanimalsused
Refinementofresearchtechniquestoreducediscomfort,distressorpainfortheanimalsbeingstudied.
Inthefollowingsection,seeifyoucanmatchthesethreeprincipleswithcommonwaysinwhichtheyareputintopractice.Foreach
item,decidewhetheritisanexampleofreplacement,reductionorrefinement,thencontinuetoourfeedback.
Item1of6
Usingmoresensitivestatisticalanalysistechniques
Feedback:
Thisisanexampleofreducingthenumberofanimalsneeded.
Item2of6
Usingoneindividualforotherstudieswheneverhumanelypossible
Feedback:
Thisisawayofreducingthetotalnumberofanimals.
Item3of6
Usinginvitro(e.g.cellortissueculture)insteadofinvivo(wholeorganism)techniques
Feedback:
Usinginvitroratherthaninvivotechniquesisanexampleofreplacement.
Item4of6
Usinganalgesicsordrugstominimisepainordiscomfort
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Feedback:
Thisisawayofrefiningresearchtechniques.
Item5of6
Housingwildanimalsinmorespaciousandnaturalsettings
Feedback:
Thisisanexampleofrefinement.
Item6of6
Usinginvertebratesinsteadofvertebratestostudytoxiceffects
Feedback:
Thisisanexampleofreplacement.
Finalfeedback:
The3Rsarequitesimpleinconceptbutsomewhatdifficulttoimplementconsistentlyinpractice.Experienceisimportant.Take
advantageoftheexperienceofyoursupervisor,mentororcolleaguesbydiscussingyourideaswellinadvanceofattemptingtobegin
actualresearch.Alsotakeadvantageoftheexperienceoftheinstitutionalanimalcareofficeandmembersorothersworkinginyour
institution'sanimalcarefacility.
Researchersareresponsibleforconsideringandapplyingthe3Rswheneveranimalresearchiscontemplated.However,adherenceto
the3Rsisonlyoneaspectoftheresponsibleuseofanimalsinresearch.
Regulations
Asawayofensuringprotection,researchorganisationsandmanygovernmentsaroundtheworldhaveadoptedrulesandguidelines
forthecareanduseofanimalsinresearchthataremuchmorespecificthanthe3Rs.Theiroverallgoalisto:
1.Provideprinciplesforhumanetreatment
2.Establishstandardsforcare
3.Recommendorinsomecasesrequireproceduresforreviewandoversight.
Considerthe'Usefullinks'boxattheendofthissectionforlinkstokeyorganisationsandsomeoftheguidelinestheyhave
published.
MostnationalpoliciesadheregenerallytoguidelinesdevelopedbyAAALACInternational,whichinturnrepresentablendoftheUS
GuidefortheCareandUseofLaboratoryAnimals(8thedition)andtheEuropeanUnionDirectiveontheProtectionofAnimalsused
forScientificPurposes(2010).
TheEUDirective
TheEUDirective(formallyappliedacrossEuropeon1January2013)allowsMemberStatestoenactlocallegislationanddetermine
theirowninspectionregime,andtherigourofnationalsystemscanvarysignificantly.TheUK,forexample,hassomeofthemost
stringentrequirementsinthisrespect:
Acostbenefitanalysismustbeperformedforeveryapplicationtocarryoutresearchinvolvinganimals
Personal,institutional,andprojectlicencesarerequired
AllprotocolsundergobothlocalinstitutionalreviewbyacommitteeandreviewbytheInspectorate
Institutionswhichcarryoutresearchinvolvinganimalsareinspectedregularly.
IntheUK,staffresponsiblefortheuseofanimalsinresearchhaveconsiderableexpertiseinlaboratoryanimalscience.Elsewhere,
inspectorstendtobegeneralistveterinarians.Thus,intheUKthereisatightercontrolandinspectionregimethanelsewhere.
Careanduseofanimals
Theprotectionsprovidedforanimalsareusuallyspecificandcanvaryfromspeciestospecies.Forexample,somecountrieshave
specificlegislationgoverningresearchwithprimates.TheEUDirectivestatesthat'Theuseofgreatapes,astheclosestspeciesto
humanbeingswiththemostadvancedsocialandbehaviouralskills,shouldbepermittedonlyforthepurposesofresearchaimedat
thepreservationofthosespeciesandwhereactioninrelationtoalifethreatening,debilitatingconditionendangeringhumanbeings
iswarranted,andnootherspeciesoralternativemethodwouldsufficeinordertoachievetheaimsoftheprocedure'(European
ParliamentandCounciloftheEU,2010).ThereisalsoarestrictionontheuseofanimalslistedasendangeredbytheConvention
onInternationalTradeinEndangeredSpecies(CITES).
ReferenceEuropeanParliamentandCounciloftheEU,2010
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TheEuropeanParliamentandTheCounciloftheEuropeanUnion(2010)'Directive2010/63/EUoftheEuropeanParliamentand
oftheCouncilof22September2010ontheprotectionofanimalsusedforscientificpurposes'.
Thelevelofcareprovidedforresearchanimalsshouldbedeterminedbytheirneeds.Theactivitybelowforasummaryofsomeof
themoreimportantbasicprinciplesandessentialelementsofanimalcareanduse.Thissummaryisbasedontheeightheditionof
theGuidefortheCareandUseofLaboratoryAnimals,andreflectsAAALACInternationalrecommendations.
Housing
Itisessentialthathousingis'wellsuitedforthespeciesorstrainsofanimalsmaintainedandtakesintoaccounttheirphysical,
physiologicandbehaviouralneeds,allowingthemtogrow,matureandreproducenormallywhileprovidingfortheirhealthand
wellbeing.'(p.45)
Environment
Fish,amphibiansandreptiles'havelimitedability,comparedwithbirdsandmammals,tometabolicallymaintaincore
temperature.'Appropriatetemperaturerangesmustbemaintainedforbasicphysiologicalfunction,includingdisease
susceptibility.(p.45)
Relativehumidityshouldbecontrolled.'Inclimateswhereitisdifficulttoprovideasufficientlevelofenvironmentalrelative
humidity,animalsshouldbecloselymonitoredfornegativeeffectssuchasexcessivelyflakyskin,ecdysis(molting)difficulties
inreptiles,anddesiccationstressinsemiaquaticamphibians.'(p.49)
'Themaintenanceofenvironmentalconditionsconducivetohealthandwellbeinginvolvesbeddingchange(asappropriate),
cleaninganddisinfection.'(p.74)
'VerificationofmicroenvironmentalconditionsmayincludemeasurementofpollutantssuchasammoniaandCO2,
microbiologicload,observationofbehaviourandappearanceoftheanimals,andconditionofbeddingandcagesurfaces.'
(p.76)
Nutrition
'Feedersshouldbedesignedandplacedtoalloweasyaccesstofoodandtominimizecontaminationwithurineandfeces,
andshouldbemaintainedingoodcondition.'(p.71)
'Whenanimalsarehousedingroups,thereshouldbeenoughspaceandenoughfeedingpointstominimizecompetitionfor
foodandensureaccesstofoodforallanimals,especiallyiffeedisrestrictedaspartoftheprotocolormanagementroutine.'
(p.71)
'Foodstoragecontainersshouldnotbetransferredbetweenareasthatposedifferentrisksofcontaminationwithout
appropriatetreatment,andtheyshouldbecleanedandsanitizedregularly.'(p.71)
Veterinarycare
Adequateveterinarycaremustbeprovidedforresearchanimals.Thisincludes:
'Veterinaryaccesstoallanimalsandtheirmedicalrecords
Regularveterinaryvisitstofacilitieswhereanimalsmaybehousedorused
Provisionsforappropriateandcompetentclinical,preventativeandemergencyveterinarycare
Asystemforlegalanimalprocurementandtransportation.'(p.14)
AnimalCareandUseCommittees
"Thecommittee[i.e.theIACUC]isresponsibleforoversightandevaluationoftheentireProgramanditscomponentsasdescribed
inothersectionsoftheGuide.Itsoversightfunctionsincludereviewandapprovalofproposedanimaluse(protocolreview)andof
proposedsignificantchangestoanimaluseregularinspectionoffacilitiesandanimaluseareasregularreviewoftheProgram
ongoingassessmentofanimalcareanduseandestablishmentofamechanismforreceiptandreviewofconcernsinvolvingthecare
anduseofanimalsattheinstitution."(p.26)
Source:NationalAcademyofSciences(2011).Usedwithpermission.
ReferenceNationalAcademyofSciences,2011
NationalAcademyofSciences(2011)GuidefortheCareandUseofLaboratoryAnimals,8thedition.Washington,DC,National
AcademicPress.
AnimalCareandUseCommittees
Aswithresearchinvolvinghumanparticipants,oversightofresearchwithanimalsisassignedtoaresearchcommittee.Committees
regulatingtheuseofanimalsinresearchwillhavedifferentnamesindifferentcountries.Forexample,'AnimalEthicsCommittee',
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'AnimalCareandEthicalReviewCommittee',or'AnimalWelfareCommittee'areallcommonvariantsintheUK,Ireland,theEUand
Australia.IntheUSAandSingapore,thiscommitteeisknownasthe'InstitutionalAnimalCareandUseCommittee'(IACUC).
Thedutiesofsuchcommitteesvaryfromcountrytocountryandfrominstitutiontoinstitution.Youshouldconsultthespecific
nationalandlocalrulesandguidelinestomakesureyouunderstandwhatacommitteewillbelookingforwhenitreviewsyourwork.
Ingeneral,theirjobistoassesswhetheryourprojectlivesuptothebasicprinciplesfortheresponsibleuseofanimalsinresearch.
Theapplicationoftheseprinciplesinpracticeisnicelyillustratedbythecaseofatypicalpostdocresearcherwhointendstouse
regulatedanimalsaspartofhisresearch.Inthefollowingsection,youwillmeetthepostdocandarangeofhiscolleaguesand
contactsandfindouthowtheyareinvolvedinhisplans.
GlossarytermRegulatedanimals
Anyspeciesofanimalwhoseuseforresearch,education,anddemonstrationpurposesmustbeapprovedandconductedinways
prescribedbyregulations.
Thepostdocresearcher
"Iamintendingtouseregulatedanimalsinmyresearch,soIneedtodevelopastudyplan(includingproceduresforanimalhousing
andcareduringthestudy)andsubmitittoaresearchethicscommitteeforconsideration.Ifitgetsapproved,thenIwillbe
responsibleforcarryingouttheresearchaccordingtotheapprovedwrittenplans."
Thepostdoc'sresearchsupervisor
"Ihavebeenhelpingmakesuremypostdocisfullyinformedofalltheprocessesnecessaryforplanningandcarryingouthis
research.Inparticular,Ihavemadehimawarethatresearchcannotbeinitiated(e.g.researchanimalspurchased)orconducteduntil
approvalhasbeenreceived."
Amemberoftheresearchethicscommittee
"Iamamemberoftheresearchethicscommitteethathasthecollectiveresponsibilityandauthoritytodeny,recommendchangesto
orapprovetheproposedresearch.Aspartofourassessmentwewillreviewwhereanimalsarehoused,howanimalsarecaredfor
andtheresearchprocedures,toensuretheyfollowapprovedwrittenplans.Wehavetheauthoritytoterminatetheresearchifany
aspectisdeemedtoviolateordeviatefromacceptedstandardsorapprovedwrittenplans."
Thenamedveterinarysurgeon
"Ihavebeenassignedandauthorisedbytheinstitutiontoprovideveterinarycaretotheresearchanimalsusedinthisproject,andto
ensuretheirwelfareisconsistentwithapprovedwrittenplans."
Ajournaleditor
"Atmyjournal,wedon'tpublishreportsonresearchwithanimalsifithasnotbeenapproved.Thisiscommonpracticeinthejournals
industry."
Thebasicprinciplesandessentialelementsofanimalresearchshouldbeappliedsimilarlyaroundtheworld,butaswithresearch
involvinghumanparticipantstherearespecificlegalrequirementsandlocaldifferencesthatmustbeunderstood.Makesureyou
knowandunderstandanyrulesorguidelinesthatapplytoyourresearch.
Conductingresearchonanimals,evenintheirnaturalenvironments,isaprivilegegrantedbysocietybecauseofthebenefitsthatcan
accruetohumansandtotheanimalspeciesthemselves.However,harmtothespeciesorsubjectingindividualanimalsto
unnecessarypainorsufferingisnotjustifiableunderanycircumstance.Engineeringandtechnologyresearchrarelymakesuseof
animalsubjectshowever,allscholarsshouldunderstandthesystemsenactedtoprotectresearchanimalsandtoensurethat
researchiscarriedoutresponsiblyandethically.
Usefullinks
AssociationforAssessmentandAccreditationofLaboratoryAnimalCare(AAALAC)guidelines:
www.aaalac.org/about/guidelines.cfm
AustralianCodeofPracticefortheCareandUseofAnimalsforScientificPurposes(8thedition,2013):
www.nhmrc.gov.au/guidelines/publications/ea28
EUDirective2010/63/EU(2010)ontheProtectionofAnimalsusedforScientificPurposes:http://eur
lex.europa.eu/LexUriServ/LexUriServ.do?uri=
OJ:L:2010:276:0033:0079:En:PDF
UKAnimals(ScientificProcedures)Act1986:www.legislation.gov.uk/ukpga/1986/14/contents
IrishDepartmentofHealth'sguidelinesontheuseofanimalsforexperimentalandotherscientificpurposes:
www.dohc.ie/other_health_issues/uaeosp/
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Singapore'sNationalAdvisoryCommitteeonLaboratoryAnimalResearch(NACLAR):www.ava.gov.sg/AnimalsPetSector/
CareAndUseAnimalsForScientificPurp/#naclar
Usefullinks
Principles:
TheInternationalGuidingPrinciplesforBiomedicalResearchInvolvingAnimals:http://cioms.ch/publications/guidelines/
1985_texts_of_guidelines.htm
GuidefortheCareandUseofLaboratoryAnimals,8thEdition:www.nap.edu/catalog.php?record_id=12910
Bankowski,Z.&HowardJones,N.,Eds.(1985)BiomedicalResearchInvolvingAnimals:ProposedInternationalGuiding
Principles.ISBN9290360178.Sw.fr.25.
Organisations:
TheAssociationforAssessmentandAccreditationofLaboratoryAnimalCareInternational(AAALAC):www.aaalac.org
TheCouncilforInternationalOrganizationsofMedicalSciences(CIOMS):www.cioms.ch/
InternationalCouncilforLaboratoryAnimalSciences(ICLAS):www.iclas.org
ConventiononInternationalTradeinEndangeredSpecies(CITES):www.cites.org
Keyterms
NamedVeterinarySurgeon:Someonewiththenecessaryeducation,trainingandexperiencewhoisassignedandprovidedthe
authoritytocareforandmanageresearchanimalsonbehalfoftheinstitution.
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Managingandprotectinginterests:Anintroduction
MODULE 2: DESIGNING
TIME:12MINS
Screenchallenge
Apotentialthesissupervisoroffersyoufundingthroughaspinoffcompanybasedontheirwork.Shouldyouacceptthisoffer?
Shouldthispersonsupervisedissertationresearchfundedbytheirowncompany?
Yourmaininterestistocompleteyourdegreewithastrongportfolioofprofessionalpresentationsandpublicationsinordertogeta
job.Yourdissertationsupervisorisinterestedinthequalityoftheworkyoudobutalsoinprotectingandpromotingideasthatmaybe
importanttohercompany.Whatwillhappenwhenyoucompleteyourworkandarereadytopublishandapplyforjobs?Youwill
wanttotalkopenlyaboutyourwork,butyoursupervisormaybemotivatedtokeepyourideassecretuntiltheyhavebeenprotected.
Thissituationcreateswhatiscalleda'conflictofinterest'(CoI)bothwithinandbetweenthetwopartiesinvolved.
Yoursupervisorhasaninterestinprotectingtheideasandintellectualpropertythatareessentialtothesuccessofthespin
offcompany,andshealsohasaninterestinyoursuccessasapostgraduatestudent.
Youhaveaninterestinexploringinterestingproblemsandpublishingyourresultstoenableyoutogetajobaftergraduating.
GlossarytermInterest
Amajorconcernthatdrivesyourwork.
Alltheinterestsinvolvedhereareproperinterests.Academicresearchersareencouragedtocommercialisetheirideasandallowed
toprofitfromuniversitycommercialisationoftheirresearchresults.Studentsareexpectedtoreportontheirresearchfortheir
professionaldevelopmentandtoaugmentthereputationoftheirinstitution.Butthesedifferentandequallyvalidinterestscan
comeintoconflict,creatingsituationsthathavetoberecognisedand,insomecases,reportedandmanagedoreliminated.
Fourtypesofinterestandwhattodoaboutthem
Thementionof'conflictofinterest'usuallybringstomindfinancialinterests.Therearemanyexamplesofresearchersacting
inappropriatelyforfinancialbenefit,andfirmevidencethatinsomefieldsmoneyinfluencesresearchresults.Societyrelieson
researchforsolid,unbiasedinformation.Financialinterestscanunderminetheintegrityofthatinformationandleadtobiased
findingsineveryfieldofresearch.
However,moneyisonlyoneofmanyintereststhatcanleadtobiasandcompromisedintegrity.Inthissection,wefocusonfourof
theseinterests:personal,professional,scholarlyandfinancial.
Inthefollowingvideotranscript,arangeofresearcherstalkabouttheirexperienceswithdifferentinterests,andconsiderboththe
possibleimpactontheirwork,andwhethereachinterestispersonal,professional,scholarly,financialorperhapsacombinationof
severalofthese.
MediaVideo
Conflictofinterest:someresearchers'experiences
Dr.AndrewRawnsley,ExecutiveCommittee,UKCouncilforGraduateEducation:So,forexample,inanewresearchlab,with
twoorthreepostdoctoralresearchers,forinstance,andmaybeaPhDstudentortwo,thereareboundtobedifferentpressuresthat
affectthedifferentpeopleworkinginthatenvironment,whichareallinthemselvesinterests,sothePhDstudenthasaninterestin
finishingtheirworkandgettinganotherresearchposition.Thepostdocswillbelookingforworkfollowingthecontractthatthey'reon
atthemoment.Therewillalsobethepressureontheirresearchteamleadertopublishmorepapers,getmoregrants.
MaryTravers,4thyearPhDstudent,UniversityofOxford:Sothepressuretopublishwouldcertainlybehelpedbyhavinglonger
PhDs.ButIthinktheproblemlargelycomesbecausesupervisorswantyoutowriteandpublishyourpapersbeforeyouwriteand
completeyourthesis,becausetheirinterestliesingettingthedataoutthere,andhavingtheirnameonapaper,whichisoutinthe
publicrealm,ratherthanyourthesis,whichdoesn'treallydothemmuchgoodinthelongrun.Itdoesyougoodinthelongrun.
Dr.DanieleFanelli,ResearchFellow,TheUniversityofEdinburgh:Sothereisawellrecognisedproblemwithwhatiscalled
'publicationbias',withthefactthatthescientificsystemisnotneutraltotheresultsthatscientistsget,whichcreatesaconflictof
interest,becauseactuallyscientistsshouldbeneutralabouttheresultsthattheyget.
DominicLawrance,4thyearPhDstudent,ImperialCollegeLondon:SoIhavethreesupervisors,whichcausessomeconflicts
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intheplanningofmyresearch,andtheexecutionofmyresearch.Eachofmysupervisorshasadifferentrequirementofmyresearch
andmyPhD,whattheywanttogainfromit.
Dr.DanieleFanelli:Animportantpartofanyscientist'slifeisactingasapeerreviewer,becauseyou'reinapositionofpower.You
candecideaboutthefateofapaper,apieceofresearch,oreventhefutureofaresearchcareer,orofaparticularfieldofresearch.
Thepossibleconflictsofinterestinthisareobvious,Ithink,toanyone.Sotherisk,forone,thatyoumightabusethatpower,either
tofavouryourowninterests,forinstanceshootingdownaproposal,apaper,becauseit'schallengingwhatyouthinkisthetruth.Or,
evenworse,thereisariskthatpeoplecouldusetheinformationtheygetfromanunpublishedbitofresearchtoadvancetheirown
research,slowingdownthepublicationortheadvancementofacompetitor.
JohnHull,PartnerandHeadofIntellectualProperty,MemeryCrystalLLPLondon:Letmegiveyouagoodexampleofwhere
Ithinkconflictsofinterestwilltendtoarise,andmaybelikelytoariserathermoreinthefuture.EnglishUniversity,Professorof
Engineeringhassuccessfullyspunoutacompanyonthebasisofhisresearch.Itjustsohappensthatthespinoutcompany'soffice
islocatedintheDepartmentofEngineering.Professorisobviouslytherecipientofproposalsforresearch,and,onoccasions,doesn't
knowwhethertheresearchshouldbecarriedoutbyhiscompany,becauseit'sparticularlylucrative,or,perhaps,carriedoutbythe
university.Thedifficultyhefindshimselfinisthatheowesdutiestohiscompany,asadirector.Healsohasdutiesasanemployee
oftheuniversity.
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences:Soinourresearchwehaveto
becarefulalsoaboutcommercialconflictsofinterest.Inmyresearch,Icollaboratewithdifferentmanufacturerswhoarecompeting
againsteachother.SowhenIworkontheoneprojectwithonemanufacturer,Ihavetobecarefulnottodisclosesomeofthe
researchoutputs,someoftheinformation,knowhow,whichIhavegainedworkingwithanotherone.It'sverydifficulttogiveprecise
ruleshowtodothat.Itisaquestionofpersonalintegrity,andbeingcarefulnottodisclosewhateveryou'velearntfromworkingwith
oneorganisation,nottodiscloseittotheother.Ithinkthereisaninterestingtendency,asresearchers,weareexcitedaboutwhat
wedo,andquiteoftenInoticeinmyself,thatI'msokeentosharemyresults,excitingresultsoftheresearchwitheveryone,with
others,andthenIhavetorestrainmyselfjustnottosaytoomuch.Sometimesit'squitedifficult,butyouhavetokeepyourselfin
check,tomakesurethatyoubehaveproperly.
Mediaends
Liketheresearchersinthepreviousvideotranscript,theidealisforresponsibleresearcherstoreflecton,recogniseandbeopen
aboutdiscussinganddisclosingtheirconflictinginterests,whichinmanycasesareunavoidable.
Forsituationswhereconflictinginterestscannotbeeliminatedanddisclosing(or'reporting')themalonemaynotbesufficient,
researchinstitutionswillestablishaplantomanagethem(e.g.byappointinganindependentresearchertooverseetheconflict).
Whenmanagementisnotpossible,itmaybenecessarytoprohibitoreliminatetheconflict.Studentsandearlycareerscholars
shouldalwaysseekguidancefromtheirinstitutioniftheyareconcernedabouttheinfluenceofothers'conflictinginterests.
Thefollowingsectiongivesmoreinformationabouteachoftheseinterests.Foreachone,reflectonsomeexamplesfromyourown
experience,andthenfindouthowandwhenitshouldbereported.
Personalinterests
Personalinterestsarethethingsthatareimportanttoyouasaperson.
Whatmightbeyourpersonalinterests/commitmentsandhowmighttheyconflictwithyourprofessionalresponsibilities?Makeanote
ofyourideas,thencontinueforourthoughts.
Ourthoughts:
Personalinterestsmightincludecommitmenttospendtimewithfamily/friends,andyourgoalsinlife.Familyobligationscould
conflictwiththeneedtospendlonghoursinthelaboratoryorlibrary.
Nowconsiderhowandwhenpersonalinterestsmightneedtobedeclared,thencontinueforourthoughts.
Ourthoughts:
Becarefulnottoconfusepersonaldesireswithpersonalobligationsasdescribedpreviously.Whateveryourlevel,youshouldbeclear
abouthowyourpersonalinterestswillaffectyourprofessionalobligations.Agoodtimetodiscusstheseinterestsmightbeduringan
initialmentormenteemeetingorinamentormenteecontract.
Professionalinterests
Professionalinterestsarethethingsthatareimportanttoyourprofessionalcareerdevelopment.
Whatmightbeyourprofessionalinterestsandhowmighttheyconflict?Makeanoteofyourideas,thencontinueforourthoughts.
Ourthoughts:
Professionalinterestsmightincludegettingajoborresearchgrants,promotion,publication,servingoncommitteesorbecominga
researchleader.Yourinterestinsecuringaresearchpositionmayconflictwiththeneedtogiveanobjectivereportofyourresearch
recordonyourCV.
Nowconsiderhowandwhenprofessionalinterestsmightbereported,thencontinueforourthoughts.
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Ourthoughts:
Pursuitofyourownprofessionalinterestscouldhinderthatofothers,soyoushouldopenlyandclearlycommunicatetheimpactof
yourprofessionaleffortsonothers.Forexample,asupervisorshouldreportthatapendingresearchproposaldeadlinemightdelay
reviewofadraftpaperbyaPhDstudentorpostdoctoralresearcher.Supportforresearchfundingshouldalwaysbeacknowledged
andsometimesreportedasaconflictinginterestifitisbyaprivateentity.
Scholarlyinterests
Scholarlyinterestsarethethingsthatareimportanttoadvancingyourparticularresearchideas.
Whatmightbeyourscholarlyinterestsandhowmighttheyconflict?Makeanoteofyourideas,thencontinueforourthoughts.
Ourthoughts:
Examplesmightincludeauniquediscovery,aparticularresearchmethodyoufavour,oraparticularresearchtheoryorschoolof
thought.Yourscholarlyinterestinpropagatingyourownresearchperspectivemaycloudyourabilitytoreviewtheworkofothers
objectively.
Nowconsiderhowandwhenscholarlyinterestsmightbereported,thencontinueforourthoughts.
Ourthoughts:
Scholarlyinterestsaresimilartoprofessionalinterests.However,theconflictingmotivationrelatestosuchthingsasrestrictingthe
sharingofdata,notcreditingtheimportanceofconflictingareasofresearch,ornotfairlyreviewingthework/resultsofcompeting
researchers.Youshoulddisclosescholarlyinterestsbeforeyouagreetoreviewarticlesorsitonreviewpanels.
Financialinterests
Financialinterestscoverthemonetarywaysinwhichyoucouldbenefitfromyourwork.
Whatmightbeyourfinancialinterestsandhowmighttheyconflict?Makeanoteofyourideas,thencontinueforourthoughts.
Ourthoughts:
Examplesmightincludedirectfinancialsupportforyourresearch,extrafinancialpaymentssuchasconsultingfees,royalties,profits
fromcommercialisingyourideas,directfinancialrewardsforbeingasuccessfulresearcher,suchaspaymentsforpublicationin
prestigiousjournals,orfinancialbenefitsreceivedbyyourdirectfamilymembersasaresultofyourresearchactivities.Aconflictcan
ariseifyouhaveafinancialinterestinacommerciallyavailableproductthatisalsopurchasedforuseinyourresearchprogramme.
Nowconsiderhowandwhenfinancialinterestsmightbereported,thencontinueforourthoughts.
Whilstinstitutionsoccasionallyhavepoliciesregulatingtheinterestsnotedpreviously,fundingagenciesmayrequireinstitutionsto
assess,manageand/oreliminateconflictingfinancialinterests.Disclosuretotheinstitutionandothers(especiallyjournals)isakey
componentofensuringtransparencyasanindicatorofresearchintegrity.
Concernsabouttheeffectivenessofreportingandselfregulationofinterestshaveoverthelastdecadeledtothetighteningofsome
rulesforconflictofinterest,particularlyfinancialinterests.Itistothesethatwenowturn.
Usefullinks
Examplesofcasesorstudiesofconflictofinterest
MembersoftheEPSRCCouncil'sownconflictofinterestdeclarations:
www.epsrc.ac.uk/about/governance/council/Pages/conflicts.aspx
Conflictsofinterestindrugstudies:www.sciencedaily.com/releases/2011/03/110308172830.htm
Studiesandguidelines
Davis,M.&Stark,A.(2001)ConflictofInterestintheProfessions.Oxford:OxfordUniversityPress.
Studyoflinksbetweenindustrytiesandproindustryfindings:http://jama.amaassn.org/content/289/4/454.short
Lippert,S.,Callaham,M.L.&Lo,B.(2011)'Perceptionsofconflictofinterestdisclosuresamongpeerreviewers',inPLoS
One6(11):e26900.
Berrett,D.(2011)'The'insidejob'effect',inInsideHigherEd,April19.Availableonline:
www.insidehighered.com/news/2011/04/19/economists_start_probing_their_own_ethics
Keypoliciesandprocesses
Australia
GuidelinesforDisclosureofInterestsandConfidentialityObligations:www.arc.gov.au/arcconflictinterestandconfidentiality
policy
NHMRCpodcastondealingwithconflictsofinterest:www.nhmrc.gov.au/media/podcasts/2009/dealingconflictsinterest
AustralianCodefortheResponsibleConductofResearch:www.nhmrc.gov.au/guidelines/publications/r39
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UKandIreland
Consultyourfundingagency.
HongKongandSingapore
Refertoyourinstitutionaland/orfundingagencypolicy.
USA
HHSregulations:http://grants.nih.gov/grants/policy/coi/index.htm
RIinpractice
Inthefollowingvideotranscript,someexpertssharetheiradviceonhowtomanagepotentialconflictsofinterest.
MediaVideo
Advicetobeginningresearchersonmanagingconflictsofinterest
Dr.AndrewRawnsley,ExecutiveCommittee,UKCouncilforGraduateEducation:Thebestwaytomanagepersonal
interestswouldbetolookatwhatyouwouldexpectotherpeoplehowyouwouldexpectotherpeopletotreatyouinthesame
situation.Therefore,thisgoestotherootofwhattheresearchintegritymessageis,isthatitstartswithyourchoicesandyour
responsibilities,mostofwhicharebaseduponhowyouwouldliketobetreatedbyafellowresearcher.Ifyouhaveaninterest
thatisinconflictwithsomeoneyouworkcloselywith,thenclearlyit'sbesttodealwiththatinanopen,transparentway.
Disclosureanddiscussion,planningforwhatwouldhappenifcertainthingsweretotakeplace,andsoon.
Dr.KarenMelham,ResearcherinEthics,UniversityofOxford:Thefactthatthere'saconflictisnottheproblem.It'sthe
possibleperceivedoractualmisconductthatmayresultfromitthatistheproblem.Ithinkthebestwaytodealwiththatis
clarity,beingabletoidentifywhatyourconcernsandinterestsare,andbeingabletocommunicatethattootherpeople
involvedinyourwork.
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences,DurhamUniversity:So
Ithinkit'sveryimportantthat,rightatthebeginning,beforeyousignanycontract,youmakesurethatyourrightsare
protected,andthereisaclearpathwhichisleadingtopapersandresearchfunderstoagreetopublications.Mostofthe
researchfundingbodieshaveaclearpolicy,andtheyhaveexpertsinthat,whoshouldbeabletoadvisepeoplewhattodoand
whatnottodo.
Dr.NickSteneck,DirectoroftheResearchEthicsandIntegrityProgramoftheMichiganInstituteforClinicaland
HealthResearch,UniversityofMichigan:Foranyonecomingintoresearch,conflictofinterestisn'thighontheirlist.Mostof
themdon'thavelucrativeconsultingcontracts,theydon'thavelargestockportfolios.Theydon'treallythinkofconflictof
interestasamainproblem.They'remostlyfocusedonpublication.Whyshouldtheythinkaboutconflictofinterest?Well,very
quickly,they'regoingtostarttocollaboratewithotherpeople.Oneofthefirstthingstheymightfindoutisthatthepeoplethat
they'reworkinghaveconflictsofinterest,andthatpreventsthemfromsharinginformationthattheyneed.Weknowthatthisis
aprobleminresearch,thatstudentsinparticularcan'tgetthecrucialmaterialstheyneed,becauseresearchersareunableto
sharewiththem,becausetheyhaveconflictsofinterestoutthere.Soveryearlyonyouneedtolook,notonlyatyourown
conflictsofinterest,buteveryoneelseyou'reworkingwith,toseewhattheirpotentialconflictsmightbe,sothatyoudon'tget
intoasituationwhereyoucan'tgetaccesstothematerialsyouneedtogetaccessto.
Mediaends
Optionalactivity
Duration:60minutes
Writealistofalltheinterestspersonal,professional,scholarlyandfinancialthatyouholdinrelationtoyourcurrentresearch
project.Areanyoftheminconflictwithoneanotherorwiththebestinterestsofyourresearchorcolleagues?Makealistofany
issuesandplanhowyouaregoingtotacklethem.
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Financialinterestsandintellectualproperty
MODULE 2: DESIGNING
TIME:5MINS
Screenchallenge
Youthinkyourresearchmayhavehituponsomethingpotentiallyprofitable.Whatdoyoudo?
Financialconflictsofinterestarenotnewtoresearch.Researchershavelonghadtheopportunitytopackageandselltheirfindings
throughinventions,bestsellingbooksorsimplythroughbeingrecognisedandpaidtospeakas'leadingfigures'intheirfields.
However,financialintereststookonnewimportancewhengovernments,particularlyintheU.S.,notonlyencouragedbutalso
requiredgovernmentfundedresearcherstoprotectandcommercialisetheirideas.
Thechangeinthinkingaboutintellectualpropertyandfinancialinterestsnowpermeatesacademicfundingsystemsinallcountries
andyourinstitutionwillbeencouragedtoensurethatresearchoutputscanbecommercialised.Mostinstitutionshavea'Technology
TransferOffice'whichdealswithsuchmattersandcangiveyouadviceonintellectualproperty
GlossarytermIntellectualproperty
Tangibleresultsofintellectualandcreativeeffortandinputthatcanbeattributedtospecificindividualsorentitieseitherthrough
professionalstandards(e.g.,publications)orpatent,copyright,ortrademarklawprotections.
Thefollowingsectionoutlineshowaninstitutionmightapproachtheprocessofcommercialisinganewpieceofintellectualproperty.
Commercialisingintellectualproperty
Mostcountriesandfundingagenciesstronglyencouragetheexploitationofintellectualpropertybutthemannerinwhichthisisdone
isnormallylefttotheinstitution.Yourinstitutionwillhaverulesandguidelinesrelatingtointellectualproperty,andyoushouldmake
surethatyouarefamiliarwiththese.
Stage1:Technologydisclosure
Manyinstitutionshaveofficeswithprofessionalsexperiencedinintellectualpropertylawtoassistresearcherswhomakenew
discoveriesleadingtoinventions(mostcommonlyausefulprocess,machine,articleofmanufactureorcompositionofmatter).The
firststepinvolveshavingtheresearcherfileaconfidentialdescriptionoftheinventioninsufficientdetailtoassessitscommercial
potential.
Stage2:Assessmentandprotection
Theinstitution'sassessmentofcommercialpotentialhelpstodecidewhetherthecostofsubmittingapatentapplicationisawise
investment.Ifso,anapplicationisfiledwiththenationalpatentofficeor,intheEU,withtheEuropeanPatentOfficeandsimilar
officesofothercountrieswhereprotectionisdesired.Researchersarenamedasinventors,buttherighttolicenseandcommercialise
isroutinelyassignedtotheirinstitutionsinaprofitsharingagreement.
Stage3:Marketing
Oncetheintellectualpropertyisprotectedthroughthepatent,theinstitutionhelpstheinventoridentifyexistingcompanieswith
similarintereststhatmightwishtopayfortheright(i.e.licence)tousetheinvention.Often,institutionsdecidethattheinventionis
sufficientlyuniquethattheycanfindinvestorstoprovidemoneytocreateastartuporspinoffcompanythatwouldlicensethe
technology.
Stage4:Commercialisationandrevenue
Theresearcherorthecompanylicensingthetechnologycontinuestorefineanddevelopthetechnology,whichmayresultinnew
patents.Paymentstotheinstitutionfortherighttosellgoodsorprovideservicesbasedontheinvention(s)aresharedwiththe
inventor(researcher)andproviderevenuetoreinvestortakeaspersonalfinancialincome.
Whengovernmentsbeganputtingmajorfundingintoresearchinthe20thcentury,itwasinitiallyfeltthatideasgeneratedwithpublic
fundingoughttobefreelyavailableforpublicuse.Overtime,however,itwasquestionedwhetherthelackoffinancialincentives
slowedthedevelopmentofideasintopracticalapplications.Nowpoliciesinmostcountriesallowresearchersandresearch
institutionstoprotectandprofitfromideasdevelopedwithpublicresearchfunds.
Managingfinancialinterests
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Managingfinancialinterests
Financialconflictsofinterestaretosomeextenttheeasiesttorecogniseandmanage.Royaltiesonabookorinventioncanbe
measured.Thesameisnottrueofpersonal,professionalorscholarlyinterests.Butjustbecausefinancialconflictscanbemeasured,
thisdoesnotmeanthattheyareeasytohandle.Itisthereforeimportanttounderstandhowfinancialconflictscancomeintoa
projectandwhatyoushoulddotoreportandmanagethem.
Inthefollowingsection,youwilllearnmoreabouthowfinancialinterestsarehandled.
Disclosure
Institutionsareresponsiblefordevelopingpoliciesandprocedurestoensurethatindividualsresponsibleforproposing,conducting
andreportingresearchdiscloseanysignificantfinancialinterestsrelatedtotheirprofessionalresponsibilitiestotheirinstitutions.
Institutionalofficialsmustdecidewhethertheinterestcreatesafinancialconflictandmanage,reduceoreliminateitifitdoes.
Elimination
Inlimitedcircumstances,institutionsmayrequirethataresearcher'sfinancialinterestbeeliminatedbydisposingoftheinterest(e.g.
sellingstockoranequityinterestinacompany),byprohibitingconsultingthatgeneratesaninterestorbyprohibitingtheresearcher's
involvementintheresearch.
Reduction
Institutionsmayrequirearesearchertoreduceorlimittheirfinancialinterestbydisposingofaportionoftheirinterestorbyrequiring
thattheylimittheirinvolvementwithaparticularcompany.Individualsoftendothisvoluntarilyinordertobeabletoserveon
importantandinfluentialregulatorybodies.
Inaddition,certaininstitutionsestablishguidelinesandpoliciestorestrictspecificactivitiessuchasbeingpaidtolendone'sname
asanauthororspeakabouttheutilityofaspecificdrugusingcompanynotesandvisualaids.
Management
Mostcommonly,institutionsmanageindividualfinancialinterestsbyrequiringthattheresearcherwiththeinterestsimplydiscloseit
totheirstudents,postdoctoraltrainees,coworkers,thejournalstowhichtheysubmittheirpapersforpublication,orpeoplethey
recruitashumanparticipants.
Dependingonthecircumstances,aresearchermightberestrictedfromcompletingcertainresearchactivitiesorrequiredtosubmit
theirdatatoanindependentoversightcommitteeforreviewandvalidation.
Specificmanagementstrategiesdependonthepotentialriskofharmtoothersorothers'interests.
Remember,theserulesandproceduresapplynotonlytoyoubuttoeveryonewithwhomyouworkandpublish.Unreportedfinancial
orotherconflictsofinterestcanhaveanegativeimpactoneveryoneworkingonaresearchprojectorlistedasanauthoronapaper
aswellasontheirinstitution(s).
Dependingonyourareaofresearchandyourinstitution,youmayalsoberequiredtohavemorespecificconflictofinteresttraining.
Ifyouarenotsureabouttheneedforadditionaltraining,considerthe'Download'boxattheendofthissectionformoreinformation.
Anongoingconsideration
Itisoftendifficulttoanticipatealltheinterestsyouandotherswillhaveduringthecourseofyourresearch.Forexample:
Youmighthopetodiscoversomethingnewbutnotknowwhenandhowthiswillhappen
Newopportunitiesforfundingmightemergeastheprojectdevelops,andnewpartnersmightjointheproject
Thehoursyouspendworkingwithothersonyourprojectmightbringnewinterests(personal,professional,scholarlyor
financial).
Atthebeginningofyourproject,doyourbesttoidentify(and,asneeded,report)allinterestsbuttheneepaneyeoutfornewones
astheyemerge.Makesureyouareawarethatsomeofthenewrelationshipsyoubuildduringyourresearchcouldcreateconflicts
thataffectyourworkorpropertythatyoumightwanttoprotect.
Yourcontext
Doyouknowwheretofindyournational(ifany),institutionalandsubjectrelatedguidelinesaboutCoIpolicies?Allinstitutions,
forexample,haveapolicyonIP.Doyouknowwhatyoursis?
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Usefullinks
Forgeneralinformationaboutcopyrightandintellectualpropertyrulessee:
NationalPrinciplesofIntellectualPropertyManagementforPubliclyFundedResearch:www.arc.gov.au/nationalprinciples
intellectualpropertymanagementpubliclyfundedresearch0
BerneConventionfortheProtectionofLiteraryandArtisticWorks:www.wipo.int/treaties/en/ip/berne/trtdocs_wo001.html
Directive2001/29/EContheharmonisationofcertainaspectsofcopyrightandrelatedrightsintheinformationsociety:
http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32001L0029:EN:HTML
TheWorldIntellectualPropertyOrganisationkeepscopyrightunderreview:www.wipo.int/copyright/en/
IntellectualPropertyOffice(UK):www.ipo.gov.uk
Optionalactivity
Duration:30minutes
Ifyouwouldliketolearnmoreaboutintellectualpropertyorbelieveyouhavedevelopedsomethingthatneedstobeprotected,click
heretodownloadsomeadditionalinformationandactivitiestocomplete.
Keyterms
Patent:Protectionandauthorisationthataninventorhasthesolerighttomake,useandselltheinventionforasetperiodoftime
withinthecountry.
Copyright:Protectionsforauthorsof'originalworksofauthorship'fixedinatangibleformofexpression.
Trademark:Protectionsforuseofvarioustypesofvisualexpressions(i.e.lettersorsymbols)usedtocharacterisegoodsorservices
soldbythetrademarkholderandtodistinguishthemfromthosesoldbyothers.
Startup:Anewlycreatedcompanybasedonuniversitylicensedintellectualpropertyusingindependentinvestorfunding.
Spinoff:Anewcompanycreatedasaresultofanexistingcompanysplittingitselfup,oftenbasedonnewtechnology,intellectual
propertyorcorporateassetsusingfundingbytheoriginalcompanyorfromindependentinvestors.
Significantfinancialinterest:Personalfinancialinterests(asdefinedbypolicy,regulationorlaw)ofaresearcherortheirspouse,
domesticpartnerorlegaldependantsthatrelatetotheirprofessionalresearchactivitiesandmustbereportedtoothersasapossible
conflictofinterest,becausethevalueoftheinterestcouldbeaffectedbytheresearchortheinterestcouldbiasdecisionsinthe
completionoftheresearch.
RIinpractice
Asaresearcher,itisimportantthatyouunderstandwhoultimatelyownstheoutputofyourwork.Intellectualpropertycanbea
complicatedarea,asoneexpertexplainsinthefollowingvideotranscript.
MediaVideo
Whoownstheoutputfromalecturer'swork?
JohnHull,PartnerandHeadofIntellectualProperty,MemeryCrystalLLPLOndon:Letmejusttalkalittlebitabout
intellectualpropertyownership,becauseit'sanissueandit'sasubjectwhichisoftenmisunderstoodinuniversities.Thesimple
propositionisthis,thatifIproduce,say,acopyrightwork,itmightbeasetoflecturenotesorasetofpapersforpresentation
tostudents,andIdothatinthecourseofmyemployment,thecopyrightinthatworkbelongstomyemployer.Itdoesnot
belongtome.It'sassimpleasthat.ItreallymakesnodifferencethatImightusemyowncomputertodoit.Itreallymakesno
differencethatImightsitathomeintheeveninganddoit.Ifitsatisfiesthetestofbeingproducedinthecourseofmy
employment,inotherwordsforthepurposesofthejobI'memployedandpaidtodo,thentherereallyisn'tmuchquestion
aboutit.Itbelongstotheuniversity.
Whoownstheoutputfromaresearcher'swork?
JohnHull:Thedifficulty,Ithink,wehavehereisthat,whenwethinkaboutaresearcher'sintellectualproperty,we'reaptto
confusetheterminaslightlyunfortunateway.IfIthinkof'research'asintellectualproperty,perhapsasamemberofa
researchteamcarryingoutcomplexscientificortechnicalresearchinaresearchsetting,asanintellectualpropertylawyer,I
tendtothinkofthatproductasbeingassignedstraightthroughthecontractofemploymentintothehandsoftheuniversity.
Now,theresearchermaythinksomethingslightlydifferentbecause,ofcourse,he'sgeneratedthis.He'sgoingtobe,perhaps,
theauthororcoauthorofaworkinaprestigiousjournal.Thatdoesn'tmeanit'shisintellectualproperty.Theymaybehis
ideas,hisconcepts,hiscontributiontoagreaterwhole,butinthisdayandage,it'stheuniversitywhichwillalmostinevitably
claimanentitlementtothatintellectualpropertyifit'sgotcommercialusetoit.
Howaboutideasandinformalplans?
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JohnHull:Suppose,asanewresearcher,Icometoyouasmyheadofdepartment,andsaythatI'vebeencarryingoutsome
initialresearch,andI'vegotaparticularlygoodideaforapieceofresearch.Yousitandlistentoit,itchimeswellwithwhat
you'redoing,butyoudon'tthinkthatyouwantmeinvolvedforvariousreasons,butyoudecidethatitwouldbeveryconvenient
tousemyideaforsomethingwhichwasyours.Now,whenwetalkaboutotheraspectsoftheintellectualpropertysystem,like
copyrightandpatents,thoseareallpiecesofproperty.ButifIsitandtalktoyou,inperhapsaclosedroom,andIdoitin
circumstanceswhichmostreasonablepeoplewouldunderstandwereconfidential,I'mnotgivingyoumyproperty,I'mdisclosing
someinformationtoyou.It'streatedbythelawinaverydifferentway,andwhatthecourtswilllooktoincircumstanceslike
this,forexample,istofindoutwhethertheinformationhadwhatissometimescalled'thenecessaryqualityofconfidence'
aboutit.Isitgenuinelyconfidential?Isitnotinthepublicdomain?Sothat'sthetestofconfidentiality.
Thekeythingisthis.Ifyou,asareasonableperson,sittinginyourshoes,wouldunderstandthatIwasgivingyouinformation
foraparticularpurpose,andinmyexample,itmightbetothinkabouttheproposal,toevaluateitasaproposalforanew
researchproject,butthenyougoandmisuseit,youmisappropriateitanduseitforyourownends,thenyou'vebreachedthe
confidencewhichIeffectivelyresidedinyou.IfIsitandhavethatconversation,Itrustyoutokeepitconfidential,because
that'sthenatureofourdiscussion.Idon'texpectyoutogoandmisuseitandmisappropriateitforyourownends.SoIthink
thatconfidentialityinthatsenseisanimportantcomponenttoplayintheearlystagesofthewayinwhichresearchproposals
areperhapsgenerated,thekindofconversationsthatpeoplehave.Itwouldbehugelyartificialtodo,asmanypeopleinthe
commercialspheredo,andforpeopletoapproachresearchproposalswithanondisclosureagreement,whichtheotherparty
wasexpectedtosign.Itseemstomethatthewholeatmosphereofauniversityisonewhichisredolentofgoodfaithandtrust.
Butit'sgoodfaithandtrustwhicharethehallmarksofconfidentiality.IfIgiveyoumyinformation,IexpectItrustyoutotreat
itingoodfaith.
Mediaends
Optionalactivity
Duration:30minutes
Ifyouwouldliketolearnmoreaboutconflictsofinterest,orfeelyouhaveconflictsthatmayneedtobedeclared,clickhereto
downloadsomeadditionalinformationandactivitiestocomplete.
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2/17/2016
Workplaceandenvironmentalsafety
MODULE 2: DESIGNING
TIME:6MINS
Screenchallenge
Ifyouaccidentallypoursomeverylowlevelwasteposinglittleriskdownadrain,wouldanyonenoticeorcare?
Yes,theyprobablywould.Todetectunusualandperhapsillegaldisposalofcontaminantsinwastewater,manywatertreatment
plantsconcentrateandthentesteffluents.Institutionalradiationsafetyprogrammesarealsorequiredtoconductperiodicsurveysof
laboratoriesforradioactivityonbenches,insinksandinotherlocations.Ifyouorsomeoneinyourlaboratoryaccidentallyreleased
someverylowlevelwastedownadrain,thelaboratoryheadmightgetacallaskingforanexplanation.
Doesthisreallyaffectme?
Manyresearchersdon'tspendmuchtimethinkingaboutenvironmentalandworkplacesafety,becausetheyfeelitdoesn'tpertainto
them.Afterall,ifyoudon'tusedangerouschemicalsorequipment,whatistheretoworryabout?
Thefollowingsectionoutlinessomeofthethingsyoucouldencounter.
Nanotechnology
Beconsciousofthefactthatthecharacteristicsofnanoparticlesmaybedifferentfromthoseoflargerparticleswiththesame
chemicalcomposition.
Hazardousmaterials
Beawareoftheproperproceduresforthehandlingandmanagementofmaterialssuchasfuels,solventsandgases,aswellasthe
protocolsforhandlingspillsorpersonalcontact.
Hazardousequipment
Becognisantoftheappropriateuseofrapidlymoving,sharporpowerfulequipment(e.g.centrifugesordynamometers)andof
proceduresforemergencyshutdownincaseofaccidents.
Electricaldevices
Bemindfulofbestpracticeswhenworkingwithbatteriesandelectricalconnections,especiallyaroundconductingmaterialssuchas
waterandmetals.
Software
Beawareofprecautionsnecessarytoensuresoftwaresystemsafety
Heavyitems
Takecarenottoplaceheavyitemsonunstablehighshelveswheretheymayfallandinjuresomeoneorbecomedamaged
Whateveryourfieldofresearch,itisagoodideatothinkcarefullyinadvanceaboutanyrisksorhazardstoyou,toothersortothe
environmentthatmightresultfromyourwork.Commonsense,goodcitizenshipandcompliancewithrulesandregulationsshould
guideyouractions,becauseothersdependonyoubothpersonallyandprofessionally.Ifyouworkwithhazardousmaterialsor
potentiallydangerousequipment,orinanenvironmentthatisconsideredrisky,therearelikelytobeadditionalrulesandregulations
intendedtoprotectyou,othersandtheenvironment.
Rulesandregulations
Dependingonyourareaofresearch,thelistofregulationsyouneedtofollowcanbeextensiveandareconstantlyevolving.
Rememberthatresponsibilityisconsideredtobeheld'jointlyandseverally',meaningthatthereisaninstitutional/corporate
responsibilitybutalsothateachindividualhasaresponsibilityanda'dutyofcare'tootherswithregardtosafety.
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RulesandregulationsderivefromEUornationallegislation.Forexample,ifyouarebasedintheEUandworkwithchemicals,you
shouldconsulttheRegulationonRegistration,Evaluation,AuthorisationandRestrictionofChemicals(2007).Thisbuildson
theEU'sformerframeworkonchemicals.
Mostcountrieshaveahealthandsafetyagencythatisresponsiblefortheimplementationofthecomplexlegislationthatsurrounds
thistopic.Alwaysconsultyourinstitution'sHealthandSafetyOfficefordetailedpracticalguidanceandinformationaboutlegislation
coveringchemical,biologicalandradioactivematerials,aswellasphysicalhazardsandgoodlaboratorypractice.
Thefollowingsectionpresentsanumberofworkplacescenariosthatmayberelevanttoyoursituation.Eachisfollowedbyalistof
jobrelatedrisksandtheregulationswhichyouneedtobeawareoftoprotectyourselfandothers.Makeanoteofanyhazardsor
regulationsonwhichyouneedtofocusinyoursafetytraining.
Biologicalmaterials
Risks
Exposuretoinfectiousagentsandbloodbornepathogens,including'selectagents'
Handlingprionsandprioninfectedmaterials
Physicalandinfectioushazardsfromresearchequipment(e.g.,needlesandsyringes)
Exposuretoradionuclides,Xrays,andlasers
Exposuretocleaningchemicals
Regulations
Properdisposalofwastesandsterilisationtoprotectfrominfections
RegisteringandsecuringlivingorganismswithrecombinantDNA
Transferring,receivingandmaintaining'selectagents'
Preventingnonnativeplant,animalorinsectspeciesfromescapeintothewild
Useofprotectiveequipment
Chemicals
Risks
Useofflammableorcombustiblechemicals/materials
Useofunstableorcorrosivechemicals/materials
Useofpressurisedgasesandgascylinders(riskfromaccidentalreleaseofgasesanddamagedpressurevalves
Regulations
AvailabilityofMaterialSafetyDataSheets
Knowingandunderstandingpermissibleexposurelimits
Properuseoffumehoods
Workingaloneinlaboratorieswithchemicals
Controlledsubstances
Risks
Criminalprosecutionfornotcomplyingexplicitly
Illegaluseforunlicensedpurposes
Regulations
Licencerequirements
Purchase,useandrecordkeeping
Storingandsecuring
Hazardousmaterials
Risks
Exposuretospillsandaccidentalrelease(e.g.mercury)
Regulations
Whoneedstobetrained?Whattrainingisrequired?
Understandingthedifferencebetweenhazardousandnonhazardousmaterials
Labellingofwastecontainers
Radioactiveisotopes
Risks
Exposuretomachineproducedradiation
Eatinganddrinkinginlaboratories
Regulations
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Orderingandreceivingradioactivematerials
Monitoringandunderstandingexposurelimits
Labellingrequirements
Monitoringactivityofsealedsources
Containingandcleaningaccidentalspillsorreleases
Workplaceinjuries
Risks
Fallsandelectrocutionwhileusingaeriallifts
Suffocationandpoisoninginconfinedspaces
Hearinglossandheatstress
Backinjuryfromrepetitivebendingandlifting
Injuriesfrompoweredandnonpoweredhandtools
Regulations
Respiratoryprotections
Leadandasbestosmanagement
Thepreviouslistisnotexhaustiveandislimitedmostlytothelaboratorysciences.Thereareadditionalrulesforclinicalresearch,
fieldresearchandtheworkingenvironmentingeneral,suchastheneedtokeepitdrugandsmokefree.Forbothpersonaland
professionalreasons,itisyourresponsibilityto:
Becomefamiliarwiththeexpertsatyourinstitutionwhoproviderequiredtrainingaboutworkplacesafetyandareresponsible
forenforcingworkplacesafetyrules
Immediatelyaskacolleaguenotcomplyingwithsafetypoliciesorrequirementstocorrecttheiractions,andinformyour
laboratorydirectorortheproperauthoritiesforyourcolleague'sgoodaswellasyours!
Considerthe'Guidetoresearchpoliciesandguidelines'sectionattheendofthiscourseforalistofworkplacerules.
ThereportingofsafetyincidentsandinjuriesisalsoarequirementandintheUKtherearetheReportingofInjuries,Diseasesand
DangerousOccurrencesRegulations1995(RIDDOR)coveringthisaspectofsafety.Similarlegislationexistsinmostcountries.
Evenwithregulatoryprotection,intheUK,forexample,in2011,1.2millionpeopleweresufferingfromaworkrelatedillness,171
peoplewerekilledatworkandover115000workplaceinjurieswerereported(UKHSE,2011).Thoughthemajorityofthesefatalities
werenotinresearchsettings,undoubtedlysomewere.So,aboveandbeyondthespecificrulesthatmayapplytoyourarea,what
canaresponsibleresearcherdotomakesurethatsafetyandhealthrulesarefollowed?
ReferenceUKHSE,2011
UKHealthandSafetyExecutiveHealthandSafetyStatistics2010/2011.Availableonlineatwww.hse.gov.uk/statistics/
Commonsenseshouldprevail.Workplace,aswellasenvironmentalsafety,canbefosteredbysuchsimplestepsas:
Orderingorproducingthesmallestamountsnecessary
Consideringalternativesforpackaging(e.g.plasticvs.glass)
Carefullabelling
Holdingsensitiveordangerousmaterialsinappropriatecabinetsinsecureareas
Disposingofsuchmaterialsinenvironmentallysafewaysaccordingtogoverningstandardsandrules.
Beyondthis,individualscanprotectthemselvesandothersintheworkplacebyroutinelyaskingaseriesofsimplequestions.
Considerthefollowingquestionsandanswertruthfully'yes'or'no'.Thinkabouthowyourresponsesmightcomparetothoseofyour
peers.Thencontinueforsomefeedback.
Question1of6:
Canyouthinkofanyworkplacesafetyissuesinyourfieldofresearch?
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Feedback:
Ifyouanswered'no',makesureyouthinkcarefullyaboutthisquestion:evenconstantandroutineuseofacomputerkeyboardmight
createanoccupationalriskthatrequiresconsideration.
Question2of6:
Hasworkplacesafetybeendiscussedwithinyourresearchgrouporsetting?
Feedback:
Safetyiseveryone'sresponsibility.Ifithasnotyetbeendiscussed,suggestitasanagendaitemforyournextgroupmeeting.
Question3of6:
Haveyouandyourcolleaguesparticipatedintherequiredtrainingforthetypeofresearchrisksthatyoufacedaily?
Feedback:
Ifyouanswered'no',thenitislikelythatyouarenotincompliancewithyourinstitution'srequirements.Findoutimmediatelyif
traininginaparticulartopicisrequiredandmightbeusefulevenifitisnotrequired.Ifyouanswered'yes',thenmakesureyour
trainingisupdatedperiodically.
Question4of6:
Areyouexpectedtousepersonalprotectiveequipmentonaregularbasis?
Feedback:
Ifyouanswered'yes',besurethatitisappropriatefortherisksyoufaceandisnotdamagedordefectiveinanyway.
Question5of6:
Isyourworkplaceoranyequipmentinyourworkplaceexpectedtobesecured?
Feedback:
Ifyouanswered'yes',besurenottocutcornersbyproppingdoorsopenorleavingthemunlocked.Evenifyouanswered'no',be
awareofthesecurityofyourworkarea.
Question6of6:
Doyouoccasionallyignoregrouppoliciesorproceduresforconvenience?(Behonest!)
Feedback:
Ifyouanswered'yes',considerwhyyoudothisandtheriskthatyousubjectyourselfandothersto.Ifyouarenotsufficiently
dedicatedtoincreaseyoureffortsinthisregard,youmightcutcornersinotherareasthatmightaffecttheintegrityofyourresearch
aswell.
Tostatetheobviousbutunfortunatelytoooftenignoredifyoucompromiseintegritywhenitcomestosafetyandworkplace
regulations,youcouldjeopardisenotonlyyourcareerbutyourlifeandthelivesofothers.
Yourcontext
Doyouknowyourinstitution'sguidelinesandpoliciesforresponsibleworkplacesafety?Findthemandfamiliariseyourselfwith
them.
Usefullinks
InAustralia,responsibilitymaybedividedbetweenFederalandStateagencies.SafeWorkAustraliahasoverall
responsibility:www.safeworkaustralia.gov.au/Pages/default.aspx
EuropeanAgencyforSafetyandHealthatWorkDirective89/391ontheintroductionofmeasurestoencourage
improvementsinthesafetyandhealthofworkersatwork:http://osha.europa.eu/en/legislation/directives/theoshframework
directive/1.Seealsothe'Guidetoresearchpoliciesandguidelines'attheendofthiscourseforfurtherpolicylinks.
RegulationonRegistration,Evaluation,AuthorisationandRestrictionofChemicals(REACH):
http://ec.europa.eu/enterprise/sectors
/chemicals/reach/index_en.htm
UKHealthandSafetyExecutive:www.hse.gov.uk
IrishHealthandSafetyAuthority:www.hsa.ie/eng
HongKongLabourDepartment:www.labour.gov.hk/eng/osh/content1.htm
SingaporeWorkplaceSafetyandHealth:www.mom.gov.sg/workplacesafetyhealth/Pages/default.aspx
Optionalactivity
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Duration:60minutes
Usingtheinformationinthesafetyandworkplaceregulationsactivityasastartingpoint,makealistofthepotentialrisksto
safetythatyouexperienceinyourownworkplace.
Meetwithyourresearchsupervisorand/oryourmentortodiscussthelistandmakeaplantoinvestigateanyextratrainingyou
mightneed.
Produceasafetychecklistforyourportfoliothatwillhelptokeepyouontrackandontopofworkplaceregulationsasyou
conductyourresearch.
Keyterms
Selectagents:Biologicalagentsandtoxinsdeemedtobehazardous.
Controlledsubstances:Chemicalsanddrugswhosemanufacture,acquisition,possessionanduseareregulated.
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Modulesummary
MODULE 2: DESIGNING
Modulesummary
TIME:2MINS
Inthismodulewehaveexploredsomeoftheresponsibilitiesaresearcherneedstokeepinmindwhenplanningaresearchprojectin
ordertoensuretheintegrityofthework,focusingonfourkeyareas.Thefollowingsectiongivesabriefrecapofthekeyresponsible
researchpracticeswehavecovered.
Humanparticipants
Youhavearesponsibilitytoprotectanyhumanparticipantsinvolvedinyourresearchandtorespecttheirdignity.Thisresponsibility
beginswithsubmittingyourplanstoaresearchethicscommitteeforreviewaprocessthatwillhelptoensureproperconsent,the
protectionofparticipants'privacy,andthebestandsafesttreatmentofthosewhovolunteerforyourstudy.
Animals
Youlikewisehavearesponsibilitytoprotectanimalsinvolvedinyourresearch.Rememberthatyouractionsreflectonallanimal
researchers,notjustyouandyourownresearchproject.Youwillbejudgedbothprofessionallyandpersonallyforyourcommitment
tothequalityofyourresearchandtheattentionyougivetoprotectingyourresearchanimalsfromunnecessarypain,distressor
unexpectedresearchrisks.
Conflictinginterests
Considerhowyourinterestsmightaffecttheconductandreportingofyourresultsorhowtheinterestsofothersmightconflictwith
yourown.Youshoulddiscloseyourpersonalinterestsatthestartofaproject,beforetheyleadtoquestionsorcreatedoubtsabout
yourobjectivitylater.Youalsohavetherighttobeinformedabouttheinterestsofothersthatmightconflictwithyours.Openand
honestcommunicationaboutresearchexpectationsisalwaysagoodthing.Youalsoneedtoknowhowtoprotectyourintellectual
property.
Workingenvironment
Youhavearesponsibilitytoyourself,tothosearoundyouandtotheenvironmentgenerallyformaintainingasafeandsecure
workingenvironment.Beawareoftheactionsofothersandconductyourselfatalltimesinamannerthatreflectsunderstandingof
safetyrequirements.Disregardingsimplesafetystepscanleadtoquestionsabouthowcarefullyyouconductotheraspectsofyour
research.
Otherupfrontrequirements
Theseresponsibilitiesaresetoutatthebeginningofthiscoursebecauseyoumustmeetthembeforeyoucanreceivefunding,
purchaseequipmentorsupplies,andbegintoconductyourwork.However,theyarenottheonly'upfrontrequirements'youmay
needtosatisfybeforebeginningyourwork.
Everydecisionrequiresthoughtandplanningforitsimplementation.Thekeypointstokeepinmindare:
Understandwhenyouhavetheauthorityandtherighttomakespecificresearchdecisions
Understandthereasonsforyourdecisionsandknowthestepsforimplementingthem
Beawareofalltherulesandregulationsthatapplytoyourwork
Secureallnecessarypermissionsandapprovalsbeforeyoubeginyourwork.
Lastly,keepinmindthattheseprincipleswillgetyouofftoagoodstart,butgoodplanningneverstops:throughouteverystageof
yourproject,youconstantlyneedtobelookingahead.Thiswillbecomeclearerasweturntothenextmodule,whichfocuseson
issuesrelatedtoconductingyourresearch,includingdatacollection,storage,interpretationandsharing,aswellaspreparationfor
publication.
Quotation
Byfailingtoprepare,youarepreparingtofail.
BenjaminFranklin(17061790)Americanstatesman,scientistandphilosopher
Yourcontext
Makesureyouarefamiliarwithallyourinstitution'spoliciesrelatingtotheareascoveredinthismodule.
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Conductingresearch
MODULE 3: CONDUCTING
Conductingresearch
TIME:6MINS
Screenchallenge
Whilereviewingdatacollectedduringyourresearch,younoticesomethingthatdoesn'tseemtomakesense.Perhapsyoudid
somethingwrongorperhapsyouhavediscoveredsomethingnew.Howwillyouknowwhich?
Ifsomethingoddappearswhenyouareconductingyourresearch,itistemptingtowriteitoffasananomalyandignoreit.However,
ananomalycouldbeimportantandmightleadtoanewdiscovery.Andifyouignoreit,youcouldbeaccusedofcoveringup
contradictoryevidence,whichcouldbereportedasresearchmisconduct.
Whenconductingresearch,youneedtobepreparedforboththeexpectedandtheunexpected.Inthefollowingsection,experienced
researchersinanumberofareasdescribethekindofchallengestheyhavefacedinconductingtheirresearch,andhowtheserelate
toresearchintegrity.Thespecificsmaynotapplydirectlytoyourresearch,butineachinstance,trytoconsiderwhatanequivalent
courseofeventsmightbeforyou,andhowyouwoulddealwithit.
Dr.MiguelRoigKeepingresearchrecordsinthesocialsciences
Isubmittedapapertoajournalandtheeditorstookseveralmonthstoprocessit.Oneoftherefereescalledintoquestionsomeof
thefigures.WhenIreceivedthereferee'scommentsbackandwasaskedaboutthediscrepancy,Icouldn'taccountforit.Thejournal
hadkeptthepaperforsolongthatIhadforgottenexactlywhytherewasadiscrepancyinthenumberssoIendedupwithdrawing
thepaper.
Sometimelater,Ifinallygottothebottomofit:theproblemwasduetoacoupleofparticipantswhohadbeendroppedfromthe
analysis,butIhadforgottentomakeanoteofthis.
Dr.NickSteneckKeepingresearchrecordsintheartsandhumanities
IreadanenormousamountofmaterialwhenIstudyaparticularproblem.Mostresearchersknowthefeelingwhereyou'llhave
somethingrattlingaroundinyourmindthatyouknowyoureadsomewhere,butyoucan'tfinditinyournotes.
TherewasaveryvisiblecaseanumberofyearsagoinwhicharesearcherwasstudyingtheearlyuseofgunsinAmericaandmade
aparticularargumentthatturnedouttobepoliticaldynamite.Peopledisagreedwithhim.Sohehadtogobackandfindhisresearch
records.Well,itturnedouthecouldn'tfindhisresearchrecordsatthatpoint,andultimatelyhewaschargedwithmisrepresentation,
falsificationandfabricationofhisresearchbecausehecouldn'tproducetherecords.
Dr.LorelleMeadowsCollectingresearchdata:Anengineer'sstory
Ihadanexperimentusinganunderwaterselfrecordinginstrument.Therewasnowayofknowingifitwasworkinguntilwepulledit
backout.Ihadseveralotherinstrumentsonshore,lookingoutoverthewater,andIwantedtocomparewhatwascollectedinthe
watertowhatwascollectedoutofthewater.
Unfortunatelytheinstrumentdidn'twork.Sotheproblemwastoworkoutwhattodowithoutabasisofcomparisonformydata.We
wenttopublishtheinformation,butwefullydisclosedthatwehaddeployedaninstrument,thatitdidn'twork,andthatwehad
collecteddatafromadifferentnearbylocation,sothatwecouldclearlyexplainexactlywhathadhappenedintheexperimentand
howwehadworkedtofillthegapofnothavingthedatathatwereallyneeded.
JanJonathanBockAdaptingyourplansinthefield:Challengesforanethnographer
Whenpeoplestarttalkingaboutsomethingthatyoumightnotnecessarilyhavepreparedfor,thebestthingtodoisliaisewithyour
supervisor,facultyordepartment.Ithinkitismostimportanttofollowyoursubjectsratherthantoforcesomethingonpeople.IfIask
whattheythinkaboutkinshipandtheydon'treallycare,Icanpressthemuntiltheysaysomething,butthereisastrongchanceitwill
notbeasincereoragenuinecommentary.
Soliaisingwithyourdepartmentandsupervisorinordertodevelopanewstrategytoengagewiththerealitiesyou'refindingonthe
groundisthemostimportantthingifyoufindthatthingshavechanged,orthingsarenotquiteasyouhadexpectedtheminyour
researchplanningperiod.
Dr.SofiaMerajverResearchdatastorage:Acollaborationbringstroubleinthesciences
Wewereinvolvedinanalysingdatafromastudythatwedidnotconductourselves.Aftercheckingthatthestudyhadbeen
conductedethically,wegotstarted.Aquestioncameuprelatingtosomethingthatseemednottohavebeentabulatedcorrectly,soI
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Conductingresearch
askedtoseetheoriginalquestionnaires.That'swhentheytoldmeforthefirsttimethattheoriginalquestionnaireshadbeen
destroyedandnooneknewwheretheywere.
Soeventhoughwehadensuredthatresearchethicsapprovalsandinformedconsentwereinplace,somehowtheoriginalsource
datahadbeenlost,whichimmediatelyhaltedalloperationsatourend.Westoppedanalysingthedata,whichhadbecome
unpublishableandusefulonlyforhypothesisgeneration.
ProfessorAlecD.GallimoreDatainterpretationinengineering
Weroutinelygetexperimentalresultsinourlaboratorythatwesuspectarewrongbasedonbackoftheenvelopetypecalculations.
Thenit'samatteroftryingtounderstandwhethertheproblemiswithourtheoryorwithhowwe'redoingtheexperiments(improper
calibration,incorrectdataanalysis,etc).
Iftheresultsdon'tlineupwithourestimates,wedon'tthrowthemout.Wereallytrytounderstand(a)whetherornotwehave
confidenceintheexperimentaldata,and(b)whetherornotourorderofmagnitudeestimatewastrulyanorderofmagnitude
estimate!Webelievesomeofthebiggestandbestbreakthroughsthatwe'vemadearisewhenthetwodon'tlineupitbegsfor
deeperunderstanding.
Dr.JohnR.ChamberlinDatainterpretationinthesocialsciences
Gathereddataoftencannotberandomised.So,afteryou'vegotyourdata,someonemightaskwhetheryouhavethoughtabouta
certainexplanation,andyoumayhavetoreplythat,whileit'sagoodexplanation,youdon'thaveanydataonit.
Everytimeyoureadapaper,you'reaskingyourselfwhattheyleftout,andwhy.Itmaybesomethingyoucan'tmeasureoryou'renot
allowedtomeasure.SotherecanbeotherexplanationsforwhatwouldotherwisebeascientificexplanationthatIthinkareinherent
inmostsocialsciencework.
Conductingresearchcanbethemostrewardingpartoftheprocessbut,asthestoriesearlierinthissectionsuggest,itisalsoaplace
wherethingscangowrong.Theinformationinthismodulewillhelpyouunderstandhowtoaddresstheproblemsraisedinthisvideo
transcript,andgiveyoutheinformationyouneedtoconductyourresearchinlinewithbestpractices.
Inthefollowingsection,eachparagraphdescribesakeyelementofconductingresearch.
Researchrecord
Theresearchrecorddocumentsthestepstakenanddecisionsmadeduringaresearchproject.Theinformationshouldbedetailed
enoughtoallowsomeoneelsetounderstandwhatyoudidandreconstructthecomplexandcreativeresearchprocess.
Researchdata
Researchdataarethefirsttangibleoutcomeofresearch.Everysubsequentstepoftheresearchprocessdependsonthedata
collected.Theyarealsothefoundationthatresearchersleveragetopublishtheirfindings,acquirenewresearchgrantsandgain
respectintheirfield.Asaresult,itisimportantthatdataareproperlyprotected,storedandshared,andthatownershipisclearly
establishedandassociatedresponsibilitiesunderstood.
Datainterpretation
Datainterpretationinvolvesunderstandingandexplainingtoothersthemeaningandsignificanceofyourwork,aswellasitspotential
weaknesses.Itistheresponsibilityoftheresearchertopresentresultsinanaccurate,unbiasedwaytoadvancethefieldand
maintaintheintegrityoftheresearchdiscipline.
Collaborationandresearchenvironment
Everyonebenefitsfromagoodresearchenvironment.Ineffectivecollaborations,eachindividualfocusesonadvancingtheresearch,
andallarerewardedbythesuccessesthattheirsharedeffortproduces.
Thevalidityofresearchrestsonasoundresearchenvironmentwherereliabledataareproperlycollected,analysed,stored,protected
andshared.Thismodulewillworkthrougheachoftheseprocesses,givingyouanawarenessofyourkeyresponsibilitieswhen
conductingresearch.
Usefuladvice
Researchisaninteractiveandcollaborativeprocesswheretheexchangeofinformationandideasarekeytosuccess.The
simpleactofdiscussingyourworkwithyourcolleaguesenrichestheactofconductingresearchbyraisingandresolving
questions,buildingconsensusandfurtheringtheprocessofresearchenquiryanddiscovery.
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Keyterms
Data:Dataarethefactualinformationyousystematicallygenerateorcollectduringaresearchproject.
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Researchrecord
Researchrecord
TIME:6MINS
Screenchallenge
Couldsomeoneelseuseyourresearchnotestoreplicate,verifyorcheckyourresearch?Withoutyourhelporcomments?
Whywouldanyoneneedtoreplicateyourwork?Imaginethisscene:it'sTuesdayafternoonandyou'vejustbegunalongneeded
breakwhenyougetacallfromyoursupervisor.Afterapreliminaryreviewofthereportyouhandedinyesterday,somethingdoesn't
lookright.Inordertofindoutwhat(ifanything)wentwrong,youneedtocheckyourresearchnotes.Butwherearethey?Andwhat
shouldtheycontain?
Whatshouldbeinyourresearchrecord?
Theresearchrecordisalloftheinformationnecessaryforreconstructingthecomplexandcreativeresearchprocess.Itcontainsnot
onlytheinformationyougenerateorcollectduringaproject(researchdata),butalsoinformationonhowthedatahavebeen
collectedandallthethoughtsandconclusionsyouhavehadalongtheway.
Inthefollowingsection,decidewhetherornotyouthinkeachitemshouldformpartofyourresearchrecord.Makeanoteofyour
answers,thencontinuetoourfeedback.
Item1of10:Standardprocedures
Feedback:
Standardproceduresshouldbepartofyourresearchrecord.Itisimportanttofullyunderstandtheproceduresthatarepractisedin
yourfield.Theseshouldbeaccuratelyrecordedandatyourfingertips.Besuretoincludedetailsthatarenotobviousasyoulearnthe
properprocedures.Recordingspecificsintheresearchrecordwillguardagainstmisunderstandingandimproperprocedures.
Item2of10:Projectmeetingnotes
Feedback:
Notestakenatprojectmeetingsshouldformpartofyourresearchrecord.Duringresearchmeetings,importantdecisionsareoften
made.Iftheyarenotrecorded,itcanbedifficulttoreconstructandjustifythem.Thoroughnotescanserveasevidenceof
discussionsanddecisionsmadethroughthecourseoftheproject.
Item3of10:Datacollectionprocedures
Feedback:
Thisinformationshouldformpartofyourresearchrecord,asitiskeytoreconstructionoftheresearchprocess.Itshouldincludethe
datesandtimesthatdataweregenerated,howtheyweregenerated,anydeviationsfromagreedprotocol,andwheredataare
stored.
Item4of10:Datafilenames,formatsandlocations
Feedback:
Thisinformationshouldbeincludedinyourresearchrecord.Althoughtheremaybeestablishedproceduresforstoringdata,itis
alwaysbesttorecorddatafilenames,formatsandlocationsintheresearchrecord,alongwithanyimportantnotespertainingtothe
datacontainedinthefile.Thisallowsyoutoeasilylocatedataandenablesdataqualityassuranceprocedures(suchasdatabackup
andqualitychecks).
Item5of10:Dataanalysisprocedures
Feedback:
Analysisofdataisacomplextaskuponwhichtheconclusionsoftheresearchrest.Itisimperativethattheresearchrecordincludes
detailedinformationontheanalysisproceduresusedtoobtainresults.
Item6of10:Evidenceofapprovals
Feedback:
Evidenceofapprovals(suchasinformedconsentforms,licencesordatauseagreements)isanessentialpartoftheresearchrecord.
Itauthorisescollectionofthedatarequiredtocompletetheresearchproject.
Item7of10:Confidentialinformation
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Researchrecord
Feedback:
Confidentialinformationshouldnotbeincludedintheresearchrecord.Ifinformationhasbeencollectedwiththeunderstandingthat
onlycertainauthorisedindividualsmayaccessit,caremustbetakentoensurethatanyprivacyagreementsarehonoured.
Item8of10:References
Feedback:
Referencesshouldformpartofyourresearchrecord.Whileworkingonaresearchproject,itisimportanttomaintainclearrecordsof
informationsourcesorreferencesforlaterattribution.Thiswillsavesignificanttimeduringthepublicationphaseoftheresearch
process.Withoutclearrecords,theresearchermaymisidentifyasourceorreconstructresourcesinaccuratelyfrommemory.
Item9of10:Thoughts
Feedback:
Youshouldincludeyourthoughtsaspartoftheresearchrecord.Aresearchrecordismorethanarepositoryofcollectedfactsand
figures.Italsoservesasarecordofthethoughtprocessthataccompaniestheresearch.Itisinthisreflectivepartoftherecordthat
originalitycanbedemonstratedandjustificationforactionscanbeestablished.
Item10of10:Personalnotes
Feedback:
Notesofapersonalnaturedon'tbelongintheresearchrecord.
Whatformatshouldyourresearchrecordtake?
Theformofyourresearchrecordcanvarysignificantlyfromfieldtofield,buttheendresultshouldalwaysbethesame:aclear,
understandablerecordofwhatyoudid.Thisisasimportantforscientistsorengineers(whomayneedtorepeatanexperiment)as
forahumanist(whomayneedtofindapassageinabookormanuscripttomakesureitisproperlyquoted).
Yourresearchrecordislikelytoconsistofanumberofdifferentcomponents,storedindifferentformats.Tokeeptrackofthese,
mostresearcherskeepasingle,centralresearchnotebook(eitherboundorelectronic)inwhichreferencestoallotherelementsof
theresearchrecordareincluded.
Inthefollowingsection,youwillfindoutmoreaboutthedifferentcomponentsthatmightmakeupyourresearchrecord.
Boundnotebook
Ifyourresearchrecordincludesaboundnotebook/projectdiary,makesureyou:
Numberthepages
Includethedateandtimethattheentryismade
Includereferencestootherresourcesnecessarytoreconstructtheresearch(e.g.computerrecordsorphysicalfiles)
Haveentriesverified(signed)bysomeoneelse.
Computerlog/printout
Ifyourresearchincludesdatathathavebeencollectedusingacomputerbasedautomatedsystem,makesureyou:
Understandhowandwherethecomputer'sactivitylogisgeneratedandstored(e.g.automatically/storedonhard
drive/generatedintophysicalprintout)
Maintainandbackuprecordsasnecessary
Haveanindependentwaytoverifytheaccuracyanddateofcollection.
Physicalfiles
Ifyourresearchincludesloosesheetsofpaper(e.g.authorisationforms/correspondence)then:
Gatherthemintoaphysicalfileandstoreitinasecurelocation
Refertotheexistenceofthisfileinyourcentralresearchrecord
Considerscanningthematerialandstoringitelectronically.
Electronicnotebook
Ifyourcentralresearchrecordusesanelectronicrecordkeepingsystem(ratherthanaphysicalboundnotebook),youshould:
Ensurethattherecordsaresecureandbackedupinmorethanonelocation
Haveameansforauthenticatingthedateandaccuracyofdata
Usethecapabilitiesofelectronicstoragetocrossreferenceyourresearchmaterialsvialinks
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Providepeopleindifferentlocationswithaccesstoasinglesiteforarchivingtheresearchrecord.
Handwrittennotes
Ifyoutakehandwrittennotesduringyourresearchthen:
Byallmeanstranscribeorpastethemintoaresearchnotebookorscanthemintodatafiles
Ifyouarescanningortranscribing,keeptheoriginalnotesforlaterreference
Dateandinitialanycorrectionsmadetothenotes.
Physicalsamples
Ifyourresearchinvolvesactualphysicalsamples,then:
Documentandstorethemastheymaybenecessarytoreconstructtheresearchortovalidatetheresults
Followrulesfordatastorageandprivacythatmayapplytoyourresearch.
Ifthestandardformatsandpracticesinyourfielddifferfromthoseoutlinedearlierinthissection,getadvicefromothersonwhether
theywillresultinaresearchrecordofsufficientdetail,clarityandverifiabilityandthenstickwiththepracticesyouagreeon.Don't
inventtheformatofyourresearchrecordasyourworkunfolds,otherwiseyoumaylosecrucialinformationandideas.Youmayalso
wishtocompletethe'Optionalactivity'attheendofthissectiontofurtherreflectonandrefineyourapproachtokeepingaresearch
record.Takealook,too,atthe'RIinpractice'videowhereanumberofresearcherstalkabouttheirownpractices.
Principlesforgoodpractice
Theresearchrecordtakesmanyshapesandforms,butallrequiretheresearchertoobserveasetofprinciplesnecessarytomaintain
theintegrityoftheresearchprogramme.Inthefollowingsection,decidewhethertheprincipleslistedrelatetoorganisation,
securityorthecontentoftherecorditself.Makeanoteofyouranswers,thencontinueforourfeedback.
Includedatesforallentries
Validateandindependentlytimestampelectronicinformation
Guardelectronicdataagainstlateralteration
Enterinformationimmediatelyupdateyourresearchrecordonadailybasis
Numberpagesconsecutively
Annotateerrorsbyaddinganewnotenexttotheerroneousmaterialwiththecorrectedinformation
Maintainabackupcopyofallrecords
Minimisethenumberofseparatelocationsofinformation
Storerecordsinasafe,accessiblecentrallocation
Maintainalloriginalrecordsdon'tdeleteorotherwiseobscureanyoriginalmaterial
Crossreferenceinformationstoredindifferentplacesinyourcentralresearchrecord
Haverecordssigned,datedandwitnessedasrequiredbyyourinstitution/course
Oursuggestions:
Toorganiseyourresearchrecordwell,youshould:
Enterinformationimmediately
Numberpagesconsecutively
Minimisethenumberofseparatelocationsofinformation
Crossreferenceeverythinginthecentralresearchrecord.
Forpurposesofsecurity,youshould:
Validateandindependentlytimestampelectronicinformation
Guardelectronicdataagainstlateralteration
Maintainabackupcopyofallrecords
Storerecordsinasafe,accessiblecentrallocation
Haverecordssigned,datedandwitnessed.
Asforthecontentofyourresearchrecord,youshould:
Includedatesforallentries
Correcterrorswithlegibleannotations
Maintainalloriginalrecords.
Feedback:
Someoftheseprinciplesmayseemfairlybasic,butthechallengeistokeepobservingthem,dayin,dayoutforthelengthofyour
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project.Inadditiontothegoodpracticesoutlinedhere,youshouldalso,ofcourse,ensurethatallrecordsareclearlywrittenand
legible.
Itisimportanttobeawareofthenormsforyourfieldandresearchprogrammeaswellastheexpectationsforyourinstitutiontake
alookattheboxesontherighttofindoutmore.
Yourresearchrecordisnotjustalistingofdatasourcesitisthestoryofyourresearchprogrammeandevidenceofyouroriginal
contributiontothefield.Withoutit,yourthoughtprocesscannotbeverifiedorreconstructedandyoucannotprovethetimingofyour
creativecontributions.Forexample,ifyourresearchresultsarecalledintoquestionaftertheyarepublished,thisrecordisessential
forsupportingyourclaimsandprovidingtheinformationnecessarytojustifyyourchoices,lendcredibilitytoyourprocedures,and
supportyourconclusions.Theboxontherightgivesanexampleofwhathappenedtoanengineeringresearcherwhofailedto
supporthisquestionablefindingswithhisrecord.
Awellkeptresearchrecordensurestheintegrityofyourresearchprocess.
Makesureyourresearchrecordiscomplete,organised,secureandfollowsalltheappropriateguidelinesforyoursubjectand
institution.
Statistics
Over25%ofscientistsadmittokeepinginadequateresearchrecords.Thisisthemostcommonlyselfreportedformofquestionable
researchpractice(Martinsonetal,2005).
ReferenceMartinsonetal,2005
Martinson,B.C.,Anderson,M.S.etal.(2005)'Scientistsbehavingbadly',inNature435(7043),pp.7378.
Optionalactivity
Duration:90minutes
Part1
Reviewoneortwopagesofyourownresearchrecord(oranexampleresearchrecordfromanothersource)andcritiqueitwiththe
followingquestionsinmind.
Towhatextenthaveyoufollowedtheadvicegiveninthepreviousmaterial?
Puttingyourselfintheshoesofsomeoneelse,wouldyoureallybeabletomakesenseofwhatyouhavewritten?
Part2
Meetwithyourresearchsupervisorand/oryourmentortoreviewtheprotocolyoumustfollowfordocumentingyourresearch.
Part3
Basedonthepreviousmaterial,writealistofatleastthreethingsyouwouldliketodobetterordifferentlyinthefuture.
RIinpractice
Inthefollowingvideotranscript,someresearcherstalkaboutthenatureoftheirownresearchrecordsandhowtheyare
verified.
MediaVideo
Whatkindofresearchrecordsdoyoukeep?
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SitWingYee,PhDstudent,NanyangTechnologicalUniversity:Therearenoactuallyformalorfixedrulesastohowwe
cankeeprecords,andtheydon'thaveastandardtemplate,soit'sreallyalluptothestudenthimselftodecidehowhewantsto
keeptherecords.SopersonallyIjusttrytojotdownmostofmyresults,myideas,inalogbook.Butit'snotveryorganised,
becausethere'sjustnostandardtemplate.
SenNorris,PhDstudent,DurhamUniversity:Forourresearchrecords,whatwedois,wekeeparesearchlog,andthat'sa
notebook,whereeverythought,idea,result,goesinto,andthat's,everysinglethingwedogoesintothat.Sowecanalways
lookbackonthattomakesurethatwe'vedonesomethingright,andeverypreviousideathatwe'vehadisinthere,sowe
alwayshavearecordofwhatwe'vebeendoing.
RaymondLiang,5thyearPhDstudent,UniversityofMichigan:SoIhavetwotypesofrecordsthatIkeep.Oneisjusta
writtennotebook,aseriesofwrittennotebooks,thatareorderedchronologically,andthenIalsotakerealtimedigitaldata.
Typicallythat'sintheformofaspreadsheet.That'sbecausejustusuallythewayIcollectdataisIdocumentitina
spreadsheet.SoI'lltakerealtimenotesinthosespreadsheetsaswell,andtypicallythosebecomecompiledintomywritten
documents,soreallythemasterdocumentsaremywrittennotebooks.
Whatstepsaretakentoensurethatyourrecordsarecorrectandverified?
DominicLawrance,4thyearPhDstudent,ImperialCollegeLondon:ForthetimeswhenIhaven'tmanagedtokeepa
recordofmyexperiments,mysupervisor'salwayscalledmeuponit,andtoldmethatI'vebeenanaughtyboy,andthatIneed
topostdateanyrecordsthatImake.SoIbasicallywriteupanexperimentafterI'vedoneit,andthenpostdateit,andthat
usuallysuffices,butI'malwayscalleduponitifIforgettotakenotesinthelab,whichIamguiltyofdoingeverynowand
then!
LauraSpencer,5thyearPhDstudent,UniversityofMichigan:Noonehaseverconfirmedwhatiswritteninmynotebooks
tobeaccurate.Ouradvisorplaceshisconfidenceinus,thatwearegivingoutaccurateinformationonourresearch.Hedoes
notcomeinandpersonallycheckthathimself.
Whatstepsaretakentoensurethatyourrecordsaresecurelystoredandcannotbetampered
with?
MaryTravers,4thyearPhDstudent,UniversityofOxford:Sothereareseveralwaysinwhichwearerequiredtorecordour
data.Soeachpersonhasalabbook,inwhichwe'rerequiredtowrite,inpen,everythingthatwedo.We'renotallowedtouse
anyTippExorerasersinthosethings,andwe'rerequiredtodateeverypage,sothosecanbelookedatasarecordof
everythingthatwe'vedone.Allelectronicdata,sodatafilescomingoffamachine,arearchivedoncertainfileswhichareheld
onthenetwork,whichisbackedupbytheuniversityevery24hours.Sothoseareallcentrallystoredandaccessiblebyanyone.
We'renotallowedtostoreanyofourelectronicdataonpersonalmachinesorharddrives,oranythingthatcouldbelostbyus.
WongChoonKit,PhDstudent,NanyangTechnologicalUniversity:Inmylaboratoryweactuallyhavevarioussystemsof
safekeepingrecords,sothatactuallyintheeventofanyallegationingoodfaithagainstusinvolvingresearchintegrity,we'lltry
totracebacktheresearch.SotheresearchwekeepincludesourelectronicdatabaseswhichareactuallyuploadedintoGoogle
Documents,sowehaveitonline,aswellasahardcopyversion.
AnneMarieMartindale,3rdyearPhDstudent,UniversityofLiverpool:Sothere'sdegreesofseparation,differentfiles,
andthey'reallencrypted,sohopefully(!)nobody,eveniftheydidgetholdofit,wouldbeabletoidentifypeople.
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:Soall
theresearchrecordsthatIkeepthatarehandwrittenareinboundnotebooksthatarepagenumbered,andtheimportanceof
thatisIknowexactlywhatpageallofmyinformationison.Icankeepatableofcontentsatthebeginning,andthenIknowif
apagehasbeenremoved.Soeverythingthat'severrecordedgoesintothenotebook.Ifwediscoveramistakeorsomething
missinginthenotebook,wenevercrossthingsoutcompletelysothatthey'reillegible.We'lljustwritethroughthem,drawaline
throughthem,andthencorrectthemrightinthenotebook,sothatwe'realwayssurethatwehavethemostaccurate
informationthere.
Whatviewmightaresearchethicscommitteetakeondatastorage?
Dr.DnalO'Mathna,SeniorLecturerinEthics,DecisionMaking&Evidence,DublinCityUniversity:So,ifthe
applicationdoesn'tmakeitclearwhererecords,say,transcriptsofaninterviewmightbeheld,wewouldaskaboutthat.We
havehadexperiencewithalotofparttimestudentswhowouldwanttoholdthosematerialsathome,andwewouldask
questionsaboutwhetherthatwasnecessary,oriftherewasappropriatesecurityinplaceinthose,whereverthey'restoring
themathome.
Mediaends
Theissueofsecurestorageistakenuplateron.
Yourcontext
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Researchrecord
Findoutanylocal,institutionalorsubjectspecificpoliciesregardingresearchrecordmaintenance.
Usefullinks
Nuclearengineerpunishedforresearchmisconduct:http://news.sciencemag.org/sciencenow/2008/08/2701.html
EpigeumLtd,2012
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Researchdata
TIME:8MINS
Screenchallenge
Ifyoudesignandconductaresearchproject,thedatayoucollectareyours,aren'tthey?
Notnecessarily.Ifnoonefundsorprovidessupportforyourresearch,thenyoumightownandhaverightstothedatayouproduceor
collect.Butifyouarefunded(e.g.bygovernment,privateindustryoryourinstitution)oryouusepublic/institutionalresources(e.g.
equipment,datasets,internet/socialmedia)tocollectdata,someoneelseislikelytoownyourdataandhavecertainrightstotheir
use.Asaresearcher,youareresponsibleforknowingwhoownsyourresults,aswellasunderstandinghowdatashouldresponsibly
becollected,stored,protectedandshared.Butfirst,adefinitionandsomeexamples...
Typesofdata
Aconvenientplacetostartthinkingaboutdataistodividethemintotwobasiccategoriesquantitativeandqualitative:
Quantitativedatacanberepresentednumericallyandanalysedstatistically
Qualitativedatadescribethenatureofasubjectandareusuallyrepresentedtextuallyorvisuallyratherthannumerically.
Foreachofthefollowingexamples,decidewhetheryouthinkthedataisprimarilyquantitativeorqualitative.Makeanoteofyour
decisions,thencontinuetoourfeedback.
Surveyofconsumersdescribingtheirresponsestoaparticularbuilding
Surveyresponsesfromstudentparticipantsindicatingnumberofhoursofsleeppernight
Standardisedtestscoresfromuniversityadmissionsdatabase
Measurementsofphotovoltaicbatteryresponses
Sketchesmadebyprisoninmatestoreflecttheirfeelingsregardingincarceration
Journalentrieswrittenbysinglemothersduringpregnancy
Timeseriesofmeasurementsofwaterelevationfromtidegauge
Collectionofpaintingsbyarenownedartist
Videotapesofseveralstudentgroupsdiscussinganethicaldilemma
Audiorecordingsofinterviewswithpatientsregardingpatientnurseinteractions
Computeroutputshowingpowerconverterresponses
Oursuggestions:
Thefollowingareexamplesofquantitativedata:
Numericalsurveyresponses
Testscores
Measurements
Timeseriesofwaterelevation
Computersimulations.
Thefollowingareexamplesofqualitativedata:
Descriptivesurveyresponses
Sketches
Journalentries
Collectionofpaintings
Videotapes
Audiorecordings.
Feedback:
Thissectionhashighlightedsomeofthemanyformsthatdatamaytake.Therecan,ofcourse,beoverlapbetweenthetwo
categoriesforexample,theinformationcontainedinjournalentries,sketchesandinterviewscanbequantifiedinvariousways.The
distinctionsgivenherearenecessarilysuccinctandsimple:therealityissomewhatmorecomplexandnuanced.Ifyouareinterested
infindingoutmoreaboutdifferenttypesofdata,considerthe'usefuladvice'boxattheendofthissection,andalsoatCreswell
(2009):ResearchDesign,3rdedition.
Ownership,collection,storageandprotection
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Ownership,collection,storageandprotection
Whateverformyourdatatake,itisimportanttorecognisethattheyareessentialtoyourresearchprojectanditisyourresponsibility
tomanagethemwithintegrityinordertoprotectthevalueofyourresearch.Inparticular,youhaveresponsibilitiesrelatingto
ownership,collection,storageandprotection.
Inthefollowingsection,youwillfindoutmoreaboutyourresponsibilitiesineachoftheseareas.
Ownership
Ownershiprulesvaryconsiderablyacrossfieldsanddependinpartonwhopaysfor,sponsorsorisresponsiblefortheresearch.For
example:
Researcherswhosefindingsarebasedlargelyonpublishedsourcescommonlyfoundinlibraries(e.g.thoseworkinginthearts
andhumanities)musthonourcopyrights,butgenerallyownthenewideastheydevelop
Theresultsofresearchthatisfundedbypublicorprivatebodiesthroughauniversityaregenerallyownedbytheuniversitybut
mayhavetobesharedwiththefundingbodyormadepublic
Theresultsofindustrialorforprofitresearchisgenerallyownedbythecompanyandtightlycontrolled.
Remember,conductingresearchdoesn'tautomaticallymeanthatyouownyourresults.Tofindoutyourspecificsituation,checkyour
institutionalpolicies,youremploymentsituationandanyclausesorrequirementsthatcamewiththefundingforyourwork.
Collection
Datacollectionrequiresafullunderstandingofyourprojectand,inmanycases,uniqueskills.Toensuretheaccuracyandreliability
ofthedatayoucollect,makesureyou:
Fullyunderstandthegoalsandobjectivesoftheresearchproject
Getpropertrainingandtheauthorityneededtocollectthedata
Keepacompleteandaccuraterecordofeverythingyoudo
Ensurethatallequipmentismaintainedandcalibratedproperly
Continuouslyevaluateyourmethodsastheprojectisunderwayandaddressanyproblemsimmediately
Usewrittenprotocolsoroperatingprocedurestoensureconsistency
Accuratelyrecordthedata,theirsignificanceandanylimitations
Don't,underanycircumstances,fabricateorfalsifydata.
Storage
Datamustbestoredproperlyandforaprescribedlengthoftime.Properstorageisstoragethatretainstheintegrityofthedatafor
example,somesamplesmightdeteriorateifnotkeptcoldelectronicstorageisnotalwaysapermanentsolutioneveninkandpaper
fadeanddegradeovertime,especiallyiftheyarenotkeptsomewheresuitable.
Thestepsyoutaketoproperlystoreyourdatadependinpartonhowlongyouplantostoreitforso,considerthefollowing:
Fundingagenciesgenerallyrequirestorageforspecificperiods,andthiscanvaryfromcountrytocountry(forfurther
information,consultthe'Usefuladvice'and'Usefullinks'boxestothebottomofthispage)
Researchdatausedtosupportapatentshouldbekeptforthelifeofthepatent
Professionally,youareexpectedtokeepyourdataforaslongastheyareneededtosupportyourfindings.
Agoodruleofthumbistofindawaytokeepdataforlongerthanyouthinktheyareneeded.Dataaremucheasiertoguardthanto
reproduce!
Protection
Protectioncomprisestheextrastepsyoutaketoprotectyourdatafromunauthoriseduseand(asweshallseeinthefollowing)isof
particularconcernwhendealingwithhumanparticipantdataandothersecretorsensitivedata(e.g.classifiedgovernment
documents,sensitiveinformationaboutdangerousagents).
Don'tleavethiskindofinformationopenonyourdeskorsenditasafileattachmenttoacolleague:fileattachmentsarenotsecure!
Instead,keepitinasecureplacewithcontrolledaccess.Thatsaid,youneedtobalancetheobligationtoprotectagainsttheneedto
share,aswediscussinthenextsection.
Datasharing
Generally,researchersshouldsharetheirdataandtheirresultswithothers,tospeeduptheprocessofdiscovery.However,thereare
timesandreasonswhenthismaynotbeappropriate,someofwhichhavebeentoucheduponintheprevioussection.Inthe
followingsection,youwillfindoutmoreaboutthesituationsinwhichyoushould,orshouldn't,sharedata.
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Researchwithhumanparticipants
Asmentioned,researchershaveadutytoprotecttheprivacyandconfidentialityofhumanparticpants,whichinpracticemeans:
Protectingaccesstoindividualsandtheirpersonalinformation
Ensuringthatthey(andtheyalone)havetherighttoauthoriseaccesstotheirpersonalinformation
Notsharingcollectedinformationinanyidentifiableway.
Privacy,whichrestrictssharing,isprotectedundertheEuropeanConventiononHumanRightsandtheEuropeanData
ProtectionDirective(95/46/EC)whicharereflectedinnationallegislationsuchastheUKHumanRightsActandtheData
ProtectionAct1998,theIrishEuropeanConventiononHumanRightsAct2003ortheAustralianPrivacyAct1988.
Ethicalreasons
Sometimessharinginformationmaydomoreharmthangood.Forexample,itmaynotbewisetoshare:
Preciselocationsforhighlysensitivereligiousorarchaeologicalsites
Preciselocationsofnestsofendangeredspecies.
Ifyoususpectthesekindsofconsiderationsmayberelevantforyourresearch,considerdisciplinaryguidelinesandtrytoreacha
consensusthroughdeliberationwithinterestedparties.Keepinmind,too,thequestionofwhoyouaresharingwith.Thereisa
differencebetweensharingdatawithotherresearchersengagedinthesamefieldofenquiryandpublishingresearchforgeneral
consumption.
Researchersshouldonlyshareormakepublicinformationdescribinganewinventionafterithasbeenproperlydisclosedtotheir
institutionandstepshavebeentakentoprotectitthroughappropriatepatentingaction(discussedearlierinthecourse).
Occasionally,researcherscollaboratewithprivategroupswhostipulatethatinformationlearnedabouttheirbusinessesisproprietary
andmustbekeptconfidential.Inadvertentreleaseoftheintellectualpropertyofotherscanleadtolegalactionandrequestsfor
compensationfordamagesorharm.
Exportcontrollaws
Inmanycountries,therearelawsandregulationspreventinginformationaboutcertaintypesoftechnologiesbeingshared.For
example,researcherscanconsulttheUKStrategicExportControlLists,theEUDualUseList,andtheAustralianExport
ControlsforDefenceandDualUseGoods.Ifinanydoubt,consultyourinstitutionalauthorities.
Contractualconditions
Likecollaborators,researchsponsorsmayoccasionallyrequestthatinformationbekeptconfidential.Thismightbeforproprietary
purposes(i.e.byprivatecompanies)orreasonsofnationaldefence(i.e.bynationalsecurityordefenceagencies).Thesesame
institutionscanalsorequirethatdataareshared,e.g.bybeingenteredintoapublicdatabase.
Universitiesgenerallyonlyagreetorestrictionsinlimitedandwelldefinedcircumstances.Itisimportantthatyouknowifthereare
suchrestrictionsimposedbycontractsandunderstandtheirimplicationsforyourwork.Thisisparticularlyimportantforthoseearlier
intheircareers,becausetherestrictionscoulddelaypublicationsthatareneededforgettingajob,grantorpromotion.
Althoughitisgenerallygoodpracticetosharetheresultsofyourresearch,youneedtomakesurethatindoingsoyouarenot
violatinganylaws,contractsorintellectual/privacyrights,orcreatinganyunduerisks.Failuretotakeduecarecancompromisethe
integrityofyourresearchandatworstharmpeople,invalidatefindingsandleadtoaninvestigationbyanethicscommittee.
Notethatcomputermisuseisincreasinglycoveredbylegislation(seeboxattheendofthissection):familiariseyourselfwiththe
appropriatelawandhowitaffectsyou.
Dealingwithdifficultsituations
Weclosethissectionwithafewexamplesofproblemsthatcanariseandhowtheymighthavebeenprevented.Inthefollowing
section,fiveresearcherssharetheirexperiences(andregrets).
Accidentalloss/damage
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"Iwenttoretrievethedatafromthelaptopandtheharddrivefailed.Ishouldhavebackedmydataupassoonastheywere
collected."
Needforprivacyandsecurity
"Iwasstudyingcomputerpiracyandfraud.Iwasmovingmydatafromalockedcabinetathomeintomyoffice,butIleftmybagin
thetaxi.Thedriverwastryingtobehelpfulanddroppedthebriefcaseatthelocalpolicestation,wheretheofficerswereableto
identifyindividualsinvolvedincomputermisuse.NotonlywasIstupidtoleavethebagbehind,butInevershouldhavecarriedthe
interviewtranscriptsandthecodesidentifyingtheintervieweesinthesamebag."
Datastorageandretention
"Myinstitutionreceivedanallegationofresearchmisconductrelatingtoaprojectinmylabthreeyearsago.Itturnsoutthatmy
postdocresearcherdiscardedtheoriginaldataafterabouteightmonthstosavespaceinhisoffice.Now,myinstitutionislooking
closelyattheallegationsandmayrecommenddisciplinaryactionforquestionableresearchpractices.IwishIhadbeenmore
careful."
Dataownership:thestudentperspective
"Ijustfinishedupmypostdocandamstartingasaresearcheratanewinstitution.Myoldinstitutionwon'tallowmetotakethedata
IcollectedwithmebecauseIwasnottheprincipalinvestigator.IwishIhadknownthatthedatastaywiththePI,eventhoughI
helpedtoprocessandcollectthem."
Dataownership:thesupervisorperspective
"IrecentlydiscoveredthatmyPhDstudentremovedallthedataandsoftwarefromthelabcomputerwhenheleft,andnowheisn't
respondingtomyemailsandphonecalls.Ireallyshouldhavemadesurethatheunderstoodwhoownedthedatabeforehe
graduated,andmadeitclearthatunderhisresearchcontractwewouldstillbeabletocollaborateandsharedatainthefuture."
Dataarethehardcurrencyofresearch.Whenresearchersgetintotrouble,itisoftenduetoproblemswiththeirdata:anexperiment
hasnotgonewellacrucialpieceofinformationwaslosttheresultswerenotwhatweexpectedorwanted.Dataalsodrivethe
researchprocess.Gatheryourdatacarefullyandresponsibly.Storeandprotectthemasyouwouldcurrency.Andbegenerousin
sharingwithothers,butalsoresponsible,keepinginmindthespecificrulesforsharingandprotectingthatapplytoyourresearch.
Usefuladvice
Clickheretodownloadabrieflistofsomeoftheformsthatdatacollectioncantake.
Usefuladvice
IntheUK,theEPSRCrequiresthatdataareavailableforuptotenyearsaftercompletionoftheresearchanduniversities
havetocomplywiththeFreedomofInformationAct(2000)inrespondingtopublicrequestsfordata.
TheWellcomeTrust,'considersaminimumoftenyearstobeanappropriateperiod',buthighlightsthat'researchbasedon
clinicalsamplesorrelatingtopublichealthmightrequirelongerstoragetoallowforlongtermfollowuptooccur'(Wellcome
Trust,2005).
TheARC(Australia)doesnotstipulateatimeperiodbutsetsoutdetailsoftheconditionsofdatastorageandaccess.
Yourcontext
Inadditiontothenationalregulationsgiveninthe'Usefuladvice'box,manyinstitutionsalsoimposetheirownrequirementsfor
datastorage.Findouthowlongyourinstitutionexpectsyoutostoreyourresearchdata.
Yourcontext
Findoutwhatthedatasharingandsecuritypoliciesareinyourparticularinstitutionanddepartment.
Manyinstitutionsalsooffertheirownguidelinesonhowtoapproachexportcontrol.Takealookatyourowninstitution's
websiteandlocateanyappropriateinformation.
Optionalactivity
Duration:20minutes
Part1
Reflectonyourresearchprojectandlistallthedatayourequire,aswellastheauthorisationthatmaybenecessaryfortheuseof
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thesedata.
Part2
Howmanyofthefactorsoutlinedinthematerialtotheleftapplyinyourparticularsituation?Makeanoteofany,andthe
implicationsthiswillhaveonwhenandhowyoushareyourdata.
Usefullinks
AustralianNationalDataServiceDataManagementPolicy:
http://ands.org.au/datamanagement/datamanagementpolicyoutline.pdf
EPSRCPolicyFrameworkonResearchData:www.epsrc.ac.uk/about/standards/researchdata/Pages/default.aspx.(Lookin
particularatthesectionon'Expectations'.)
DigitalCurationCentreinformationonEPSRC:www.dcc.ac.uk/resources/policyandlegal/researchfundingpolicies/epsrc
RCUKCommonPrinciplesonDataPolicy:www.rcuk.ac.uk/research/Pages/DataPolicy.aspx
Usefullinks
Humanrightsandprivacy
Australia
AustralianPrivacyAct:www.privacy.gov.au/law/act
ResearchDataPolicyandtheAustralianCodefortheResponsibleConductofResearch:
http://ands.org.au/guides/codeawareness.html
GuidelinesUnderSection95ofthePrivacyAct1988:www.nhmrc.gov.au/guidelines/publications/e26
GuidelinesApprovedUnderSection95AofthePrivacyAct1988:www.nhmrc.gov.au/guidelines/publications/e43
Europe
EuropeanConventiononHumanRights:http://conventions.coe.int/treaty/en/Treaties/Html/005.htm
EuropeanDataProtectionDirective(95/46/EC):http://ec.europa.eu/justice/dataprotection/index_en.htm
UK
UKHumanRightsAct:www.legislation.gov.uk/ukpga/1998/42/contents
UKDataProtectionAct:www.legislation.gov.uk/ukpga/1998/29/contents
Ireland
IrishEuropeanConventiononHumanRightsAct:www.irishstatutebook.ie/2003/en/act/pub/0020/index.html
Exportcontrol
AustralianDefenceExportControlOffice:www.defence.gov.au/deco/
UKStrategicExportControlLists:www.businesslink.gov.uk/bdotg/action/layer?topicId=1084459714
EUDualuseexportcontrol:http://ec.europa.eu/trade/creatingopportunities/tradetopics/dualuse/
Computermisuse
Australia
Computermisuseinformation:www.aic.gov.au/crime_types/cybercrime/legal.aspx
Seealsoindividualstateandterritorylegislation.
Europe
OverviewofUKandEUlegislation:http://robbratby.com/uktelecomslaw/definitionsandsources/
UK
ComputerMisuseAct1990:www.legislation.gov.uk/ukpga/1990/18
Ireland
CriminalJustice(TheftandFraudOffences)Act,2001:www.irishstatutebook.ie/2001/en/act/pub/0050/index.html
Singapore
ComputerMisuseAct1998:www.ida.gov.sg/Policies%20and%20Regulation/20060420165257.aspx
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Collaborationandtheresearchenvironment
TIME:8MINS
Screenchallenge
Collaboratingwithothersonaresearchprojectmakeseverythingmorecomplicated,particularlyiftheresearchisconductedinmore
thanoneplace.Howwillyouworkoutwheretherecordswillbekept,whoownsthedataandintellectualpropertyandwhoneedsto
getanynecessarypermissions?
Nearlyallresearchiscollaborativeinonewayoranother.Considerthefollowingquestion.Howwouldyourespond?Howdoyou
thinkyourpeersmightrespond?
Whichofthefollowingwouldyouclassas'collaborators'onyourcurrentresearch?(Youcanpickmorethanoneoption.)
Yoursupervisor
Colleaguesinyourresearchgroup
Colleaguesinotherresearchgroupsatyourinstitution
Colleaguesatotheruniversitiesorindifferentcountries
Colleagueswhoworkatinstitutes,governments,agenciesorcommercialorganisations
Feedback:
Mostresearcherscollaboratewithcolleaguesinonewayoranother.Duringyourcareeryouarelikelytoworkwithallthesegroups,
withinorbeyondyourowncountry.
Preventionisbetterthancure
Mostcollaborationsbeginwithenthusiasmandhighhopes.Attheirbest,theyarestimulating,productiveandrewarding.Oneofthe
bestwaystofostergoodcollaborationsistoengageinopendiscussionofcollectiveandindividualgoals,expectations,groundrules,
financialconstraints,workingstylesanddata/IPownership.Frequentandhonestcommunicationfromtheoutsetcanheadoffmany
misunderstandingsandproblems.
Despiteeveryone'sbestintentions,however,collaborationscangetcomplicated,andthingscangowrong.Inthenextpartofthis
sectionwewillconsiderthekindsofchallengesyoumightface,whytheyoccurandcruciallyhowyoucandealwiththem.
Practicalchallenges
Thenextsectionpresentssomeoftheproblemsthatcanaffecttheintegrityofacollaborativeproject.Makeanoteofyourthoughts
onwhatquestionsyoumightasktotrytoaddresstheproblemslisted.Whenyouhavefinished,youcanmoveontooursuggestions.
Problem1of7:
"Itwassupposedtobedonemonthsago."
Itcanbeverydifficulttotrackacollaborator'sactualwork,especiallyatadistance.Thebestinsuranceisanadvance,written
agreementonwhateachcollaboratingteamwilldo,frequentchecksonprogress,andregularcommunication.
Whatmightyouasktopreemptoraddressthisproblem?
Oursuggestions:
Whoexactlyissupposedtodothistask?Whatdeadlinesdowehavetomeetalongtheway?Whatisthefinaldeadline?
Problem2of7:
"Youcan'tdothat:it'sillegal!"
Laws,regulationsandpoliciesdifferfromcountrytocountry.Itisimportanttoreviewallapplicablerulesbeforeinitiatingthe
research.
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Oursuggestions:
Arewesuretheauthoritiesaregoingtoletusdothat?Havewecheckedthelawsonthat?
Problem3of7:
"Weneverexpectedthat."
Culturalnormsandsensitivetopicscancomplicatecrossculturalcollaborativeresearch.Collaboratorsmustbefrankwitheachother
indiscussingpotentialculturalinfluencesontheresearch.
Oursuggestions:
Couldanyofourresearchproceduresgetusintotroublebecauseofculturaldifferencesorexpectations?Whatkindofoppositionwill
weface?
Problem4of7:
"Theywon'tevenrespondtomyemails."
Authoritystructuresmaybedifferentatotherresearchsites.Otherinvestigatorsmightexpecttotalkonlytoapeerinvestigatorof
similarstatus.
Oursuggestions:
Whatisthebestwayforourcollaboratingteamstocommunicateandmakedecisions?Wheredoauthorityandresponsibilityliein
thiscollaboration?
Problem5of7:
"Whatdoyoumeanwecan'tpublishthedata?!"
Ownershipofdataandintellectualpropertyshouldbeagreeduponandunderstoodbyallpartiesattheoutsetofthecollaboration.
Oursuggestions:
Whoownsthedataonthisproject?DoIhavetherighttousethedataifIleavethisresearchgroup?
Problem6of7:
"Ithoughtitwouldbeagoodideatoanswerthereporter'squestions..."
Mostcollaboratinggroupshaveanunderstanding,orevenaformalagreement,aboutwhoisauthorisedtospeakpubliclyonbehalf
ofthepartnership.Allmembersofthecollaborationshouldadheretothisagreement.
Oursuggestions:
Whoishandlingmediaenquiriesonthisproject?WhatshouldIdoifareportercalls?
Problem7of7:
"Wecan'tproveitifwedon'thavetherecords."
Administration,financialmanagementandrecordkeepingaresignificantlymorechallengingincollaborativeworkandshouldbe
arrangedattheoutset.ThisisparticularlythecasewiththeEUFrameworkProgramme,nowknownasHorizon2020.Thisis
probablytheworld'slargestresearchfundinginitiative.
Oursuggestions:
Doallthesitesusethesamerecordkeepingsystem?Whoishandlingthefinancialsideofthisproject?
Institutionalchallenges
Wehavelookedatsomeofthepracticalchallengestointegritythatcancropupduringtheresearchprocess.Wenowconsiderthe
kindsofchallengesthatmightbethrownupbyanegativeresearchenvironment,howtodealwiththemandhowtokeepyour
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collaborationrunningsmoothly.
Someofthesechallengesareparticularlydifficultforajuniormemberofacollaborativeteam,buttheycanbehandledinanon
confrontationalway.Inthefollowingsection,youwillbepresentedwithalistofproblems.Foreachproblem,makeanoteofwhat
youthinkmightbeanappropriateresponse.
Problem1of7:Pressure
Peoplecaremoreaboutsuccessthanintegrity.Theyhurryandcutcorners.Theydon'tchecktheirworkcarefully.
Oursuggestion:
Besuretocheckallyourownwork,andcheckothers'workifyoususpectproblems.Pointoutanythingthatmightcompromisethe
integrityoftheresearch.
Problem2of7:Unethicalbehaviour
Peopledothingsthatarewrong.Theybendtherules.Theytellotherstodothingsthatarewrong.
Oursuggestion:
Ifyouseeunethicalactivity,immediatelycallittotheattentionofyoursupervisorand/orsomeoneyoutrustoutsidethecollaboration.
Problem3of7:Intimidation
Peopleareafraidtomentionproblems.Theyworryaboutretaliation.
Oursuggestion:
Don'tbeafraidtospeakup,inthespiritofprotectingtheintegrityofthecollectivework.Askquestionsaboutinconsistenciesor
problems.Focusonfacts,notonblame.
Problem4of7:Conflict
Peopleareinconflict.Theydon'tgetalong.Theydon'tlikeeachother.Theresearchteamisdividedintofactions.
Oursuggestion:
Tryyourbesttoworkwitheveryoneontheteam.Behaveasprofessionallyasyoucanwitheveryoneinthecollaborationand
encourageotherstofollowyourlead.
Problem5of7:Unfairness
Somepeoplegetspecialattentionoropportunitiesothersareignored.Accomplishmentsandrewardsareoutofbalance.
Oursuggestion:
Focusonyourownworkinsteadofonothers'rewards.Insituationsofclearunfairness,askyoursupervisorprivatelyaboutthe
situation.
Problem6of7:Secrecy
Peoplewithholdthingsandsometopicsareneverdiscussed(e.g.fundingsources/dataownership).Nooneseemstounderstandthe
overallproject.
Oursuggestion:
Asknonthreateningquestionsaboutaspectsoftheprojectthatareunclear.Bringuphypotheticalissues(e.g.whatwouldhappento
aperson'sdataiftheyleftthegroup).
Problem7of7:Disorganisation
Progressisdelayedbecausetheprojectisindisarray.Records,dataandequipmentareamess.
Oursuggestion:
Makesuggestionsastohowtoorganisetheproject.Keepgoodnotesondecisions,agreements,dates,deadlinesandpeople's
responsibilities.
Youcanavoidsomeproblemsrelatedtocollaborationbydecidingcarefullywhichresearchgroupyouwilljoin.Beforeyouchoosea
group,findoutasmuchasyoucanaboutwhatit'sliketoworkinthatenvironment.
Challengesinworkingwithindustry
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Inthefieldsofengineeringandtechnology,thereareoftensignificantinteractionswithindustry,wherespecialconcernscanarise.
Thesetypesofcollaborationsandfundingarrangementsaretypicallyaccompaniedbyagreementsthatidentifythespecific
responsibilitiesofeachpartyandhowintellectualpropertycreatedasaresultofthecollaborationwillbeattributed.Insomecases,
theresultsoftheresearchmaybeproprietaryandpublicationsmayhavespecifiedlimitationsorrequirements.Thesemaybecovered
byNonDisclosureAgreements(NDAs),whichmayalsoaffectwhatcanbedisclosedinconferences,publicpresentationsand
journalarticles.
Itisimportantwhenworkinginthistypeofsituationtobeawareofanysuchagreements,tounderstandtheimplicationsforthework
youundertakeandtheassociatedresults,andtodiscusstheconsequenceswithyourresearchsupervisorand/orcollaboratorspriorto
engaginginthefundedactivities.
Keystoasuccessfulcollaboration
Inthefollowingsection,wegiveoursuggestionsfordoingyourparttowardstheproductivityandintegrityofacollaborativeproject.
Understandtheoverallproject,notjustyourownparts.
Completeyourpartsoftheprojectdiligentlyandontime.
Donothingthatwouldcompromisetheintegrityoftheresearchproject.
Givecreditgenerouslytoothersfortheirideasandaccomplishments.
Treatyourcollaboratorswithrespectandcourtesy.
Contributetotheteam'scollectiveenthusiasmandpositivespirit.
Ifyouareinadifficultresearchenvironment,gethelpfromamentororanadministrativeofficer.
Ifyouseesomethingwronginyourcollaboration,raisequestionsaboutit.Don'tignoreaproblem.
Keyterms
Collaboration:Collaborationmeansworkingtogether.Examplesincludetworesearchersjointlywritingapaper,severallabsworking
onaproblemtogether,multisiteclinicaltrialsallovertheworldandeverythinginbetween.However,simpleformsofscholarly
communication(suchasexchangingpapersorreadingeachother'swork)don'tqualifyascollaborations.
Statistics
Only26%ofallpublicationsareauthoredbyonesingleinstitution(i.e.around75%ofallpublicationsarecollaborative).
35%ofallpublicationsaretheresultofinternationalcollaborations(upfrom25%in1996)(RoyalSociety,2011).
ReferenceRoyalSociety,2011
RoyalSociety(2011)Knowledge,NetworksandNations:GlobalScientificCollaborationinthe21stCentury.Availableonlineat:
http://royalsociety.org/uploadedfiles/royal_society_content/influencing_policy/reports/20110328knowledgenetworksnations.pdf.
[Accessed14June,2012]
Between1988and2007,internationalcoauthorshipofscienceandengineeringarticlesintheUSrosefrom11%to29%in
theEUoverthesameperioditrosefrom22%to50%.InChinaitstayedrelativelystable.InJapanitrosefromaround9%to
25%.(ScienceandEngineeringIndicators,2010).
ReferenceScienceandEngineeringIndicators,2010
NationalScienceBoard(2010)ScienceandEngineeringIndicators[online],figure017.Availableonlineat
www.nsf.gov/statistics/seind10/figures.htm.[AccessedFebruary10,2012]
Usefullinks
AustralianCodefortheResponsibleConductofResearch[SeePartAforinformationoncollaborativeresearch]:
www.nhmrc.gov.au/guidelines/publications/r39
TheMontrealStatement:www.wcri2013.org/Montreal_Statement_e.shtml
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ForHorizon2020andgeneralinformationaboutEUFrameworkProgrammes,see:
http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020
Optionalactivity
Duration:15minutes
Downloadtheattacheddocumentanduseittoreflectonthematerialinthissection.Basedonthisreflection,listatleasttwothings
youwilldodifferentlyinfuture.
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Casestudiesandadvice:Internationalcollaborations
TIME:7MINS
Screenchallenge
Whatchallengesmightbeposedbycollaborationsthatspannationalborders,andhowmighttheybeaddressed?
Researchisincreasinglyinternational:inthissection,someseasonedresearcherssharetheirexperiencesofcollaborationsthatspan
nationalborders,andhowtodealwiththeparticularchallengestheycanpose.Thinkcarefullyaboutwhichpiecesofadvicemight
relatemostdirectlytoyourownparticularfield.
MediaVideo
Internationalcollaboration
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences,DurhamUniversity:One
differencewhichIdefinitelynoticebetweenresearchthatIusedtodoasayoungresearcher,andwhatIdonow,istheincreasing
emphasisoninterdisciplinaryresearch,andprojectsundertakeninlargeconsortia.Inthiscountryandinmanycountriesthere'salot
offunding,forexampleinEuropeofmultidisciplinaryteams,spanninganumberofcountriesinEurope.
Whataresomeofthechallengesposedbyinternationalcollaborations?
Dr.HelenWalkington,PrincipalLecturerinGeography,OxfordBrookesUniversity:Soonekeyissueisthetrustofthe
samplesthatareremoved,thatthey'reingoodcareatalltimes,thatthey'rekeptsafe,butalsothatthedataisshared,andinsucha
waythatallmembersoftheteamfeelthattheycanunderstandhowtheproject'sprogressing.That'soneareathatIfindquite
difficult,isthatI'mjustamemberofthisteam,withquiteaspecificlaboratoryexpectation,andIdelivermyresults,butdon'thavea
strongsenseofhowthatmatcheswithotherpeople'sresults,becauseittendstobetheprincipalinvestigatorswhoarewritingupthe
data.Idon'tfeelIhaveagoodsenseofcontroloverhowmyresultsarecontributingtothatbroaderdata.
Dr.SofiaMerajver,Director,CenterforGlobalHealth,UniversityofMichigan:Themajorproblemwerunintoistime.
Somethingthatisnotwellknown,isthatmostacademicsintheworldoutsideofwesternEuropeandNorthAmericahavetwoor
threejobs,andtheirjobofbeingaresearcherisjustoneoftwoorthree,sometimesfour.Itdoesn'tpayenoughtosupportafamily,
andsotheydon'thavethekindoftimewedo,theluxuryofbeingafulltimeresearcher,asIam.It'sacompleteluxuryinmostparts
oftheworld.Sotheirtimeissolimited,thereisatendencyforcuttingcorners,andthat'sthegiveandtakethatweengagein,in
termsofmakingsurenocornersarecutthatareunacceptablycut.
Dr.DanieleFanelli,ResearchFellow,InstitutefortheStudyofScience,Technology&Innovation,TheUniversityof
Edinburgh:Therearetwochallenges,Ithink,peopleusuallyidentify.Oneisthefactthatthestandardsofgoodresearchpractice
maydiffer.Theotheristhat,well,ifyouhaveresearchersoperatingindifferentcountries,andonlyessentiallyworkingbyemail,the
opportunitiestosortofcontroleachother'sworkandmaybeadviseonproblems,ornoticethat,well,tomakeconcreteexamples,
someanalysismightbebiased,ifnotcompletelyincorrect,andsoon,arereduced.Itbecomesmoredifficulttoexertthatsortof
socialcontrolthatmanythinkisoneoftheimportantcomponentsofagoodresearchteam,andgoodresearch.
Howcanthesechallengesbedealtwith?
Dr.DanieleFanelli:Thewayaroundthis?Well,ontheonehand,theinternationalcommunityisworkingtowardsagreeingon
commonstandards,andevermorecountriesaregivingthemselvesdefinitionsofresearchmisconduct.Theyareagreeing,or
producing,guidelinesofgoodresearchpractice,whichobviouslywillbemoreandmoredetailed,themoreyouarelookingatspecific
researchfields.Asforthesocialcontrolpart,Idon'tthinkthere'sasolutiontothat,tobehonest!It'sjustonechallengemore,which,
Isuppose,peopleworkinginthosesituations,inwhichyouhavepeoplefromothercountriesproducing,forinstance,animportant
partofthedatasetyou'regoingtouse.Well,youwillhavetoconsiderthatyouneedmaybeanextraattentiontomakingsurethat
socialcontrolishappening.
Dr.HelenWalkington:Keepingthelinesofcommunicationopenisthemostdesirablething,andwecanusemoderntechnologyto
dothat.Wecanhaveallsortsofopenwebsitesforsharinginformation,andbeingabletoseeacrosstheboardwhat'sbeenfoundat
asite,ratherthanitjustbeingonthedeskofoneprincipalinvestigator.
ProfessorJanuszBialek:Iwouldsaycommonsense,and,perhaps,tryingtounderstandthatnoteveryoneislikeus.Noteveryone
hasdevelopedinthesameenvironmentaswehaveinthiscountry,ormanycountrieswhicharesimilar.Differentcultureshave
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differentrequirements,andpeoplemaybehavedifferentlyforgoodreason.
Dr.SofiaMerajver:Weverymuchencourageacertainbaselinelevelofconcernandethicsprinciplesthataretakenfromsources
suchastheNIHwebsite,theWorldHealthOrganisationwebsite,otherverystandardworldorganisationsthatarerecognisedfortheir
ethics,integrity.Wehavefoundthattheresearchcommitteesfromothercountriesareveryamenable.
Howaboutworkingwithothersoutsideacademia?
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:SoI'veoften
collaboratedwithpeopleoutsideacademia.OnethingthatI'vefoundisit'sreallyimportant,whenyou'retalkingtopeoplewhoare
notacademicsaboutresearchideasthatyouhave,it'sreallyimportant,whenyouhavethatconversationaboutthoseideasthatyou
haven'tactedonyet,thatyoutalktotheminthecontextof,'Wouldn'tthisbeawonderfulcollaboration?Wecouldworktogetheron
thisidea',ratherthanjustthrowingtheideaoutthereforotherstopickup.Ithinkthatoutsideofacademia,there'salittlebitofa
differentapproachtohowwethinkabouttheresearchwedo,andit'simportanttoestablishacollaborativerelationshipwhenyou're
talkingaboutyourownresearchideas.
Mediaends
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Datainterpretationandpresentation
TIME:15MINS
Screenchallenge
Thedigitalimageyouareplanningtouseinapublicationisnotasclearasitcouldbe.Isitokaytochangethecontrastoftheparts
youwanttoemphasise,oristhisdatafabricationorfalsification?
Workingouthowtointerpretandthenpresentyourdataisprobablythemostcreativeaspectofresearch,butalsoanareawhereitis
easiesttocompromiseintegrity.Therulesforinterpretationandpresentationareusuallyveryfieldspecificandoftennotwritten
down.Thereare,forexample,noclearanduniversallyacceptedstandardsthatdistinguishacceptablefromunacceptabledigital
imagemanipulation.Seetheboxattheendofthissectionforguidanceinthisarea,butifyouhavefurtherquestions:
Checkcarefullywithyoursupervisor,colleaguesorpublicationeditorbeforemakinganychanges
Behonestandupfrontinlettingothersknowwhatchangesyouhavemade.
Datainterpretationandpresentationisacrucialstageinconductingresearch,andpresentsthreekeychallenges:
Selectingwhichdatawillbeusedfordrawingconclusionsaboutyourwork
Establishingtheirsignificance(orotherwise)andidentifyingpotentialweaknessesandlimitations
Decidinghowtopresentthefindingsofyourresearch.
Thesethreechallengesformthesubjectofthissection.Beforewelaunchintofurtherdetail,someexpertstalkaboutsomeofthe
waysinwhichdatacanbemanipulated.
MediaVideo
Dataselectionandbias
Dr.DanieleFanelli,ResearchFellow,InstitutefortheStudyofScience,Technology&Innovation,TheUniversityof
Edinburgh:Inmyresearch,thereisprettygoodevidencethatthefrequencyofpositiveresults,asopposedtoresultsthatdonot
supportthehypothesisthatwastestedinthestudy,havebeendramaticallyincreasingoverthelasttwentyyears.Theproblem
behindthishaspartlytodowithprobablyhowjournalsselectresults,andpresumablytheonesthey'reincreasinglyselectingstudies
basedontheoutcome.Thisinturn,however,clearlywillputapressureonresearcherstogetthosepositiveresults,togetthe
publication.Soit'squitewellacknowledgedthatthetemptation,andit'satemptationveryfewresearchersresist,includingprobably
myself,isthatonceyouhaveyourdataset,youwilllookforthekindofpatternsyoususpectarethere.Thetragedy,ifyoulike,
nowadays,isthatyouhavesomanywaystodothat,somanystatisticaltechniquesatyourdisposal,andsomanytechnologiesthat
allowyoutobemoreandmorecleveratminingyourdataforresults,thattheriskisobviouslythatthenyouendupjustseeing
whateveryouwantedtoseeinthefirstplace,withoutthereactuallybeinganythingthere.Addedtothatistheriskthatusuallywhen
youdoresearch,you'renotonlylookingandgettingoneresult,butyouarelookingatseveraldifferentaspectsofaproblem.Ifyou
thenonlychoosesomeforpublication,youwillonlydiscusssomeandignoretherest,then,again,theriskisthatyou'reunduly
selectingwhatistheevidence.
Theextenttowhichthisisperfectlylegitimate,oritisanunconsciousformofbasis,oritisevenadishonestpractice,is
controversial.Infact,insomedefinitionsofmisconducteventheselectingofresultsisincludedasapossibleformofscientific
misconduct.Soit'ssomethingthatreallyneedssomeimportantthinkingwheneveryou'redoingit.
Whatstepscanresearcherstaketoreducetheriskofbias?
Dr.DanieleFanelli:Thewayoutofthis,generallyspeaking,istobetransparentaboutwhatyoudid.I'mnotnaiveenoughtothink
thatthisisgoingtobethewholestory,becausepublicationspaceinjournalsislimited,andyouwillneverbeallowedtotellprecisely
everythingthatyouhavedone.So,inpart,thesystemdoesneedotherways,also,toallowresearcherstomakefullypublictheir
data,youknow,alltheresultstheyobtained,etc.Butagain,theidealtofollow,Ithink,inanykindofresearchis,asmuchas
possible,betransparentofthewholeprocedure.Whatwereyouroriginalresearchquestions,howyoucollectedthedata,what
eventuallywasthedatathatwentintothisparticularstudy,andsoon.
Fabricationandfalsification
JohnHull,PartnerandHeadofIntellectualProperty,MemeryCrystalLLPLondon:Ayoungresearcher,workingaspartofa
team,onhisowninthelaboratory,oftenintheevening,wasproducingresearchresultswhichwereinessencequitestartling,and
noneofhisfellowresearcherscouldunderstandquitehowhewasdoingit.Hecoveredhistracksverywell,anditwasonlybecause
ofthe,Isuppose,thebravery,ofhisfellowresearcherstogoinandquestionwhathewasdoing,thatbroughtthewholecaseto
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light.IthinkIfeltconsiderablesympathyfortheindividualconcerned,becausehewasunderconsiderablepressuretoproducea
positiveresult,andthepressuretoproduceapositiveresultledhim,unfortunately,downthewrongpath,intoastraightforwardcase
offalsificationofdata,designedtoproveaparticularthingwhichotherwisecouldn'tbeproven.
Dr.MelissaS.Anderson,ProfessorofHigherEducation,UniversityofMinnesota:Ifyouthinkaboutit,what'sthemost
importantaspectofresearchandnewknowledge?It'sthatit'sright.It'scorrect,it'strue.Now,itmaybewrongbecauseofamistake
oranerror,andifthathappens,yougobackandyoufixyourmistake,butifit'swrongbecausesomeonehasintentionallyintroduced
falseinformation,that'sinexcusable,andthat'sexactlywhathappensinthecaseoffalsificationorfabrication.Ifinfactsomebody
introducesfalseinformationintotheresearchrecord,itcanbethereforalongtime,andpeoplemaybemakingbaddecisionsonthe
basisofwronginformation.
Whichhasthegreatestimpact?
Dr.NickSteneck,DirectoroftheResearchEthicsandIntegrityProgramoftheMichiganInstituteforClinicalandHealth
Research,UniversityofMichigan:Theassumptionhasbeenthatfalsification,fabricationandplagiarism,orkindofthevery
seriousoffences,aretheonesthatweoughttopaythemostattentionto.Thoseareseriousoffences.Theyneedtobeinvestigated
whentheyoccur.Theyactually,inmyview,don'thavethebiggestimpactontheresearchrecord,because,althoughthey'remore
commonthanwethought,theystillarefewinnumber.It'sotherpractices,suchasbiasandconflictofinterest,kindofsmall
manipulationofthedata,improperauthorship,thosesortsofthings,thatultimatelyturnouthavingthebiggestimpactonthe
researchrecord,and,thenasweusethatresearchrecord,actuallyhavingthebiggestimpactonsociety'suseofresearch.
Mediaends
Sinceyouwantyourworktoturnouttobeimportantandwellreceived,itcanbetemptingtodistortresults.Infact,studieshave
suggestedthatmisinterpretationandoverinterpretationmaybethemostsignificantsourcesoferrorintheresearchrecordandof
badadviceforpolicymakers(AlMarzouki,2005).Inthissection,weconsiderthedifferentstagesinvolvedindata
interpretation/presentation,andthetemptationsinvolvedateachone.
ReferenceAlMarzouki,2005
AlMarzouki,S.etal.(2005)'Theeffectofscientificmisconductontheresultsofclinicaltrials:aDelphisurvey',inContempClin
Trials26(3):pp.3317.
Selectingdata
Asafirststep,youneedtodeterminewhichdataaresuitableforfurtheranalysisandwhichshouldbediscarded.Thisissometimes
referredtoasqualityassuranceand/orqualitycontrol.
Inthefollowingsection,considerastraightforwardrequestregardingdatathatappearstodeviatefromtheexpectedtrend.Makea
noteofyourideas,thenmoveontoourfeedback.
Thescenario
Youhaveasetofsensorreadingstakenoveraperiodoftime.Youplotthedataonagraph.Allofthepointsarescatteredcloselyto
alineartrendline,exceptforthreepointstotherightwhichliesignificantlyabovethetrendline.Yourresearchsupervisorhasasked
youtoremovethethreepointsontherighthandside,thatliesomedistancefromthetrendline.
Whatwouldyoudo?Takeamomenttothinkabouthowyouwouldrespondtoyoursupervisor'ssuggestion.
Youarenowpresentedwithalargerdataset.Nowthegraphshowsmoredatatotherightofthethreepointsinquestion.Thelinear
trendlinenolongerapplies,butanewcurvedtrendlineadequatelycapturesallthedatapoints.
Nowthatyouhaveseenmoredata,wouldyoualteryourviewonwhatyoushoulddo?
Feedback:
Someofthemostcommonquestionableresearchpractices(QRPs)centreontheanalysisandinterpretationofdata.Inthiscase,it
mayhavebeentemptingtoignorereliabledatabasedonagutreactionorabiasforthepreferredresult.Responsibleresearchers
shouldhavesolid,unbiasedjustificationforignoringdatapoints.
Researchersshouldbemindfulofthebiasthattheirperspectivesandgoalsbringtotheresearchsetting.Biascanberootedinour
preferenceforourownideas,careerpressuresorexternalpressures(forexample,fundingagencies)thatinfluenceourdecision
making.Beingconsciousoftheseinfluencesisafirststeptowardsaddressingthem.
Establishingsignificanceandlimitations
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Establishingsignificanceandlimitations
Anotherimportantaspectofinterpretingandpresentingresultsisestimatingtheirsignificance.Forexample,considerthefollowing
questions:
Aretheparticipantsinmydatasetrepresentativeofthepopulation?
Aremylaboratoryresultsapplicableintherealworld?
DoesmymodelproperlyaccountforthephysicalprocessesIamattemptingtopredict?
AmIcollectingdataintheappropriaterangeofconditions?
Aremyfindingssignificantenoughtowarrantpublicationasanewanduniquecontributiontothefield?
Itisimportanttorecognisethelimitationsofanyresearchstudyandtointerprettheresultswithintheseconstraints.Inthefollowing
section,youwillbepresentedwithalistofresearchcomponentsandalistofpotentiallimitations.Foreachcomponent,makeanote
ofthelimitationyouthinkitmightcause,thencontinuetooursuggestedanswers.
Researchcomponents:
Fundingandtimeconstraints
Numberofsamplesorparticipants
Typeofsamplesorparticipants
Instrumentationandequipment
Datacollectionsetting
Analysismethodsormodels
Yourexpertiseandabilities
Potentiallimitations:
Canbiasfindingsandmayrequirecollaboration/education(e.g.unfamiliarwithstatisticalanalysis)
Canlimitapplicabilitytootherpopulations(e.g.humandrugtestsperformedonanimals)
Canlimitscope(e.g.canonlycollectinitialdataofwhatmaydevelopintoalongitudinalstudy)
Canbiasresultsduetoinfluenceofenvironment(e.g.coldweathercausesequipmenttotakeincorrectreadings)
Canlimitconfidenceofresults(e.g.onlyafewresponsesfromwomenlimitsanalysisonsubgroup)
Canbiasresultsduetoassumptions(e.g.neglectedinfluenceoffrictiononenergycalculation)
Canlimitprecision/rangeofmeasurements(e.g.radarcanonlydetectchangesinelevationlargerthan5centimeters)
Oursuggestions:
Fundingandtimeconstraintscanlimitthescopeoftheresearch.
Numberofsamplesorparticipantscanlimitconfidenceintheresults.
Typeofsamplesorparticipantscanlimitapplicabilitytootherpopulations.
Instrumentationandequipmentcanlimitprecision/rangeofmeasurements.
Datacollectionsettingcanbiasresultsduetoinfluenceofenvironment.
Analysismethodsormodelscanbiasresultsduetoassumptions.
Yourexpertiseandabilitiescanbiasfindingsandmayrequirecollaboration/education.
Presentingdata
Afinalaspectofdatainterpretationinvolvesmakingdecisionsonhowtopresentandexplainyourresultstoothers.Data
presentationoverlapsintothesubjectsofreportingandpublishing,coveredelsewhereinthiscoursehowever,wementionithere
becausesomeofthedecisionsyoumakeinrelationtopresentationwillbecriticaltoyouranalysis.
Agreatdealoffreedomandcreativitycanbeemployedindatapresentationinordertoconveyinformationthatseemstosuggesta
particularconclusion.Inthefollowingsection,considerthealternativeversionsofthesameinformation,andineachcasereflecton
thesignificanceofthisdifferenceinrelationtointerpretation.
Example1of6
Before:
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After:
Ourthoughts:
Manipulationoftheverticalrangecancreateasenseofgrowththatismisleading.
Example2of6
Before:
After:
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Ourthoughts:
Manipulationofthehorizontalandverticalscalescancreateasenseofrelationshipthatdoesn'texist.
Example3of6
Before:
After:
Ourthoughts:
Extrapolatingresultsbeyondtherangeofmeasurementcanmisrepresentwhatcanbeconcludedfromtheresearchitself.
Example4of6
Before:
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After:
Ourthoughts:
Contrastadjustmentcancreateafalsesenseofcleandata.
Example5of6
Before:
After:
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Ourthoughts:
Enhancingimageelementscancreateafalsesenseofthestrengthofdatasignals.
Example6of6
Before:
After:
Ourthoughts:
Addingorsubtractingelementsinanimagemisrepresentsthedataandwouldbeconsideredafalsification.
Source:ImagesonCards#4,#5and#62004,RockefellerUniversityPress.OriginallypublishedinTheJournalofCellBiology.166:1115.DOI:
10.1083/jcb.200406019.Usedwithpermission.
ReferenceRossnerandYamada(2004)
Rossner,M.andYamada,K.M.(2004)'What'sinapicture?Thetemptationofimagemanipulation',inJournalofCellBiology
166(1):pp.1115.
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Whilsttheseexamplesdemonstrateonlytwospecificdatatypes(numbersandimages),itisclearthatthetoolsavailableto
researchersopenthedoortoavarietyofmanipulationsthatcanoverstatethesignificanceorunderplaythelimitationsofresults.
Datainterpretationandpresentationraisemanychallengesforresponsiblebehaviour.
Tominimisethesechallengesitisimportantforyouto:
Recogniseyourownbiasandhowitmightinfluenceyourchoices
Representyourdataobjectively
Identifyandacknowledgethelimitationsofyourstudy.
Quotation
Allmeanings,weknow,dependonthekeyofinterpretation.
GeorgeEliot(1876)
Usefullinks
Collectionoflinkstoarticlesontheethicsofdigitalimagemanipulation:
http://graphicssoft.about.com/od/digitalphotoethics/The_Ethics_of_Digital_Photo_Manipulation.htm
Statistics
Insurveys,approximately14%ofresearchersadmitknowingcolleagueswhohavefalsifieddata(Fanelli,2009).
ReferenceFanelli,2009
Fanelli,D.(2009)'Howmanyscientistsfabricateandfalsifyresearch?Asystematicreviewandmetaanalysisofsurveydata',in
PLoSONE4(5):e5738.
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Modulesummary
Modulesummary
TIME:8MINS
Inthismodulewehaveseentherangeofresponsibilitiesthataresearcherhaswhenconductingtheirresearchin
particular:
Itiscrucialtokeepacomprehensive,coherentrecordofyourresearch.Thisshouldcontaintheinformation
necessarytoreconstructthecomplexandcreativeresearchprocess.
Datashouldbeproperlycollected,managed,storedandshared.Thisrequiresstrictattentiontodetail,with
properauthorisationfordatause,carefullydevelopeddatacollectionguidelinesandmethodologies,appropriate
methodsforanalysis,andanunderstandingofstandardsfordatacontrol,accessandownership.
Collaborationsarecentraltotheresearchcommunity.Anenvironmentthatisopen,trusting,fair,hardworking
andwellorganisedislikelytoresultinthemosteffectivecollaborations.Itisbesttoagreeearlyonprocedures
andpoliciesandtomaintaineffective,frankcommunicationsthroughoutthecourseoftheresearch.
Weconcludethismodulebyrevisitingthechallengesourresearchersdescribedatthebeginning.Inthefollowing
section,eachresearcherispresentedwithaquestionaboutachallengetheyfaced.Ineachcase,readareminderof
thedetailsoftheirsituation,consideryourresponse,thenreadourfeedback
Case1:Dr.MiguelRoig
Isubmittedapapertoajournalandtheeditorstookseveralmonthstoprocessit.Oneoftherefereescalledinto
questionsomeofthefigures.WhenIreceivedthereferee'scommentsbackandwasaskedaboutthediscrepancy,I
couldn'taccountforit.ThejournalhadkeptthepaperforsolongthatIhadforgottenexactlywhytherewasa
discrepancyinthenumbers.
Feedback:
Keepingthoroughresearchrecordsisessentialtoyourabilitytopinpointimportantinformationthatmaybenecessary
inmanysituations,includingthepeerreviewprocess.Thisauthorfounditnecessarytowithdrawhismanuscriptwhen
hecouldnotproducetheinformationnecessarytojustifyhisresults.
Case2:Dr.LorelleMeadows
Ihadanexperimentusinganunderwaterselfrecordinginstrument.Therewasnowayofknowingifitwasworking
untilwepulleditbackout.Ihadseveralotherinstrumentsonshore,lookingoutoverthewater,andIwantedto
comparewhatwascollectedinthewatertowhatwascollectedoutofthewater.
Unfortunatelytheinstrumentdidn'twork.Sotheproblemwastoworkoutwhattodowithoutabasisofcomparisonfor
mydata.
Feedback:
Whenyouarefacedwithasituationwheredatathatyouhadplannedtocollectwasimpossibletoobtain,explainthis
shortcomingtoyourreadersandreviewersandmakeyourconclusionsbasedonlyonthedatainwhichyouhave
confidence.Inthissituation,thisresearcherexplainedtheinstrumentmalfunctionandlocatedanearby,albeitlesser
quality,datasourcetoinformtheresearchproject.
Case3:Dr.SofiaMerajver
Wewereinvolvedinanalysingdatafromastudythatwedidnotconductourselves.Aftercheckingthatthestudyhad
beenconductedethically,wegotstarted.Aquestioncameuprelatingtosomethingthatseemednottohavebeen
tabulatedcorrectly,soIaskedtoseetheoriginalquestionnaires.That'swhentheytoldmeforthefirsttimethatthe
originalquestionnaireshadbeendestroyedandnooneknewwheretheywere.
Feedback:
Ifdataarenotmaintainedappropriately,youriskbeingunabletoreconstructyourresearchprocess.Inthissituation,
theresearchcollaboratorcouldnotpublishtheresultsofherdataanalysis.
Case4:ProfessorAlecGallimore
Weroutinelygetexperimentalresultsinourlaboratorythatwesuspectarewrongbasedonbackoftheenvelopetype
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Modulesummary
calculations.Thenit'samatteroftryingtounderstandwhethertheproblemiswithourtheoryorwithhowwe'redoing
theexperiments(impropercalibration,incorrectdataanalysis,etc).
Feedback:
Unexpectedresearchresultscanbeanindicationofaproblematicresearchprocedureorinstrument,orcanbethe
foundationofanewdiscovery.Thisresearcherrecommendsmaintainingthesedatapointsandseekinganexplanation
forinterpretingwhatwasobserved.
Closingstatement:
Thisshortexercisehasprovidedyouwiththeopportunitytoconsiderthetypesofchallengesyoumightencounterin
theresearchsettingandyourpotentialresponsetothesechallenges.Itisimportanttonotethatwhenresearchisnot
conductedresponsibly,thiscanoftenresultintheinabilitytopublishresults.
Finally,inthefollowingvideotranscript,aselectionofresearcherssharetheirtipsonhowtoavoidsomeofthepitfalls
inconductingresearch.
MediaVideo
Advicetonewresearchersonconductingtheirresearch
Dr.DavidHunter,TeachingFellow,UniversityofBirminghamJointEditor,'ResearchEthics':Themainpiece
ofadvicethatItendtogivetoyoungresearchersistothinkaboutit,sothinkverycarefullyaboutwhatyou'redoing,
whattheimplicationsofwhatyou'redoingmightbe.It'sveryeasy,Ithink,togetcaughtupintryingtotakeshortcuts,
tryingtogetthingsdonefast,tryingtogetthingspastresearchethicscommittees,ratherthanthinkingabout,for
example,whattheactualissuesareinregardtotheresearch.SoItendtothinkthebestthingtodoisjustsimplyto
stopandthinkaboutit.
Dr.ChewSingYian,AssistantProfessor,ChemicalandBiomolecularEngineering,NanyangTechnological
University:ThewaytheresearchisconductedinmylabandwhatItellmystudentsis,'Ifwecannotconvince
ourselves,thenIdon'tthinkthatresultispublishable.'Wehavetofirstconvinceourselves,andmakesurethatit's
relevant,andthescienceiscorrect,beforeweevengodowntopublishingit.Todothat,thewayweconductresearch
inourlabistoensurethatwehaveasufficientsamplesize,sufficientrepeats,suchthatwereallyseethetrendsthat
weseetosupportourscientifichypothesisbeforeweactuallyshareitwithothers.
Dr.TerryA.May,FacultyConflictofInterestInformationOfficer,MichiganStateUniversity:It'sahumantrait
tobe,inasense,disorganisedaboutthings,andsooneoftheimportantthingstodoistomakesureyoudevelop
properhabitsabouthowyoukeeptrackofyourinformation,howyourecordit,doingitinatimelyway,notgetlazy
aboutthesethings,andfindouthowyourfacultyandyouradvisorsandyourmentorsactuallyexpectthesethingsto
happen.
Dr.MelissaS.Anderson,ProfessorofHigherEducation,UniversityofMinnesota:Thingsgowronginresearch
allthetime,andwhywouldn'tthey?You'reworkingatthefrontierofknowledge.You'redoingthingsthatnobodyelse
haseverdone,andyou'reencounteringnewproblems.Sothingsgowrongbecauseyoumakemistakes,orbecause
you'renotsurewhattodoandyouhavetobackupandtrythingsoveragain,orbecauseyouslipalittlebit.Youcut
corners,andsoon.Thingsgowronginresearchallthetime.Buttheimportantthingis,whensomethingdoesgo
wrong,intentionallyornot,youstop,youpointouttheproblem,andyougobackandfixit.Everyresearcherisgood
atdoingthis,justsimplybecauseoferrors,andthesameprocessapplieswhenyou'veactuallydonesomething
wrong.Stop,pointouttheproblem,andgobackandfixit,becauseifyoudon't,thenthoseproblemsstarttomultiply,
theybuildoneachother,youhaveproblemsbasedonfalsepremises,andbeforeyouknowit,youhaveaprojectthat
cannotbetrusted.
Mediaends
Conductingresearchcanbeanextremelyrewardingaspectofyourcareer,ifpractisedwithintegrity.Itisherethatyou
exhibityourknowledge,demonstrateyourcreativityandexperiencetheexcitementofdiscovery.
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Researchcommunication
MODULE 4: REPORTING
TIME:7MINS
Screenchallenge
Isitresponsibletoshareyourlatestnewresearchideasorresultswithyourfriendsviasocialmedia?
Ifyoushareyourresearchresultsorconclusionswithyourfriendsusingonlinemedia,youarecommunicatingyourresearchwith
them.Youmightnotthinkofthisasresearchcommunication,butitiscommunicationnonethelessandthereareconsequences.
Thismodulecoversallstagesandtypesofcommunication,frominformalemailsandwebpostingsthroughtowritingandreviewing
forjournalpublication.
Planning
Aswithotheraspectsofresearch,planningyourcommunicationcansaveyoutimeandtrouble.Ifyouhaveneverhitthe'replytoall'
buttonwhenyoumeanttoreplyonlytothesender,youarefortunate.Ifyouhavemadethismistake,youknowthatthe
consequencesofilladvisedorunplannedcommunicationcanbeserious.Inthefollowingsection,considerthepotential
consequencesofunplannedcommunicationviasocialmedia.Makeanoteofyourthoughts,thenmoveontoownsuggestions.
Whatmightbetheconsequencesoftellingyourfriendsyourlatestnewfindingviasocialmedia?
Oursuggestions:
Yourresearchmaybediscussedbeforeitis'ready'tobe.
Yourresultsmightbesharedwithotherspubliclybeforeyouhaveachancetoprepareaformalpublication.Manyjournalswill
notacceptarticlesthatcontainresultsorconclusionsthathavealreadybeenmadepublic,inwhateverform.
YoumayprejudicefutureclaimstoIPrights.
Youmightbesharinginformationthatyoudon'tofficiallyown.
Youcouldinterpretyourresultsmorelooselyorsaythingsthatyouwouldnotinamoreformalcommunication.
Informalonlineinformationisveryeasytocutandpaste,andgenerallypeoplehaveapropensitytoplagiariseitwithout
realisingthisiswrong.
Communicationoptions
Asthisexampleshows,thefamiliaradage'thinkbeforeyouspeak'iscertainlyapplicabletoresearch!Thefirststeptowardsfollowing
thesewisewordsistoreflectonhow,whyandtowhomyouarecommunicating,andwhattheconsequencesofthismaybe.An
understandingoftheseelementsmaywellaffectthecontentofyourcommunication.
Inthefollowingsectionsexplorethedifferentaudiences,purposesandmediumsofresearchcommunication.Asyouworkthrough
them,considerwhichmediumsbestsuitwhichaudienceandpurpose.
Towhommightyoucommunicateyourresearch?
Peers/colleagues
Inyourresearchgroupordepartment
Inyourdiscipline
Inyourgeneralfield
Inotherfields
Thepublic
Managersandpolicybodieswhomakedecisionsaboutresearchfunding
Researchregulatorsandlawmakers
Generalpublic
Studentsandfutureresearchers
Thosewhoopposeorobjecttoyourareaofresearch(includingcriticsoutsidetheresearchcommunity)
Whymightyoucommunicateyourresearch?
Toinformothers(peersandpublic)ofyourwork
Toallowotherstoassessand,hopefully,supportyourwork
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Toestablishpriority
Toestablishanofficialrecordofyourwork
Toprovideyourassessmentoftheworkofothers
Togainpublicsupportforyourresearch
Howmightyoucommunicateyourresearch?
Formalacademicpublications:journalpapersbooksmonographseditedcollections...
Formalacademicpresentations:conferencepresentationspostersseminarsacademicorprofessionalmeetingslectures
demonstrations...
Informalacademicdiscussion:collegialdiscussionnetworking...
Formalpublicdiscussion/presentation:publiclectures,exhibitions,demonstrationsorconferencepresentations
commentaryorinterviewsinthepressormediaprofessionalmeetings...
Formalpublicinformation:institutionalandprofessionalwebsitesresearchprofilesprofessionalCVs...
Informalpublicinformation:blogspersonalwebsites...
Informalonlinediscussion:socialmediaemailonlinediscussionforums...
Regardlessoftowhom,whyorhowyoucommunicate,yourbasicresponsibilitiesofhonesty,accountability,professionalcourtesy
andgoodstewardshipremainthesame.However,differentmediumsandpurposesforcommunicationraisedifferentissuesforyour
integrity.
Communicationchallenges
So,wheredoresearchersriskgoingwrongandcompromisingtheirintegritywhencommunicatingtootherswhattheyhavedone?In
ordertohelpanswerthisquestion,imagineyouhavejustmadewhatyouthinkisanexcitingnewdiscovery.Inthefollowingsection,
youwillbepresentedwithsomeofthecommunicationoptionsopentoyoureflectoneachoneandthenlearnmoreaboutits
consequences.
Scenario1of3:
Issueaformalpressreleasetoestablishpriority
Youareworriedthatitcouldtakemonthstogetajournalarticleacceptedandpublished.Plus,yourinstitutionwouldliketo
announcetheresultsaspartofacampaigntobolsteritsresearchreputation.Thepressofficerthereforesuggestsissuingashortbut
substantivepressreleasetoestablishpriority.
Isthisagoodidea?Makeanoteofyourthoughts,thencontinueforourfeedback.
Feedback:
Temptingthoughitmaybetoissueapressrelease,itprobablyisn'tagoodidea,fortworeasons:
First,asmentionedpreviously,anycommunicationthatannouncesresultscouldmakeitmoredifficulttopublishinascholarly
journal,whichistheprofessionallyrecognisedwayofdocumentingcontributionstoresearchorestablishingIPrights
Second,sinceyouhavenotyetsubmittedyourdiscoveryforpublicationithasyettobepeerreviewed.Youthereforehaveno
peerconfirmationofyourwork.Theremaybesomethingcrucialyouhaveoverlooked...
Whatdoesthistellyouaboutoneofthekeyprinciplesofresearchcommunication?Makeanoteofyourthoughts,thencontinuefor
ourfeedback.
Lesson:
Researchcommunicationofnewideasandresultsnormallybeginswithpeerreviewedpublications.Youdeveloptheidea
andprovidetheevidence.Peerreviewaddsthebackingoftheresearchcommunity.Thisisparticularlyimportantwhenyourresults
arerelieduponbycolleaguesandwillbeusedtomakedecisionsthathaveanimpactonthepublic.
Scenario2of3:
Spreadwordofyourfindingaswidelyaspossible
Youareexcitedbyyournewdiscoveryandwouldliketocommunicateitaswidelyaspossible.Youhavewrittenapaperoutlining
yourfindings,whichhasalreadybeenacceptedforpublicationbyajournal.Youhavealsosubmittedtwofurtherpaperstojournals,
preparedapresentationforalargeconferenceandusedyourpersonalwebsiteandblogtopubliciseyourwork.
Whatproblemscouldtherebeinwidedisseminationofyourwork?Makeanoteofyourthoughts,thencontinueforourfeedback.
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Feedback:
Youshouldbecarefultonotoverreportinordertomakeyourresearchseemmoresignificantthanitreallyis.Ifyoupresentthe
sameresearchinmanydifferentforms,youshouldmakeitclearthatyouaredoingthisandbecarefultoavoidduplicatepublication
(alsoreferredtoas'selfplagiarism').Usingsocialmediaorpersonalprofilesmightalsotemptyoutoexaggeratetheimportanceof
yourworkinappropriately,aswellastheotherrisksweidentifiedearlierinthemodule.
ourfeedback.
Lesson:
Communicationshouldbesubstantive,accurateandnovel.Becarefulnottoexaggeratethesignificanceofyourwork,
whateverformofcommunicationyouareusing.
Scenario3of3:
Focusonthepositiveresearchoutcomes
Youthinkthatyourmainfindingissignificantenoughtopublishandbediscussedmorewidely.Thefindingsyouareexcitedabout
arebasedononesubsetofresultsfromamuchlargerset,someofwhichhadlessconclusiveornegativeoutcomes.Yourpapers
andpresentationsfocusonthepositiveresultsanddon'trefertotheotherpartsofyourresearchthatfailedtodemonstrateanything
significant.
Whateffectmightthishaveonotherresearchers?Makeanoteofyourthoughts,thencontinueforourfeedback.Feedback:You
shouldbecarefulnottounderreportinordertomakeyourresearchlookmoresignificantthanitreallyis.Underreportingmeansthat
youhavenotreportedoneverythingthatyououghttohave.Thenegativeoutcomesofyourresearchcouldbeasimportanttoother
researchersasthepositiveones.Youranalysisshouldrefertoallyourresults,eveniftheyappearinconclusive.Ignoringdatathat
mightcontradictatheoryorexplanationcouldbeviewedasfalsification.
ourfeedback.
Lesson:
Communicationshouldbecomplete.Othersexpectthattheresearchyouarereportingonisnotdeceptivelyselective.
Aspubliclysupportedprofessionals,researchershaveanobligationtocommunicatetheirresultsandconclusionsresponsibly.The
remainderofthismodulewillhelpyoudothisbyexploringfourkeyaspectsofresearchcommunicationinmoredetail:
Theelementsofresponsiblescholarlypublication
Howtodeterminewhoshouldbelistedasanauthor
Howtoavoidplagiarism
Theresponsibilitiesassociatedwithpeerreview,forbothauthorsandreviewers.
Publiccommunicationitselfwillbetakenupintheclosingmoduleofthiscourseaspartofthediscussionofadvocacyandyour
responsibilitytoconsiderthesocialimplicationsofyourwork.
Optionalactivity
Duration:30minutes
Whichofthemeansofcommunicationlistedinthissectionhaveyouusedinrelationtoyourresearchinthepastsixmonths?Who
didyouusethemtocommunicatewith,andwhy?Makealist,andconsiderthefollowingquestionsforeach:
Didyouusethemostappropriatemeansforthemessage?
Didyourcommunicationfollowthekeyprinciplesofhonesty,accountability,professionalcourtesyandgoodstewardship?
Basedonthisreflection,notedownanythingyouneedtobearinmindinthefuture.
Keyterms
Establishpriority:Toestablishaclaimtohavediscoveredsomethingfirst.
Usefuladvice
Researchersinthefieldsofengineeringandtechnologyneedtobeawarethatindustryuniversitypartnershipshavetheirown
specialagreements.Itisvitaltounderstandthatthesepartnershipsmayimposetheirownrestrictionsonresearch
communication(forexample,throughNonDisclosureAgreementsandsimilarrestrictivedocumentation).
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Scholarlypublishing
MODULE 4: REPORTING
Scholarlypublishing
TIME:7MINS
Screenchallenge
Yourarticlehasbeenacceptedforpublication,pendingafew'minor'changes.Theeditorfeelsyourconclusionsaretoomodestand
askstomakebolderclaimsofsignificance.Whatshouldyoudoifyoudisagreewiththeeditor'ssuggestion?
Itwouldbeniceifscholarlypublicationweresimplyamatterofsubmittingadraftmanuscript,gettingitreviewedandaccepted,and
addingittothepublicationlistyourCV.Unfortunately,thingsarenotquitesosimpleandyourintegritycanbetestedasyouwork
yourwaythroughthepublicationprocess.
Thepublicationprocess
Turningresultsintoscholarlypublicationstakestime,patienceandafullunderstandingofthepublicationprocess.Inthissection,we
talkabouttheprocessingeneral.Thefollowingsectionswillcoverkeyaspectsinmoredetail,includingauthorship,peerreviewand
properattribution.Thefollowingsectionoutlinesthebasicstagesingettingyourresearchpublished,alongwithsomepitfallstoavoid
andprinciplestofollow.
Step1of5:Writing
Turningyourresearchresultsintocomprehensiblereports
Yourpublicationsshouldprovideanhonestaccountofyourresearch,withenoughinformationforotherstounderstandandbuildon
yourwork.Youshouldknowbynowthatyoushouldnotfabricate,falsifyorplagiariseanythingyouwrite.Youmaynotbeawarethat
youalsoshouldnot:
Exaggeratetheimportanceofyourworkormakelightofproblems
Withholdcrucialinformationaboutmethodstoslowdowntheworkofcompetitors
Selectivelyreportresultsorfailtoreportcontradictoryevidenceornegativeresults
Drawconclusionsnotsupportedbytheevidence.
Laterinthissectionwelookinmoredetailatthewritingprocess.
Step2of5:Submission
Sendingyourwritingtoapublisherforreviewandeventualpublication
Youshouldnotsubmityourworktoseveralpublishersatthesametime(apracticeknownasmultiplesubmission)unlessthisis
commonandfullyacceptedinyourfield(bypublishersaswellasauthors!).Inaddition,besuretoavoidthefollowingpitfalls:
Salamislicing:ThisinvolvesslicingyourworkupintomanysmallerunitstoincreasethenumberofpublicationsonyourCV.
Itwastesreviewers'andreaders'timeandisaformofoverreportingofresearch.
Duplication:Thisinvolvespublishingthesameresearchinmorethanoneplace.Ifthereisareasonfortheduplicate
publication,providefullandproperacknowledgementoftheotherplacesinwhichyourworkhasbeenpublishedtoavoidself
plagiarism.
Step3of5:Revision
Makingchangesrequestedbyyoureditor
Publicationsarerarelyacceptedwithoutarequestforrevisions,arisingeitherfrompeerreviewfeedbackorfromeditorialconstraints
(chieflyspace).Revisionsusuallystrengthenpublications,butsometimesyoumaybeaskedtomakechangesthatcouldcompromise
yourintegrity.Forexample:
Addingunnecessaryreferences:Youmaybeaskedtoaddnewreferencestoincreasethecitationstoajournalorother
researcher'swork.Youshouldonlycitearticlesthataredirectlyrelevanttoyourworkandthatyouhaveread.
Cuttingthemethodssectionoreliminatingdataandcharts:Yourpublicationshouldcontainenoughinformationfor
otherstofullyunderstandandevaluatewhatyouhavedone.Ifproposedcutsmakeitimpossibleforsomeonetounderstand
andevaluateyourwork,thenyoushouldeitherrefusetomakethemorfindalternativewaystoprovidethenecessary
information(e.g.byaddingacitationtoafullpresentationofthemethodoralinktoanonlinesupplementincludingdata,
charts,figures,etc).
Step4of5:Publication
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Theprocessofofficiallymakingyourworkavailableforotherstoreadanduse
Researchresultsshouldbemadeavailableforotherstoreadanduse.Publicationsfallintotwocategoriesintermsofaccess:
Controlledaccess:Publishersusuallyholdthecopyrightonwhattheypublish,andcontrolaccessthroughsubscriptions.
Manyarticlesarepublishedthisway.Ifyoursisoneofthem,checkwhoownsthecopyrightandrestrictionsondistribution.In
suchcases,yourrighttodistributeanduseyourmaterialmaybelimited.
Openaccess:Becausesomuchresearchissupportedbypublicfunds,thereisincreasingmovementtoenablepublicaccess
toresearchpublicationsthroughopenaccesscollections.Checkwithyourfundingagencyoryourinstitution'sresearchoffice
toseewhetheryouhaveanobligationtoprovideopenaccesstoworkfundedbythepublic,andconsiderthe'Usefullinks'at
theendofthissectionformoreinformationonopenaccessrequirements.
Step5of5:Communication
Respondingtorequestsforinformationaboutyourwork
Publicationswithmultipleauthorsusuallyhaveacorrespondingauthorresponsibleforhandlingrequestsandansweringquestions.
Ifyouacceptthisrole,youmusttakeitseriously.Donot:
Ignorerequestsforinformationaboutmethodsormoredetailaboutyourresults
Denycolleaguesaccesstouniquematerialsyoumayhavecreated:youmaytakereasonabletimetorespondandexpect
somecompensationforcosts,butunlesstherearespecificreasonsforconfidentiality,sharingisexpected
Favouroneresearchgroupoveranotherorseniorresearchersoverjuniorones:treateveryoneequally.
Eachfieldofresearchhasitsownuniquewayofaccepting,reviewingandpublishingresearch.Befamiliarwiththebasicguidelines
inyourfield(right).Alsoremember,itisbesttobeginwiththeestablishedguidelinesratherthansimplyfollowingcommonly
acceptedpractices,whicharesometimeswrong.
Writingandsubmittingyourpaper
Inadditiontothegeneralprocessoutlinedearlierinthissection,whenwritingandsubmittingapaperyouareexpectedtoconformto
thestandardformatsandstylesusedinyourareaofstudy.
Stylesvarygreatly,evenwithinfields,somakesureyoufollowthe'directionsforauthors'providedbyyourjournalorpublisher.
However,thereissomecommonalityinthestandardcomponentsofajournalarticleorpaper.Thefollowingparagraphsdescribethe
differentcomponentsyoumaybeaskedtoincludeandtheassumptionsandresponsibilitieseachentails.
Papertitle
Thepapershouldbeclearlytitledwithanindicationofitscontent.Avoidcatchyorconfusingtitlesandcheckonlinedatabasesin
yourareaofresearchtomakesurenoonehasusedthetitlebefore.
Author(s)name(s)andinstitutionalaffiliation(s)
Incollaborativepapers,allauthorsshouldbelisted.Theinstitutiontowhicheachauthorisaffiliatedshouldalsobelisted.(Further
detailonauthorshipisprovidedlaterinthiscourse.)
Source(s)ofsupport
Anysupportorfundingfortheresearchshouldbeacknowledged.Supportcanbecontroversial:don'tleaveoutasourceofsupport
justbecauseyouareconcernedaboutwhatyourreaderswillthink.
Abstract,keywords,wordcount
Abstractsmustaccuratelysummarisethecontentsootherscantellwhethertheworkisofinterest.Theyshouldincludecontext,
purpose,basicmethods,mainresultsandconclusions,andnoteanyneworimportantaspectsofthework.Keywordsalsoassistwith
databasesearching.Donotoversellyourresearchintheabstract.(Manyresearchersdo,butoversellingisdishonestandmighteven
beconsideredmisconduct.)
Conflictofintereststatement
Iftheauthor(s)has(have)anycompetinginterests,theseshouldbedisclosed.Youcanlearnmoreaboutthistopicontheconflictof
interestsection.Besuretolistallinterests:failuretodosocouldfallunderthedefinitionofresearchmisconductinsomepolicies.
Substanceofyourarticle
Everythingyoupresentinthesubstanceofyourpaper(background,methods,results,conclusions,discussionetc)mustbehonest
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andaccountable.Donotfabricateorfalsifydata.Makesurealltheideas,wordsandworkareyourown,orappropriatelycitedifthey
comefromanothersource.
Contactinformationforauthors
Acontactaddressallowsreaderstocorresponddirectlywithauthors.Thisresponsibilityneedstobetakenseriouslyandmayrequire
significanttime,especiallyifyourresearchgeneratesalotofinterest.Remember,thereshouldalsobeacorrespondingauthor,who
istheofficialcontactforthepaper.
Notesandbibliography
Thesemustbeacompleteandaccuraterecordofthespecificsourcescitedinthepublication(notes)andofimportantsources
relevanttotheresearch(bibliography).Thetwoareoftencombinedintoonelist.Thisinformationsupportsyourworkandhelpsother
researchersputitincontext.Theinformationyougivemustbeaccuratebutunfortunatelytoooftenisnot.
Acknowledgements
Listingofotherswhocontributedtotheresearchbutwhodon'tqualifyforauthorship.Wewillconsiderthedifferencebetween
'acknowledgement'and'authorship'creditandhowthisrelatestoacademicintegritylaterinthecourse.
Whathappenswhenthingsgowrong?
Despitethebesteffortsofacademicsandeditors,errorsdocreepintothescholarlyresearchliteratureeitherthroughdeliberate
misconductoraccidentaloversight.Whenthishappens,thereisoneadditionalstageinthepublicationprocessthatneedstobe
mentioned:correctionofthepublishedresearchrecord.
Inthefollowingsectionyoucanfindoutaboutthedifferentwaysinwhicherrorscanbecorrected.
Erratum
An'erratum'ismadefollowingapublishererror.Aswithacorrection,anerratumnoticeispublishedsubsequenttopublicationofthe
paperinwhichtheerroroccurred.Sometimeserrorsareintroducedduringthereviewing,editorialorprintingprocess.Thisindicates
thatyoushouldcarefullychecktheproofsyouaresentforapprovalagainstyouroriginals,andnotifytheeditorofanynecessary
changesingoodtime.
Correction
A'correction'ismadefollowinganauthorerror,usuallyinreportingorproofreading,thatwasnotdiscoveredpriortopublication.A
correctionnoticeispublishedseparatelysubsequenttopublicationofthepaperinwhichtheerroroccurred.Inordertoavoidthis,
takecarewhenreportingandcheckingyourresearch,particularlywhenworkingcollaboratively.
Expressionofconcern
Thismeasureistakenbyaneditortoindicateconcernaboutthereliabilityofapaper.Concernsareusuallyissuedwhenan
investigationintomisconductisongoingbutnotconcludedorwhen,forwhateverreason,afieldisdeeplydividedaboutthereliability
ofaparticularpieceofresearch.Theeditorissuesanexpressionofconcerntoflagthepaperforreadersaspotentiallymisleadingor
unreliable.
Retraction
Retractionisthemostseriousmeasurefordealingwithpapersinvolvingmisconductorunethicalresearch.Aretractionletsreaders
knowthatthepaperisnotreliableandshouldnotbeusedinsubsequentresearchorsummaryarticles.Theretractionispublishedin
thejournalinwhichthepaperoriginallyappeared,andmaygivereasons(e.g.deliberatemisconductordiscoveryofanhonesterror).
Thesecorrectivemeasures,unfortunately,arenot100%effective.Researchhasshownthatmisleadinganddeceptivepaperscan
remainincirculationandcitedbyotherresearchersevenfollowingretraction(Buddetal,1999).Differentjournalsalsodealwith
errorsindifferentways(WilliamsandWager,2011).Thisaddsfurtherelementstoyour'scholarlypublishing'responsibilities:
ReferenceBuddetal,1999
BuddJ.M.,Sievert,M.andSchultz,T.R.(1998)'Phenomenaofretraction',inJournaloftheAmericanMedicalAssociation280:
pp.2967.
ReferenceWilliamsandWager,2011
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Williams,P.andWager,E.(2011)'Exploringwhyandhowjournaleditorsretractarticles:Findingsfromaqualitativestudy',in
ScienceandEngineeringEthicspp.111.[DOI:10.1007/s1194801192920]
1.Mostimportantly,youshouldensurethehonestyandaccountabilitybothofyourresearchreportingandofthewayyousubmit
andtakeresponsibilityforyourpublications
2.Additionally,youneedtobemindfulofsomeofthewayserrorscancreepintoscholarlypublicationanddoyourbesttodetect
andreportthem.
Scholarlypublicationisthewayresearcherscommunicatewitheachotherandwiththepublic.Whenpublicationfails,researchloses
itsvoiceanditsvalue.Allresearchershaveadutytoensurethatthisdoesnothappen.
Keyterms
Copyright:Apropertyrightinanoriginalworkofauthorshipwhichgivestheauthoranexclusiverighttoreproduce,adaptor
distributethework.
Assignmentofcopyright:Theactofgivingyourcopyrighttosomeoneelse.
RIinpractice
Inthefollowingvideotranscript,severalexperiencedresearchersreflectingonsomechallengesandquestionsrelatingtothe
publicationprocess.
MediaVideo
Example1
Salamislicing:Isitalways'wrong'?
Dr.DavidHunter,TeachingFellow,UniversityofBirminghamJointEditor,'ResearchEthics':Soparticularlyifyou
thinkaboutmultidisciplinaryresearch,interdisciplinaryresearch,there'sgoodreasonstopublishpapersbasedonthesamedata
indifferentcontextsindifferentjournalstoreachdifferentaudiences.SoforexampleI'maphilosopher,mybackground,my
kindofbreadandbutterislongresearcharticles,eightorninethousandwords,butofcourseifIwantthosetohaveanyimpact
onactualpracticeIcan'texpectmedicalpractitionerstopickupphilosophicaljournalsandreadpapersofthatkindoflength.
InsteadItendtohavetowritesummaryarticlesthatareaimedatmorepractitionerbasedjournals.InasenseIdrawonthe
ideasthatI'vewrittenaboutandotherthings.
Dr.RayDeVries,Professor,UniversityofMichigan:Weliveinaworldwheretherearesomanydifferentfieldsandallof
usworkinmorethanonefield.Sotheunresolvedquestionis,'CanIpublishsomethinginonedisciplineandthentake
essentiallythesamefindingsandpublishitinanotherdisciplinaryjournal,becauseIknowfolksfromonedisciplinewillnotread
thisjournalandIwantbothfieldstoseewhatI'vedoneinmyresearch?'andtherearenoeasyanswersastohowtohandle
thatproblem.
Howwouldyougoaboutdrawingthelinebetween'salamislicing'tobolsteryourCV,and
publishingindifferentjournalsforgoodreason,inyourownparticularfield?
Example2
Spicingupyourabstracts
HealthResearch,UniversityofMichigan:It'squitecommonforpeopletomaketheirabstractsalittlemoreexcitingthan
theirresearcharticle.InfactI'veeventalkedtoeditorswhosay,'Well,ofcourseIencouragemyresearcherstodothat,howdo
youthinkIcansellmyjournalifIdon'thaveexcitingabstractsinthere?'Butweknowthatmanypeoplereadonlyabstracts,
they'reveryverybusy,theydon'thavetimetoreadeveryarticleinfullandsothey'regettingtheirinformationfromthe
abstracts.Youhavetotellthattopeoplethatarejustgettingintoresearch,makethemawareofthisproblemandsay,'Look,
yourabstractisasimportantasyourarticle.Makesureit'saccurate,makesureitreflectswhat'sinthearticle.'Andifaneditor
says,'Well,makethischangeorthatchange,'justkindofgentlysuggesttotheeditortheyoughttogettheirethicsstraight.
Haveyoueverbeenaskedtodothis?Makeanoteonhowyoumightrespondnexttime
around.
Mediaends
Usefullinks
Thefollowinglinksgiveaselectionofnationalpoliciesonopenaccesstopublishedresearch:
Australian
NHMRC:www.nhmrc.gov.au/grantsfunding/policy/nhmrcopenaccesspolicy
ARCOpenAccessPolicy:www.arc.gov.au/arcopenaccesspolicy
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Scholarlypublishing
NIHPublicAccessPolicy:www.publicaccess.nih.gov/policy.htm
UKDirectoryofOpenAccessJournals:www.doaj.org/
UKResearchCouncil:www.rcuk.ac.uk/research/Pages/outputs.aspx
UKEPSRCaccessinformation:www.epsrc.ac.uk/about/standards
/researchdata/Pages/expectations.aspx
IrishIRCSETopenaccesspolicy:www.ircset.ie/tabid/142/tabid/102/default.aspx
Usefullinks
COPEguidelines:http://publicationethics.org/
NAEOnlineEthicsCenteracollectionofguidelinesfortheengineeringandtechnologyfields:
www.onlineethics.org/Resources/Bibliographies/
AuthorshipAndPeerRev.aspx
ASMEguidelines:www.asme.org/kb/proceedings/
proceedings/ethicalstandards
ASCEguidelines:www.asce.org/Audience/Authors,
Editors/Journals/JournalPolicies/ObligationsofAuthors/
AIChEguildelines:www.aiche.org/Publications/Resources/Ethics.aspx
Wager,E.&Kleinert,S.(2010)'Responsibleresearchpublication:Internationalstandardsforauthors',inMayer,T.&
Steneck,N.(2010)PromotingResearchIntegrityinaGlobalEnvironment.WorldScientificPublishing.
ExampleofretractedarticleinEngineering:www.sciencedirect.com/science/article/pii/
S0734743X10001223
Usefuladvice
Increasingly,institutionsaredigitisingdoctoralthesestoformalargerepositoryofinformation.Althoughthesetheseshavenot
beenformallypublishedby(forexample)ajournal,theyformacrucialpartoftheresearchrecordthatotherresearcherswill
drawon,andforthesereasons,mustcomplywithalltheguidelinesoutlinedinthismodule.
Optionalactivity
Duration:30minutes
Part1
Selectajournalinyourparticulardisciplineandidentifythecomponentslistedearlierinthesection(title,abstract,conflictofinterest
statement,etc)andhowtheyarepresented.
Part2
Writeafewparagraphsoutliningyourresponsestothefollowingquestions:
Whydoyouthinkimproperpracticeinpublicationisdamagingtotheintegrityofresearchinyourdiscipline?
Whatdoyouthinktheramificationsofimproperpracticeinpublishingareforaresearcher'sreputation?
EpigeumLtd,2012
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Casestudiesandadvice:Pressuretopublish
MODULE 4: REPORTING
TIME:5MINS
Screenchallenge
Doyoufeelpressuretopublisharticles,andwhatimplicationsmightthishaveonyourbehaviour?
Inthefollowingvideotranscript,severalresearchersreflectonthecompetitiveresearchenvironment,thepressureitbringstopublish
papersandthepotentialimpactofthisontheintegrityofresearch.Reflectonwhatpressureyouyourselffeelandwhatstepsyou
needtotaketoguardagainstunwantedconsequencesofthis.
MediaVideo
Doyoufeelapressuretopublish?Andwhatarethepotentialimplicationsofthis?
SenNorris,PhDstudentinElectricalEngineering,DurhamUniversity:ForpublishinginaPhD,you'dnormallybelookingat
publishingattheendofyoursecondyear,sonowthatI'minmysecondyear,I'llbelookingatpublishingneartheendofthisyear,
andwe'llbelookingtosubmitforoneofthebiggerconferencesnextyear.
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences,DurhamUniversity:Asfor
publication,thereisdefinitelystrongerpressurenowadaystopublish.WeexpectPhDstudentstopublishpapersbytheendofthe
secondyearoftheirPhD,whichwasnotthecaseinmydays,whenbasicallypeoplepublishedaftertheyfinishedtheirPhD.
ChristophDrews,PhDstudent(Electrical/electronicEngineering),NanyangTechnologicalUniversity:There'salwaysalot
ofintegrityissuesthatyou'vegottokeepinmindwhenyou'redoingresearch,because,ontheonehand,youwanttobesurethat
yourresultsaresound,andyoualwayshavetodoatradeoff,becauseeitheryoutakemoretimetoconfirmtheresults,oryougo
outandpublishthem.Ifyoutakemoretimetoconfirmtheresultsyoualwaysriskbeingabitlaterthananothergroup.
ProfessorAlecD.Gallimore,AssociateDeanforResearchandGraduateEducation,CollegeofEngineering,Universityof
Michigan:We'reundertremendouspressuretopublish.Ijustsubmittedagovernmentreportforoneofmylargeresearchgrants,
andoneofthefirstquestionstheyaskedis,'Whatpublicationsdidyousubmitoverthepastyear?'Publicationsareusedformerit
raises,forpromotions,fornationalawards,etc.Publicationsarealsothewayinwhichweprovideourstudentswiththecredentials
theyneedtobesuccessful.Sothere'satremendousamountofpressuretopublish.Sometimesthepressure'smoreaboutpublishing
morethanpublishingbetter,unfortunately.Therearepeoplewhoarejustcountingthenumberofpublicationsandmakingdecisions
basedonjustthesheerpublicationrate.Butthepressuretopublishistremendous,andIfearthepressureisevenmoreharshon
juniorfacultymembers.
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:Ithink
researchersthatendupcuttingcornersaredoingsobecausethereareaddedpressurestotheirlivesthatarecausingthesethingsto
happen,anditmaybethatthere'sjustsimplythepressureofpublishinginordertogaintenure.Itmaybethepressuresoftimeor
moneythatarelimitingtheresourcesavailabletothemtogetthejobdonethatthey'dreallyliketoseeaccomplished.Ithinkthese
things,thingslikethis,theseoutsidepressures,cancauseresearcherstotakeabiastowardswhatthey'redoing,andwantto
achievewhattheyneedtoachieveinthetimeormoneygiven,thattheycan'tdounlesstheycutsomecorners.
Whatstepscanyoutaketoaddressthechallengesthatcompetitiontopublishposes?
ProfessorJanuszBialek:There'sthisattitude,'Publishorperish',andeveryonefacesthat.Atypicalproblemwhichariseshere
whenyoudosomenicepieceofresearch,thequestionis,'Okay,soshouldIpublishitasonebigpaperwhichsummarisesthestate
ofknowledge?'Basicallyeverythingyouhavedone,everythingwouldbeinonepaper,oryoucutitdownintothree,four,five
sometimespapers,which,eachofthemwillbeononeparticularaspectofresearch.Myadvicealwaysisrathertogoforonebig
publication,becausethenyoumakeabiggerimpact.IalwayssayIwouldratherwritetwo,maybethree,maybefourpapers,which
peoplewillcitefor20,30,40yearsfromnow,ratherthan100papers,whicheveryonewillforgetintwoorthreeyears'time.
Dr.EricG.Campbell,AssociateProfessor,MassachusettsGeneralHospital&HarvardMedicalSchool:Competitionisafact
oflifeinscience.We'vestructuredscienceandwehavedevelopedoursystemofsciencetobeprimarilycompetitive.Competitionis
believedtocreatethestimulusforpeopletoachieveathighlevels,andIthinktosomeextentthatistrue.Ithinkthekeyistonotlet
thecompetitionorthepressurethatonefeelscreatesituationsinwhichpeopleengageinbehavioursthattheyfindinappropriate.I
thinkithastodowithhaving,Ithinkithastodowithgoodplanninginresearch,keepinggoodrecords,carryingthingsoutand
havinggoodrelationshipswithyourcolleaguesandyourmentors,sothatyoucantalkaboutthings,ratherthanhavetomake
decisionsbyyourselfwhenyou'reunderpressure.
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Plagiarism
MODULE 4: REPORTING
Plagiarism
TIME:8MINS
Screenchallenge
Youmakeapresentationataconference,whereyounoticeseveralpeopletakingphotosofyourslides.Sixmonthslater,you
discoverinanarticleanalmostexactcopyofachartfromoneofyourslides.Whatshouldyoudo?
Plagiarisminvolvesusinganotherauthor'swords,workorideaswithoutgivingtheauthorcredit.Itis,essentially,stealingideasand
presentingthemasthoughtheyareyourown.
Whydosomepeopleplagiarise?
Scholarsviewplagiarismasaveryseriousoffence,butitsimportancecansometimesbeunderestimatedordismissed.Considerthe
followingcommonlyexpressedviewsonplagiarism.Ineachcase,considerwhetheryouagree,thinkyouknowsomeonewhomight
agree,orhowyouwouldcounterthisparticularviewpoint.Thencontinueforourthoughts.
View1of8:
"Plagiarismdoesn'tactuallyhurtanyone."
Ourthoughts:
Plagiarismhurtstheauthor,whoseideaswerestolen.Itdistortstheresearchrecordbyfalselyattributingideastotheplagiariser,
whodeservesnocreditandhasnoresponsibilityforthework.
View2of8:
"It'sokay:Iwon'tgetcaught."
Ourthoughts:
Similaritiesamongstpapersmaybespottedbyscholarswhoknowthearea,orbyplagiarismdetectionsoftware.Plagiarisersrisk
exchangingtheirreputationsandcareersforpublic,professionalshame.
View3of8:
"IneedeveryadvantageIcangettocompetesuccessfully."
Ourthoughts:
Competitivepressureisnoexcuseforplagiarism.Infact,competitionmakesitevenmoreimportanttoproduceworkthatwillstand
uptoscrutiny.
View4of8:
"IfItranslatesometext,thenIcantakecreditforit."
Ourthoughts:
Thisisknownastranslationplagiarism.Youcantakecreditforthetranslation,butyouneedtogivetheoriginalauthorcreditforthe
ideas.
View5of8:
"Thisisjustaconferencepresentation,soIdon'thavetobesocareful."
Ourthoughts:
Plagiarisminpresentationscanbejustasseriousasplagiarisminwrittenpublications.
View6of8:
"Ican'twritewellenoughtorelyonmyownwords."
Ourthoughts:
Thereisnoshameinusingsomeoneelse'swords,providedyouputthembetweenquotationmarks.
View7of8:
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"Icanusemyownsentencesoverandoveragainwithoutaddingacitation.That'snotplagiarism."
Ourthoughts:
Thisiscalledselfplagiarismandisgenerallyfrownedon,asitduplicatesworkyouhavealreadydone.Youshouldciteyourown
work,justasthoughsomeoneelsewroteitandifithasalreadybeenpublishedelsewhereyoumayneedpermissionfromthe
publisher.
View8of8:
"IfIputeverythingintoquotationmarks,myworkwon'tbeconsideredoriginalenough."
Ourthoughts:
Researchersareexpectedtomakereferencetoothers'publicationstoputtheirownworkintocontext.Usingothers'ideaswithout
attributioncreatesafalseimpressionofyouroriginality.
Avoidingplagiarism:Somebasicprinciples
Asthepreviousmaterialshows,plagiarismharmsbothyouandothers,andisneverjustified.Buthowdoyouavoidit?Answerthe
followingquestionstohelpyoutoguardagainstplagiarism.
Question1of5:
Isthismaterialinanywaybasedonthewords,workorideasofothers(includingpublications,onlinesources,oralpresentationsand
conversations)?
Ifyouansweredyes,thencontinuetoQuestion2.
Ifyouansweredno,thennofurtheractionisnecessary.
Question2of5:
Aretheideasexclusively'commonknowledge'withinyourfield?
Ifyouansweredyes,thenyoumaynotneedtocitethesources.Nonetheless,itissafertocitethesourcethanassumeno
attributionisnecessary.Youshouldconsideraddingacitation.ContinuetoQuestion3tofindouthowtogoaboutthis.
Ifyouansweredno,thenyoushouldincludeafullcitationtothesourceofideas.ContinuetoQuestion3.
Question3of5:
Haveyouusedsomeone'sexactwords?
Ifyouansweredyes,thenyoushouldenclosethequotedwordsinquotationmarksandensureyouincludetheappropriate
pagenumber(s)inyourcitation.
Ifyouansweredno,thenyouhavesummarisedorparaphrasedsomeone'swork.ProceedtoQuestion4.
Question4of5:
Doyouwordsaccuratelyrepresentthemeaningoftheoriginalwork?
Ifyouansweredyes,continuetoQuestion5.
Ifyouansweredno,thenyoushouldreviseyourtextsothatitaccuratelyrepresentsthemeaningoftheoriginalwork.
Question5of5:
Areyouownwordssufficientlydifferentfromtheoriginal?
Ifyouansweredyes,thenyoushouldcompleteyourcitationbyaddingtheappropriatepagenumbers.
Ifyouansweredno,thenyoushouldrewordyoursummaryorparaphraseitsothatitisdistinctfromtheoriginal.Itisnot
appropriatetocreateaparaphrasejustbychangingafewwords.
Avoidingplagiarism:Apracticalexample
Aswithanylistofrules,therearealwaysdecisionsthathavetobemade.When,forexample,doesanideabecome'common
knowledge'?Whendoesasinglewordorphraserequirequotationmarks?Theanswerstothisquestionare,tosomeextent,amatter
ofjudgement.Inthenextsection,checkoutyourownjudgementbycomparingthe'original'passagewiththeexampletextswhich
follow.Ineachcase,decidewhetheryouthinktheexamplerepresentsplagiarismoftheoriginalpassage,inappropriateuseofthe
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passage,butnotplagiarism,ornoproblematall.
Originalpassage:
Obviously,inamultinationalcollaboration,thelawsoftwoormorecountriesmaygoverntheresearch.Allpartiesneedtoagreein
advancehowcompliancewithnationallawsandruleswillbeassured.
FromBoesz,C.C.andFischer,P.L.(2010)'Internationalcooperationtoensureresearchintegrity',inAnderson,M.S.andSteneck,
N.H.InternationalResearchCollaborations:Muchtobegained,manywaystogetintrouble.NewYork:Routledge,p.129.
Example1of7:
Allpartiesinamultinationalcollaborationneedtoagreeinadvancehowtheywillcomplywiththenationallawsofvariouscountries,
whichmaygoverntheresearch.
Feedback:
Thistextrepresentsplagiarismbecauseitdoesn'tcitethesourceoftheidea.
Example2of7:
Comparativepoliticaltheoryconcernssituationsinwhich'thelawsoftwoormorecountriesmaygovern'astate(BoeszandFischer,
2010,p.129).
Feedback:
Thistextmisrepresentstheoriginalpassagebytakingitoutofcontext(BoeszandFischerdon'ttalkaboutcomparativepolitical
theoryandthereforeshouldnotbecitedasthesourceoftheideaexpressed),butisnotplagiarisedbecauseitisfullycited.
Example3of7:
Softwareengineerswhoworkoutsidetheirowncountriesneedtoagreeinadvancehowcompliancewithnationallawsandruleswill
beassured(BoeszandFischer,2010).
Feedback:
Thisisplagiarismbecauseitincludesadirectquotationwhichisnotenclosedinquotationmarks.
Example4of7:
Whenaerospaceengineersworkinternationally,theyshouldbecognisantofpossibleconflictsinnationalregulations.AsBoeszand
Fischer(2010)note,'allpartiesneedtoagreeinadvancehowcompliancewithnationallawsandruleswillbeassured'(p.129).
Feedback:
Thisexampleisjustfine.Itisfullycited,itincludesquotationmarkswhereappropriateanditdoesn'tmisrepresentthesource.
Example5of7:
Civilengineersareofteninvolvedininternationalprojectswheretherulesoftwoormorecountriesmayapplytotheresearch.They
allneedtoagreebeforehandexactlyhowtheircompliancewithlawsandruleswillbesecured(BoeszandFischer,2010).
Feedback:
Thistextisplagiarisedbecauseitisaninappropriateparaphraseoftheoriginalpassage.Itjustreplacescertainwordswithsynonyms
andaddssimpleembellishment.
Example6of7:
BoeszandFischer(2010)recommendthatresearcherswhocollaborateinternationallydecideattheoutsethowtheywillhandle
differencesinnationallawstowhichtheirworkissubject.
Feedback:
Thisparaphraseisfine.Itincludesacitationandappropriatelyrepresentsthesenseoftheoriginalpassagewithoutrepeatingtoo
muchoftheoriginalwording.
Example7of7:
Chemicalengineersencounterproblemswhentheyworkwithforeigncolleagues(BoeszandFischer,2010).
Feedback:
Thisexampleisnotplagiarised,butitisinappropriate,becausetheclaimmadeinthistextisunrelatedtotheoriginalpassage.
Ofcourse,notallexamplesareasclearcutasthese.Ifyouhavedoubtsaboutwhatyoushoulddo:
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Consultwithamentor,supervisororcolleaguetogetanindependentopinion.Makesurethepersonyouconsultis
knowledgeableaboutplagiarismandiswillingtogiveanhonestassessment.
Askyourselfhowyouwouldfeelifsomeoneelseusedyourwords,workorideasinthesameway.Wouldyoubesatisfied
withthecredityouaregivingsomeoneelse?
Unfortunately,theshifttoelectronicwritingandcommunicationhasmadeiteasytoplagiarisewhetherdeliberatelyornot.Inone
extremecaseanumberofyearsago,aresearcherplagiarisedover100articlesbeforebeingcaught(Friedman,1990).
ReferenceFriedman,1990
Friedman,P.J.(1990)'Correctingtheliteraturefollowingfraudulentpublication',inJAMA263(10,March9):pp.141619.
Althoughplagiarismcangoundetectedforanumberofyears,itmaycometolightandcreateascandalwithfarreaching
consequences.ThisisevidencedintheresignationsofGermanDefenceMinisterKarlTheodorzuGuttenberg(2011)andHungarian
PresidentPalSchmitt(2012)overaccusationsofplagiarismintheirPhDtheseswhichweresubsequentlyrevokedbytheUniversities
ofBayreuthandSemmelweisrespectively.ThecaseofSaifalIslamGaddafi(whostudiedattheLondonSchoolofEconomics)is
anotherexampleofanaccusationofplagiarismaffectingnotonlytheindividualbutcreatingascandalfortheinstitutionconcerned.
Plagiarismisregardeddifferentlyinvariouspartsoftheworld.Insomecultures,plagiarismisnotconsideredaseriousoffenceandis
generallytolerated.However,theresearchcommunityisglobal:allresearcherseverywhereshouldadheretothehigheststandards,
andnottolerateplagiarismatall.
Unintentionalplagiarism
Ona(hopefully!)smallerscale,inthecourseofyourbusyworkday,youmayunintentionallygetyourselfintoasituationthatleaves
youopentoaccusationsofplagiarism.Forexample,youmightpastesomematerialintoadocumentintendingtoparaphraseand
citeit,getdistracted,andforgetwhereitcamefromoreventhatyoucopieditatall.Herearesomekeydo'sanddon'tstohelpyou
avoidunintentionalplagiarism.
Alwayskeeptrackofyoursources.
Nevercollectmaterialsbycutandpastewithoutretainingsourceinformation.
Alwayscheckyourcoauthors'textforplagiarism.
Neverassumeyourideasareoriginal:becomefamiliarwiththeliteraturesoyoudon'tinadvertentlyrepeatsomeoneelse's
innovation.
Neverusematerialheardataconference,readinagrantproposalorseenelsewhere(Facebook,Twitter...),withoutfully
citingthesource.
Neveruseideasfromaconversationwithafriendorcolleaguewithoutcitingthesource,asappropriate.
Beawareofthestandardsforavoidingselfplagiarismwithinyourfieldandatyourinstitution.
Alwaysciteonlinematerialascarefullyasprintedtext.
Neverassumeideasarecommonknowledgebasedonthemedia'suseofunattributedmaterial.
Remember:Ifit'sworthcitinganidea,it'sworthcitingthesource.
Researchers'ideasaretheirmostvaluableassets.Throughoutyourcareer,yourresearchwillbuildonothers'work,anditisyour
professionalresponsibilitytogivepropercredittothatwork.Conversely,failingtogivecredittoanauthorisanactofgrave,personal
disrespect.Itisnotworthriskingyourreputationandcareerbyplagiarising.
Keyterms
Plagiarism:TheEuropeanCodeofConductforResearchIntegritydefinesplagiarismas'theappropriationofanotherperson's
ideas,processes,resultsorwordswithoutgivingappropriatecredit'.(ESF&ALLEA,2010)
ReferenceESF&ALLEA,2010
EuropeanScienceFoundation&AllEuropeanAcademies(2010)AEuropeanCodeofConductforResearchIntegrity
TheAustralianNHMRCdefinesplagiarismas'thepresentationofthedocumentedwordsorideasofanotheras[theresearcher's]
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Plagiarism
own,withoutattributionappropriateforthemediumofpresentation'(NHMRC&AVCC,1997).
ReferenceNHMRC&AVCC,1997
NationalHealthandMedicalResearchCouncil&AustralianViceChancellors'Committee(1997)StatementandGuidelineson
ResearchPractice
Citation:Anintextindicatorofthesourceofanideaorwords.Itlinksthetexttoafullbibliographicreference,whichisusuallyat
theendofthearticle.Therearemanydifferentstylesofcitation.Inanarticle,youshouldusetheformatspecifiedbythejournalin
whichitwillbepublished.
Yourcontext
Findoutandfamiliariseyourselfwithyourinstitution'spolicyonplagiarism.
Usefullinks
Resources
IEEEpolicyonplagiarism:www.ieee.org/publications_standards/publications/rights/plagiarism.html
FAQs:www.plagiarism.org/plag_article_plagiarism_faq.html
Adviceoncitations:www.grammarquizzes.com/writing_citations.html
Plagiarismcheckersoftware:www.crossref.org/crosscheck/index.html,http://etest.vbi.vt.edu/etblast3,and
www.ithenticate.com
TurnItIn:http://submit.ac.uk/en_gb/home
ArticleonTextualAppropriationinEngineeringMaster'sTheses:www.springerlink.com/content/m37x736k8672kl70/?
MUD=MP
Plagiarisminthenews
SelfplagiarismcaseinIreland:www.nature.com/news/2010/101208/full/468745a.html
HungaryPresidentSchmittquitsinplagiarismscandal:www.bbc.co.uk/news/worldeurope17586128
GermanDefenceMinisterquitsoverPhDplagiarismscandal:
www.independent.co.uk/news/world/europe/germandefenceministerquitsoverphdplagiarismscandal2229492.html
LSEinvestigatesGaddafi'ssonplagiarismclaims:www.bbc.co.uk/news/education12608869
SerialplagiarismbyaGermansocialscientist:Abbott,A.(2007)'Academicaccusedoflivingonborrowedlines',inNature
448(9August),pp.632633.
www.biotechniques.com/news/SelfPlagiarismConcernsLeadtoRetractionofTwoPapers/biotechniques319185.html
http://chronicle.com/article/ThePlagiarismHunter/5109/
www.nytimes.com/2011/03/07/education/07ihteducLede.html?_r=1&ref=plagiarism
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Authorship
MODULE 4: REPORTING
Authorship
TIME:7MINS
Screenchallenge
Yourresearchteam'sworkisabouttobepublished,butyouarestunnedtoseethatyouarenotlistedasanauthor.Howcanyou
findoutwhetheryoushouldhavebeenincluded?
Authorshipisoneofthemaincurrenciesusedformeasuringthecontributionsandimportanceofresearchers.Whenyourname
appearsonapaper,thiscertifiesthatyoumadesubstantialcontributionstotheresearchthemostsubstantialcontributionsifyou
arelistedasthemostimportantauthor.Therulesforwhogetslistedasanauthorare,unfortunately,notasrigorousastheycould
beandareoftenopentolocalinterpretation(commonlyacceptedpractices).
Thissectionprovidesguidanceonauthorship.Toavoidproblems,itisessentialthatauthorshipissuesareaddressedearlyinany
project,eitherwhenacollaborationissetup(sectiononcollaboration)orwhenmentormenteerelationshipsareworkedout(section
onmentoring).
Whatdoesittaketobelistedasanauthor?
Tobelistedasanauthoronapaper,youneedtomakeasubstantialintellectualcontributiontotheresearchthatisdescribed.
Notallcontributionsaresubstantialenoughtomeritauthorship.Considerthefollowingtypesofcontributionanddecidewhichof
themcountassubstantial.Thencontinueforourfeedback.
Havingtheoriginalidea
Beingawellknownresearcherinthefield
Servingastheproject'sprincipalinvestigator
Designingtheresearchproject
Collectingthedata
Beingchairofthemainauthor'sdepartment
Doingtechnicaleditingofthemanuscript
Analysingthedata
Writingthefirstdraftofthearticle
Beingacandidateforemploymentorpromotion
Guidelineanswer:
Havingtheoriginalidea,servingasprincipalinvestigator,designingtheproject,collectingandanalysingthedata,andwritingadraft
articleallconstitutesubstantialcontributions.
However,beingawellknownresearcher,adepartmentchairoracandidateforpromotionisnotasubstantialcontribution.Technical
editingwouldalsonotbeconsideredasubstantialcontribution.
Feedback:
Substantivecontributionsinvolveintellectualeffortonthespecificarticleinquestion.Servinginasupervisoryroledoesnotmerit
authorshipifnointellectualcontributionwasmadetothearticle.Beinganexpertinthefieldorgettingreadyforapromotionis,by
itself,irrelevant.
Authorshipisbasedonwhatyouactuallydo,notonwhoyouare.Butevenwiththisbasicprincipleinmind,itisn'talways
clearwhetheritshouldbeawarded.Answerthefollowingquestionandconsiderhowyourpeersmightrespondtoit,thencontinue
forourfeedback.
Datacollectiononyourprojectwassplitbetweenyouandthreecolleagues.Oneofthemleftthedepartmentafterjustafewweeks'
input.Doeshedeservetobelistedasanauthorontheresultingpaper?
Feedback
'Collectingdata'clearlysoundslikea'substantial'contribution,buthowmuchdatadoyouhavetocontributetodeserveauthorship?
Thereisnoanswerthatappliesinallcases.Therulesaresetbythejournalsinyourfield,andyouneedtocheckaspecificjournal's
authorshipcriteria.Journalsfrequentlyaskauthorstoindicateexactlywhattheycontributedtothearticletodeserveauthorship.
Orderingofauthornames
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Authorship
Orderingofauthornames
Theorderinwhichauthorsarelistedcanbecontroversial.Sometimestheprimaryauthorislistedfirst.Inothercases,the
'correspondingauthor',usuallythesupervisoroftheproject,islistedlast.Somefieldspreferalphabeticalordering.Youshould
becomefamiliarwiththenormsforauthororderinginyourfieldofstudy.Ininterdisciplinarywork,coauthorswithdifferent
expectationsmayneedtonegotiateauthororder.
Whateverrulesapplytoyourpublications,it'simportanttogetauthorshipright.Here'swhy:
Youshouldgetcreditfortheworkyoudo:howelsewillanyoneknowyouwereanimportantpartoftheproject?
Youneedtotakeresponsibilityforyourpartoftheproject.Yournameisonthepaper:anyonereadingitwillexpectthat
youwillbeabletodefendthepartthatyoucontributed.
Authorshipestablishesthepriorityandoriginalityofyourcontributions.Ifyouarethefirsttopublishsomethingnew,your
priorityshouldberecordedintheresearchrecord.
Youremployment,promotions,salaryandhonoursdependonyourauthorshiprecord,soitisimportantthattherecordis
accurate.
Problemswithauthorship
Asthisshows,authorshipisimportanttoresearchers'careers.Perhapsbecauseofthis,authorshipproblemsareamongstthemost
commonquestionableresearchpractices,asresearcherstrytobendtherulestotheirownadvantage.
Considerthefollowingdescriptionsofanumberofdifferentsituations.Ineachcase,reflectonwhatyoushoulddo.Eachscenariois
followedbyaprompt,andthenourverdict.
Scenario1of6:
Amedicalresearcherdecidestouseaghostauthortowriteanarticlebecauseofconcernsaboutthetimeorskillsneededtoturn
theresultsfromtheclinicaltrialintoapublishablearticle.Shouldtheghostauthorbelistedonthearticle?
Hint:Woulditbefairfortheresearchertotakecreditforwritingthatsomeoneelsehasdone?
Feedback:'Ghost'authorsshouldalwaysappearonauthorshiplists.Infact,lackoftimeorskill(asintheexamplehere)arebyno
meanstheonlymotivationforusingghostauthors.Theycan,forexample,beusedtomaskaconflictofinterestbyallowingan
apparently'impartial'authortotakeresponsibilityforaresultorfindingthatinfactispartialorbiasedinsomeway.
Scenario2of6:
Youarekeentohonourandshowrespectforyourheadofdepartmentwho,afterall,leadsyourresearchgroup.Onreflection,
though,theheaddidn'tplayanyactiveroleinyourproject.Wouldhonoraryauthorshipbeappropriate,tobeonthesafeside?
Hint:Hastheheadcontributedanythingthatmeritscredit?
Feedback:Headsofdepartment,researchgroupsorlabsmaydeserveacknowledgementbutnotauthorship.Mistakenlylistingthese
peopleisknownashonoraryauthorship.
Scenario3of6:
You'veworkedreallyhardtobecomeheadofasmallresearchteam.You'vebeenworkingonapaperwithseveralofthepeopleyou
manage.Isitokaytoomitthem?That'swhatyoursupervisorusedtodowhenyouwereamorejuniorrankingresearcher.
Hint:Havingbeenonthereceivingendofunfairpracticeisnotanexcuseforperpetratingit.
Feedback:Omittedauthorsarepeoplewhohavecontributedsignificantlytotheresearchbutareleftofftheauthorlistforpersonal
orotherreasons.Butaswehaveseen,allpeoplewhodeserveauthorshipcreditshouldbelisted.Thereisnoexcuseforomitting
peoplewhoseinputissubstantialenoughtowarrantauthorship.
Scenario4of6:
Youreallywanttogetyourarticlepublished:toincreaseyourchancesyouareconsideringlistingabignameresearcherinyourfield
asalegitimatingauthor,thoughtheydidn'tcontributetoyourpaper.Shouldyougoaheadanddothis?
Hint:Thisoneisprettyobvious,butitdoeshappen!Sometimeslegitimatingauthorsdon'tevenknowthattheyhavebeenlisted.
Feedback:Legitimatingauthorsshouldnotbelisted.
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Scenario5of6:
You'reupdatingyourCVandconsideringyourlistofpublications.Youthinkit'sprobablyokayforyoutoinflateyourpublications
listabit.Noonewillnoticeifyoujustlistyourselfasfirstauthorratherthanthird,andit'snotsuchacrime...right?
Hint:Thereisadifferencebetweenpresentingyourselfpositivelyandbeingmisleading.
Feedback:Don'tdoit!ThereareallsortsofwaysofinflatingyourCV(inventingarticles,quietlyditchingcoauthors...)andtheyare
allwrong.Justlikeacitation,yourCVshouldlistyourpublicationsaccurately,withallauthorsintheoriginalorderaspublished.
Whenoneofyourarticlesisrepublished(e.g.inananthologyoreditedseries)thecitationtothesecondversionshouldbeaddedto
theoriginalcitation,notlistedasaseparatepublication.
Scenario6of6:
Youarerushingtocompleteamanuscript.Isitokayforyoutoabbreviateauthorshiplistsonthepublicationsthatyoureference?
Hint:Howwouldyoufeelifsomeoneelsereferredtosomeofyourworkandmisseditoffthereferencesorreferredtoitincorrectly?
Feedback:Alteringoromittingbibliographicreferencescanrobresearchersofthecredittheydeserveforproducingresearchworth
referencing.Referencesshouldbecompleteandaccurate.If,however,areferencedworkhasdozensorhundredsofauthors,you
shouldconsultthereferenceprotocolofthejournalinwhichyourpaperwillbepublishedandfollowtheirguidelines.
Avoidingproblems
Therearemanywaysinwhichauthorshipcangoawry,andanumberofkeystagesatwhichitisessentialthatyoutakeactionto
ensurethatcreditisfairlyandproperlyallocated.Wehavealreadymentionedtheimportanceofplanningforauthorshipearlyinany
researchprojectorrelationship.Thefollowingsectiongivessomeadditionalsuggestions.
Step1:Whenaprospectivepublicationisfirstdiscussed
Bringuptheissueofauthorship
Consultandfollowguidelinesinrelevantjournals
Developanauthorshipagreement,similarto/asanextensionofthementoringagreementdiscussedearlier
Insistthatapreliminarylistofauthors,inorder,bedrawnup,notingwhateachpersonwilldotodeserveauthorship.Thelist
canbemodifiedifcontributionschange.
Step2:Whennegotiatingauthorship
Reviewtheauthorlistandorderinginthelightofeachperson'scontributions,thejournal'srulesandthenormsofyourfield.
Step3:Whenanauthorshipissuearises
Getadvicefromatrustedseniorresearcher.Bepreparedtodiscussexactlywhatyouhavecontributedtothepublication,with
referencetothejournal'sspecificcriteriaforauthorship.Ifthejournaldoesnothavespecificcriteria,referenceyourfield'sCodeof
EthicsortheSingaporeStatement.Youcouldalsocontactyourpublisherforadvice.
Authorshipisoneofthegreatestrewardsofaresearchcareer.Itisalsooneofthemostpotentiallydivisiveissuesamongstresearch
collaborators.Tominimisecontroversyandsupportthefairallocationofcredit,it'simportanttounderstandthenormsandstandards
forauthorshipinyourfield.
Optionalactivity
Duration:30minutes
Haveyouyetbeeninasituationwhereyoufeelyouwereincorrectlycreditedoromittedbysomeoneelse?Talktoyourfriendsand
colleaguesandfindoutiftheyhave.Discusstheproblemandtrytopinpointthestageatwhichthingswentwrongandhowthey
couldhavebeenhandleddifferently.
Usefullinks
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Authorship
CommitteeonPublicationEthics(COPE):http://publicationethics.org/.Inparticular,takealookatTimAlbert'sHowtohandle
authorshipdisputes:Aguidefornewresearchers(heldwithinthe'Resources'sectionofthewebsite)
NationalSocietyofProfessionalEngineers,CodeofEthics:www.nspe.org/Ethics/index.html
AmericanChemicalSocietyauthorresponsibilityguidelinesadoptedbymanyengineeringsocietiesandpublications:
http://pubs.acs.org/userimages/ContentEditor/1218054468605/ethics.pdf
Exampleofauthorlistbeingmanipulatedfordubiousendsinnuclearengineering:
http://news.sciencemag.org/sciencenow/2008/08/2701.html
Yourcontext
Findandfamiliariseyourselfwithyourinstitution'spoliciesonauthorship.
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Casestudiesandadvice:Authorship
MODULE 4: REPORTING
TIME:8MINS
Screenchallenge
Whatcanyoulearnaboutauthorshipfromtheexperiencesofthosearoundyou?
Inthefollowingvideotranscript,researchersfromallstagesintheircareerssharetheirexperiencesofauthorshipandsomeofthe
complexissuesthatitcanraise.Youmaywishtocompletethe'Optionalactivity'attheendofthissectionwhichgivesyouan
opportunitytorecordyourresponsestothequestionsposed.
MediaVideo
Casestudy1:Tocreditornottocredit
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences,DurhamUniversityAsfor
whoistobeincludedandwhoisnottobeincluded,thatoneinprincipleisquitesimple.Thereisaquestion,ifyouhavecontributed
tothepublicationofthatparticularpaper,thenyoushouldbeincluded.But,althoughtheprincipleissimple,thepracticecanbe
different.OnceIwasinasituationwhentherewasapaperthatwasfollowingupfromanearlierpaper,andoneoftheauthorsof
theoriginalpaperstillwantedtobeasacoauthorofthesubsequentpaper,althoughhedidnotdoanydirectworkonthesecond
paper,becausehefeltthatwashisidea,heshouldbetheauthorofit.
Whatdoyouthink?Shouldtheauthoroftheoriginalpaperbenamedasacoauthoronthenewone?Pauseto
consideryourthoughts,thencontinuetofindoutwhatthestudentinthiscasefelt,andwhetherJanuszagreed.
ProfessorJanuszBialek:TheyoungPhDstudentwhowasthemainauthoroftheotherpaper,thesecondpaper,feltquite,didn't
reallywanttodoit,becausehefelt,'Whyshouldthatguy,whodidsomeoftheearlierwork,becoauthor?Well,inthiscasewe
shouldhaveMrOhmastheauthor,becauseheisthefatherofelectricalengineering,isn'the?'Sothatwasquiteaninterestingand
heateddisputewiththePhDstudent,andIfeltthatthecontributionofthefirstauthorwassostrong,becauseheestablishedthat
certainfield,andhewasstillaround,andwewerestilldiscussingwithhim,andsointhatparticularinstance,Ifeltthatheshouldbe
included.Sohewasincludedinthatone,butnotthekindofnextgenerationofpapers.
Casestudy2:Someexamplesfromengineeringandtechnology
SenNorris,PhDstudentinElectricalEngineering,DurhamUniversity:Forauthorshipsonourpublicationsinthisfield,we
normallyworkitthattheauthorsthatputthemostworkin,willgetthefirstauthorship,andthesupervisorwillalsogetonit,because
he'syoursupervisorfortheproject.Authorsthathavealsoworkedontheprojectinasmallerpart,ifthey'vecontributedenough,they
willbenamedauthors,andifitwasacontributionsuchasaconversation,it'llbeanacknowledgement.
SitWingYee,PhDstudent(MachineLearning),NanyangTechnologicalUniversity:Withinmylab,withinmyresearchgroup,
wehavequiteafairsystem,sowhoevercontributesthemostwillbeputasthefirstauthor.Thesupervisorisusuallyintheauthor
list,becausehe'satleasttheonewhoprovidedthestartingidea,butusuallyforpeoplewhodidnotcontributetothepaper,their
namesarenotincluded.
Howdoesthiscomparewiththesituationinyourowndepartment?Doyouagreethatthesupervisorshouldbelisted
asanauthortocreditthemforhavingprovidedtheinitialidea?
Casestudy3:A'superpostdoc'
NaokoMasumoto,MResstudent,InstituteofChemicalBiology,ImperialCollegeLondon:Wehaveasortof'superpostdoc'
whowritesallthepapers,mostofthepapers,andthestudentsdoallthework,sodependingonthepublication,heisusuallythe
firstauthor.Thenthestudentwhodidtheresearchcomesnext.Inveryrarecases,astudentbecomesfirstauthor,ifthisperson
contributed,wrotesomething.Thenofcoursemysupervisoristhelastauthor,allthetime.
Doyouthinkthissystemisfair?Whataretheadvantagesanddisadvantagesofhavinga'superpostdoc'whowrites
allthepapers?Pausetoconsideryourthoughts,thencontinueforNaoko'sthoughts.
NaokoMasumoto:Inawayitworkswellinmygroup,becausefirstlyitacceleratesthespeedofpublishingthepaper,andjustgets
thepublicationgoing.So,astudentisnot,willneverbesortofpressuredtopublishsomething,becausethispostdocispreparing
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forus,andwejusthavetoreportwhatwe'vegot.Maybesomepeoplefeelalittlebitnegativetowardsthefactthatthissuper
postdocgetsfirstauthorship.Iwouldsaythestudentwhodidtheworkshouldbethefirstauthor,becauseIthinktheyhavethe
credit,themostcredit.
Casestudy4:Authorshiporder
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:Inone
instance,Ihadaresearchmentorencouragemetoassistwithwritingapaper,andintheprocessofwritingthepaper,Ithink
becauseIwascontributingsomuchtothepaper,Ireallyfeltitwasmywork.Whenitboileddowntoit,anditwastimetopublish,I
wastoldthatanothercolleaguewasgoingtobethefirstauthor,becausethatcolleaguewasupforpromotionandtenure,right
withinthenextyear,andthatthatpersonneededthisparticularpublicationontheirrecord.SoIwashugelydisappointednottobe
firstauthor.
Howmightthissituationhavebeenavoided?Pausetoconsideryourthoughts,thencontinueforLorelle'sviews.
Dr.LorelleMeadows:KnowingwhatIknownow,Idefinitelydeservedtobeanauthoronthatpaper,becauseIdidthelion'sshare
ofthework,anditwasn'tasiftheotherauthordidn'tdeservealsotobeanauthor.Ijustdon'tthinkthatpersondeservedtobe
primaryauthor,becauseitreallywasmyintellectualworkthatcreatedthatpaper.Ithinkhavingaconversationaboutthatwellahead
oftimewouldhavebetterstructuredhowweapproachedtheauthorshipofthatpublication.
Mediaends
Theadviceinthepreviousvideotranscriptshowstheimportanceofdiscussingthequestionofauthorshipupfrontbutwhatifit's
toolate,orifyoufinditdifficulttobroachthesubjectdirectly?Thefollowingvideotranscriptgivessomeadviceonthisquestion.
MediaVideo
Gettingadviceandgettingevidence
MaryTravers,4thyearPhDstudent,UniversityofOxford:Sooneofthethingsthat'simplementedinmydepartmentiswe
alwayshaveapostdoctoraladvisorfromadifferentresearchgrouptoourown,soifwefeellikeanything'sgoingwrongwithinour
group,wehavesomeoneoutsidethegroupwhowemightfeelmorecomfortablereportingthesekindofissuesto.
Dr.EricG.Campbell,AssociateProfessor,MassachusettsGeneralHospital&HarvardMedicalSchool:Ithinkthemost
importantthingsyoucandoaretobeabletorecognisethosesituationsandtorecognisewhenyou'reinasituationthatmightbe
consideredproblematic,aroundthingslikepublicationandethicalreviewboardsandotherthings.Ithinktheotherthingtodoishave
someonethatyoucantalkaboutthesethingswith,haveamentorandhaveagroupofcolleaguesthatyoucanbringthesethingsto
anddiscussthem,withouthavingtomakethesediscussionsinavacuum.
Tacitknowledgeyoucangetfrommentorsisreallyimportant,Irememberoneofmymentorsgivingmeadviceabouthowtodeal
withlargenumbersofpeople,forexample,whowanttobeinvolvedinresearchbutessentiallydon'twanttodomuchofthe
research,andithastodowithhowyouschedulefrequentmeetingsandkeeptrackofwho'sinthemeetingandwhoisn't,youkeep
trackofthespecificactivitiesthatpeopleperform.Thenwhentheresearchisdone,ifsomeonecomestoyouandasks,'CanIbean
author?'youpulloutyourtrackingsheetandyousay,'Well,accordingtothisyoudidn'tattendanyofthemeetingsthatwehadover
thelastcoupleofyears,andyoudidverylittlework.Idon'tthinkthatmeetsthecriteria.Wouldyoubeabletohonestlyanswerthese
questionsaboutauthorship,knowingwhatyouknowandwhatIknowaboutyouractivitiesinthisresearch?'Itkindofgoesbackto
theideaofreallypayingattentiontowhatpeoplearedoing,whenthey'reinvolvedinyourstudies.
Mediaends
Optionalactivity
Duration:15minutes
Clickhereforadocumentyoucanfillinwithyourthoughtsasyouworkthroughthevideotranscriptsinthissection.
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Peerreview
MODULE 4: REPORTING
Peerreview
TIME:6MINS
Screenchallenge
Yoursupervisoraskedforyourhelpinreviewingsomeoneelse'smanuscriptforpublication.Thepaperhassomeideasthatare
relevanttoyourworkandyouwouldliketheexperience.Canyoureviewthemanuscript?
Thesimpleanswertothequestionofwhetheryoucanhelpyoursupervisorinreviewingapaperisthatyoucan,ifyoursupervisor
haspermissionfromtheeditor.Ifyoursupervisordoesnothavethispermissionandthereviewisconfidential,thenyoucannot.
Obviously,thiscouldcreateanawkwardsituation:ifyourefuse,youaredecliningtohelp,seemingtoquestionyoursupervisor's
judgementandpassingupavaluablelearningexperience.Toprepareforsituationssuchasthis,youneedtounderstandhowpeer
reviewoperatesandwhatresponsibilitiesyouandothershavewhenreviewingtheworkofcolleagues.
Whatispeerreview?
Peerreviewistheevaluationofyourprofessionalworkbyexpertsinthefield.Inthefollowingsection,youwilllearnmoreaboutthe
differentformspeerreviewmighttakeindifferentcontexts.
Yourdailywork
Informal,ongoingfeedbackfromyoursupervisorandyourcolleagues
Conferences
Conferenceproposalsareevaluatedbyothersinthefieldwhotypicallyhavespecificexpertiseinyourareaofresearch.Thereis
usuallysomeopportunitytoaddressreviewers'suggestionshowever,ifaproposalisrejected,thereislittleopportunitytochallenge
theseratings.
Publications
Manuscripts/papersareoftenreviewedbyexpertsintheareaofyourresearch.Aninvitationtoreviseandresubmitusuallyleadstoa
seriesofexchangesbetweenauthorsandeditorsorreviewers.
Grants
Reviewofgrantproposalsmayinvolveindividuals,anexpertpaneland/orprogrammestaff.Ifaproposalisrejected,reviewersmay
suggestimprovementstomakewhensubmittingarevisedproposal.
Employment
Recruitmentinvolveslettersofrecommendationandinterviewswithpeoplefamiliarwithyourwork.Decisionsonsalary,promotion
andjobsecuritydependoncommitteereview,includingexpertassessments.
Awards
Aseniorresearchermaybenominatedbypeersforawardsorprestigiousappointments.Thelettersofnominationtypicallyreview
theimpactoftheresearcher'scontributionstothefield.
Youwillencounterpeerreviewthroughoutyourprofessionallife,bothasthereviewerandthepersonwhoseworkisbeingreviewed.
Bothpositionsinvolveaspectsof(andpotentialthreatsto)integrity.
Havingyourworkreviewed
Beingunderreviewcanbeastressful,highstakessituation.Youmaybetemptedtotrytoplaythesystemtoyouradvantage,either
whensubmittingyourworkorwhenrespondingtoreviewers'comments.Considerthefollowinglistoftemptations.Foreachone,
thinkofareasonwhythisbehaviourisnotagoodidea.Thencontinueforourthoughts.
Item1of5
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Expressingideasincomplicatedwayssoareviewerthinkstheyareimportant
Ourthoughts:
Reviewersusuallypreferaclearandstraightforwardpresentation.
Item2of5
Submittingagrantproposalforonethingwhenyouplantodosomethingelse
Ourthoughts:
Youmustfulfilthetermsofyourproposal,unlessreviewadministratorsagreetoachange.
Item3of5
Omittingmethodologicaldetailsthatyoufearreviewersmightconsiderweak
Ourthoughts:
Youmustpresentallinformationthatmightaffectreviewers'assessments.
Item4of5
Exaggeratingyouraccomplishmentstoimproveyourchancesofgettingagrant
Ourthoughts:
Youriskbeingaccusedoffalsifyingyourrecord.
Item5of5
Lookingforopportunitiestoretaliateinresponsetoacriticalreview
Ourthoughts:
It'simportanttorespondtocolleaguesinacourteous,professionalmanner.
Oneoftheseitemsmentionedretaliation,whichisclearlynotagoodidea.Butwhatshouldyoudoifyoureceiveareviewthatyou
feelisgenuinelyunfair(e.g.biased,misguidedorunjust)?
Thebestresponseistocontactthereviewadministrator(e.g.theeditororgrantadministrator)andexpressyourconcern,supported
byevidencefromyourmaterialsandthereview.Insomecases,yourworkmayberereviewedinothers(suchasgrantreviews),this
maynotbepossible,duetothetimingofdeadlines.Whatevertheoutcomeforyoupersonally,however,yourcomplaintwillimprove
thepeerreviewsystembyidentifyingaweakreviewer.
Sometimesmultiplereviewsandresubmissionsarejustanaturalalbeitfrustratingpartofthepublicationprocesshowever,ifa
reviewersuddenlyasksforcompletelynewandsubstantivechangesatthesecondorthirdstageofrevisions,again,youmaywishto
raisethiswithyoureditororgrantadministrator.
Actingasareviewer
Thinkbacktothequestionweposedatthestartofthesectionandimaginethatyoursupervisororcolleaguedidhavepermissionfor
youtohelpoutwiththereviewingwork,whichyoudulydid.Thecontentofthepaperseemedparticularlyrelevanttoresearchbeing
carriedoutbyoneofyourfriendssoshouldyoushareit?
Theanswerismanifestlyno!Youshouldnotshareinformationcontainedinmaterialthathasbeengiventoyouforpeerreview.On
bothcounts,theprincipleatstakeisconfidentiality,anditisoneoftheresponsibilitiesofpeerreviewers.Butwhatother
responsibilitiesdoyouhave?
Inthefollowingparagraphs,youwillfindoutmoreaboutyourkeyresponsibilitiesasareviewer.
Fairness
Befair.Approacheveryreviewwithanopenmind.Checkyourreviewtobesurethatyouhaven'tletbiasorprejudiceinfluenceyour
evaluation.
Transparency
Allpotentialconflictsofinterestshouldbedeclaredtothereviewadministrators.Forexample,thepersonwhoseworkyouare
reviewingmightbeafriendorindeedadirectcompetitor.Oryoumighthaveafinancialinterestinthework.Iftheconflictwould
createarealorperceivedbias,youshouldmentionitandprobablydeclinetodothereview.
Competence
Youshouldacceptreviewassignmentsonlywithinthescopeofyourprofessionalexpertise.
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Confidentiality
Youmustmaintaintheconfidentialityofallinformationunderreview.Youshouldnotdiscussoruseideas,methodsorresultsfrom
reviewmaterialtodosowouldgiveyouanunfairadvantage(andcouldbackfireiftheinformationeventuallyturnsouttobe
unsupportedorfalse).Instead,youshouldwaitforpublicreleaseoftheinformation.Donotcontactauthorsorrevealthestatusof
therevieworyourroleasreviewerunlessyouhavespecificpermissiontodoso.
Promptness
Completereviewsbythespecifieddeadline.Ifyoucan'tcompleteareviewbythedeadline,notifythereviewadministrator,sothat
anotherreviewercanbefound.
Diligence
Goodreviewstaketimeandeffort.Workthroughallmaterialscarefully,withattentiontothereviewcriteria.Inyourreview,always
provideenoughinformationtojustifyyourratings.Strivetobalancecriticismandconstructivesuggestions.
Theresearchcommunityreliesonthepeerreviewsystemfordecisionsaboutthequalityandimpactofresearch,butthesystemis
notperfect.Unfortunately,somereviewersdiscloseinformationfromproposalsormanuscripts.Othersdelaytheirreviewstostalla
competitor'sprogress.Thepeerreviewsystemoverallmaybecompromisedbysheervolume,withtoomanyreviewsdonebytoo
few,overworkedresearchers.
Alwaysreviewothers'workasfairlyandcarefullyasyouwouldwantthemtoreviewyourown.
Imperfectthoughitmaybe,however,thepeerreviewsystemservesavitalpurpose.Throughoutyourcareer,makesurethatyour
ownparticipationmakesapositivecontributiontothisimportantprofessionalsystem.
Usefullinks
Authorandpeerreviewguidelinesinselectedjournals:
IEEEReviewProcessStatement:www.computer.org/portal/web/peerreviewjournals/author#statement
ASCEReviewProcess:www.asce.org/Audience/Authors,Editors/Journals/GeneralJournalInformation/
ReviewProcessandDecisionDescriptions/
AISCReviewerguidelines:www.aisc.org/content.aspx?id=31268
Nature'speerreviewprocess:www.nature.com/authors/peer_review/index.html
Science'speerreviewprocess:www.sciencemag.org/site/feature/contribinfo/review.xhtml
ftp://ftp.cordis.europa.eu/pub/fp7/docs/guideforercpeerreviewersadg_en.pdf
UKScienceandTechnologyCommitteereportonPeerreviewinscientificpublications:
www.publications.parliament.uk/pa/cm201012/cmselect/cmsctech/856/85602.htm
RIinpractice
Inthefollowingvideotranscript,someresearcherssharetheirviewsontheadvantagesandchallengesofthepeerreview
system,andhowindividualscanmakesuretheyaredoingtheirbittomakesureitisaseffectiveandfairaspossible.
MediaVideo
Whataresomeoftheadvantagesandchallengeswiththepeerreviewsystem?
Dr.RichardSmith,BoardMember,UKResearchIntegrityOffice:IhavetosaythatIamextremelyscepticalaboutpeer
review,andhavebecomesteadilymoreso.Therehavenowbeenfiveinternationalcongressesofpeerreview,andsadly,we
havealotofdifficultydemonstratingthevalueofpeerreview.Therearesomethingscalled'systematicreviewsofstudiesof
peerreview'whichareunabletoshowrealevidenceofbenefit,whichdoesn'tmeanthereisn'tbenefit.Itmaybethatthe
studiesarejustnotwellenoughdone.Certainlymostscientistsandresearchersdobelieveinpeerreview.
Butwhatwedoknowisaboutthedownside.Soit'sexpensive,it'sverytimeconsuming.It'sveryinefficient,insofarasyou
submittoonejournal,anditgetsrejected,andthentoanotherjournal,andthentoanotherjournal.It'snotverygoodatpicking
uperror.We'vedoneanumberofstudieswherewe'veinserteddeliberateerrorsintostudies,sentthemtopeopletoreview.
Thefirsttimeweputeighterrorsintoanarticlethatwasonly600wordslong.Nobodyspottedmorethanfive.Themean
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Peerreview
numberspottedwastwo,and20%ofreviewersdidn'tspotany.Weknowthatit'ssomethingofalottery.Ifyouaskpeople,
'Shouldorshoulditnotbepublished?',youdon'tgetmuchmoreagreementthanyouwouldgetbychance.Weknowthatitcan
beantiinnovatory,insofarasifyoucomeupwithsomethingreallynewandexciting,it'llprobablyberejected,andsadlyit
doesn'tdetectfraud.Sometimesitwill,becauseyouseeaterriblemistake,andyouthink,'Well,perhapsthisisfraudulent',but
generally,justbecausesomethinghasbeenpeerreviewedisnoguaranteewhatsoeverthatitisn'tfraudulent.
Dr.DanieleFanelli,ResearchFellow,TheUniversityofEdinburgh:Peerreviewersarejusthumanbeings.Sothey're
subjecttothesamekindofconscious,possibly,andunconsciousbiasesthatallotherresearchersaresubjectto.Addedtothat,
peerreviewersarejustresearchersthatareaskedtodevotepartoftheirtime,partoftheirpreciousteachingandresearch
time,tolookthroughotherpeople'spapersforpossibleflaws.Youcannotexpectthissystemtobeperfecttothepointofever
identifyingdatafabricationorfalsification,orevenimportant,possibleorsubtlemethodologicalflawsorbiasesinthe
interpretation.Peerreviewisjustabasicstepinensuringthatwhatispublishedreachessomeminimumacceptablestandard.
Whatreallyensuresthereliabilityofascientificresultistheabilityofotherresearchers,whoarefullyinterestedintheresult,or
possiblyworkinginthesamefield,inactuallybeingabletoevaluatetheanalysisandtheresultsofthatparticularpaper
properly,andreplicatefortheirownthoseresults.
HealthResearch,UniversityofMichigan:Peerreviewisoftenseenasaveryimportantpartofsafeguardingtheintegrityof
theresearchrecord.Acynicatthispointmightsay,'Areyoukiddingme?Peerreviewdoesn'twork.'Well,thefactofthematter
isthatpeerreviewdoesworkinmanyways.It'sessentialtohaveideasrunbypeerstomakesurethattherearen'tobvious
mistakes,thattheideasaregood.Peerscanchecktoseewhethersomeofthemethodologiesaregood,andsoon.Sothere
areanumberofthingsthatpeerscando,andit'sveryimportant.
Whatisequallyimportantistorecogniseisthatpeerreviewisnotfoolproof,thatthereareallsortsofproblemswithpeer
reviews.Peersarebiased.Theyliketheirmethods,theydon'tlikeotherpeople'smethods.Theylikepeoplefromtheircountry,
theydon'tlikepeoplefromothercountries,andsoon.Sothere'sbiastoit.It'saleakyprocess.You'resupposedtokeepit
confidential,butpeersoftendon'tdothat.Ideasarestolenthroughthepeerreviewprocess.Workisdelayed,becauseyoucan
slowdownacompetitorworkthatway.Soit'saprocessthathasitsflaws,butnobodyhasinventedanythingbetteratthis
particularpoint,andthereforewhat'sessentialisthatweworkasmuchaswecantokeepthepeerreviewprocessassolidasit
possiblycanbe.
Haveyoueverreceivedanunfairreview?
Dr.ChewSingYian,AssistantProfessor,NanyangTechnologicalUniversity:Ihaveexperiencedanunfairreview,inthe
formofoneofthemanuscriptsthatwesubmittedpreviously.Sowhathappenedwasthatthereviewcommentscameback,
commentingonlyonourgraphsbeinguglynothingscientificatall!
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:SoI
haveacolleaguewhowentthroughapeerreviewprocessthatIthinkwasextremelyunfair.Thereviewerhadresearchinthe
samearea,andIbelievemusthavefeltthreatenedbythisnewresearchthatmycolleaguewaspublishing,andsogavethe
paperapoorreview,soitwasnotpublishablebythejournaltowhichitwassubmitted.Somycolleaguehadtoresubmitthe
manuscripttoanotherjournal,thathadlesscoverage.Itwasn'tanationaljournal,itwasalocaljournal.Soitreallyimpacted
thevisibilitythatthatresearchwasreceiving.
Howmightyourespondtoanunfairreview?
Dr.LorelleMeadows:Ithinkifaresearchersuspectsthatapeerreviewwasnotunbiased,thatthatresearchershould
probablytakethatreviewbacktotheeditorofthejournal,andsuggestthatperhapsanotherreviewbedone,justtoconfirm
whetherthereviewwaswithorwithoutbias.
Whatcanyouasanindividualdotomakesureyoualwaysreviewwithintegrity?
Dr.DanieleFanelli:AllIcansuggestthereistofollowasmuchaspossiblewhatyourconsciousnesstellsyou,andthatyou
shouldremindyourselfthatwhatyou'redoingisadvancingknowledge,andifitisnotyouthatadvancesknowledge,butit's
someoneelsewithabetteridea,orwhohasbeenquickeringettingaresult,thenbeit.Yourimportantroleisjustensuring
thatthiswillbethecase.
Dr.EricG.Campbell,AssociateProfessor,MassachusettsGeneralHospital&HarvardMedicalSchool:Whenyou
write,forexample,whenyoureviewarticlesforjournals,it'sveryimportanttobecivil,tobecorrect,tobesuccinct,butatthe
sametime,towriteyourreviews,andthisalsogoesforgrants,inwaysthatdon'tpersonallyattackthepeople,butthatare
helpful,thatpointoutthingsthattheycandotoimprovetheirwork,ratherthanjustpointingouttheproblems.
Mediaends
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MODULE 4: REPORTING
Modulesummary
TIME:1MIN
Integrityinthepublicationofresearchisimportantonmanylevels.
Researchsystem
Thesystemoffunding,performinganddisseminatingresearchreliesontheaccuracyandreliabilityoftheresearch
record.Integrityinpublicationpracticesensuresthetrustworthinessoftheresearchsystem.
Communityofresearchers
Researchersinyourfieldexpecttobetreatedwithfairnessandrespectthroughoutthepublicationprocess.They
expectcreditandresponsibilitytobeallocatedfairlythroughoutthecommunity.
Yourcolleagues
Thepeopleyouworkwithwanttobeproductiveandsuccessfulintheircareers.Theytrustyoutobehavewithintegrity
inallaspectsofthepublicationprocess.
You
Yourpublicationrecordisthebasisforyouradvancementinyourcareer.Itneedstobebasedonabsoluteintegrityat
everystep.
Publicationofyourfindingsisamongstthefinestrewardsofaresearchcareer.Itisasourceofgreatsatisfactionto
knowthatyourpublicationsarebackedbyyourownprofessionalintegrity.Researchersdo,however,communicatein
otherways,asdiscussedatthebeginningofthismodule.Thefollowingmoduleexplorestheresponsibilities
researchershavewhentheycommunicateandinteractwiththepublic.
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MODULE 5: RESPONSIBILITIES TO SOCIETY
Introduction
TIME:6MINS
Screenchallenge
Ifyoureceiveacallfromthepress,askingaboutyourresearch,shouldyouagreetoaninterview?Howmuchinformationcan/should
youprovideifyouareinterviewed?
Mostresearcherstodayreceivesomepublicsupport,whetherdirectlyorindirectly,fortheirwork.Eveninfieldswherethereisnota
greatdealofdirectfunding,suchastheartsandhumanities,publicgrantsremainessentialformaintaininglibraries,museumsand
specialcollections.
Publicsupportcomeswithanexpectation:thatthepublicwilllearnandbenefitfromtheworkresearchersdo.Seenfromthe
perspectiveofaresearcher,thisexpectationturnsintotwofinalresponsibilities:
1.Toengageresponsiblywiththepublic
2.Tobemindfulofaresearcher'sobligationstosociety.
Thismoduleexplorestheseresponsibilitieswhichcaninsomecasesbethemostdifficulttointegrateintoyourlifeasaresearcher
andyourresearchcareer.
Weaskedresearchersfromallstagesoftheircareerwhethertheyhadconsideredtheimpactoftheirworkonsocietyandtheir
responsibilitytothepublic.Toopenthemodule,wepresentaselectionoftheirviewsinthefollowingvideotranscript.
MediaVideo
Responsibilitytothepublicandsociety
SenNorris,PhDstudentinElectricalEngineering,DurhamUniversity:Ithinksocialimpactinresearchisveryimportant.For
ourparticularproject,we'llbelookingatbenefitingawidepopulation.So,forexample,ifwe'relookingatpreventingablackout,
we'relookingatpreventing15millionpeoplefromgoingintoablackout,soit'sprettyimportanttoconsiderthesocialaspectofit.In
someresearchtherecanbescopefornegativeimpacts,but,Ithink,intermsofourproject,it'spurelypositive.Intermsofexplaining
theresearchthatwedotothepublic,Ithink,forthisone,it'slessimportant,becausethebenefitsarepurelyforthem,thatifyou
canswitchthelighton,thatthelightwillcomeon.Thereisothersuchresearch,windturbines,wherepeopledon'twantwind
turbinesintheirarea,soIthinkresearchsuchasthatneedstoinformthepublic,butifthere'sanynegativeaspects,theyhavetobe
involved.
SitWingYee,PhDstudent(MachineLearning),NanyangTechnologicalUniversity:Withinmyarea,actually,it'snotadirect
application,sotheimpactisprobablynotveryobvious,but,inthefirstplacethemotivationbehindourresearchshouldbeasocial
contributioninsomeway.So,withthatinmind,Ithink,actuallyweareconsideringtheimpactonthesociety.
Dr.DnalO'Mathna,SeniorLecturerinEthics,DecisionMaking&Evidence,DublinCityUniversity:Publicaccountabilityis
animportantaspectofresearch,Ibelieve.Ithinkwhenyouthinkaboutthefactthatmany,mostofthehealthresearchfunding,or
fundingingeneral,comes,toonedegreeoranother,frompublicfunds,thenIthinkweneedtobelettingthepublicknowwhatitis
thatwe'redoingwiththosefunds.Butthenalsohelpingthemtobenefitfromtheresults,sothattheideaofjustgettingthefunding
anddoingtheprojectandleavingittositinafilingcabinetreallyisnottakingappropriateresponsibilityfortheinvestmentthat's
beengivenintotheprojectandtheresearcher.SoIthinkfindingwaystobringourresultsoutintothepublicisreallyappropriate.I
thinkhavingresearchersinteractwiththepublicintermsofthemedia,intermsofpossiblywritingcolumnsfromtimetotimefor
newspapers,asopposedtopeerreviewedpublicationsallthetime,thatthat'sawaytoshowwhatresearchisdoing,andtoshow
howpeoplecanbenefitfromtheresult.
Dr.AndrewRawnsley,ExecutiveCommittee,UKCouncilforGraduateEducation:Therearelotsofpressuresonresearchers
tothinkaboutthewayinwhichtheirresearchisgoingtohaveanimpactonsociety.Thathasrecentlybeendefinedalmostsolelyin
termsofeconomicimpact,butthepotentialimpactsofresearchareobviouslyfarbroaderthansimplyeconomicones.Ialsothinkit's
importantnottotakeitasthat'stheonlyreasontothinkaboutsocialmattersandsocialissues.Ontheotherhand,therearelotsof
peoplewhothinkthatresearchshoulddirectlyaddresssocialissues.Someofthoseissueswouldbeoneswhichnoteveryoneagrees
with.Sothedangerwiththinkingaboutsocialresponsibilityistwofold.Eitherit'snarrowlydefinedineconomicterms,orit'sdefined
inwhatyoumightcallpoliticalterms,bothofwhicharetoonarrowortoocontentioustobesomethingthatmostresearcherscan
dealwith.
Dr.LorelleMeadows,AssistantDeanofAcademicPrograms,CollegeofEngineering,UniversityofMichigan:Ipersonally
sethighstandardsforintegrityinresearch,becauseresearcherscarrywiththemaresponsibilitytosocietythatistherebecause
researchersarespeciallytrainedtocarryouttheworkthattheydo,andtheydothisonbehalfofsociety.SoifIdon'thavehigh
integrityinwhatIdo,thenI'merodingthetrustthatsocietyhasintheresearchthat'sdone.
Dr.SofiaMerajver,Director,CenterforGlobalHealth,UniversityofMichigan:AsIworkaroundtheworld,Icannotimaginea
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Introduction
betterweaponthanresearchtocreatepeace,understandingbetweenpeoples,andimprovethehumancondition.Whathas
surprisedmehasbeenthatitisveryeasilyunderstandablebyfolksfromallwalksoflife,inallsocieties.
Mediaends
WhenshouldIspeakup?
Considerthemuchdiscussedissueofclimatechange.Thereisverysubstantialbutnotunanimousagreementamongst
researchersthathumanactivityiscausingclimatechangeandthusdrivingclimatechange.Therearesomeindividualsoutside
research,(i.e.somepoliticiansandmembersofthepublic)whodon'tbelievewhatresearchersaresaying,ordon'tfeelthatclimate
changesposesanylongtermthreattohumanwellbeing.Theexchangebetweenthesegroupscalledthe'climatechangedebate'.It
involvesresearchersinalmostallfieldsofstudybecauseitposesinterestingquestionsaboutbothourplanetandourselves.
Howcouldthisdebateaffectyou,thehonestandresponsibleresearcher?Considerthefollowingquestionsanddecidewhatyou
thinkresearchersshoulddoineachsituation.Thinkabouthowyourpeersmightrespondtothesequestions.
Question1of3
Ifyourresearchsupportstheviewthathumanactivityiscausingclimatechange,shouldyoutakespecialstepstomakesureit
receivesbroadpubliccoverage,suchasbyissuingapressreleaseorgivinginterviews,afteryouhavepublishedyourworkinapeer
reviewedjournal?
Question2of3
Ifyouareworkingonresearchthatcouldberelevanttotheclimatechangedebatebutyouhavenotyourselflookedintothe
connections,giventhepotentialimportanceofthistopic,doyouhaveanyobligationstostudythisissue?Youmightbeabletomake
acontributiontotheclimatechangedebatebutatthesametimedoingsomightgetyouinvolvedinacontroversythatdoesnot
interestyouandmightevendetractfromyourrealinterests.
Question3of3
Whateversideyouareoninpublicdebates,shouldyougooutofyourwaytounderminetheotherside'sargumentsandroleinthe
debate,ratherthanjustlettingyourresearchspeakforitself?
Thesearenoteasyquestionstoanswerandclearlyviewswilldifferontheresponsibilitiesresearchershavewhenengagingwiththe
public.Thereare,however,someimportantprinciplesandguidelinesyoushouldfollowwhenconsideringsuchissues.Thesewill
formthesubjectofthismodule,whichgivesageneralintroductionto:
Theresponsibilitiesyouhavewhenyouhaveanopportunitytoactivelysupportoradvocateforyourresearch,ortoactively
supportoradvocatefororagainstotherresearch
Theimportantbutdifficultissueofyouroverallresponsibilitiestosociety,particularlywhenitcomestoputtingresearchto
workforoverarchingcommongoods.
Optionalactivity
Duration:60minutes
Whencarryingoutyourownresearch,talktocolleaguesinordertoreviewyourdepartment'srelationshipwiththepublic:
Whatpublicfundingdoyoureceiveandwhatimplicationsdoesthishave?
Whatengagementwiththepublicareyoucurrentlyawareoftakingplaceinyourdepartment(e.g.publicity,media
interviews)?
Makeanoteofwhatyoufindandbuildonthesenotesasyouworkthroughthemodule.
Usefullinks
RCUKConcordatforEngagingthePublicwithResearch:www.rcuk.ac.uk/per/Pages/Concordat.aspx
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Advocacy
Advocacy
TIME:7MINS
Screenchallenge
Societysupportsresearchbecauseitcanbeusefulformakingdecisions.Asaresearcher,shouldyouhelpsocietymakethose
decisionsbyurgingparticularcoursesofaction?
Researchprovidesinformation,butnotguidanceonwhatshouldbedonewiththatinformation.Forexample,evenifallresearchers
agreedthatresearchprovesthathumanactivityiscausingclimatechange,therewouldstillbe(andindeedare)differentoptionsfor
howsocietyshouldrespondtothisinformation.Climatechangemightbeseenasaloomingdisasterthathastobeconfrontedoras
anopportunityforchangingthewayweusetheearth'sresources.Similarly,therearethosewhobelievethatnanotechnologywill
leadtotheearthbeingcoveredbya'greygloop'.
Astheprofessionalswhogeneratenewknowledge,researchersareobviouslyinapositiontohelpsocietymakedecisionsabouthow
toputresearchinformationtowork.However,theycanalsousetheirpositiontoencouragedecisionsthatmight:
Benefitthempersonally
Promoteaparticularschoolofthoughtwhichtheyfeelisimportant
Urgesocietytosupportresearchoverotherpriorities.
Andtheycanusetheprestigetheyhaveasresearcherstourgecoursesofaction,eveniftheyhavenoparticularexpertisewith
regardtotheseactions.
Thereiscurrentlyverylittleguidanceontheresponsibilitiesresearchershavewhentheymovebeyondreportingorexplainingto
urgingparticularcoursesofaction.Thissectionofferssomeguidanceonthistopic,withtheunderstandingthatmostresearch
professionalsarejustbeginningtorecognisetheimportanceofthistopic.
Whatisadvocacy?
Researchersbecomeadvocateswhentheygivepublicsupporttoacauseorpolicyorurgeaparticularcourseofactiontobetaken.
Thekeydistinctionhereisurgingorrecommending(ratherthanreportingandinterpreting)asaresearcherorprofessionalexpert
(ratherthanjustasanormalcitizen).
Nowtestyourabilitytomakethisdistinctionbydecidingwhetherthefollowingactionsareexamplesofadvocacyornot.
Item1of6
Yourpersonalwebsite,onwhichyourrealnameandanextensivelistofpertinentpublicationsintechnologyishighlyvisible,includes
astatementarguingformoretransparencyinthepoliticalprocessandsupportforthereformingagendaofaparticularpoliticalparty.
Ourthoughts:
Thiswouldbeconsideredaformofadvocacy.
Item2of6
YougiveTVinterviewsinyourcapacityasanexpertinenvironmentalengineeringinwhichyouspeakabouta'conspiracyof
debunkerswithinclimatechangescience'andtheeffectthishasoneffectivepolicymakingandpublicopinion.
Ourthoughts:
Item3of6
Yougiveanewspaperinterviewinwhichyouspeakaboutthepotentialforyourresearchtobeusedaspartofbetteranalysisof
futuretrendsinpublicpolicydecisionmakingregardingalternativeenergysources.
Ourthoughts:
Thiswouldnotbeconsideredaformofadvocacy.
Item4of6
Youwritearegularandwellreadblogusingapseudonyminwhichyouargueforchangestobemadetothenationalhealthsystem.
Yourresearchexpertiseisinhealthcareengineering,butyoudon'tdiscussyourresearchanywhereontheblog.
Ourthoughts:
Item5of6
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Asafamousnuclearengineerandphysicistwithspecialistexpertiseinquantummechanicsyoucontributeregularlytowellpublicised
debatesoneuthanasia,arguingforcefullyagainstreligiousviews.
Ourthoughts:
Item6of6
Youpublishapaperinwhichyouengagecriticallywiththewayinwhichtechnologiesdevelopedinyourfieldhaverecentlybeen
usedfornationalsecurityapplications.
Ourthoughts:
Feedback:
Thekeytothisexerciseistodecidewhetheryourcommunicationsareperceivedandunderstoodassimplyreportingandclarifying
whatyouknowasaresearcher,ratherthanurgingaparticularcourseofaction.Thetrickyexampleinvolvingpseudonymous
commentsisnotadvocacybecausereaderswouldnotlinktheargumenttoresearchanditwouldappearmerelyastheopinionofa
blogger.
Themoreexperienceyouhaveasaresearcher,themoreopportunitiesyouarelikelytohavetohelpsocietymakedecisionsabout
thebestuseofresearchfindings.Thisisanimportantroleforresearchers,butitmustbeundertakenresponsibly,asthenextsection
explains.
Whycanadvocacypresentproblems?
Whensocietyturnstoresearchersforadvice,itisseekingexpertise.Researchisrelieduponinpublicdecisionmakingasasourceof
objectiveorunbiasedinformation.Researchisnot,ofcourse,totallyvaluefree,butthefactthatituseswelltestedmethodsandis
drivenbydatamakesitausefulfoundationformakingdecisionsthataffectthepublic.Problemsarisewhenadvocacyimproperly
influencesordistortstheadviceresearchers,asexperts,providebybiasingtheirconclusions,influencingtheirresearchdesignor
leadingthemtomakecommentsbeyondthefocusoftheirexpertise.
Whenresearchersprovideadvice,itisimportantthattheylimitthisadvicetotheirareaofexpertiseormakeexplicitwhentheir
adviceisnotbasedontheirexpertise.Researchersare,ofcourse,freetoofferadviceoropinionsonanysubjectasaprivate
individuallikeeveryoneelse,theyarecitizenswiththerighttoavoice.However,whenspeakingasorrecognisedasaresearch
professional,theyshouldlimittheiradvocacytotheirfieldofexpertise.
Inthefollowingsection,youwilllearnmoreaboutanexampleofinappropriateadvocacy.
Whathappened?
Anengineerengagedinresearchonalternativeenergywritesacolumnforalocalnewspaperadvocatingwindenergydevelopment
asameansofimprovingtheeconomyandreducingdependenceonfossilfuels.Hewritesabouthisfindingswhichshowlocationsin
theregionthatarewellsuitedtowindenergydevelopment.Headvocatestheimplementationofaproposedlargescalewindenergy
systeminoneoftheseregions.Thecolumnispickedupbyalocalnewspaperintheareaandtheresearcher'scolumnaddstothe
growingdebate.
Whywasintegritycompromised?
Whileitisadmirabletoinvestexpertiseandenergyinresearchingsolutionstopressingglobalproblems,suchasalternativestonon
renewableresources,itisimportantforresearcherstoconsiderthebroaderimplicationsoftheirfindings,consideringconsequences
thatlieoutsidetherealmofpureengineering.Forexample,researchmayhaveenvironmental,socialoreconomicimplications.
Whatweretheconsequences?
Thepropertyownersintheregionwherethewindenergyprojecthasbeenproposedhavebeenstrugglingtoagreeonthe
appropriateextentofdevelopment.Thelanduseregulationsintheregionarehistoricallysuitedtoagriculturaluse,andarenot
designedtomanageindustrialdevelopmentofthismagnitude.Inaddition,overthepastdecades,theregionhasbeenundergoinga
transitionfromagriculturaltomixeduse,includingrecreationandtourism.Researchontheenvironmental,economicandsocial
impactsofwindenergydevelopmentlagsbehindthetechnologicalresearchanddevelopment.Asaresult,thisproposed
developmenthasbroughtrealcontroversytotheregion.
Theboundariesofexpertisearenotalwayseasilydrawn.Whenmisconductwasfirstrecognisedasaprobleminresearchoverthree
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Advocacy
decadesago,manyresearcherseagerlytestifiedthatitrarelyoccurredandthatgovernmentthereforedidnotneedtoestablish
specialpoliciestodealwithit.Unfortunately,theresearcherswhoprovidedadviceonhowtorespondwerenotexpertson
misbehaviourinresearch.Asaresult,governmentsoonfeltthatithadbeenpoorlyadvisedandimposednewregulations.Doing
researchdoesnotmakeyouoranyotherresearcheranexpertonresearchbehaviour,orindeedonresearchfunding(anothertopic
onwhichresearcherstendwillinglytoofferguidance).
Simplerulesforresponsibleadvocacy
Thefollowingchecklistgivesasimplesetofprinciplesforresponsibleadvocacy.
Describethebestavailablepolicyrelevantresearchaccurately
Expresscautionifanyuncertaintyremainsintheresearch
Stipulatethatanyrecommendationswillneedrevisingifnewresultsdemandit
Presentyourargumentclearlyonthebasisoftheresearchonly
Explicitlyacknowledgeanypersonalvaluesthatmayinfluenceyourrecommendations
Avoidexaggerationofwhatisatstake
Letothersknowwhenthepositionsyouareadvocatingarefirmlygroundedonyourexpertise
Ifyoueverdofindyourselfgivingapersonalopinion,identifyitassuch(e.g."Inmyopinion")
Declareanyfinancialorcontractuallinkstodemonstratehonestyandtransparency
Source:AdaptedfromMeyeretal(2009).UsedwithpermissionofEcologicalSocietyofAmerica.
ReferenceMeyeretal(2009)
Meyer,J.L.,Frumhoff,P.C.,Hamburg,S.P.,anddelaRosa,C.(2010)'Abovethedinbutinthefray:environmentalscientists
aseffectiveadvocates',inFrontiersinEcologyandtheEnvironment8(6):pp.299305.
Failuretoabidebytheseprinciplescoulddamageyourreputationasaresearcher.Ifyouareseenasmorepartisanthanobjective,
yourvoiceinpublicdiscussionswillbeweakened.Andmixingexpertisewithadvocacyunderminesthereputationofresearchfor
providingreliableandrelativelyunbiasedinformation.
Keyterms
Advocacy:Givingpublicsupporttoacauseorpolicy,orurgingthataparticularcourseofactionbetaken.
Yourcontext
Someinstitutionsprovidepoliciesandadviceonwhattypeofissueresearchersmayadvocatefor.Findoutwhetheryoursis
oneofthem.Inaddition,ifyouarecalleduponasanexpertwitnessinacourtcase,yourinstitutionshouldbeabletoprovide
youwithguidanceonthis.
Quotation
Ifyouchoosetoadvocateyourpersonalpolicypreferences,makeitcleartoeveryoneinvolvedthatyouhavesteppedoutofa
scientificroleandintotheroleofpolicyadvocate.Playingtheroleofpolicyadvocate,beawarethatyourvaluesandpreferences
inherentlyarenomore(orless)importantthanotherparticipants'inthepolicydebate.Todootherwiseistocorruptboththepolitical
processandscientificenterprise.
Lackey,R.T.(2007)'Science,scientists,andpolicyadvocacy',inConservationBiology21(1):pp.1217.
Questiontoconsider:
Haveyoueverbeenaskedtorecommendapolicyorcommentonpublicissuesbaseduponyourresearch?
Considerhowyoumightgoaboutclarifyingyourexpertiseandyourpersonalopinioninfollowingthisadvice.
Howmightyouachievethisinthekindofresearchthatyoudo?
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Screenchallenge
Whatisyourviewonadvocacyandhowdoesitcomparewithothers'?
Thesubjectofadvocacyinresearchisacomplexandsometimescontroversialone.Howdoesitrelatetoyourparticularresearch
context,andhowdoyourviewscomparewiththoseofotherresearchers?Inthefollowingvideotranscript,some(bynow)familiar
facessharingtheiropinionsonsomeofthechallengingquestionsthatadvocacyposes.
MediaVideo
Dowehaveanethicalobligationtoactasadvocates?
Dr.DavidHunter,TeachingFellow,UniversityofBirminghamJointEditor,'ResearchEthics':Youmightthinkthatthere'sa
kindofethicalobligationtobeanadvocate,ifyouknowsomethinginparticularifyouknowsomethingthatwouldmakea
differencetopeople'slives,youthink,perhapsyou'vegotaresponsibilitytopublicisethat,andifpeoplearen'tgettingonboard,to
kindoftryandpushit.Ithinkthat'sanattractiveview.I'mnotsureit'sentirelyright.Iguessmyreasonforthinkingit'snotentirely
rightisthat,ofcourse,ifwhatyou'retalkingaboutistheresultofonestudy,onestudytellsyousomething,butnotnecessarilythat
much.Sothequalityoftheevidencethatyoumightbepushingonisprobablynotasstrongasyouwouldhopethatitwouldbe
beforeyou'regoingtotryandcreatesocialchange,orchangeinpractice,invariousways.SoItendtothinkthestrongerthe
evidence,thestrongertheobligationtothinkaboutbeinganadvocate.
ProfessorJanuszBialek,ResearchDirector,SchoolofEngineeringandComputingSciences,DurhamUniversity:Itisour
dutiesasresearcherstoservesocietyandtoofferpublicadvice,whichmeansthatweshouldn'tshyawayfromadvisingpeople,and
also,forexample,workingwithjournalists.Again,thesituationcomestomymind,whenafriendofminewasaskedbyajournalist
tocommentonapieceofresearchhehasdone,andhecommentedonit,andthenitwasmisrepresentedinthepaper.Sohewas
veryupsetaboutit,andhesaid,'Oh,Iwillnever,evertalktojournalists,becausetheymisrepresentwhatIsay.'Ithinkit'sthewrong
attitude,becausewecommunicatewiththepopulationviajournalists,sobasicallyit'sourdutytocommunicatewhatwedoproperly,
andifsomeofthemmisrepresent,well,that'sveryunfortunate,butweshouldn'tcutourselvesoutfromthepublicdebate,because
it'sveryimportant.Ifwedonotadvise,asexperts,society,thepoliticians,thegeneralpublic,aboutthemostimportantissuesfacing
thepopulation,facingthesociety,thenwhowill?Thencharlatanswithnoknowledgewillprevail,andtheresultswillbedisastrous.
Dr.RichardSmith,BoardMember,UKResearchIntegrityOffice:Ithinktherecanbeaconflictbetweendoinggoodscienceand
beinganadvocate,andIthinkespeciallyofRichardDoll,whowasaveryfamousresearcher,whowasoneofthepeoplewho
discoveredtheconnectionbetweensmokingandlungcancer,andheusedtosay,'Iprovidetheevidence.Ishowthatsmokingis
harmful.It'snotformetoadvocatepoliciestodosomethingaboutsmoking.'Buthissortofimmediatedescendant,SirRichard
Peto,anotherverydistinguishedresearcher,takes,Ithink,reallyquiteadifferentline,andsays,'Whatisthepointinme
demonstratinghowharmfulsmokingis,ifnobodyeverpaysanyattention,ornobodydoesanything?'SoIthinkthereisalegitimate
debatethere,andclearlyifyoubecomesuchanadvocatethatyou'dbewillingtopolluteyourscience,orbiasyourscience,inorder
tocomeupwithresultsthatadvancethecause,thenclearlysomething'sgoneverybadlywrong.ButgenerallyIwouldsaythatI
thinkscientistsincertainsetsofcircumstanceslikethoseofsmokingshouldbeadvocatesaswell.
Whataretherisksofirresponsibleadvocacy?
TonyMayer,EuropeRepresentative,NanyangTechnologicalUniversity:Aresearcher,whentheystarttospeakpublicly
outside,tothepublic,asdistinctfromtheircolleaguesintheirresearcharea,havetobeawarethattheirwordsmaybe
misinterpreted,maybemisquotedbyjournalistsinthepress,oreventhedangersthattheresearcherthemselvesmayexpose
themselvestolitigation.
JohnHull,PartnerandHeadofIntellectualProperty,MemeryCrystalLLPLondon:Theideathatyoushouldstepoutsidethat
sphereofexpertiseandcomfortthatyou'vegotandbegintoactasanadvocateforaparticularcauseseemstomeparticularly
dangerous,becausethedanger,Ithinkisthatyou'llbehelduptothecourtofpublicopinion,evenifnottoacourtoflaw.People
areapttoforgetthatthereisalargeindustryoutthereofinvestigatorsandresearcherswholookverycarefullyatthebackgroundof
theindividualconcernedsteppingoutsideofhiszoneofexpertise,andperhapsholdhimuptoagooddealofsearching,nottosay
ridicule,inextremecases.
ProfessorJanuszBialek:Inmyarea,whichisenergy,it'saverybigimpactatthemoment.Energyisoneofthemainproblems
facingmankind,duetoglobalwarming,duetoshortagesofgasandoil,andtheswitchtorenewableenergy.Sowhateverwedoin
researchcanbeseenbyoneoftheconflictinglobbyinggroupstobesupportingtheirarguments,andit'squiteoftenI'vebeen
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approachedbylobbyinggroupstojointhem,tosupporttheircampaignforthisandthat,andyouhavetobeverycarefulaboutthose
things.OnceIwasinvitedbymyfriendstojointheboardofoneofthelobbyinggroups,whichwasperceivedtobeantiwindgroup,
rightlyorwrongly,andIrefused,becauseIdidn'twanttobeperceivedasalobbyist.Asanacademic,forme,thegreatestvaluefor
meisbeinganindependentacademic.OnoneissueIcouldbewihthem,andontheotherIcouldbewithoutthem.Icannotbe
seen,perceived,rightlyorwrongly,aspursuingtheinterestsofonelobbyinggroup.
Howcanresearchersmakesurethattheyadvocateresponsibly?
Dr.KarenMelham,ResearcherinEthics,UniversityofOxford:Ithinkit'simportantforresearcherstoremembertheirareaof
expertise,andthatthatisonepartoftheirlife,sothey'rescientists,butthey'realsomembersofsociety.They'realsoclinicians,
parents,patientsthemselves,andrecognisingwheretheirpointofexpertisefitsinthislargercivilenvelope.It'salsoimportantto
knowhowfarthatexpertiseextends,sothatyoudon'tgobeyondthatareaintoadvocacy,orrecognisewhenyougointoadvocacy,
thatyou'resteppingoutofresearch,andtakingonanotherrole.Ithinkalotofthedifficultiesarisethroughtheelidingorconfusionof
roles.
Ithinkit'simportanttorememberthepowerthatyourwordswillhaveandthepowerthatyourpositionwillhave,whetheryouintend
ittoornot,thatifyoucomeasaresearcher,butyoukeepsaying,'Oh,I'mjustsayingthisasamemberofthepublic',thatmessage
mightnotbeheard.Youneedtobeclearaboutthepossibleimplicationsofwhatyousay,howitmaybetakenonbythemedia.
ThisiswhereaUniversitypressofficeormediaofficeofyourinstitutioncanbeveryusefulinhelpingyoucraftyourmessageina
waythatitwillbepickedupmostresponsibly.
Dr.AndrewRawnsley,ExecutiveCommittee,UKCouncilforGraduateEducation:Thedevelopmentoftheneedfor
researcherstostepintothepublicdomainandadvocatefororagainstparticularpositions,baseduponresearchthat'sbeen
conductedbythemortheircolleagues,issomethingthat'snotbeenthoughtcarefullyaboutbyalotofpeoplewhoworkinresearch.
It'sclearthatalotofpeoplefindithardtomakethedistinctionbetweenacceptableandnonacceptableformsofadvocacy,andI
thinkit'simportanttothinkaboutthedifferentwaysinwhichresearchersbecomeauthority,haveavoiceofauthorityforthepublic.
Asamemberofthepublic,Iexpectsomeonewhoisanexpertinafieldtospeakwithinthatexpertise,becausethat'sthewayIcan
dependuponwhattheytellme.Assoonasthatexpertisegoesoverintoareaswheretheymayhaveanopinion,butnotexpertise,
thenthereisadanger.I'dratherrelyonsomeonewhohasanexpertiseintheareawhichI'vebeenrecommendedtofollow.IfI'm
givenadvice,Iexpectittobedonefromapositionofexpertise.Sothedifficulty,Ithink,forresearchers,whomaybetemptedto
stepacrossthatboundarybetweenexpertiseandnonexpertise,becausetheyfeelpassionatelyaboutsomethingthattheywantto
support,it'sthinkingabouthowyouwouldfeelaboutthatifyouwereonthereceivingendofthatadvicefromsomeonewhoyouthen
subsequentlyfoundoutwasnotanexpertinthatfield.
Dr.DanieleFanelli,ResearchFellow,TheUniversityofEdinburgh:Theprinciplehereisthatvaluesshould,becausetheycan,
beseparatedfromfacts.So,asascientist,youwillobviouslyhaveyourownopinionsandexpectationsandbeliefs,andthere's
nothingwrongifyouthentakealsotheroleof,again,advocatingfortheminthepublicsphere.Theimportantthingisthatyoumake
clearthatinthatparticularroleyou'retalking,possiblyasanexpertinthefield,butit'snotsciencethatisansweringthatquestion,
it'saparticularpolitical,philosophicalorethicalposition,informedbyscientificdata.Andotherpeople,withdifferentopinionsand
differentvaluescould,basedonthesamedata,reachdifferentconclusions.Again,it'sallinthenameoftransparency.Themore
youmakeclear,andthemoreyou'reabletoseparateyourroleasafactproducerfromyourroleasacitizenandasanintelligent
personwhohasavoiceandusesit,themoreanypossibleproblemandconfusionisavoided.
Mediaends
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Responsibilitytosociety
TIME:7MINS
Screenchallenge
Mustresearcherssharetheirresearchresultswiththepublic?Istheresomeresearchthatshouldnotbeallowed?
Weendthiscoursebyreturningtothedifficultbutvitallyimportantsubjectoftheresearcher'srelationshipwiththepublic,focusing
ontwooverarchingquestions:
1.Doyouhaveanobligationtoshareyourresultsandconclusionswiththepublicandhelpputyourresearchtowork?
2.Regardlessofhowinterestedyoumightbeinaparticulartopic,istheresomeresearchthatsimplyshouldnotbeundertaken?
Theaimistogetyouthinkingaboutyourresponsibilitiestowardsandyourrelationshipwithsocietymorebroadly.Wementionafew
policiesthatwillshapethisrelationship,butitisonethatprovokesdiscussionandsomedisagreementbetweenresearchers.You
shoulddiscusstheissuesopenlywithyourresearchcolleaguesaswellaswiththosewhoarenotengagedinresearch.
Workingwithandforthepublic
Sincemostdecisionsabouthowresearchwillbeusedaremadebythepublicandbypublicbodiessuchasgovernmentagencies,
researchershaveanobligationtomaketheirworkaccessible.Indeed,aswesawearlier,forsomeresearchthisisaformal
requirement.Evenwhennotformallyrequired,researchersaregenerallyencouragedtopublishandshareresultswiththepublic,and
todosoresponsibly,asdiscussedinthepriorsectiononadvocacy.
Sharingandengagingwiththepublicisnot,however,aseasyasonemightexpect.Toillustratethis,wewilltakeanapparently
simplequestionrelatingtopublication:whenyoupublishyourwork,willyouhelpthepublictointerpretitorlettheminterpretitin
theirownway?
Ifyouhelpthepublictointerpret...
Yourworkmightbeaccepted.Policiesmightthenbebasedonyourresearch.Dependingonhowthesepoliciesarereceived,
youmightbecomeapublicheroor,attheoppositeextreme,youmightfindyourselfbeingsued!
Ontheotherhand,yourworkmightbequestionedand,forexample,peoplemayasktoseetheoriginaldata.Youwillthen
havetoprovidethosedata,orriskhavingyourworkrejected.
Ifyouletthepublicinterpret...
Yourworkmightbemisinterpreted.Inordertocorrectthismisinterpretationyoumightthenfeelitisnecessarytoeducate
thepublicaboutyourresearch.Otherwise,youcouldfeelthatyourtimeandfindingshavebeenwasted.
Yourworkmightbeignored.Theriskthenisthatyourresearchwillhavenoimpactonthepublicatall,unlessyoutakeit
uponyourselftopromoteyourresearchinthepublicdomainbybecominganadvocate.
Fromthisexample,whateverpositionyoutakeregardingpubliccommunication,itcanpotentiallyleadtocomplicationsandfurther
decisions.Inonewayoranother,youcouldbedrawnintopublicdiscussionandthereforeshouldbeprepared.Tofindoutwhatyou
candotoprepare,consideringthevariousoptionsinthefollowinglist.
Promotescientificandresearchliteracy.
Beawareofliabilitiesandlegalresponsibilities.
Understandthebenefitsandlimitsofacademicfreedom.
Beawareofthebroaderimpactsofyourresearch.
Bepreparedtogiveacoherentaccountofdecisionsyoumake,particularlywhenworkingincontroversialareasofresearch.
Asaresearcher,youbenefitinmanywaysfromthesupport(bothfinancialandotherwise)thatthepublicprovidesforresearchand
itsbroadendorsementofthevalueofresearch.Thesebenefitscomewithresponsibilitiestoengageandworkwiththepublicin
puttingresearchtowork.Theseresponsibilitiesareimportant,sometimescontroversialandnotalwayseasytodefine.Spendtime
talkingaboutthemwithcolleaguesandthepublicsothatyouarebetterpreparedwhendifficultsituationsarise.
Workingforthepublicgood
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Workingforthepublicgood
Itiswidely,butnotuniversally,agreedthatresearchersshouldconsiderthebroaderimpactoftheirworkatallstagesoftheresearch
processfromchoosingwhichareastoresearchthroughtocommunicatingtheirfindings.IntheUK,fundingbodiesuse'impact'as
criteriaforsupportingresearch.Thatisnottosaythattheresearchshouldreachanyparticularconclusion.Itmeansthatresearchers
mustthinkaboutthewaysinwhichtheoutcomesofresearchmightbeusedandtheeffectonthepublic.Thisrequiresplanningand
thinkingahead.
Makingdecisionsaboutpublicgoodiscomplicatedbythefactthatsomeresearchhasthepotentialtobeusedbothpositivelyand
negatively.Researchthatfallsintothisareaissometimesreferredtoas'dualuse'research.Dualuseresearchismostoften
identifiedwiththeareaoflifesciences,butitcanbefoundinalmostanydiscipline.Onerelativelycommonexamplefoundin
engineeringisexportcontrol.
Considerthefollowingdescriptionsofpiecesofresearch.Ineachcase,trytothinkofbothapositiveandanegativeuse,thenmove
ontoourownsuggestions.
Item1of5
Researchintowaysofincreasingtheproductivityofnuclearreactors
Ourthoughts:
Positiveuse:Potentialtoboostprovisionofelectricitytocities
Negativeuse:Productionoffissilebyproductswhichcouldbeusedinthedevelopmentofnuclearweaponry
Item2of5
Nanotechnologicaldevicesforbodilyimplantthatcancommunicatewithremotesoftwareapplications
Ourthoughts:
Positiveuse:Preventionanddiagnosisofmedicalconditions
Negativeuse:Covertsurveillanceandtrackingunanticipatedhealthimpacts
Item3of5
Pharmaceuticalagentsthathaveamorerapideffectonthebody
Ourthoughts:
Positiveuse:Fastactingdrugs
Negativeuse:Applicationtobiologicalwarfare
Item4of5
Newdesignofheatshieldsleadingtoadvancesinrockettechnology
Ourthoughts:
Positiveuse:Increasedpotentialforsafespaceexploration
Negativeuse:Applicationtomissiletechnology
Item5of5
Extensivecriticalanalysisofdatagatheredfromarangeofexemployeesofallsenioritiesofalargetelecommunicationscompany
withahistoryofmismanagement
Ourthoughts:
Positiveuse:Potentialsolutionstomanagementandbusinessproblemsinthefuture
Negativeuse:Disclosureofsensitiveinformationtocompetitors,commercialespionage,reputationaldamage
Whenresearchhaspotentialharmsaswellaspotentialbenefits,howcan/shouldthepublicbeprotectedfromtheharms?Thisissue
isnowwidelydiscussedinrelationtoresearchthatcouldaidterrorism.Checkthe'Usefullinks'boxattheendofthissectionifyou
wouldliketoknowmoreonthistopicandreviewsomeoftheproposalsunderreviewforregulationinthisarea.
Controversialandforbiddenresearch
Thisbringsusbacktothequestionweposedattheoutset:issomeresearchsounethicalorpotentiallydangerousthatitshouldnot
beundertaken?Currently,forexample,itiswidelyagreedthatresearchersshouldnotattempttoclonehumans,butresearchon
cloningmakescloninghumansmorepossible.Whereshouldthelinesbedrawninthisresearcharea?
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Asimilarcasecouldbetheminiaturisationofcontrolsystemsanddevelopmentofautonomousvehicles(alreadyinusebythe
militaryinairborneandbattlefielddrones),whichraiseimportantethicalissues.Forexample,thissametechnologyinthehandsof
terroristscouldposearisktosocietyandindeed,useofthedronesforsurveillanceofindividualsraisesmanyquestionsrelatingto
humanrightsandprivacy.
Respondtothefollowingtwoquestionsaboutpublicprotectionandcontroversialorforbiddenresearch.Howdoyouthinkyour
answersmightcomparetothoseofyourpeers?
Question1of2
Shouldthepublicbeprotectedfrompotentiallyharmfulusesofresearchand,ifso,whoisresponsibleforurgingthatprotectionsbe
putinplace?
Answeroptions
Yes,anditismyresponsibilitytourge(advocate)thatthoseprotectionsbeputinplace
Yes,butIcanonlydothisincollaborationwiththosewhohaveexpertiseinprotectionofthepublic
No,publicprotectionshouldbetheresponsibilityofpolicymakersandagencies,notresearchers
No,researchshouldnotbeconstrainedatallbytheneedtoprotectthepublic
Question2of2
Doyouthinkthattherearesomeareasofresearchthatshouldbeforbidden?
Yes,becausenotallresearchcanbedoneethicallyandassuchshouldbeforbidden
Yes,butonlyforaslongastherearerealrisksthatcouldnotbecontrolled
No,researchshouldbedoneandthenthepossibleethicalproblemsresolvedlater
No,becauseforbiddinganykindofresearchdeniesresearchersacademicfreedom
Moderationandcarefulconsiderationofthecomplexityinvolvedisthekeytothesedifficultandcontentiousquestions.Researchers
areunlikelytohavesufficientexpertiseorcompetencyinassessingcomplexethicalissuestotakefullresponsibilityforpublic
protection,butacademicfreedomisnotanadequatereasontoabandonresponsibilityentirely.Givingproperconsiderationtohow
yourresearchmaybeusedandtothebenefitsandrisksofconductingcontroversialresearchissomethingthatresearcherscanand
shouldtakeresponsibilityfor,intandemwiththosewhohaveexpertiseinassessingmajorrisksandinbroaderethicalissues.
Keyterms
Dualuse:Theinherentpotentialforresearchtoproducenewknowledgethatcanbemisusedinharmfulways.
Dualuseresearchofconcern:Researchthathasthehighestpotentialforproducingknowledgethatcouldbemisusedtothreaten
publichealthornationalsecurity.
Academicfreedom:Theprinciplethatacademicworkshouldbefreefromfactorsexternaltoacademicpracticewhichseektolimit
thescopeofresearchorscholarshipordeterminewhatthesubjectofresearchorscholarshipshouldbe.
RIinpractice
Inthefollowingvideotranscript,someexpertssharetheirviewsonthesubjectofdualuseresearch.
MediaVideo
Dualuse:Someexpertviews
Dr.DavidHunter,TeachingFellow,UniversityofBirminghamJointEditor,'ResearchEthics':There'salotofdebate
aboutthedualuseproblemintheethicalliterature.Sothedualuseproblemis,broadlyspeaking,theissuethattheresultsof
researchcouldbeusedforgoodorforill,theycouldbeusedforapervertingusefordarkmeans,sotospeak.It'sdifficultto
knowwhattheresponsibilityofascientistisinregardstothat,becauseofcourselotsofrelativelyinnocuousresearchcouldbe
misusedinvariousdifferentways.Itendtothinkthattheobligationsthatcomefromitareobligations,again,tothinkabout
things,thinkabouthowthingsaregoingtobepublished,thinkabouthowreplicatabletheresearchis,andthinkaboutwhatcan
bedonetopreventmisuseofit,invariousdifferentways.
HealthResearch,UniversityofMichigan:Dualuseisatopicthathasjustrecentlybecomeveryimportantinresearch.Itisa
topicthatbecameimportantbecauseofthepossibilityofmixingbioterrorismwithbasicresearch,inotherwordswenowhave
thetoolswithwhichwecanengineerthesmallpoxvirus,andallofasuddenpeoplewhoweredoingbasicgeneticresearch
realisedtheycouldbedoingasmuchharmasgood.Sothisissueofdualuseresearchhasbecomeenormous.Ialwayskindof
chuckleaboutthatalittlebitasahistorianofscience,becausethedualuseissuehasbeenaroundfordecades,itjusthasn't
beenrecognised.Thereisverylittleresearchthatdoesn'thavedualusestoit,militaryresearchhasalwayshadthatcapacity
andsoon.SoIthinkit'sanimportantissue,Iwishitwereanissuethatwewouldextendtoallresearchandnotjustlookat
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thefewobviousoneslikebioterrorism,anditgetsbacktotheissueofit'sjustsocialresponsibility,dualuseisanaspectof
socialresponsibilitythatweneedtothinkabout.
Dr.AnneWindham,DirectorofResearchOpportunities,BrownUniversity:Idon'tthinkthatthepotentialfordualuseof
researchiscompletelyunderstoodbyfacultymembersoralwaysbytheirinstitutionsaswell,thatafacultymembercan
becomeveryfocusedontheirresearchoutcomesthattheyarelookingforandnotseehowthatresearchmightbeusedina
waythattheywouldconsiderinappropriate.Sowheninvestigatorsarelookingforfundingopportunities,saythey'regeologists
oranthropologistsorarcheologistsworkinginareasoftheworldwhichareofinteresttothemilitary,iftheyacceptmilitary
fundingtheymustrealisethattheirdata,theiroutcomesmightbeutilisedinwaysthattheydon'tfeelareappropriateorthat
theyneverintended.
Mediaends
Usefullinks
International
IAPStatement:http://interacademies.net/10878/13912.aspx
WHOBulletinonthegovernanceofdualuseresearch:www.who.int/bulletin/volumes/87/9/08051383/en/
Europe
ECregulationondualuseitems:http://trade.ec.europa.eu/doclib/docs/2009/june/tradoc_143390.pdf
3TUCentreforEthicsandTechnology'sprojectonbiosecurityanddualuseresearch:
www.ethicsandtechnology.eu/research/projects/biosecurity_and_dual_use_research/
UK
GuidanceonExportofTechnology:www.bis.gov.uk/assets/biscore/eco/docs/exporttechnology.pdf
Antiterrorism,CrimeandSecurityAct:www.legislation.gov.uk/ukpga/2001/24/contents
TheNationalSecurityStrategy:www.direct.gov.uk/nationalsecuritystrategy
GuidelinesfromtheBBSRC,MRCandWellcomeTrust:www.bbsrc.ac.uk/web/FILES/Policies/misuse_of_research_joint.pdf
Ireland
DJEIinformationonExportLicensing:www.djei.ie/trade/export/whats.htm
IRCSETScienceinSociety2010WorkProgramme:www.ircset.ie/Default.aspx?tabid=162
USA
PublicHealthSecurityandBioterrorismPreparednessandResponseAct2002:
www.epa.gov/watersecurity/pubs/security_act.pdf
Yourcontext
Findouttherulesandregulationsthatoperateinyourparticulargeographicalregionsandsubjectdiscipline.
Quotation
Thescientistisalsoacitizenandcitizenswhohaveanyspecialskillhaveapublicdutytosee,asfarastheycan,thattheirskillis
utilizedinaccordancewiththepublicinterest...
Russell,B.(1960)'Thesocialresponsibilitiesofscientists',inScience131:3398:pp.391392.
Questiontoconsider:
Whatdoyouthinkthewritermeansby'thepublicinterest'?Doesthepublicinterestchangeovertime?Isthepublicinterestin2012
thesameasthepublicinterestwasin1960,forexample?
Usefullinks
Studiesofdualuse:
GovernmentpaperontheDualUsedilemma:www.parliament.uk/documents/post/postpn340.pdf
Studyofscientists'concernsaboutforbiddenscience:www.sciencemag.org/content/307/5711/854.summary
Examplesofresearchwithpotentialfordualuse:
Autonomoussystems:www.raeng.org.uk/societygov/engineeringethics/pdf/Autonomous_Systems_Report_09.pdf
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Syntheticbiology:www.bbsrc.ac.uk/organisation/policies/reviews/scientificareas/0806syntheticbiology.aspx
Flustudies:http://news.sciencemag.org/scienceinsider/2011/11/scientistsbraceformediastorm.htmland
www.nature.com/news/mutantfluresearcherbacksdownonplantopublishwithoutpermission1.10514
Brainboosting:www.ox.ac.uk/media/science_blog/brainboosting.html
EpigeumLtd,2012
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2/17/2016
Modulesummary
Modulesummary
TIME:2MINS
Responsibilityinplanning,conductingandreportingresearchisprincipallyamatterofadheringtocertainstandards.
Butwhatprinciplesandstandardscanweextrapolateinrelationtosocialresponsibility?Inthefollowingsection,find
outmoreaboutthetwokeyprinciplesfromthismodule.
Acceptyourlimitations
Whilstyouhaveexpertiseasaresearcher,yourexpertisedoesnotextendasfarasyoumightthink.Onceyoumove
outintosociety,yourexpertisehasashortreach.Youshouldnotspeakoutwearingtheguiseofanexpertonmatters
inwhichyoudonothaveexpertise.
Reflectonwhyyoudoresearch
Reflectingonwhyyoudoresearchaboutwhyyourresearchisimportant,whatitmightbeusedfor,andhowit
affectspeopleallowsyoutokeepaperspectiveonthesocialimplicationsofyourwork.Ifyoudothis,youwillbe
abletodefendthechoicesyoumakeaboutwhatisorisn'tacceptableinsocietyanddosocoherently,evenwhen
peopledisagreewithyou.Thisisfundamentallywhatintegritymeansinthecontextofsocialresponsibility.
Whenpeopledisagreeaboutresearch,appealcanbemadetomethodsandtovalidity.Thisiswhyimpartialityin
researchisvital.Researchersmaybemotivatedtomakeadifferenceinsociety,butresearchshouldavoidbeing
substantiallyinfluencedbydesiredsocialoutcomes,particularlywhenthereisdisagreementaboutwhatthosemight
be.Researchresultsandconclusionsshouldbebasedonprofessionallyacceptedresponsibleresearchpracticesand
methods,notpersonalagendas.
Thedifficultywithsocialresponsibilityisthatpeopledisagreeaboutwhatitis:whatonepersonconsiderssocially
responsible,anothermightconsiderirresponsible.Inthisshiftingandsubjectivelandscape,yourgreatestalliesare
carefulthought,reflectionandtheknowledgethatyoucanexplainhowyourowndecisionsandactionsareinthe
interestsofothers.
Beingresponsibleasaresearcherandasacitizenmeansgivingdueconsiderationtotheimplicationsofwhatyoudo
andtakingresponsibilityforyourrelationshipswithothers.Considerationofthefullrangeoftheserelationshipsispart
ofthebroaderethicallandscapeinwhichresearchissituatedandwhichmakesresearchafundamentallyethical
endeavour.
Ltd,2012
Epigeum
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Application
APPLICATION
Application
TIME:9MINS
Nowisyouropportunitytoapplywhatyouhavelearntonthiscoursetoareallifesituation.Workthroughthe
descriptionand,whenprompted,indicatewhatyouwoulddoandwhy.
You'vejustreceivedsomeexcellentnews.Yourfirstpublicationasleadauthorhasbeenacceptedwithrevisionsbya
leadingjournalinyourfield.Itisthefirstoftwopapersthatyousubmittedtotwodifferentjournals.Theeditorhas
attachedafilecontainingtheanonymousreviewsforyoutoreadandrespondto,priortosubmittingyourfinal
manuscript.You'vesharedthenewswithyourresearchsupervisorandcoauthorandhavesetupameetingtogoover
thereviews.Youdecidetoreadthroughthereviewsbeforethemeetingandyouopenthefirstreview:
"Overallthisworkshowsgoodoriginalityandastrongcontributiontothefield.However,thedescriptionofthe
methodsistoobriefforthereadertogainafullunderstandingofthedepthoftheanalysisemployedtoachievethe
presentedresults.Thissectionshouldberewrittenwithmoredetail."
Question1
Whatresourceshouldyouconsulttorespondtothisreviewer'scomment?
Options:
A.Theresearchproposal
B.Apreviouspublicationbyyourcoauthoronasimilarresearchproject
C.Theresearchrecord
D.Thelaboratoryinstrumentationmanual
E.Theundergraduatestudentwhoperformedthetests
Feedback
ThecorrectanswerisC.
Theresearchrecordisthecompleteandcomprehensivedocumentationoftheworkconductedintheresearch
programme.Researchmethodsshouldbepreservedhereinsufficientdetailtoinformtherewrite.
Asyoureadon,youencounterthefollowing:
"ThedatapresentedinFigure4appeartohavebeencutoffontherighthandsideofthefigure.Theauthorsshould
replacethisfiguretoshowthefulldataset."
YourecallcreatingFigure4forthemanuscriptforthepurposeofshowingoffaparticularportionofthedatathat
supportsyourexpectedresults.Thedataoutsidethisrangeshowadeviationfromtheexpectedtrend,andyoudidn't
wantthereadertofocusonthisanomaly.
Question2
Howshouldyourespondtothisrequestfromthereviewer?Makeanoteofyouranswer,thencontinueforour
feedback.
Feedback
Itisimportantwheneversharingresearchresultstorepresentthefindingsinanunbiasedmanner.Torespondtothe
reviewer'scomments,thinkcarefullyabouthowbesttoshowtheseresultswithoutmisleadingtheaudience.
Responsibleresearchersshouldhavesolid,unbiasedjustificationforignoringdata.
Thesecondreviewermadethefollowingobservation:
"Thelistofreferencesincludesseveralpublicationsthatarenotcitedinthework.Inaddition,theauthorshavefailed
tocitetherecentworkbyKhan,SulewskiandJohnson(2011)thatpresentsanalternativeandviablesolutiontothis
complexproblem."
Yourresearchsupervisorencouragedyoutohaveacomprehensivelistofreferencesforyourfirstpaper,tolend
credibilitytothework.Shealsosuggestedthatyouneglecttoincludeacompetingresearchteam'sresults,sincethis
https://www.epigeum.com/downloads/ri_accessible/aus/03_engineering/html/application/en_application.html
1/2
2/17/2016
Application
mightcastdoubtonyourwork.Whenyousharethisinformationwithheratyourmeeting,shesuggeststhatthe
reviewerisbeingpickyandthatyouignorethissuggestionandresubmitthemanuscriptwiththeexistinglistof
references.
Question3
Whatshouldyoudowithrespecttothereviewer'ssuggestionsandwithrespecttoyourresearchsupervisor?Makea
noteofyourthoughts,thencontinueforourfeedback.
Feedback
Ignoringareviewer'scommentcanleadtodifficultieswithpublication.Defyingyourresearchsupervisorcancreatean
unfavourablepersonalandprofessionalenvironment.Inthissituation,communicationisextremelyimportant.Be
preparedtoofferasolutiontothisdilemma,perhapsbyreviewingthealternativeworkandsuggestingamannerfor
includingitintheresubmittedmanuscript.
Thethirdreviewernotesthefollowingproblem:
"Ihavehadthepleasureofrecentlyreviewingasimilarworksubmittedtoanotherjournalbythesesameauthors.
Whilebothworkspresentuniquefindingsfromasingleproject,thepapersaresufficientlysimilartoeachother,thatI
feelthetwopapersshouldbecombinedintooneandsubmittedasasinglepublication.Thispaperisthestrongerof
thetwo,andIthereforestronglyrecommendthatthetwopapersbecombinedintothissinglepublicationandthatthe
otherpublicationbewithdrawnfromconsideration."
YouhavebeenworkingveryhardtoincreasethenumberofpublicationsonyourCVperyearinordertoimproveyour
chancesofobtainingthatnewresearchposition.Yourcolleagueshavetoldyouthatyoushouldhaveatleasttwo
standalonepublicationsthisyeartobeconsideredforapostdoctoralresearchpositionataresearchinstitution.
Question4
Whatisinfluencingyourchoiceshere?Whatmighthappenifyouignorethisrecommendationandcontinuetopursue
publishingbothpapers?Wouldyouhiresomebodywhohadmadethischoice?Makeanoteofyourthoughts,then
continueforourfeedback.
Feedback
Thisisanexampleofhowyourprofessionalinterestsmightconflictwithyourresponsibilitiesasaresearcher.Ifyou
ignorethisreviewer'srecommendation,yourreputationwillsufferandthenegativeconsequencesofthisbehaviourwill
faroutweightheadvantagegainedthroughanadditionalpublication.
Ltd,2012
https://www.epigeum.com/downloads/ri_accessible/aus/03_engineering/html/application/en_application.html
Epigeum
2/2
2/17/2016
Coursesummary
CLOSING
Coursesummary
TIME:2MINS
Consideringthelandscapeofacademicresearchfromafar,theshapeoftheterrainiscleareventhoughlocaldetails
mayvary:researchdoesnotjust'happen'itisdonebypeople,withallthestrengthsandweaknessesthathumansin
anyprofessionhave.
Focusingontheprocessofresearchforanygivengroupcanprovideanunsettlingview,withatendencytofocusmore
oftenonapparenthumanshortcomingsthanoncollectivepositiveaccomplishmentsbyhardworking,responsible
scholars.Therealityisthattheresearchenvironmentisregulatedmuchmorethanitwasinthepastandthat
increasingemphasisisbeingplacedonintegrity.
Thiscoursehasaimedtohelpyoutoconductqualityresearch.Inparticularithas:
Introducedthekeyprofessionalresponsibilitiesyouhaveasaresearcher
Suggestedwaysofupholdingintegrityintheplanning,design,conductandreportingofyourresearch
Helpedyourecognisethekindsofsituationsandpressuresthatcanleadtolapsesinresearchintegrity,and
suggestedwaysofdealingwithsituationswhere,forwhateverreason,suchlapseshavealreadytakenplace
Encouragedyoutodevelopahighlevelofselfawareness,sothatyouareconsciousofyourownperspective
andtheimplicationsofyouractions
Drawnattentiontotheinternationalandinterdisciplinarynatureofresearchandtheresultingneedforallthose
engagedinittohaveabroadunderstandingoftheirresponsibilities
Highlightedtheneedtoconsiderwhatimplicationsyourresearchmighthavebeyondyourimmediatecontext.
Acourseonresearchintegrityis,however,onlypartofthesolutiontotheproblemofresearchmisconduct.Wecannot
reducethepressuresyouwillfaceasaresearcher,butitisourhopethatthiscoursewillmakeyoumindfulofthe
needtoprotectyourintegritywhich,afterall,isthefoundationofyourcareerandyouracademicreputation,andthe
basisofmutualtrustintheresearchcommunity.
Thecontributingauthorssharetheexcitementthatintellectualexplorationanddiscoursebrings.Eachhascontributed
theirownunderstandingandinsightaboutimportantchallengesrelatedtointegrityinresearch.Wehopethatyouruse
ofthiscoursematerialwillhelpprepareyoutoundertakeproductiveandrewardingresearchcareersandtobeleaders
inrespondingtotheintegritychallengesoftomorrow.
Whatnext?
Thefollowingsectionoutlinessomefurtherstepsyoumightwishtotakenowthatyouhavecompletedthisonline
courseonresearchintegrity.
Coursesummary
Printoutacopyofthecoursesummarydownload('Download'boxattheendofthissection)andtheSingapore
Statement,andstickthembothonyourwallasareminderofsomekeypoints.
Optionalactivities
Trysomeoftheoptionalactivitiesthroughoutthecourse(ifyouhaven'talreadydoneso),orworkonotheritemsthat
maycontributetoyourresearchintegrityportfolio.
Furtherresearch
Followupanyareasofparticularinterestbyusingthereferencesinthe'Resourcebank'andinthe'Guideto
researchpoliciesandguidelines'.
Talktootherscientistsaboutissuesyouhavefoundparticularlyintriguingorpuzzlinginthiscourse.Seehow
theydealwithsimilarissuesthatariseintheirdaytodayresearch.
Gettingorganised
https://www.epigeum.com/downloads/ri_accessible/aus/03_engineering/html/closing/en_course_summary.html
1/3
2/17/2016
Coursesummary
Organisetheresources,documentsandlinksyouneedsothattheyareeasilyaccessiblewhenyoureallyneedthem.
Othercourses
Ifyourresearchisinterdisciplinary,considerlookingatsomeoftheothercoursesintheResearchIntegrity
programme,whichfocuson:
Artsandhumanities
Biomedicalsciences
Naturalandphysicalsciences
Socialandbehaviouralsciences.
Althoughthecontentoftheothercourseswillbebroadlysimilartothiscourse's,youmayfindthattheyprovidemore
detailinsomeareasorcontainlinksandexamplesrelevanttoyourinterdisciplinarywork.
Cultureofintegrity
Takestepstodevelopacultureofintegrityinyourparticularcontext.Forexample:
KeepyourselfinformedaboutthelatestissuesinresearchintegrityinparticularbylookingattheOfficeof
ResearchIntegritywebsite
Organisemonthly'integritymeetings'foryourresearchteam.Usethesemeetingstoreviewchallengesto
integrityfacedbyteammembers,todiscussdifficulttopicsand/ortoreviewmisconductcasesinthenews
Writeaboutissuesofintegrityinyourdisciplinarynewsletter.Raisingconsciousnessaboutresearchmisconduct
andresearchintegrityinthismannerwillhelpcolleaguesoutsideofyourresearchteamandspreadthe'culture
ofintegrity'toothersinyourdiscipline.
Download
Ifyouhaveworkedcarefullythroughthiscourseandtakennoteofallthe'musts'and'shoulds',youmayfeelburdened
withmoreresponsibilitiesthanyoucouldpossiblyremember,muchlessmeet.
Howcanorshouldyouputallthismaterialtogether?
Whatarethegenerallessonsforthedaytodaypracticeofresearchintherealworldofpressures,deadlines
andcompetition?
Asafinal,outthedoormessage,clickheretodownloadsomekeyadvicetopostonyourwallorkeepsomeplaceasa
dailyreminder.
Optionalactivity
Duration:15minutes
Writeashortpersonalstatementoutliningthreeormorekeypointsyouhavelearnedfromthiscourseandthree
immediatechangesorplansyouintendtoimplementasaresult.
Optionalactivity
Duration:60minutes
Setupaninaugural'integritymeeting'anduseittodiscuss'TheLab'anonlinevideothatexplorestheeveryday
challengestointegrityfacedbyresearchers:ori.hhs.gov/TheLab/.
Optionalcourseevaluation
Clickheretohelpdevelopandimprovethiscoursebyprovidingsomebrieffeedback(anonymously,ofcourse).Note
thatthisisanoptional,noncompulsoryactivityanddoesnotformpartofthecoreResearchIntegrityprogramme,but
thatyourinputisverywelcome.
Epigeum
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2/17/2016
Coursesummary
Ltd,2012
3/3

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