Deborah (Debbie) L. Smith, Ed.D. Maggie Pyle, Ph.D.

1. NCURA Region III ConferenceRiding a Tsunami Wave Of Compliance Doing the Right Thing Defining the Right ThingMay 2008 Deborah (Debbie) L. Smith, Ed.D. Maggie Pyle, Ph.D. Assistant Vice Chancellor for Research Director UT Health Science Center University of South Alabama Office of Research Administration Office of Sponsored Programs 910 Madison, Suite 823 AD 200 Memphis, TN  38163 Mobile, AL 36688 901 448-4823 251 460-6456 dsmith.@utmem.edu mpyle@usouthal.edu

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

3. 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

4. Kohlberg’s Stages of Moral Development Kohlberg’s theories of moral development: • Stage 1 - Obedience and Punishment Orientation (early stages of childhood) • Stage 2 - Individualism and Exchange/Deals • Stage 3 - Good Interpersonal Relationships - (usually teens) • Stage 4 - Maintaining the Social Order/Rules • Stage 5 - Social contract and individual rights • Stage 6 - Universal Principles

5. Why do the right thing? Stages of moral development • Because 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)

6. Why – cont’d • Because 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

7. “Laws control the lesser man. Right conduct controls the greater one.” ~ Chinese Proverb

8. Thought vs. Action • Thinking 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 . . .”

9. “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.”

10. 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!

11. Moving up the Stages • Stages are determined by interactions with others (Kohlberg) • Exposure to higher stages; • Discussion, interchange; • Challenges to thinking, leading to higher levels of thinking

12. Ferguson’s Suggested Influences of Character Development • Heredity • Early Childhood Experiences • Modeling by important adults and older youth • Peer Influence • General physical and social environment • Communications media • What is taught in schools • Specific situations and roles that elicit corresponding behavior

13. Maslow’s Hierarchy of Needs • Physiological Needs – food, water, shelter • Safety Needs • Love, 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.

14. “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)

15. 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

16. Examples of Questionable Behavior • Industry Kick-backs – “takes two to tango” • Effort Reporting - Individual and Institutional responsibility • Scientific Misconduct – Individual and Institutional responsibility • Fraud – Individual and Institutional • Conflict of Interest – Individual and Institutional

17. Higher Ed’s Role: Teaching and Modeling Personal Responsibility/Integrity • Exhibiting 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.

18. Faculty Roles and Role Models • Roles: • 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, examples • Role Model • Compliance - mandate or innate? • Competition - fair or “all’s fair”? • Collegiality - good of all or good for me?

19. Research Administrator Roles and Role Models • Roles • 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?

20. Institutional Mission Statements Mentioning Ethics/Integrity • Princeton • Harvard (1997) • Marshall (Statement of Ethics) • NC-CH • Cornell • UTK • USA • Georgia Tech • Source: Google

21. UTHSC Mission Statement • The 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

22. 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.

23. 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?

24. 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

25. “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

26. Responsible Conduct of Research What is it ? What is the Institution’s responsibility?

27. RCR – The Institution’s Responsibility Responsible Conduct of Research Umbrella covering all research areas

28. RCR – The Institution’s Responsibility Responsible Conduct of ResearchBasic 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 Course http://researchethics.od.nih.gov/

29. RCR – The Institution’s Responsibility Norman’s Norms for Personal Conduct • Honesty • Objectivity • Integrity • Carefulness • Openness • Respect for Intellectual Property • Confidentiality • Responsible Publication

30. RCR – The Institution’s Responsibility Norman’s Norms for Personal Conduct • Responsible Mentoring • Respect for Colleagues • Social Responsibility • Non-Discrimination • Competence Abbreviated list http://www.niehs.nih.gov/research/resources/bioethics/whatis.cfm Adapted from Shamoo A and Resnik D. 2003. Responsible Conduct of Research (New York: Oxford University Press).

31. RCR – The Institution’s Responsibility Required Training in Responsible Conduct of Research • NIH Training Grants1989 – graduate students on training grants required toreceive RCR training • NSF / America COMPETES ActAugust 2007 SEC. 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.

32. RCR – The Institution’s Responsibility Responsible Conduct of Research Where can I get training? • NIH Research Ethics Online Training Course http://researchethics.od.nih.gov/ • NIH Research Conduct and Ethics Instruction Materials http://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?

33. RCR – The Institution’s Responsibility Institutional 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

34. RCR – The Institution’s Responsibility Institutional Compliance Culture • Why do the right thing? The vast majority of faculty are good citizens Only a tiny fraction of faculty are poor citizens • What motivates Institutional Responsibility to Teach Ethics/RCR? Maintaining the Public Trust Balancing Public Perception of Research Integrity Meeting Federal Requirements

35. RCR – The Institution’s Responsibility Creating 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;

36. 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

37. RCR – The Institution’s Responsibility Promoting 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?

38. RCR – The Institution’s Responsibility What 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

39. Resources • AAUP Resources on Professional Ethics http://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).

40. Resources • NCURA Compliance Neighborhood http://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

41. “If you have integrity, nothing else matters. If you don’t have integrity, nothing else matters.” ~Alan K. Simpson (former U.S. Senator)