Course: Applied Research Methodology Module 7: Research Ethics

Course: Applied Research Methodology
Module 7: Research Ethics

1. Module 7: Research Ethics, Page 1
Escuela de Doctorado
Course: Applied Research Methodology
Module 7: Research Ethics
Prof. Alfredo García
Highway Engineering Research Group
Version 1, March 29
th
, 2017

2. Module 7: Research Ethics, Page 2
1.Learning outcomes
2.Introduction
3.Misconduct
4.Professional Responsibility
5.Policies
6.References
Content

3. Module 7: Research Ethics, Page 3
Part 1
Learning Outcomes

4. Module 7: Research Ethics, Page 4
•Awareness of the ethical dimension of research
•Understanding the importance of a good
research
•Knowing international codes of research ethics
•Conducting an ethical review of research
Learning Outcomes

5. Module 7: Research Ethics, Page 5
Part 2
Introduction

6. Module 7: Research Ethics, Page 6
•Ethicsare norms for conduct that distinguish
between acceptable and unacceptable behavior
•Research Ethics is a type of applied or practical
ethics, meaning that it attempts to resolve not
merely general issues but also specific problems
that arise in the conduct of research:
•Its goal is to determine the moral acceptability and
appropriateness of specific conduct and to establish the
actions that moral agents ought to take in particular situation
•Research ethics is therefore not merely theoretical. It aims to
establish practical moral norms and standards for the conduct
of research
Concept

7. Module 7: Research Ethics, Page 7
•Research is a process, using defensible
methods that is done on behalf of society, in
search of knowledgethat can be shared and
used
•Research is usually supported through public or
private funds
•Research matters because it is judged to be
important by expert peers
Need of Research Ethics
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8. Module 7: Research Ethics, Page 8
•Researchers have responsibilities to:
–Colleagues
–Institution in which they work
–Potential and actual funders
–Audiences
–Publishers to whom they submit their work
–Peers
Need of Research Ethics

9. Module 7: Research Ethics, Page 9
•Responsible Conduct in Researchrequires both:
–Compliancemeans the researcher follows the rules
set out by the government, funding agencies and the
researcher’s institution:
•Compliance sets out the minimum acceptable ethical
behaviorin research
•Noncomplianceresults in Research Misconduct
–Ethicsrefers to a responsible behavior towards
humans, animals, society and ecosystem. Ethics
means promoting good (more than simply following
the rules)
Responsible Conduct in Research

10. Module 7: Research Ethics, Page 10
•Appreciation
•Authenticity
•Compassion
•Conscientiousness
•Consistency
•Contribution
•Courage
•Credibility
•Equity
Ethical Character -Values
•Fairness
•Fidelity
•Gratitude
•Honesty
•Integrity
•Justice
•Prudence
•Recognition
•Responsibility
•Self-control
•Sensitivity
•Serenity
•Trustworthiness
•Wisdom

11. Module 7: Research Ethics, Page 11
Part 3
Misconduct

12. Module 7: Research Ethics, Page 12
•Fabrication
•Falsification
•Plagiarism
•Misappropriation
•Other forms of misconduct
Misconduct
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13. Module 7: Research Ethics, Page 13
•Fabrication is the act of making up data or
results, then recording or reporting them as
part of the research record:
–Fabricated data have not been obtained in the
manner or by the methods described in the report
–Presenting fabricated results in a research report
•Fabrication is ethically wrong because of its
harmfulness:
–It is legally required for funding agencies and
research institutions to take actions against
researchers who fabricate
Fabrication
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14. Module 7: Research Ethics, Page 14
•Why is it a problem?:
–Scientific research and discovery is a model for
collaborative effort
–Each new discovery is built upon earlier discoveries
–Each researcher is dependentupon the work of
researcherswho have come before
–Increasingly, individual research projects require
skill sets and knowledge bases from a variety of
different disciplines
Fabrication
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15. Module 7: Research Ethics, Page 15
•Competition may tempt people into fabrication:
–Researchers compete with one another for funding
from a limited pool of resources
–Labs that are working on similar questions compete
to be the first to confirm and publish particular
results
–Institutions and labs compete for topresearchers,
post-docs, and students
–Students often feel that they are in competition for
projects, credit, mentoring time and attention
Fabrication

16. Module 7: Research Ethics, Page 16
•Intentional alteration or presentation of
original findings in a way which distorts the
result:
–Scientifically unjustified alteration or selection of
data or results
–Manipulatingresearch materials, equipment or
processes
–Misrepresentation to omit results or data pertinent
to conclusions
Falsification
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17. Module 7: Research Ethics, Page 17
•In research ethics, the term falsification means
changing or misrepresenting data or
experiments, or misrepresenting other
significant matters such as the credentials of a
researcherin a research proposal
•Unlike fabrication, the distinguishing of
falsification data from legitimate data selection
often requires judgment and an understanding
of statistical methods
Falsification

18. Module 7: Research Ethics, Page 18
•Falsificationis the practice of omitting or
alteringresearch materials, equipment, data, or
processes in such a way that the results of the
research are no longer accurately reflected in
the research record
•Fabricationis the practice of inventing data or
resultsand recording and/or reporting them in
the research record.
Falsification vs Fabrication

19. Module 7: Research Ethics, Page 19
•Presentingsomeone else’s research plan,
manuscript, article or text, or parts thereof, as
one’s own:
–Appropriationof another person’s ideas, processes,
results or words:
•If published -without giving appropriate credit,
•If not published -obtained through confidential review of
others’ research proposals and manuscripts as a reviewer
Plagiarism
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20. Module 7: Research Ethics, Page 20
•Internet makes plagiarism even easier than it
used to be:
–“Cutting and pasting" without giving proper credit
•Internet also makes catching plagiarists easier
than it used to be:
–Specific software:
•CrossCheck: a service that helps editors to verify the
originality of papers. CrossCheckis powered by the
Ithenticatesoftware from iParadigms, known in the
academic community as providers of Turnitin:
–http://turnitin.com
Plagiarism
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21. Module 7: Research Ethics, Page 21
•Specific software:
–CrossCheck:
•Over 200 CrossRefmembers, including Elsevier,
collaborate by donating full-text journal articles and book
chapters to create a unique database of over 50 million
articles. Note that even this database is not entirely
exhaustive: research published by non-participating
publishers or before the digital era may be absent
•List of all participating publishers:
www.crossref.org/crosscheck_members.html
•List of all journals in the CrossCheckdatabase:
www.ithenticate.com/search
Plagiarism
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22. Module 7: Research Ethics, Page 22
•Specific software:
–There are a number of free or commercially
available software packages that have the ability to
identify text that is common to multiple documents
–Some software packages are designed to perform a:
•Side-by-side comparison of two or more documents,
•Comparison of the text of a document to text found on
websites
Plagiarism

23. Module 7: Research Ethics, Page 23
•Intellectual theft: a researcher illicitly presents
or uses in his/her own name an original
research idea, plan or finding disclosed to
him/her in confidence:
–... Similar to plagiarism
–... Access to this knowledge could have been
obtained through:
•Reviewing others’ work (manuscripts, projects)
•Conversations, lab visits, ...
Misappropriation

24. Module 7: Research Ethics, Page 24
•Understatementof other researchers’
contribution to a publication:
–Particularly critical in team work and projects in
consortia
Misappropriation

25. Module 7: Research Ethics, Page 25
•Not giving credit: negligence in referring to
earlier findings:
–A researcher is not expected to include only new
ideas in his/her papers/talks ... But proper citation
is needed
Misappropriation

26. Module 7: Research Ethics, Page 26
•Violation of Confidential Peer Review:
–When reviewing a paper (submitted to a
conference, journal, ... or even when asked by a
colleague)
–When reviewing a project or project proposal:
•A researcher is obliged to keep confidentiality of all
information he/she got access to
•Misrepresenting Credentials:
–For instance, when someone claims qualifications,
experience, etc. he/she does not have
Other Forms of Misconduct

27. Module 7: Research Ethics, Page 27
•Pseudo-citations:
–Making citations to important works ... That were
not read
•Self-plagiarism-publication of the same
results several times as new:
–A researcher can certainly build on his/her previous
work, and include summaries of it to give a better
context, but each new paper MUSThave a
substantial amount of new results
Other Forms of Misconduct

28. Module 7: Research Ethics, Page 28
•“Other deviations" from acceptable research
practices (1/5):
•Submitting the same paper to different journals without
notifying the editors
•Publishing the same paper in two different journals without
telling the editors
•Not informing a collaborator of your intent to file a patent in
order to make sure that you are the sole inventor
•Including a colleague as an author on a paper in return for a
favor even though the colleague did not make a serious
contribution to the paper
•Discussing with your colleagues data from a paper that you are
reviewing for a journal
Other Forms of Misconduct
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29. Module 7: Research Ethics, Page 29
•“Other deviations" from acceptable research
practices (2/5):
•Trimming outliers from a data set without discussing your
reasons in paper
•Using an inappropriate statistical technique in order to enhance
the significance of your research
•Bypassing the peer review process and announcing your results
through a press conference without giving peers adequate
information to review your work
•Conducting a review of the literature that fails to acknowledge
the contributions of other people in the field or relevant prior
work
Other Forms of Misconduct
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30. Module 7: Research Ethics, Page 30
•“Other deviations" from acceptable research
practices (3/5):
•Stretching the truth on a grant application in order to convince
reviewers that your project will make a significant contribution to
the field
•Stretching the truth on a job application or curriculum vita
•Giving the same research project to two graduate students in
order to see who can do it the fastest (but one of them cannot
pursue the work for his graduation)
•Overworking, neglecting, or exploiting graduate or post-doctoral
students
•Keeping original data at home or taking it with you when you
move
Other Forms of Misconduct
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31. Module 7: Research Ethics, Page 31
•“Other deviations" from acceptable research
practices (4/5):
•Failing to maintain research data for a reasonable period of time
•Making derogatory comments and personal attacks in your
review of author's submission
•Making significant deviations from the research protocol
approved by your institution's:
–Animal Care and Use Committee or Institutional Review Board for Human
Subjects
–Research without telling the committee or the board
•Rejecting a manuscript for publication without having read it
Other Forms of Misconduct
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32. Module 7: Research Ethics, Page 32
•“Other deviations" from acceptable research
practices (5/5):
•Sabotaging someone's work
•Stealing supplies, books, or data
•Influencing an experiment so you know how it will turn out
•Making unauthorized copies of data, papers, or computer
programs
•Owning over $##,### (# %) in shares in a company that sponsors
your research and not disclosing this financial interest
Other Forms of Misconduct

33. Module 7: Research Ethics, Page 33
Part 4
Professional Responsibility

34. Module 7: Research Ethics, Page 34
•Scope of responsibility
•Responsible data management
•Criteria for authorship
•Objectivity and accuracy
•Conflict of interest
•Carefulness
•Respect intellectual property
Professional Responsibility
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35. Module 7: Research Ethics, Page 35
•To complywith:
–Ethical codes
–Good practices in research
•To promote:
–Research ethics
–Responsible conduct in research
–Responsible data management
•To provide information about:
–Research misconduct
–Conflict of interest
–...
Scope of Responsibility
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36. Module 7: Research Ethics, Page 36
•Ethical responsibility is not only a personal
matter:
–Involving more than leading a decent, honest,
truthful life
–Including making wise choices when such choices
suddenly, unexpectedly present themselves
•Ethical responsibility encompasses our moral
obligationsto include:
–Willingness to engage others in the difficult work of
defining the crucial choices that confront
technological society
Scope of Responsibility

37. Module 7: Research Ethics, Page 37
•Keeping the integrity of data:
–Trimming:
•Smoothing of irregularities to make the data look
extremely accurate and precise
–Falsifying:
•Inventing some or all of the research data that are
reported, and even reporting experiments to obtain
those data that were never performed
–Cooking:
•Retaining only those results that fit the theory and
discarding others
ResponsibleData Management
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38. Module 7: Research Ethics, Page 38
•Privacy and confidentiality:
–Respecting privacy of individuals, when the
research involves collecting personal information:
•Paying careful attention to existing regulations
•Taking into account principles of informed consent:
–Potential subjects should be adequately informed of the aims,
methods, benefits, hazards and any discomfort
–Consent should normally be in writing and records kept
–Respect for vulnerable persons
–Potential subjects are free to withdraw without implication
–All subjects should be volunteers, decisions not to participate
should not prejudice the subject in any way
ResponsibleData Management
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39. Module 7: Research Ethics, Page 39
•Research related to private industry:
–Gives access to proprietary information:
•Mandatory to respect the non-disclosure agreements
•This also implies special care in handling information in
the research environment (how it is stored, who has
access to it, ...)
ResponsibleData Management

40. Module 7: Research Ethics, Page 40
•Authors should:
–Make a substantial contribution to research work
–Write draft of the paper or revise it critically
–Provide final approval of the version to be sent for
reviewing and publishing
–Agree to be named as author
Criteriafor Authorship
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41. Module 7: Research Ethics, Page 41
•Avoid authorship disputes:
–Discussing plans and general criteria for authorship
from the beginning of a collaboration:
•Authors, roles and order
•Acknowledges:
–Those who contribute to the research but do not
qualify for authorship
Criteria for Authorship

42. Module 7: Research Ethics, Page 42
•Appropriated behavior:
–Avoiding deliberate bias in the research work
–Avoiding misapplication by others
–Speaking out when others appear to misuse or
misinterpret them
Objectivityand Accuracy

43. Module 7: Research Ethics, Page 43
•Possible situations:
–He/she is in a relationship with another requiring
him/her to exercise judgment in that other’s service
–He/she has an interest tending to interfere with the
proper exercise of judgment in that relationship
Conflictof Interest
There is nothing unusual or necessarily
wrong in having a conflict of interest.
How it is dealt with is the important thing
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44. Module 7: Research Ethics, Page 44
•Some examples:
–Evaluation of proposals from your own institute
–Evaluation papers from relatives or colleagues from
your organization
–Holding a direct or indirect interest in an outside
entity that conducts business in an area closely
related to the researcher’s employer
–Use of the university research facilities to conduct
private research work without benefit for the
university
Conflictof Interest

45. Module 7: Research Ethics, Page 45
•Researcher must be alert to:
–Avoid careless errors and negligence
–Carefully and critically examine his/her own work
and the work of his/her peers
–Keep good records of research activities:
•Data collection, research design, and correspondence
with agencies or journals
Carefulness
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46. Module 7: Research Ethics, Page 46
•Negligent Research:
–Insufficient care in a matter where one is morally
obliged to be careful
•Reckless:
–Acts in professional practice that ignore dangers
that should be obvious to a minimally competent
professional so the acts themselves create a
presumption of willfully ignoring those dangers
together with failing to give them due attention and
care
Carefulness

47. Module 7: Research Ethics, Page 47
•Honor patents, copyrights, and other forms of
intellectual property
•Do not use unpublished data, methods, or
results without permission
•Give credit where credit is due
•Give proper acknowledgement or credit for all
contributions to research
•Never plagiarize
RespectIntellectualProperty

48. Module 7: Research Ethics, Page 48
Part 5
Policies

49. Module 7: Research Ethics, Page 49
•Legislation Framework
•Ethical Codes
•Ethics Review Committees
•Ethics Self-assessment
•Publishing Ethics
•Diversity
Policies
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50. Module 7: Research Ethics, Page 50
•For all activities funded by the European Union
(Horizon 2020), ethics is an integral part of
research from beginning to end, and ethical
compliance is seen as pivotal to achieve real
research excellence
•Ethical research conduct implies the application
of fundamental ethical principles and legislation
to scientific research in all possible domains of
research
Legislation Framework
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51. Module 7: Research Ethics, Page 51
•The most commonethical issues include:
–the involvement of children, patients, vulnerable
populations,
–the use of human embryonic stem cells,
–privacy and data protection issues,
–research on animals and non-human primates
•It also includes the avoidance of any breach of
research integrity, which means, in particular,
avoiding fabrication, falsification, plagiarism or
other research misconduct
Legislation Framework
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52. Module 7: Research Ethics, Page 52
•Ethics is given the highest priority in EU funded
research: all the activities carried out under
Horizon 2020 must comply with ethical
principles and relevant national, EU and
international legislation, for example:
–Charter of Fundamental Rights of the European Union, and
–European Convention on Human Rights
Legislation Framework
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53. Module 7: Research Ethics, Page 53
•In the work program 2014-2015, the ethics
topicsaimed at promoting (1/2):
–Research integrity:
•Past research misconduct cases have led to the adoption
of guidelines and codes of conduct; however, the cases
are very complex and diverse
•As there is no single approach to research misconduct,
the pros and cons of different methods should be
assessed. The cases where suspicion was confirmed and
lead to sanctions are indispensable
Legislation Framework
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54. Module 7: Research Ethics, Page 54
•In the work program 2014-2015, the ethics topicsaimed
at promoting (2/2):
–Ethics dumping:
•Due to the progressive globalization of research activities, the risk is
higher that research with sensitive ethical issues is conducted by
European organizations outside the EU in a way that would not be
ethical accepted in Europe. This exportation of these non-compliant
research practices is called ethics dumping
–In order to mitigate and reduce the risk, European, national and international
ethics bodies should collaborate actively and at multiple levels: within the EU,
between the EU and other high-income countries, and between high-income
and low-income countries, where the risks of dumping is higher. Good practices
shall be identified with the aim of elaborating a code of conduct for all actors
Legislation Framework

55. Module 7: Research Ethics, Page 55
•Code of ethics: code of professional
responsibility intended to serve as a guide to
the everyday professional conduct
EthicalCodes
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56. Module 7: Research Ethics, Page 56
•Some ethical principles that codes address (1/5):
–Honesty:
•Strive for honesty in all scientific communications. Honestly report data, results, methods
and procedures, and publication status. Do not fabricate, falsify, or misrepresent data. Do
not deceive colleagues, granting agencies, or the public
–Objectivity:
•Strive to avoid bias in experimental design, data analysis, data interpretation, peer review,
personnel decisions, grant writing, expert testimony, and other aspects of research where
objectivity is expected or required. Avoid or minimize bias or self-deception. Disclose
personal or financial interests that may affect research
–Integrity:
•Keep your promises and agreements; act with sincerity; strive for consistency of thought
and action
Ethical Codes
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57. Module 7: Research Ethics, Page 57
•Some ethical principles that codes address (2/5):
–Carefulness:
•Avoid careless errors and negligence; carefully and critically examine your own work and
the work of your peers. Keep good records of research activities, such as data collection,
research design, and correspondence with agencies or journals
–Openness:
•Share data, results, ideas, tools, resources. Be open to criticism and new ideas
–Respect for Intellectual Property:
•Honor patents, copyrights, and other forms of intellectual property. Do not use
unpublished data, methods, or results without permission. Give credit where credit is
due. Give proper acknowledgement or credit for all contributions to research. Never
plagiarize
Ethical Codes
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58. Module 7: Research Ethics, Page 58
•Some ethical principles that codes address (3/5):
–Confidentiality:
•Protect confidential communications, such as papers or grants submitted for publication,
personnel records, trade or military secrets, and patient records
–Responsible Publication:
•Publish in order to advance research and scholarship, not to advance just your own career.
Avoid wasteful and duplicative publication records
–Responsible Mentoring:
•Help to educate, mentor, and advise students. Promote their welfare and allow them to
make their own decisions
–Respect for colleagues:
•Respect your colleagues and treat them fairly
Ethical Codes
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59. Module 7: Research Ethics, Page 59
•Some ethical principles that codes address (4/5):
–Social Responsibility:
•Strive to promote social good and prevent or mitigate social harms through research, public
education, and advocacy
–Non-Discrimination:
•Avoid discrimination against colleagues or students on the basis of sex, race, ethnicity, or
other factors that are not related to their scientific competence and integrity
–Competence:
•Maintain and improve your own professional competence and expertise through lifelong
education and learning; take steps to promote competence in science as a whole
–Legality:
•Know and obey relevant laws and institutional and governmental policies
Ethical Codes

60. Module 7: Research Ethics, Page 60
•Some ethical principles that codes address (5/5):
–Animal Care:
•Show proper respect and care for animals when using them in research. Do not conduct
unnecessary or poorly designed animal experiments
–Human Subjects Protection:
•When conducting research on human subjects, minimize harms and risks and maximize
benefits; respect human dignity, privacy, and autonomy; take special precautions with
vulnerable populations; and attempt to distribute the benefits and burdens of research fairly
Ethical Codes

61. Module 7: Research Ethics, Page 61
•Members of Research Ethics Committees are
responsible for the ethical review of research
proposals
•There could be ethics committees in:
–Universities
–Research institutes
–Companies
–Administrations
Ethics Review Committees
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62. Module 7: Research Ethics, Page 62
•The task faced by a:
–Research Ethics Committee in determining what
questions to pose to a researcher, and
–Researcher deciding what information to include in
a submission to a Research Ethics Committee
Ethics Review Committees
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63. Module 7: Research Ethics, Page 63
•Main research ethics committee’s roles:
–To protect and support the autonomy of
prospective and existing research
subjects/participants;
–To protect the welfare of prospective and existing
research subjects/participants;
–To balance a number of relevant moral
considerations when considering research
proposals, including that of respect for autonomy
and the protection and advancement of welfare
Ethics Review Committees
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64. Module 7: Research Ethics, Page 64
•The relationship between codes, ethical practice
and the law should be discussed, due to:
–Ethical evaluation cannot simply be a matter of
‘applying’ codes or laws; since
–These are often general and fail to provide clear
guidance in complex cases; and
–In some cases what is legal depends on the judgement of
a REC; and
–The contents of particular guidelines may be
controversial and/or contradictory (internally or with
other guidelines)
Ethics Review Committees
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65. Module 7: Research Ethics, Page 65
•It is sometimes argued that since unethical
research is not widespread, the present form of
regulation constitutes an over-reaction to rare
scandalous behavior in the conduct of research
Ethics Review Committees
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66. Module 7: Research Ethics, Page 66
•While over-regulation may be an obstacle to the pursuit of
(ethically and scientifically) good research, it should be
pointed out that ethical decision-making is complex, and
therefore individual researchers may not be best placed
to decideabout the ethical issues a project raises:
–Instead it may need a group of experts, both scientific and
ethical, to take a good decision
–Likewise, given the plurality of ethical views that are available, a
committee decision can be representative in ways that an
individual decision about the ethical legitimacy of a course of
action cannot
Ethics Review Committees

67. Module 7: Research Ethics, Page 67
•Horizon 2020 (EU) assist you in getting your
research proposal ‘ethics-ready’ for obtaining
funding:
–To identify and deal correctly with any ethics issues
that may arise from it
–To helpboth for:
•‘Ethics issues table’ in Part A of your proposal, and
•Completing that table and the ethics self-assessment in
Part B of your proposal
Ethics Self-assessment
https://ec.europa.eu/research/participants/portal/doc/call/h2020/h2020-msca-if-2015/1645175-h2020_-_guidance_ethics_self_assess_en.pdf
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68. Module 7: Research Ethics, Page 68
•This document is however no more than a ‘how
to’ guide:
–Covering the majority of ethics issues that normally
arise in research projects, and
–Giving advice on how to deal with classic cases
•The ethics self-assessment will become part of
your grant agreement and may thus lead to
binding obligations that may later be checked
during ethics checks, reviews and audits
Ethics Self-assessment
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69. Module 7: Research Ethics, Page 69
•Ethics Issues Checklist (Horizon 2020):
–Human embryos and foetuses
–Humans
–Human cells/tissues
–Personal data
–Animals
–Third countries
–Environment & Health and Safety
–Dual use
–Misuse
–Other ethics issues
Ethics Self-assessment
+
+
+

70. Module 7: Research Ethics, Page 70
•Ethics Issues Checklist –Humans:
–Does your research involve human participants? If Yes:
•Are they volunteers for social or human sciences research?
–Information to be provided: details on recruitment, inclusion and
exclusion criteria and informed consent procedures
•Are they vulnerable individuals or groups?
–Information to be provided: details on the type of vulnerability; details
on recruitment, inclusion and exclusion criteria and informed consent
procedures
•Are they patients?
–Information to be provided: details on the nature of
disease/condition/disability; details on recruitment, inclusion and
exclusion criteria and informed consent procedures; details on your
policy for incidental findings
Ethics Self-assessment

71. Module 7: Research Ethics, Page 71
•Ethics Issues Checklist –Personal data:
–Does your research involve personal data collection and/or
processing? If Yes:
•Does it involve the collection or processing of sensitive personal data
(e.g. health, sexual lifestyle, ethnicity, political opinion, religious or
philosophical conviction)?
–Information to be provided: details on your procedures for data
collection, storage, protection, retention, transfer, destruction or re-
use; details on your data safety procedures; confirm that informed
consent has been obtained; details on data transfers to third countries
•Does it involve tracking or observation of participants (e.g.
surveillance or localization data, such as IP address, MACs, cookies
etc.)??
–Information to be provided: details on methods used for tracking or
observing participants
Ethics Self-assessment
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72. Module 7: Research Ethics, Page 72
•Ethics Issues Checklist –Personal data:
–Does your research involve further processing of previously
collected personal data (‘secondary use’)? If Yes:
–Information to be provided: details on the database used or of the
source of the data; details on your procedures for data processing;
details on your data safety procedures; confirm that data is openly and
publicly accessible or that consent for secondary use has been
obtained; confirm permissions by the owner/manager of the data sets
Ethics Self-assessment

73. Module 7: Research Ethics, Page 73
•Ethics Issues Checklist –Environment & Health
and Safety:
–Does your research involve the use of elements that may
cause harm to the environment, animals or plants? If Yes:
–Information to be provided: risk-benefit analysis; show how you apply
the precautionary principle (if relevant); details on safety measures you
intend to apply
–Does your research involve the use of elements that may
cause harm to humans, including research staff? If Yes:
–Information to be provided: risk-assessment
Ethics Self-assessment

74. Module 7: Research Ethics, Page 74
•Publishers are developing mechanisms to
enforce publishing ethics
–Resources for editors:
•PERK(The Publishing Ethics Resource Kit):
–Online resource to support journal editors in handling publishing
ethics issues
–Single point of access for information and guidelines on
publishing ethics
–Provides flowcharts to guide editors through processes required
to deal with different forms of publishing ethics abuse
–http://www.elsevier.com/editors/perk
Publishing Ethics
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75. Module 7: Research Ethics, Page 75
•Publishers are developing mechanisms to
enforce publishing ethics
–Resources for editors:
•COPE(Committee on Publication Ethics):
–Including an eLearning program on how to handle and prevent
misconduct
–Offers young researchers advice on how to avoid misconduct
and recommended reading about research and publication
ethics
–The program is a collaboration of an independent panel of
experts in research and publishing ethics and Elsevier
»http://publicationethics.org/
Publishing Ethics

76. Module 7: Research Ethics, Page 76
•When collaborating / interacting with
researchers from other geographical regions, it
is necessary to be aware of different ethical
principles according to different cultures and
value systems:
–There could be different priorities in values:
•The disagreement about values is often not the result of the
acceptance of different values but of different interpretation or
prioritization of values
•Moral values depend on our self-understanding, conception of good
life, which in turn depend on historical events and economic
situation, cultural tradition, and religious convictions
Diversity

77. Module 7: Research Ethics, Page 77
Part 6
References

78. Module 7: Research Ethics, Page 78
•European Textbook on Ethics in Research (2010), European
Commission, Directorate-General for Research, Brussels
•Syllabus on Ethics in Research (2010), European Commission,
Directorate-General for Research, Brussels
•Publishing Ethics Resource Kit (PERK)
(http://www.elsevier.com/editors/perk)
•Committee on Publication Ethics (COPE)
(http://publicationethics.org/)
•Citation ethics for editors (Elsevier)
(http://www.elsevier.com/connect/citation-ethics-for-editors)
References

79. Module 7: Research Ethics, Page 79
•Prof. Alfredo García: [email protected]
Module 7: Research Ethics