Deborah (Debbie) L. Smith, Ed.D. Maggie Pyle, Ph.D.Assistant Vice Chancellor for Research DirectorUT Health Science Center University of South AlabamaOffice of Research Administration Office of Sponsored Programs910 Madison, Suite 823 AD 200Memphis, TN  38163 Mobile, AL 36688901 448-4823 251 460-6456dsmith.@utmem.edumpyle@usouthal.edu

“I never had a policy; I have just tried to do my very best each and every day.”

~Abraham Lincoln

Definition of Ethics

A set of principles of right conduct; a theory or system or moral values - American Heritage Dictionary

The principles of conduct governing an individual or group (e.g., medical ethics) - Merriam Webster’s Medical Dictionary

Kohlberg’s Stages of Moral DevelopmentKohlberg’s theories of moral development:Stage 1 - Obedience and Punishment Orientation

(early stages of childhood) Stage 2 - Individualism and Exchange/DealsStage 3 - Good Interpersonal Relationships - (usually teens)Stage 4 - Maintaining the Social Order/RulesStage 5 - Social contract and individual rightsStage 6 - Universal Principles

Why do the right thing? Stages of moral developmentBecause something bad will happen if you do the

wrong thing (get fired, lose accreditation) or because something good will happen if you do the right thing (get promoted, receive accreditation) (Kohlberg’s Stage 1)

Because you made a deal to do it (quid pro quo) (Kohlberg’s Stage 2)

Because “everyone else is doing it” or because other people will not approve if you do the wrong thing (“Front Page of Local Paper Test”) (Kohlberg’s Stage 3)

Why – cont’dBecause it’s the law/rule; maintains the social order

(Kohlberg’s Stage 4)

For the greater good of society, even if it may not conform to norms or the individual’s own benefit (Kohlberg’s Stage 5)

Because it is the right thing to do – applying universal principles of justice regardless of who is concerned (no one is “more equal” than others) – Kohlberg’s Stage 6)

**Most people are at stage 3 or 4; few ever get to stage 6

“Laws control the lesser man. Right conduct controls the greater one.”

~ Chinese Proverb

Thought vs. ActionThinking at a specific moral stage may not result in action that reflects that stage.

A person may KNOW that a thing is “right” or “wrong” but that thinking may not be consistent with the person’s actions.

“I know I shouldn’t do this, but . . .”

“A long habit of not thinking a thing wrong gives it a superficial appearance of being right.”

~ Thomas Paine

* “That’s the way we’ve always done it.”

Can People Learn to be Ethical?Kohlberg and others thought so.The IOM thought so. (IOM, 1989)Recent studies have shown that university leaders believe so. (Maldonado, et al.)

Let’s HOPE so!

Moving up the StagesStages are determined by interactions with

others (Kohlberg)

Exposure to higher stages; Discussion, interchange; Challenges to thinking, leading to higher levels

of thinking

Ferguson’s Suggested Influences of Character Development

HeredityEarly Childhood ExperiencesModeling by important adults and older youthPeer InfluenceGeneral physical and social environmentCommunications mediaWhat is taught in schoolsSpecific situations and roles that elicit

corresponding behavior

Maslow’s Hierarchy of NeedsPhysiological Needs – food, water, shelterSafety NeedsLove, Affection and Belongingness Needs for Esteem – self-respect and respect from

others - overcome feelings of loneliness and alienation

Needs for Self-Actualization – reaching potential

Must have basic needs filled before the individual can worry about higher-level needs

~An individual’s need level may interfere with ethical thinking, or cause a regression to a lower stage.

“The truth of the matter is that you always know the right thing to do.

The hard part is doing it.”

~Norman Shwarzkopf (U.S. General)

Increasing Scientific Misconduct

The number of allegations of misconduct reported to ORI rose by 50% from 2003-2006.

ORI reported that 43% of closed cases in 2006 resulted in misconduct findings, compared to 33% historically.

Source: ORI Annual Report, May 2007

Examples of Questionable Behavior

Industry Kick-backs – “takes two to tango”Effort Reporting - Individual and Institutional

responsibilityScientific Misconduct – Individual and

Institutional responsibilityFraud – Individual and InstitutionalConflict of Interest – Individual and Institutional

Higher Ed’s Role: Teaching and Modeling Personal Responsibility/IntegrityExhibiting higher stages of moral development

enables students to move to higher stages of moral development through exposure and interaction

Promoting a campus climate of integrity should reach to all levels: faculty, staff, students, (even high-level administrators!) and encompass all activities.

Faculty Roles and Role ModelsRoles:

Teacher (staying current, fairness, student interaction)

Researcher (competition for grants, incentives, data, staff assistants, students, publication)

Clinician/Service (perhaps) - patient interaction, charge structure

Mentor - quality time, examplesRole Model

Compliance - mandate or innate?Competition - fair or “all’s fair”?Collegiality - good of all or good for me?

Research Administrator Roles and Role ModelsRoles

Policy Maker (proactive or reactive?)Policy Enforcer (consistent or depends on what’s at stake or

who it is?)Agency Liaison (working for good of all or getting what you

want—full disclosure or providing info to get the answer you want?)

Faculty/Student/Institution Liaison/Advocate (doing what they want or doing what’s right?)

Information Provider (fudge the numbers?)Role Models

Ethics Advocate – What’s the right thing, or what can we get by with?

Competition – What should we do, or what will it cost us if we don’t do it? What is everybody else doing?

Compliance – Doing the right thing or trying not to get caught? Job Security – Signing off because of political pressure?

Institutional Mission Statements Mentioning Ethics/Integrity

Princeton Harvard (1997) Marshall (Statement of Ethics)NC-CHCornellUTKUSAGeorgia Tech

Source: Google

UTHSC Mission StatementThe University of Tennessee Mission Statement: The

mission of The University of Tennessee is to provide the people of Tennessee with access to quality higher education, economic development and enhanced quality-of-life opportunities.

UT Health Science Center Mission Statement: The Health Science Center aims to improve human health through education, research, clinical care and public service. . . . .

UTK: . . . Provide a high quality educational experience to undergraduate students in a diverse learning environment--promoting the values and institutions of democracy that prepare students to lead lives of personal integrity and civic responsibility in a global society

University of South Alabama Mission Statement

The University mission actively embraces the functions of teaching, research, public service, and health care through which it vigorously pursues the preservation, discovery, communication and the application of knowledge. As it grows and develops, the University will focus its strengths to produce programs of interdisciplinary excellence that address the special needs of the people it serves. . . . The University’s environment must encourage and foster the qualities expected of leaders, such as integrity, service, stewardship, involvement and respect for individuals, as well as an appreciation for diversity.

Your Institution’s Mission Statement

What does it say?

What does THAT say about your institution?

Interest in economic development?Interest in political correctness?Interest in the greater good?

Institutional Policy: Positive or Negative Focus?

Responsible Conduct of Research – teaching proper research procedures, integrity, ethical behavior

Scientific Misconduct – policy spelling out what will happen if personnel do not follow the rules

“The measure of a man’s real character is what he would do if he knew he never would be found out.”

~ Thomas Babington Macaulay (1800-1859) – former member of Parliament

What is it ?

What is the Institution’s

responsibility?

RCR – The Institution’s Responsibility

Responsible Conduct of Research

Umbrella covering all research areas

RCR – The Institution’s ResponsibilityResponsible Conduct of Research

Basic Responsibilities

Scientific Integrity Data Acquisition, Management, Sharing, and Ownership Publication Practices and Responsible Authorship Peer Review Mentor-Trainee Relationships Collaborative Science Research Involving Human and Animal Subjects Conflict of Interest and Commitment

NIH Research Ethics Online Training Coursehttp://researchethics.od.nih.gov/

RCR – The Institution’s Responsibility

Honesty

Objectivity

Integrity

Carefulness

Openness

Respect for Intellectual Property

Confidentiality

Responsible Publication

Norman’s Norms for Personal Conduct

RCR – The Institution’s Responsibility

Responsible Mentoring

Respect for Colleagues

Social Responsibility

Non-Discrimination

CompetenceAbbreviated list http://www.niehs.nih.gov/research/resources/bioethics/whatis.cfmAdapted from Shamoo A and Resnik D. 2003. Responsible Conduct of Research (New York: Oxford University Press).

Norman’s Norms for Personal Conduct

RCR – The Institution’s ResponsibilityRequired Training in Responsible Conduct of Research

NIH Training Grants1989 – graduate students on training grants required toreceive RCR training

NSF / America COMPETES ActAugust 2007SEC. 7009. <<NOTE: 42 USC 1862o-1.>> RESPONSIBLE CONDUCT OF RESEARCH. The Director shall require that each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.

RCR – The Institution’s ResponsibilityResponsible Conduct of Research

Where can I get training?

NIH Research Ethics Online Training Coursehttp://researchethics.od.nih.gov/

NIH Research Conduct and Ethics Instruction Materialshttp://www1.od.nih.gov/oir/sourcebook/ResEthicsCases/cases-toc.htm

NIEHS: What is Ethics in Research & Why is It Important?http://www.niehs.nih.gov/research/resources/bioethics/whatis.cfm?

RCR – The Institution’s ResponsibilityInstitutional Compliance Culture

Be a Good Citizen: Do the right thing because it is the right thing to do Discuss, communicate, report RCR incidents because it is the

right thing to do

RCR – The Institution’s ResponsibilityInstitutional Compliance Culture

Why do the right thing? The vast majority of faculty are good citizensOnly a tiny fraction of faculty are poor citizens

What motivates Institutional Responsibility to Teach Ethics/RCR?Maintaining the Public TrustBalancing Public Perception of Research IntegrityMeeting Federal Requirements

RCR – The Institution’s ResponsibilityCreating An Institutional Compliance Environment

Provide leadership in support of responsible conduct of research;

Encourage respect for everyone involved in the research enterprise;

Promote productive interactions between trainees and mentors;

Advocate adherence to the rules regarding all aspects of the conduct of research, especially research involving human participants and animals;

Anticipate, reveal & mange individual and institutional conflicts of interest;

RCR – The Institution’s Responsibility Creating An Institutional Compliance Environment

Arrange timely and thorough inquiries and investigators of allegations of scientific misconduct and apply appropriate administrative sanctions;

Offer educational opportunities pertaining to integrity in the conduct of research,

Monitor and evaluate the institutional environment supporting integrity in the conduct of research and use this knowledge for continuous quality improvement.

Source: IOM Report on Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct

RCR – The Institution’s ResponsibilityPromoting Responsible Conduct of Research

Causes of Misconduct : Are people simply Bad Apples or just succumbing to Intense Pressures?

Why do people not report RCR incidents?

Effects of Training: Will it decrease misconduct?

RCR – The Institution’s ResponsibilityWhat Could Happen to Norman

Verbal or Written Reprimands Loss of signature authority Oversight restrictions Suspension Loss of employment Debarment / Excluded Parties http://www.epls.gov/ Prison Term Deportation

AAUP Resources on Professional Ethicshttp://www.aaup.org/AAUP/issues/ethics/resethics.htm

Crain, W. (1985). Theories of Development. Prentice-Hall, pp. 118-136.

DHHS ORI websitehttp://ori.hhs.gov/education/index.shtml

Dictionary.com

Quotegarden.com

www.myfavoritezine/ezine/dictionary/quotes

Huitt, W. (2004) Moral and character development. Educational Psychology Interactive. Valdosta, GA: Valdosta State University.

Maldonado, et al. “Ethical Learning and the University: Listening to the Voices of Leaders.” Paper presented at the Annual Meeting of the American Educational Research Association (Chicago, Il., April 9-13, 2007).

Resources

Resources

NCURA Compliance Neighborhoodhttp://www.ncura.edu

Office of Research Integrity. Responsible Conduct of Research (RCR) Education. http://ori.dhhs.gov/policies/RCR_Policy.shtml

Office of Research Integrity. Annual Report 2006. Department of Health and Human Services. May, 2007. http://ori.dhhs.gov/documents/annual_reports/ori_annual_report_2006.pdf

Shamoo A and Resnik D. 2003. Responsible Conduct of Research (New York: Oxford University Press).

Simons, J. A.; Irwin, D. B.; Drinnien, B.A. The Search for Understanding. West Publishing Company, New York, 1987. http://honolulu.hawaii.edu/intranet/committees/FacDevCom/guidebk/teachtip/maslow.htm

“If you have integrity, nothing else matters. If you don’t have integrity, nothing else matters.”

~Alan K. Simpson (former U.S. Senator)