What Does Every Graduate Student Need to Know about RCR Jo Ann Smith, PhD, CRA Griselle Báez-Muñoz University of Central Florida Office of Research & Commericalization

Objectives -- Review the nine core areas of responsible conduct of research - Discuss the critical role of the research advisor/mentor in RCR - Demonstrate the interactive simulation "the Lab"

Nine Core Areas RCR 1.Advisor / Mentor Role 2.Treatment of Data 3.Research Misconduct (FFP) 4.Human Subjects 5.Animal Welfare 6.Conflict of Interest/Commitment 7.Publication Practices/Authorship 8.Peer Review 9.Collaborative Science

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1. Advising and Mentoring A mentor can be an advisor Often a mentor has influence over the mentee – Allocation of credit – Publication practices – Proper division of responsibilities

Advising and Mentoring Advisors and Mentors need to: Assist young researcher in their career Provide clear expectations Acclimate young researchers into the research community (acceptable standards and practices)

Advising and Mentoring Student Responsibility: Gather a diverse collection of mentors Seek out and initiate with their advisors

Treatment of Data Accurate Accessible (able to share data) Permanent record

Treatment of Data Insufficient training in the recording, analyzing, storing, and sharing of data Journal of Cell Biology (2002) – approximately a quarter had altered images and 1% were found to be fraudulent manipulation

3. Conflict of Interest/Commitment All potential conflicts of interest (COI) require disclosure to prevent the appearance of impropriety Financial conflict of interests (FCOI) and other external commitments are not necessarily prohibited, and may be situational reality that cannot be avoided

Examples of Possible COI Conducting a sponsored activity for a company in which the PI, CoPI, and/or their families have a financial interest as defined by applicable policies Hiring/supervision of family members on a contract or grant or the inclusion of family members as CoPI, key personnel, or subcontractors at another institution

Examples of Possible COI (cont.) Subcontracting or procuring services from a company owned by the PI, CoPI, or their family Serving as a consultant or other outside activities with a company or entity that funds sponsored research at the University

4. Human Subjects All research involving human subjects must be reviewed and approved by an IRB Human subject is defined as “a living individual about whom an investigator (faculty or student) conducting research obtains: – (1) Data through intervention or interaction with the individual, or – (2) Identifiable private information.” (32 CFR f) Note: includes survey research

Human Subjects Researchers involved in human subject research must be aware of all relevant regulations and have appropriate training (CITI Modules - ) The IRB – at least five members to review the potential benefits and risks of study and analyzes the informed consent procedure proposed

5. Animal Welfare Federal regulations govern animal research, institutional animal care and use committees, and treatment of animals. Animal Welfare Act seeks to ensure the appropriate care and treatment of animals used in research. – 3Rs: Reduction, Refinement, Replacement

Institutional Animal Care and Use Committee (IACUC) PHS policy defines an animal as "any live, vertebrate animal used in research, research training, experimentation, or biological testing or for related purposes IACUC - least 5 members, including a veterinarian, a scientist experienced in animal research, a non- scientist and a member who has no other affiliation with the Institution

6. Responsible Conduct of Research All institutions that receive federal funds must have policies and procedures to investigate and report research misconduct (42 CFR Part 93) UCF follows the U.S. Office of Research Integrity’s definition of research misconduct as….

*Definition of Research Misconduct: Fabrication –making up data or results Falsification – manipulating research materials, equipment or process, or changing or omitting data or results such that the research is not accurately represented in the research record Plagiarism – the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. …in proposing, performing, or reviewing research, or in reporting research results. * U.S. Office of Science & Technology Policy

Criteria to be Considered Misconduct 1.Significant departure from accepted practices and norms in that discipline 2.Committed intentionally or knowingly, or recklessly 3.Proven by a preponderance of evidence Does not include honest error, differences of opinion, or issues of authorship * U.S. Office of Science & Technology Policy

Responding to Suspected Violations Institution designate an official to investigate allegations (RIO, Director/Chair, Compliance, or the Ombudsman) Investigations are normally divided into two procedures- – 1. Investigation of suspected misconduct – 2. If warranted, a formal investigation to reach a conclusion and the necessary actions to be taken

Methods used by scientists & institutions to address questionable research practices (QRP) are different than for those handling misconduct in science Different scientific fields vary on what is defined as a QRP Questionable Research Practices

7. Publication Practices/ Authorship Collaborative work and assigning appropriate credit, acknowledgments Appropriate citations Repetitive publications, fragmentary publication

Publication Practices/Authorship Sufficient description of methods Corrections and retractions, Conventions for deciding upon authors, Author responsibilities The pressure to publish

8. Peer Review Editorial boards and ad hoc reviewers Responsibilities of the reviewers – Determining merit for research funding and publications – Impartiality – Privileged information and confidentiality

9. Collaborative Science Set ground rules early Avoid authorship disputes Issues with the sharing of materials and information with internal and external collaborating scientists

Reference: Committee on Science, Engineering, and Public Policy, National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. (1995). On Being a Scientist: A Guide to Responsible Conduct in Research: Third Edition. The National Academies Press. Retrieved from:

Questions/Discussion?

Contact Us: -Jo Ann Smith, PhD, CRA -Griselle Báez-Muñoz