The types of conflicts encountered by researchers and institutions can include financial or business-related conflicts, conflicts associated with research collaborations and publication, and conflicts in managing time and commitments to collaborators and advisees. Understanding what constitutes a conflict of interest, and how these conflicts can be managed, is an important part of the responsible conduct of research.

References: 

• COI Website: https://researchcompliance.unm.edu/conflict-of-interest/index.html
• UNM Policy: https://handbook.unm.edu/e110/
• Federal Regulations: https://researchcompliance.unm.edu/conflict-of-interest/federal-regulations.html

When researchers publish their findings, the knowledge they share can directly impact the public through advances in medicine, public health, and cultural contributions. For scientific research, publication ensures that others will be able to evaluate, duplicate, or dispute those findings. For these and other reasons, federal funding agencies view proper authorship and publication processes to be vital to the research enterprise, and the appropriate use of public funding. Authorship is a mechanism that enables those who made a significant intellectual contribution related to a scholarly work product to receive credit for that contribution. Publication of the results of scholarly investigation and research is typically a major goal of such work. While the expectations of authorship can vary between disciplines and institutions, there are some issues that are relevant to each, including: expectations of participation in the creation of a manuscript, intellectual contributions to the work, and approval of the work’s final form. Therefore, it is important to be aware of ethical issues related to accepted practices in collaboration and publishing, and the responsibilities of author(s) to research subjects and to the scholarly community.

References:

• UNM Authorship and Dispute Resolution Procedure
• UNM’s Academic Integrity Policies
• Committee on Publication Ethics
• Committee on Publication Ethics (COPE): What Constitutes Authorship? COPE Discussion Document
• Council of Science Editors: Authorship and Authorship Responsibilities
• ORI’s RCR Casebook on Authorship and Publication

There is an extensive collection of ethical issues associated with research data. Research data acquisition, selection, analysis, and retention, as well as the confidentiality and ownership (including iintellectual property (IP) and copyright concerns) of data, image manipulation, recordkeeping, and electronic data collection and storage are essential to conducting responsible research. Among the key ethical issues that should be identified and discussed before research proceeds are which methods should be used to collect data, who is rightfully entitled to ownership of data, and what is the proper way in which to analyze, interpret and disclose data.

References:

• NSF: https://new.nsf.gov/funding/data-management-plan
• NIH: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html

Peer review is a cornerstone of the research and academic process. Being a reviewer of a manuscript or grant proposal can give someone access to research that is significant and innovative.  Understanding the purpose of peer review and the responsibilities of reviewers including the responsibility for maintaining confidentiality and security in peer review is an important aspect of the responsible conduct of research (RCR).

References:

• Committee on Publication Ethics (COPE): https://publicationethics.org/resources/guidelines/cope-ethical-guidelines-peer-reviewers
• NIH Peer review: https://grants.nih.gov/grants/peer-review.htm
• NSF Merit Review: https://www.nsf.gov/bfa/dias/policy/merit_review/

It is important to understand the roles and responsibilities of both mentors and trainees in predoctoral and postdoctoral research programs to avoid conflicts that can arise from such relationships. The mentor-trainee relationship should reflect mutual respect and clear communication. Best practices, such as individual development plans and mentorship agreements, are encouraged to promote professional career goals and foster collaboration. It is expected that mentors (including PIs) participate in “mentor the mentors” training and participate in the mentorship of their trainees.

References:

• AAAS: My Individual Development Plan https://myidp.sciencecareers.org/?AspxAutoDetectCookieSupport=1
• NIH Mentoring Guidelines: https://www.training.nih.gov/mentoring_guidelines
• NIH Postdoctoral Research and Training IDP: https://oir.nih.gov/system/files/media/file/2021-08/individual-development_plan.pdf
• National Research Mentor Training: https://nrmnet.net/archives/research-mentor-training/

Fabrication, Falsification, or Plagiarism (FFP) constitute research misconduct. Understanding the regulations, policies, and guidelines that govern research misconduct, and how to report an allegation of research misconduct is as important as the research being conducted.  The consequences that research misconduct can have are considerable and potentially disastrous. Misconduct can irreparably erode trust among colleagues. It can erode trust between researchers and funding agencies, which may make it more difficult for colleagues at the same institution to receive grants. More importantly, research misconduct can cause the public to lose confidence in the ability and integrity of researchers.

References:

• UNM Office of Research Integrity and Compliance: https://researchcompliance.unm.edu/research-integrity/index.html
• UNM Plagiarism Guidelines
• NIH Overview: https://grants.nih.gov/policy/research_integrity/overview.htm
• NSF Office of Inspector General: https://oig.nsf.gov/
• ORI Policy on Plagiarism: https://ori.hhs.gov/ori-policy-plagiarism

There are many important ethical issues to consider in conducting research with human participants, including (but not limited to) risks and benefits to participants, informed consent, vulnerable populations, confidentiality, and the role of Institutional Review Boards.

The ethical principles and federal regulations governing research involving animals, treatment of animals, and institutional animal care and use committees, are an important part of the responsible conduct of research.

* Note: This workshop is for RCR requirements and does not meet the requirements of researcher training required by the UNM IRB or the OACC.

References:

• UNM Office of the IRB: https://irb.unm.edu/
• UNM Office of Animal Care and Compliance: https://hsc.unm.edu/research/compliance/oacc.html

Each laboratory, research group, or PI develops its own standards and procedures for pursuing their work in a responsible and ethical manner. However, it is increasingly common for researchers to pursue interdisciplinary research, which leads to a collaborative research environment. This can lead to ethical challenges. For example, simple intradepartmental collaborations will involve sharing laboratory equipment, reagents, methodologies and/or techniques, and data. As the scope of collaboration at UNM crosses disciplines, national borders, and employment settings (e.g., collaborations with industry, medical centers, government agencies, etc.), matters of collaboration become more complicated; institutional and cultural norms, reporting requirements, data ownership and use, and other issues must be considered. In this environment, it is important to consider the best practices for research collaborations, as well as the complex ethical issues that may arise from such collaborations.

References:

• Georgia Tech Authorship Collaboration Plan template: https://rcr.gatech.edu/authorship
• UNC Authorship Agreement: https://graduateschool.charlotte.edu/sites/graduateschool.charlotte.edu/files/media/FINAL-Authorship%20Agreement%20%2B%20Supplement.pdf

Researchers have a broad range of ethical responsibilities to their colleagues, their institution, and the public. The codes of ethics of researchers and practitioners is as diverse as the research population itself. Some of the responsibilities all researchers share include research priorities, fiscal responsibility, public service, public education, advocacy, environmental impact, and forbidden knowledge. One of the key responsibilities that researchers have is to communicate research findings in an honest, sincere, complete, and competent way. Research practices that knowingly or deliberately deceive others must be avoided. Also, researchers must ensure that the integrity of their work is maintained to the greatest degree possible. Transparency can be a crucial step in this regard. It can include disclosing a relevant conflict of interest to appropriate entities such as a funding source, a journal editor, or an institutional committee.

References:

• ORI RCR Casebook: Social Responsibility: https://ori.hhs.gov/rcr-casebook-social-responsibility

The NIH and NSF have both recently added training in civility issues to their list of recommended RCR topics. Training in civility is meant to help ensure that the research environment is free from harassment (including sexual harassment), intimidation and/or bullying, and other unproductive, disruptive, and/or inappropriate conduct. The NIH expects the community to create and maintain a civil work environment, and when inappropriate behavior is found—holds the community accountable for it. The Civil Program of the NIH is separate from the University’s Office of Compliance, Ethics, & Equal Opportunity (EEO) process.

References:

• NIH case studies pertaining to civility: https://oir.nih.gov/system/files/media/file/2021-08/case_studies-2019.pdf
• NSF FAQ regarding allegations of bullying and harassment: https://www.nsf.gov/od/oecr/docs/Sexual_Harassment_FAQs.pdf

It is important that research be conducted in a manner that promotes the safety of researchers, research participants, the community, and the environment. Researchers using biohazardous material, radioisotopes, or other potentially hazardous materials should be sure to obtain appropriate approvals for use, adequate training, maintain necessary inspections and certifications, properly handle and dispose of hazardous materials, and follow appropriate safety procedures. UNM expects that every member of the campus community (including students, staff, faculty, contractors, vendors, and visitors) will follow health and safety rules, regulations, and best practices. To promote a culture of research that considers safety and health, UNM’s research operations can rely on experts from the following departments and centers:

Issues pertaining to chemical safety, laboratory and field safety, occupational safety, and concerns specific to construction (e.g. crane/lift operation, lead/asbestos management, forklift operation, etc.), as well as environmental concerns (e.g., ambient air quality, stormwater management) are overseen by the Department of Environmental Health & Safety (formerly known as UNM Safety & Risk Services).

References:

• Direct questions or concerns regarding research safety to the  Office of Environmental Health and Safety.
• Contact the UNM HSC Biosafety Office to learn more about working with  biohazardous materials.

Two of the cornerstones of science advancement are rigor in designing and performing scientific research and the ability to reproduce biomedical research findings. The application of rigor ensures robust and unbiased experimental design, methodology, analysis, interpretation, and reporting of results. When a result can be reproduced by multiple scientists, it validates the original results and helps to progress to the next phase of research. The NIH’s National Institute of General Medical Sciences (NIGMS) has created training modules for instruction in this area, including modules on lack of transparency, blinding and randomization, sample outliers and exclusion criteria, and biological and technical replicates.

References:

• NIH: https://grants.nih.gov/policy/reproducibility/training.htm#training
• UMICH: https://research.medicine.umich.edu/our-units/grant-services-analysis/research-development/proposal-development/rigor-reproducibility