A Responsible C onduct of R esearch (RCR) T raining Program: Summary and Evidence
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A Responsible Conduct of Research (RCR) Training Program:
Summary and EvidenceZhanna Bagdasarov
University of Oklahoma
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Training rationale and background
Overview and summary of the training
Implementing the training at your
institution: some basics and lessons learned
Evidence for training effectiveness
Overview
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Training Background &
Summary
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Major cases of research misconduct
◦ Academic and professional misconduct a growing
concern across fields
Research institutions developing own courses
◦ Training effectiveness
◦ Training evaluation
NIH and NSF mandates
◦ COMPETES act-Creating Opportunities to Meaningfully
Promote Excellence in Technology, Education, & Science
The Broader Context
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Two-day course
◦ Approximately 14 hours of instruction
10 “blocks” or training modules
◦ 2 out-of-class blocks, 8 in-class blocks
Course Summary
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Knowledge of guidelines
Awareness of own biases and common errors
Model of ethical decision-making (EDM)
Situational analysis and interpretation
Strategies, or tools, for decision-making
Field differences
Topics covered
◦ Mentor-mentee relationships, collaboration, interdisciplinary
research, management practices, whistle-blowing, handling
data, publication practices, conflict of interest, authorship
Training Content
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Develop students’ understanding of the ambiguous, complex nature of the problems that they might encounter in their work
Teach strategies that help students to identify and think through complex problems to make ethical decisions
Overarching Objectives
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Decision-making strategies facilitate EDM
Decision-making errors and personal biases hinder
EDM
Decisions involve social-emotional considerations
and implications
Case-based reasoning facilitates development of
knowledge to serve as foundation
Cooperative learning fosters social awareness and
social reinforcement
Conceptual Basis for Training
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Cases
Self-reflection questions
Role-play
Viewpoint activity
Generation of strategies
Generation of constraints
Group discussion
Activities
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Emphasis on decision-making and its complexity
rather than rule-based guidelines
Recognition of the “gray areas”
Discussion of field differences
Emphasis on generation, practice, and application
Highly interactive (limited lecture)
Based on research and evaluation
Not a “check-the-box” training
Uniqueness of the Course
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Mini-Tutorial: Block-by-Block Synopsis
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Interpret &
Apply
Rules&
Principles
Decision &
Action
Constraints
Strategies
The EDM Model
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Government regulations◦ Policies and legislation regulating research
◦ Examples: 1966 Animal Welfare Act; 1974 National Research Act
Professional society guidelines
◦ Length and specificity vary widely across fields
◦ Example: American Psychological Association
Institutional guidelines
◦ NIH, ORI, universities
◦ Examples: Protection of Human Subjects; Data Management;
Conflicts of Interest
Regulations & Guidelines
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Making closed-ended decisions
Neglecting to consider hidden motives or agendas
Engaging in black-and-white thinking
Making hasty decisions
Deceiving one-self and/or others
Avoiding personal responsibility
Overly simplistic application of research guidelines
Being overly subjective
Failure to consider other’s perspectives; being self-focused
Neglecting to consider long-term consequences
Failure to consider time and resource constraints
Potential Constraints in EDM
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Recognize your circumstances
Seek help
Question your judgment
Anticipate consequences
Manage emotions
Look within/consider personal motivations
Consider others’ perspectives
Decision-Making Strategies
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Integrate all relevant information
Understand and integrate multiple perspectives
Develop an overall understanding of the nature
of the ethical problem
Basis of the EDM Model
◦ An expanded, more complex version of EDM model
◦ Sensemaking culminates in “Interpret & Apply” Stage
SensemakingInterpre
t
&
Apply
Rules&
Principles
Decision &
Action
Constraints
Strategies
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Approaches to problems generally
What is valued and rewarded
Guidelines
Established norms
“Appropriate” or “inappropriate” behavior
Field Differences
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Different persons view the problem from
different perspectives
◦ Grad student vs. faculty vs. university vice-
president
Different persons may use different
approaches to decision-making
Differing Viewpoints
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Training Implementation
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Initial Planning
Determine initial scale
Determine budget
Determine timeline
Gain approval from university
administration
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Major Questions Who will be required to take it?
• How will it be required?
Who will provide the salary for instructors?
Who will provide ongoing training & training for new
instructors?
How will updates be made to content?
Ongoing administration
• Who will handle recruitment and enrollment?
• Who will oversee updates?
• Who will provide new and ongoing training to instructors?
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Major Obstacles/Challenges Some people/departments think they are
exempt
Choosing good trainers
Organizational logistics
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Instructors
University faculty or graduate students
• 2 or more years experience in field
Training Instructors
• 2 days
• Instructor manual
• Practice delivery of training modules
• Feedback
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Funding
OU Office of the Senior Vice President and
Provost & Graduate College Funding
• Administrative coordination
• Training Coordinator & Assistant (tuition & stipend)
• Trainer pay
• Trainee certificates
• Materials
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Funding Funded projects for development & refinement of RCR program
NIH: Organizational Influences on Scientific Integrity (1R01NS042397-
01)
NIH: Environmental and Educational Influences on Scientists
(5R01NS049535-02)
NIH: Development of Strategies for Improving Ethical Decision-Making in
the Sciences (5R01NR010341-02)
NSF: Development and Evaluation of a Work Practices Approach for
Ethics Education in Science and Engineering (SES 0529910)
CGS: Analysis of graduate students understanding of ethical issues
(LTR090506)
NSF: Case Based Reasoning and Ethics Instruction: Content and
Processing Exercises for Effective Education (SES 090436)
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Ongoing Issues
Field-specific trainingTrainees feel that the training does not apply to them
Refreshments for training
Training being mandatory• A requirement for all incoming, funded graduate
students
• Maintaining the same feel and not making it feel
“required”
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Lessons Learned
Organizational Logistics
• Need to find appropriate office to handle training
• Not all teachers can be trainers
Some departments are resistant
• Want to be exempt, already “teach” ethics
Most students & instructors want this training
Strong evaluation data is critical
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Lessons Learned
Systematic reports are necessary
• Instructors
• Funding office
Ongoing changes are necessary
• Adapt to other fields
• Must monitor training content
Key people in charge of ongoing planning
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Instructors must have ongoing refreshers
• Feedback from students
• Prevent delivery drift
Resource intensive process
• Research
• Organizing and planning
• Instructors, administrators, researchers, TAs
Lessons Learned
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Training Evidence and Future Directions
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Pre-test and post-test EDM measures
◦ Multiple answer selection
“Pick two”
Multiple “high-ethicality” responses
◦ Real-world cases of ethical misconduct
Not transparent
Trainee Reactions
◦ Ratings of training effectiveness
Evaluation of Training
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Evaluation Results
Effect Size (Cohen’s d) Scientist Sample
Engineer Sample
Undergrad Sample
Decision-Making Ethicality Data Management .66** .53* 1.79** Study Conduct 1.46** .66* .34 Professional Practices .61** 1.06** 1.68** Business Practices .49* 1.82** 1.09** Strategies Recognizing one’s circumstances 1.24** .16 .35 Seeking help .84** −0.65* −0.01 Questioning one’s judgment 1.27** 1.92** 2.45** Dealing with emotions .90** 1.51** 2.56** Anticipating consequences .77** .33 .79** Analyzing personal motivations 1.36** .60* 1.05** Considering others’ perspectives .45** .08 .27
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Training effects held over 6-month period
Training changed mental models
◦ Trained individuals: represented ethical problems
as complex – based on in-depth analysis
◦ Untrained individuals: focused on outcomes
Trainee reactions to training favorable (M=6
out of 7)
Evaluation Results
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High ratings of effectiveness (M = 5.24 on 7-point scale)
Trainee Comments:
◦ “It was a great workshop; I loved it. It helped me a lot!”
◦ “Very useful and more interesting than I anticipated”
◦ “Overall, good information and the discussions with students
outside of my field were great”
◦ “The presenters did a fine job. I want to thank them for
putting their efforts into this”
◦ “This training made me think of a couple of misconducts I
have done in the past and certainly won’t do again”
◦ “Great workshop!”
Results for Student Reactions 2010-2011 Academic Year
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Tailoring to specific disciplines
◦ Engineering, Physical Sciences, Humanities, Arts
◦ Evaluation instruments already tailored
Training adaptions: remedial ethical training
◦ Decision-making focus
◦ Mental-model focus
Faculty Instruction
◦ No explicit regulations yet, but may be coming
◦ In-coming & junior faculty
Future Directions
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Thank You!