1. RESEARCH ETHICS Research Methods University of Massachusetts at Boston ©2011 William Holmes 1

2. WHY ETHICS? Strengthens credibility of research Minimizes harm to research subjects Purges fraudulent results Assures consistency of results Documents professional behavior 2

3. PRINCIPLES OF ETHICAL RESEARCH Fraud and plagiarism are forbidden. Risks must be balanced with benefits. Harm to subjects must be minimized. Human subjects require informed consent. Confidentiality must be maintained unless a person is in danger. Scientific research must be peer reviewed for rigor and ethics. 3

4. Fraud is Forbidden By Professional Codes of Conduct By Federal Law By State Law By Administrative Regulations By Societal Norms 4

5. Fraud is Destructive: Part 1 Fraud perpetrates lies, rather than truth. Fraud diverts resources from credible research. Fraud diverts interest in credible researchers Fraud discourages credible research 5

6. Fraud is Destructive: Part 2 Fraud undermines credible theories. Fraud prevents reliable results. Fraud prevents useful applications Fraud encourages useless and worthless applications 6

7. Plagiarism is Forbidden Steals honor due others Gains temporary honor at cost of long-term ruin Diverts resources from productive researchers Suppresses production of better knowledge 7

8. Balance Benefits Benefits must outweigh risks. Risks without clear benefits are unacceptable Judgment of balance must be external Extreme risks must have extraordinary benefits Some risks too extreme for any benefit 8

9. Minimize Harm Use least intrusive procedures. Use least painful procedures. Minimize respondent burden. Harm resulting must be ameliorated. Un-harmful procedures should be chosen over harmful ones. Retain subject choice over participation 9

10. Informed Consent Subject is told purpose, procedures, risks, and benefits of study. Subject able to understand procedures and risks. Subject able to make reasonable judgments. Explicitness of consent depends on expectation of privacy and risk of harm. 10

11. CONFIDENTIALITY In general, information that would identify individuals cannot be released without consent of the subject. For federally funded projects, breaking confidentiality violates federal law. Most professional codes of conduct forbid breaking confidentiality. Some exceptions may occur if lives are in danger. 11

12. PEER REVIEW An Institutional Review Board (IRB) or research committee may require review Professional journals use peer review to create creditablity Peer committees may review research when the ethics of the research is questioned. Data may need be shared to replicate analysis. 12

13. INSTITUTIONAL REVIEW BOARDS Mandated by Federal Law Reviews Ethics of Research Can Require Changes to Questionable Research Protects Informed Consent, Human Subjects, and Confidentiality of Data 13