This document discusses several key ethical issues in research including authorship, plagiarism, peer review, conflicts of interest, and research with human subjects. It provides definitions and guidelines for each topic. For authorship, all authors must significantly contribute to the research and writing. For plagiarism, ideas and words from others must be properly cited. Peer review ensures research quality and ethics. Conflicts of interest can arise from financial interests that compromise research objectivity. Research with human subjects must protect participant welfare.

1. RESEARCH
ETHICAL ISSUES
D E F I N I T I O N , I M P O R TA N C E A N D G U I D E L I N E S
https://www.ahc.umn.edu/img/assets/26104/Research_Et
hics.pdf
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2. GROUP SEATWORK
RECALL:
Nuremberg Code
Helsinki Declaration
Belmont Report
..Seatwork 6.-ETHICS Belmont Report.docx

3. ETHICAL ISSUES
•Authorship
•Plagiarism
•Peer review
•Conflict of
interest
•Data
•Research
Misconduct
•Research with
Animals
•Research with
Human Subjects

4. AUTHORSHIP: DEFINITION AND
IMPORTANCE
• process of deciding whose names belong on a
research paper
• research evolves from collaboration and
assistance between experts and colleagues
• assistance will require acknowledgement and
some will require joint authorship
• proper authorship practices in order to protect
their work and ideas while also preventing
research fraud.

5. AUTHORSHIP: GUIDELINES
• Each person listed as an author on an article
should have significantly contributed to both
the research and writing
• all listed authors must be prepared to accept
full responsibility for the content of the research
article

6. AUTHORSHIP: GUIDELINES
• The International Committee of Medical
Journal Editors (ICMJE) is the recognized
international expert organization when it comes
to guidelines regarding biomedical research
authorship

7. AUTHORSHIP: GUIDELINES
Authorship credit should be based only on:
substantial contributions to conception
and design, or acquisition of data, or
analysis and interpretation of data
drafting the article or revising it critically
for important intellectual content;
final approval of the version to be

8. EXAMPLE CASE STUDY
Query
Jamal is a graduate student working under the supervision of
professor, Dr. Kerry. Dr. Kerry is conducting research on tooth
decay and has gathered data from hundreds of dental
patients. Jamal uses Dr. Kerry’s data to analyze a research
question that he came up with on his own about tooth
erosion. His question is his own idea, but is still based on
he learned about tooth and enamel decay under Dr. Kerry.
Jamal’s friend, Darcie, helped Jamal design a statistical
computer program for data analysis, but did not contribute
any other way to the research. When writing up his results,
Kerry helped Jamal write the methods section of his
manuscript and reviewed his final results and conclusions, as
well as the final draft of the entire manuscript.
How should authorship be decided in this case?

9. EXAMPLE CASE STUDY
Answer
Jamal should be listed first as the primary
author because he is most closely involved in
research project.
Dr. Kerry should be listed second as co-author
because she meets the ICJME requirements of
authorship.
Darcie does not meet the criteria for authorship,
but she should be acknowledged for her
contribution if she so consents.

10. PLAGIARISM: DEFINITION AND IMPORTANCE
• the act of passing off somebody else’s ideas, thoughts,
pictures, theories, words, or stories as your own
• both an illegal act and punishable, considered to be on the
same level as stealing from the author that which he or she
originally created
• people who intentionally take a passage word-for-word, put it
in their own work, and do not properly credit the original
author
• unintentional (or simply lazy) paraphrased and fragmented
texts the author has pieced together from several works
without properly citing the original sources

11. PLAGIARISM AND SELF PLAGIARISM
• Plagiarism: using the ideas
or words of another person
without giving appropriate
credit
• Self-Plagiarism: The
verbatim copying or reuse
of one’s own research

12. FABRICATION OR FALSIFICATION
• Fabrication is making up data or results
and recording or reporting them.
• Falsification is manipulating research
materials, equipment, or processes, or
changing or omitting data or results
such that the research is not accurately
represented in the research record.

13. PLAGIARISM: GUIDELINES
Cite the original source if:
• “Quotes another person’s actual words, either
oral or written;
• Paraphrases another person’s words, either oral
or written;
• Uses another person’s idea, opinion, or theory;
or
• Borrows facts, statistics, or other illustrative
material, unless the information is common

14. PLAGIARISM: GUIDELINES
• “Redundant or duplicate publication is
publication of a paper that overlaps
substantially with one already published.”
• Violation: “international copyright laws,
ethical conduct, and cost-effective use of
resources.”
• Articles that have been published already
should not be either resubmitted under
another title, or resubmitted with only minor
changes to the text unless it is clearly stated
that it is a resubmitted article

16. EXAMPLE CASE STUDY
Query
Belinda is publishing her first article that builds on
the research of a similar project she did three years
prior with her colleague, Isaiah. In Belinda’s current
article she has placed a graph from the article she
and Isaiah co-authored about their previous
research. Isaiah created the original graph.
Does Belinda have to cite the previous article?

17. EXAMPLE CASE STUDY
Answer
Yes. Belinda is using the ideas of another
person(s). Even though the graph came from an
article she herself worked on, she should
appropriately cite the prior publication to show
that: a) the data and results depicted in the
graph are not new and have been previously
published; and, b) the idea originated with
another entity (in this instance the other entity is
the research team of Belinda and Isaiah).

18. PEER REVIEW: DEFINITION AND IMPORTANCE
• the process in which an author (or
authors) submits a written manuscript
or article to a journal for publication
and the journal editor distributes the
article to experts working in the same,
or similar, scientific discipline
• the reviewers, and the editor then enter
the peer review process

19. PEER REVIEW PROCESS
1. Reviewers and editors read and
evaluate the article
2. Reviewers submit their reviews back
to the journal editor
3. The journal editor takes all comments,
including their own, and communicates
this feedback to the original author (or
authors)

20. HIGH QUALITY PEER REVIEW
Importance – Does the research impact health and health care?
Usefulness – Does the study provide useful scientific information?
Relevance – Does the research apply to the journal’s readers and
content area of interest?
Sound methods – Was the research conducted with sound scientific
methods that allowed the researchers to answer their research
question?
Sound ethics – Was the study conducted ethically ensuring proper
protection for human subjects? Were results reported accurately and
honestly?
Completeness – Is all information relevant to the study included in the
article?
Accuracy – Is the written product a true reflection of the conduct and
results of the research?

21. PEER REVIEW GUIDELINES
• confidentiality and protection of intellectual
property
• Reviewers should not know the author (or
• the author (or authors) should not be told the
names of the reviewers
• Neither conflicted nor political
• include articles that they believe to be honest,
accurate, ethical, and scientifically responsible

22. EXAMPLE CASE STUDY
Query
Dr. Connelly is a faculty member at Springer
University. He has been asked to review a
publication for a biomedical journal. After
the article, he realizes the author is a student
working under the guidance of a fellow faculty
member in a neighboring department. The faculty
member happened to mention the merits of the
student at a recent social gathering.
Does Dr. Connelly have a reportable conflict of

23. Answer
The peer review process relies on a
foundation of confidentiality. Dr. Connelly
should contact the journal editor and
report his belief that the manuscript
originated from the university where he is
employed. He and the editor should then
open a dialogue about how this could
potentially effect his participation in the
peer review process and how to proceed.

24. CONFLICTS OF INTEREST: DEFINITION
AND IMPORTANCE
• arise when a person’s (or an organization’s)
obligations to a particular research project conflict
with their personal interests or obligations
• EX: a university researcher who owns stock in XYZ
Pharmaceuticals is obligated to report truthful and
accurate data, but he might be conflicted if faced
with data that would hurt stock prices for XYZ
pharmaceuticals
• identify potential conflicts of interest in order to
confront those issues before they have a chance to
do harm or damage

25. CONFLICTS OF INTEREST: GUIDELINES
• “Objectivity in Research NIH Guide,” provides
guidelines on how investigators receiving grants
from the National Institutes of Health (NIH)
handle conflicts of interest
• Investigators should:
Disclose to their institution any major or
significant financial conflicts of interest that might
might interfere with their ability to conduct a
research project objectively
Disclose any such financial conflicts of interest of
their spouses or dependent children
Physician and other health care
professional researchers may
find themselves facing conflicts
of interest in their duties
towards research versus their
duties towards the health and
welfare of their patients.

26. EXAMPLE CASE STUDY
Query
Dr. Garrath is a dermatological physician and an
investigator on a research project for a
pharmaceutical company testing a new
for a skin disease that must be administered
frequently and can cause itching and irritation.
The company is paying her a rate of P20,000 per
person enrolled.
Does she have a conflict of interest?

27. Answer
Yes. Dr. Garrath’s obligation to her patients has the potential to
compromised by her personal interests. While her job is to
and promote her patients’ welfare and health, at P20,000 per
person enrolled, she might be tempted to recruit more people
the study for her personal financial benefit by encouraging her
patients to participate and downplaying the side-effects and
burdens of participation. Dr. Garrath should carefully evaluate
whether this conflict of interest might impact her patients’ health
and welfare and how to solve this potential conflict before
agreeing to be an investigator. She should also report this
potential conflict to the proper administration authority at the
clinical site where she is practicing

28. DATA MANAGEMENT: DEFINITION AND IMPORTANCE
Three issues:
1. the ethical and truthful collection of reliable data;
2. the ownership and responsibility of collected data; and,
3. retaining data and sharing access to collected data with
colleagues and the public
• Ethical data collection refers to collecting data in a way that
does not harm or injure someone
• Assigning and ensuring responsibility for collecting and
maintaining data is one of the most important ethical
considerations when conducting a research project

29. RESPONSIBILITIES FOR COLLECTING AND
MAINTAINING DATA
Oversight of the design of the method of data collection
Protecting research subjects from harm
Securing and storing data safely to preserve the
integrity and privacy of data
Delegating work with data to others and responsibility over
the work of others
Responsible use of data and truthful portrayal of data results

30. DATA MANAGEMENT: GUIDELINES
• The three issues for data management (ethical
and truthful data collection, responsibility of
collected data, and data sharing) can be
addressed by researchers before and during
the establishment of a new research project
• Accurately identify answers to the following
questions to resolve and address all data
management issues in a timely manner

31. QUESTIONS:
• Who is in charge of the data? (This person is usually the principal
investigator of
the research project and is responsible for data collection design and
physical data
collection.)
• How will data be collected? Will data be collected via phone, mail,
personal interview, existing records, secondary sources, etc.?)
• Will there be identifying information within the data? If yes, why? How will
this be rectified?
• How will data be stored and what privacy and protection issues will result
from the method of storage? (Will it be stored electronically, on paper, as
raw tissue samples, etc.?)
• Who will ensure that no data were excluded from the final results and
ensure accuracy of result interpretation?
• How long after the project is over will data be kept? (This will depend on
the source of funding and organizational policies.)

32. • Protecting intellectual property while at the same time encouraging data
sharing is highly important in order to ensure valid and reliable research.
“Intellectual Property’ means any invention, discovery, improvement,
copyrightable work, integrated circuit mask work, trademark, trade secret, and
licensable know-how and related rights.
Intellectual property includes, but is not limited to, individual or multimedia
works of art or music, records of confidential information generated or
maintained by the University, data, texts, instructional materials, tests,
bibliographies, research findings, organisms, cells, viruses, DNA sequences,
other biological materials, probes, crystallographic coordinates, plant lines,
chemical compounds, and theses.
Intellectual property may exist in a written or electronic form, may be raw or
derived, and may be in the form of text, multimedia, computer programs,
spreadsheets, formatted fields in records or forms within files, databases,
graphics, digital images, video and audio recordings, live video or audio
broadcasts, performances, two or three-dimensional works of art, musical
compositions, executions of processes, film, film strips, slides, charts,
transparencies, other visual/aural aids or CD-ROMS.35 ” (University of Minnesota’s

33. EXAMPLE CASE STUDY
Query
Joanne is a researcher at George Kent College. She
collected data on rural mental health patients and just
published an article on her research in a scholarly
Joanne plans to independently write a book about her
research and develop educational tools that she can sell
professionals. Joanne is partly funded through her
but most of her research was paid for with a private
stipend from a charitable foundation. Joanne is reluctant
to publicly disclose her data before her book is finished.
Can she hold off on sharing her data until she completes
her book?

34. Answer
Joanne has published an article on her data and
according to NIH policies, she should be
to disclose her data at the time of publication.
However, Joanne is not funded with NIH dollars.
She would have to use her judgment about
publishing her data and be prepared to give a
strong reason to the editor of the journal (i.e. she
is writing a book) as to why she isn’t sharing her
data at this time.

35. RESEARCH MISCONDUCT: DEFINITION
AND IMPORTANCE
•the process of identifying and
reporting unethical or unsound
research.
•defined as fabrication,
falsification, or plagiarism in
proposing, performing, or
reviewing research, or in reporting
research results

36. RESEARCH MISCONDUCT:GUIDELINES
• The United States’ Office of Scientific and Technology Policy
(OSTP) released a new definition of research misconduct that went
went into effect in December of 2000.
A finding of research misconduct requires that:
There be a significant departure from accepted practices of the
relevant research community;
The misconduct be committed intentionally, or knowingly, or
recklessly; and
The allegation be proven by a preponderance of evidence

37. RESEARCH MISCONDUCT:GUIDELINES
• ..Research_Ethics.-NOTES.pdf

38. EXAMPLE CASE STUDY
Query
Marcus and Clay have been working on a
research project studying the prevalence of
pneumonia in nursing home residents. Marcus
learns that while Clay is interviewing research
participants, if he does not elicit an answer, he
invents one and passes it off as truthful data
collection. Marcus questions Clay and he denies
the allegation.
What should Marcus do?

39. Answer
Marcus is obligated to report Clay’s activity to the person in
charge of the research project. If this person does not respond
and the behavior continues, Marcus should then go to his
institution’s officer research integrity. Marcus should not
embellish any information or make assumptions, but merely
report his observations. If Marcus is worried about his working
relationship with Clay and the project’s leadership, he should
also report that concern to the research integrity office.

40. RESEARCH WITH ANIMALS
• In order to prevent the mistreatment of animals the
United States government first passed the Animal
Welfare Act in 1966 (last revised in 1990).
• Other agencies

41. EXAMPLE CASE STUDY
Query
Dr. Xiang conducts research studying antibacterial treatment
for infected skin wounds. He wants to study the infection rate
of a particular bacteria and see if it responds to a new antibiotic
drug he has developed. In order to test the drug, Dr. Xiang
must first inflict shallow wounds on animals, then infect the
wounds with the bacteria, and finally apply the antibiotic drug
to test its effectiveness. Dr. Xiang has two options:
a) inflict multiple wounds on a few animals; or, b) inflict
wounds on several
animals.
Which option is more attractive and the least harmful?

42. Answer
Is it better to minimize the number of animal subjects?
How much suffering can be born by one animal? Can
the data provide enough information for appropriate
analyses?
The Institutional Animal Care and Use Committees
(IACUC) at Dr. Xiang’s institution must answer these
questions to its satisfaction before approving the
research proposal.

43. RESEARCH WITH HUMANS
• Refer to the other file

44. EXAMPLE CASE STUDY
Query
Mike’s physician has asked him to
participate in a research project.
What should Mike know before he
consents?

45. Answer
Mike should be asked first to consent to participate in the
research
project. The consent process should tell him everything he
to know about the project including: possible risks, expected
benefits (when applicable), and protections for his privacy and
confidentiality. If Mike’s physician doesn’t explain these things
thoroughly to Mike, he should request more information or
reconsider his participating.
Mike should only consent to participate if he: a) understands all
the information as presented to him; b) feels that he is
voluntarily consenting to participate of his own free will; and, c)