Investigating Research Integrity Proceedings of the First ORI Research Conference on Research Integrity ii Investigating Research Integrity Proceedings of the First ORI Research Conference on Research Integrity editors Nicholas H. Steneck, Ph.D. Mary D. Scheetz, Ph.D. [HHS Logo] 2002 iii publication information page iv Preface Over the past twenty years, a consensus has developed that integrity is vitally important to the health of federally funded research and that the key stakeholders–individual scientists, research institutions, associations and societies, government sponsors, and the general public–all play important roles in fostering research integrity. However, there is little consensus about the importance of and a lack of empirical scientific evidence on specific problems than can and do undermine integrity in research. Even those of us who are experienced in research integrity issues have in the past based too much of our thinking on personal experience, personal and philosophical biases, individual case exposes, and the public, political, and media response thereto. Accordingly, to advance to the next level in our understanding, it is time for new approaches to the study and discussion of research integrity. Since its establishment in 1992, the Office of Research Integrity (ORI) has conducted a number of studies on research misconduct and research integrity, some of which are ongoing. The goal of these studies has been to develop a knowledge base for addressing important research integrity issues, including: the impact of misconduct allegations on exonerated scientists, the experience of whistleblowers in the aftermath of making allegations, the content of research guidelines adopted by medical schools, and the the incidence of research misconduct. Over time, it became apparent to ORI that a more comprehensive, coordinated effort in collaboration with extramural research scholars was needed to develop baseline knowledge for understanding research integrity issues. This recognition led to the development of the first Research Conference on Research Integrity in November 2000 and the revised papers published in this volume. ORI has also begun, with support from the National Institute of Neurological Disorders and Stroke, a related “Research Program on Research Integrity.” In the background report that begins this volume, Assessing the Integrity of Publicly Funded Research, Dr. Nicholas Steneck (ORI’s consultant for the November 2000 conference and the related research program) has summarized the state of the empirical research on research integrity. This report provided important background information for participants at ORI’s Research Conference on Research Integrity and for scholars and others in the research community generally. The research conference background report and the conference papers published in this volume will hopefully provide an important catalyst for identifying important problems and for improving our understanding of research integrity issues. Although research integrity has been a high profile topic for some twenty years and some important preliminary studies have been conducted, the publications in this volume, while contributing valuable information, make clear how little we really know about many key issues, such as: how often research misconduct occurs, what situations tend to encourage or prevent it, how human subjects are best protected, how often conflicts of interest occur in research and how they affect the integrity of the research, how common questionable research practices are and what harm they cause to the research process, how students and research trainees learn the ethics of science, and what career pressures or other factors influence their ability and desire to follow the most honorable scientific practices. These unanswered questions provide a significant opportunity for the Public Health Service and the research community to build a knowledge base for examining research integrity through further research. Research will permit us to understand in a more thorough and genuine way the influence v that research integrity issues have on the careers of scientists, the operation of research laboratories, the generation of accurate and useful research results, and the confidence of the public and political community in the research enterprise. It will also provide a science base for making important decisions—by government, by research institutions, by the community of scientists, and ultimately by the general public—in response to future research integrity issues and concerns that will inevitably arise. Chris B. Pascal, J.D., Director Office of Research Integrity vi Introduction Researchers and research institutions are universally committed to maintaining high standards for integrity in research. Precisely what this commitment entails, however, and whether it is being fulfilled are questions that have not been subject to rigorous critical investigation. What is “research integrity”? Can it be assessed? Do current research practices meet the high standards individuals and institutions say they embrace? How are standards for best practices transmitted? Are current approaches to fostering integrity appropriate and effective? Are all segments of the research community appropriately contributing to the promotion of high standards for integrity in research? Many individuals have provided answer to these questions, based on personal experience and anecdotal evidence. Few scholarly studies have been undertaken to confirm or refute what is commonly believed to be true about research integrity but is seldom demonstrated. The papers published in this volume were originally presented at the first ORI Research Conference on Research Integrity in Bethesda, Maryland, on November 19-20, 2000, and subsequently reviewed and edited for publication. Abstracts for other papers and posters presented at the conference but not published in this volume can be accessed at http://ori.dhhs.gov. Together, this work represents the first comprehensive effort by a group of scholars to take a broad but critical look at evidence underlying our assumptions about integrity in publicly funded research. The organization of the Proceedings reflects the collective interests and judgments of the scholars who responded to the call for abstracts for the Conference. Roughly half of the papers focused on factors that influence attitudes toward integrity and actual research practices. These factors are explored in these papers from the perspective of students and mentors, institutions and professions, medical practice and clinical research, conflict of interest, and, the most-studied subcategory of integrity, research misconduct. A second group of papers looked specifically at the way research integrity is taught, either across institutions or in one institution or course. Finally, a significant number of scholars tackled important methodological issues, looking at specific ways to detect misconduct, publication practices, and different theoretical perspectives. To speed dissemination and to facilitate access, all of the papers published in this volume have previously been made available on the web. This limited-edition, bound copy is intended to create a more permanent archive of the first Research Conference on Research Integrity. As this volume goes to press, the call for abstracts for the second Research Conference on Research Integrity is being transmitted to continue the work begun in November 2000. Nicholas H. Steneck, Ph.D. Department of History, University of Michigan Office of Research Integrity, DHHS Mary D. Scheetz, Ph.D. Office of Research Integrity, DHHS vii viii Contents Preface v Introduction vii Assessing the Integrity of Publicly Funded Research 1 I. Norms and Environmental Issues 1. Students and Mentors 17 What Would Get You in Trouble: Doctoral Students’ Conceptions of Science and Its Norms (19) Data Manipulation in the Undergraduate Laboratory: What are we teaching? (27) Preliminary Observations on Faculty and Graduate Student Perceptions of Questionable Research Conduct (35) Constructing a Personal Model of Research: Academic Culture and the Development of Professional Identity in the Professorate (41) Undergraduate Academic Cheating as a Risk Factor for Future Professional Misconduct (49) 2. Institutions and Professions 55 Comprehensive Guidelines for the Responsible Conduct of Researchers (57) Research Integrity in Social Work: Status, Issues, and Future Directions (65) Organizational Influences on Scientific Integrity (73) 3. Medical Practice and Clinical Research 91 Waiving Informed Consent: Long-Term Consequences for the U.S. Military (93) Promoting Scientific Integrity: The Long Road Ahead–Some Considerations from Espírito Santo, Brazil (99) Ethical Research Practice with Human Participants: Problems, Procedures, and Beliefs of Funded Researchers (105) Balancing Risks and Benefits of Deception in Assessing Genetic Screening (113) Research Integrity and the Direct Involvement of Persons with Disabilities (117) ix 4. Conflict of Interest 125 What is Driving Policies on Faculty Conflict of Interest? Considerations for Policy Development (127) The Commercialization of Academic Science: Conflict of Interest Policies and the Faculty Consultant (133) 5. Understanding Misconduct 141 Preventing Scientific Misconduct: Insights from “Convicted Offenders” (143) The Relative Efficiency of Research Misconduct Investigations Involving Personal Injury vs. Injury to the Scientific Record (151) Ethical Evaluation