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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct Index A Academic research, see Professional education; Universities and colleges Accountability, general, 1, 39 self-assessment, 10, 73 Accreditation, institutional, 13, 30, 56, 66, 79, 80-82, 112, 113-122, 131-132 animal research, 81-82, 121 Council for Higher Education Accreditation, 80, 119 human subjects, 81-82, 121 public opinion, 115, 119 Quality Improvement Program, 77 Accreditation Board for Engineering and Technology, 117 Administrative Procedures Act, 168, 173 Administrators and administration, 4, 10, 46 cost factors, 10-11, 119-120, 129 education of, 86-87 funding, 23, 119-120, 129 regulatory compliance, 74 self-assessment, 79, 116, 121 American Association for the Advancement of Science, 21, 106, 187-188 Animal research, 5, 35, 39, 43, 89 accreditation, institutions, 81-82, 121 open systems model, 54, 65 ORI core content areas, 22 Animal Welfare Act, 39 Army, see U.S. Army Association of American Medical Colleges, 21 Association of American Universities, 44 Associations, see Professional organizations Attitudes and beliefs, 16-17, 116 see also Individual scientists; Public opinion educators, 98, 116 individual scientists, 16-17, 62, 86, 87, 88, 89, 90-92, 94-96, 130 Authorship, 36, 40 Award for Excellence in Human Research Protection, 77 Awards, see Reward systems B Benchmarks, 75-77, 78-79, 81, 112 Biomedical research, 17-18, 20, 25, 158-161 see also Animal research; Human subjects

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct awards, 77 licensure, 118 open systems model, 50 performance-based systems, 77, 78 privacy, 25, 67 C Canter’s Dilemma, 95 Case analyses, 90, 91, 92-93, 151-152 Center for Academic Integrity, 148-149 Colleges, see Universities and colleges Collegiality, 5, 35, 36, 37-38, 39, 61-62 see also Peer review Committee biographies, 184-185, 188-194 Competition, 16, 25, 37, 38, 42, 53, 57, 58 Computer technology, 25 see also Databases computer-based instruction, 103-104, 151 Internet, 21, 105, 125, 138, 170 Conflicts of interest, 5, 25, 35, 37, 38, 43-44, 55, 92-93 Continuing education, 27, 40, 41, 85, 86-87 Copyright, see Intellectual property Council for Higher Education Accreditation, 80, 119 Cultural issues, 1, 4-5, 6, 22, 25, 33, 56, 94-95, 112, 120 see also Institutional factors; Political factors; Public opinion definitional, 30, 87-89 institutional integrity, 34, 46-47, 60, 72, 78, 115, 116-117, 120, 143, 144-150, 161-162, 163 open systems model, 7, 49-71 religious, 38 D Databases, 13-14, 20, 132 committee report at hand, methodology, 135-136 Internet, 21, 105, 125 Data issues, 116, 125 see also Intellectual property; Journals; Reporting requirements open systems model, 59-60 ORI core content areas, 22, 23 privacy, 25, 67 Decision-making practices, 3, 9, 10, 23, 26, 42, 43, 54, 56, 62-63, 84, 89 authorship, 36, 40 conflicts of interest, 5, 25, 35, 37, 38, 43-44, 55, 92-93 problem solving, 9, 20, 41, 53, 62, 63, 89-93, 98, 99 Defining Issues Test, 91-92, 154-159, 160 Definitional issues, 1, 2, 16, 27, 30, 86, 87, 130, 146, 151-159 cultural issues, 30, 87-89 decision making, 62-63 ethical sensitivity, 86, 87, 88, 89, 151-152 institutional factors, 4, 30 mentor, 40 professional education, 30 research environment, 2, 18, 29 research integrity, 2, 4, 18, 27, 29, 34, 62, 115 research misconduct, 170-172, 175 Dental Practice Act, 160 Department of Education, 119, 150 Department of Energy, 139 Department of Health and Human Services, 18-20, 168-176 see also Office of Research Integrity Award for Excellence in Human Research Protection, 77 committee charge, 2, 3, 18, 124 Occupational Safety and Health Administration, 73 Public Health Service, 20, 45, 169, 173, 174, 175 E Economic factors, 8, 10-11, 20, 94, 179 see also Funding; Reward systems academic research, 25 accreditation, institutional, 116 administrative costs, 10-11, 119-120, 129 computer-based instruction, 103-104 conflicts of interest, 5, 25, 35, 37, 38, 43-44, 55, 92-93 mentor/trainee relations, 42-43 open systems model, 63, 64, 65-66 self-assessment, 80-81, 113 Education, 1, 3, 4 see also Mentor/trainee relations; Professional education; Universities and colleges

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct Essays, 20, 95, 153 Ethnic groups, see Racial factors Expert opinion, 11, 34, 98, 126, 158-159 see also Leadership; Peer review committee charge and methodology, 3, 139, 140-142 regulatory compliance, 74 F Federal government, 12, 14, 22-23, 29, 77, 118-120, 122, 128, 129, 167-177 see also Department of Health and Human Services; Funding; Legislation; Regulatory issues Department of Education, 119, 150 Department of Energy, 139 National Institute of Neurological Disorders and Stroke, 23 National Institute of Nursing Research, 20 National Institute of Standards and Technology , 77-78 National Institutes of Health, 75, 84, 168, 170-171, 173, 174 National Science and Technology Council, 171-172 National Science Foundation, 23, 24, 145, 171 Office of Government Ethics, 148 Office of Science and Technology, 171 Office of Scientific Integrity, 168, 174 Office of Scientific Integrity Review, 168, 174 U.S. Army, 149-150 Foreign countries, see International influences Foundations, 21, 65, 77, 119, 122, 128, 129, 131 National Science Foundation, 23, 24, 145, 171 Four-Component Model of Morality, 87, 88, 94, 150-151 Funding, 12, 20, 23-24, 45, 106, 127-129, 132, 138-139, 168, 173 administrators and administration, 23, 119-120, 129 foundations, 21, 65, 77, 119, 122, 128, 129, 131 National Science Foundation, 23, 24, 145, 171 grantsmanship, 10, 19, 105, 119-120, 179 institutional self-assessment, 73, 118-120, 122 open systems model, 53, 63, 64, 65 G Gender factors, 89, 100, 151, 152, 161 Good Practice in Biomedical Research, 21 Government Performance and Results Act, 77 Government role, see Department of Health and Human Services; Federal government; Funding; Legal issues; Legislation; Regulatory issues Grantsmanship, 10, 19, 105, 119-120 bibliographic resource list, 179 H Health Care Compliance Association, 139 Health Insurance Portability and Accountability Act, 67 Health sciences, see Biomedical research Historical perspectives, 20-21, 167-177 accreditation, institutional, 80 awards, 24 committee study, 2, 18-20 reform movements, 27-28 Honor in Science, 95 Human subjects, 5, 35, 38-39, 43, 89, 104 accreditation, institutional, 81-82, 121 Award for Excellence in Human Research Protection, 77 informed consent, 38-39 open systems model, 54, 65, 67 I Identity formation, 94, 95-96, 159-161 Incentives, see Reward systems Individual scientists, 1, 3, 4-5, 14-15, 26, 33, 34-41, 90-91, 112, 120-121, 132, 146-147, 163 attitudes of, 16-17, 62, 86, 87, 88, 89, 90-92, 94-96, 130 conflicts of interest, 5, 25, 35, 37, 38, 43-44, 55, 92-93 Defining Issues Test, 91-92, 154-159, 160

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct developmental differences/individual learning, 100 identity formation, 94, 95-96, 159-161 institutional factors, 4-5, 25-27, 39, 56, 144, 145-147 outcome measures, 143-144 self-efficacy abilities, 96-97 self-regulation abilities, 96-97 Inova Institute of Research and Education, 139 Institutional factors, 1, 5-8, 12-14, 22, 27-28, 35, 41-47, 72-83, 126-127, 128-129, 161-162 see also Accreditation, institutional; Administrators and administration; Education; Leadership; Mentor/trainee relations; Professional education; Universities and colleges animal research, 22, 54, 81-82, 121 committee methodology, 2, 6, 29, 143 conflicts of interest, 43-44, 55 culture of integrity, 34, 46-47, 60, 72, 78, 115, 116-117, 120, 143, 144-150, 161-162, 163 definitional issues, 4, 30 human subjects, 39, 54, 81-82, 121 individual scientists, 4-5, 25-27, 39, 56, 144, 145-147 investigations and inspections, 35, 41, 45, 54, 73-74, 79, 168 ombudspersons, 4-5, 42, 43 open systems model, 7, 49-68 organizational learning, 72, 73 outcome measures, 22, 143-144 performance-based assessment, 10, 73, 75-79 public opinion, 16 self-assessment, 10, 11, 13, 73, 78, 112, 113-122, 124, 130-132 support systems, 42 Intellectual property, 25, 37, 171, 172 authorship, 36, 40 collegiality, 5, 35, 36, 37-38, 39, 61-62 ORI guidelines, 22 International influences, open systems model, 54 Internet, 21, 105, 125, 138, 170 Investigations and inspections, 35, 41, 45, 73-74, 79, 168 open systems model, 54 J Journals, 38, 63, 64, 66, 85, 101, 105 see also Literature reviews L Leadership, 14, 35-36, 41, 57-58, 101, 122, 129, 132 see also Administrators and administration; Mentor/trainee relations awards, 78 ombudspersons, 4-5, 42, 43 performance-based systems, 76, 78 Legal issues, 4, 67 see also Intellectual property; Regulatory issues conflicts of interest, 5, 25, 35, 37, 38, 43-44, 55, 92-93 human subjects, informed consent, 38-39 litigation, 67, 168-169, 175 privacy, 25, 67 sanctions, 35, 41, 59-60, 67, 76 Legislation, 86, 130 Administrative Procedures Act, 168, 173 Animal Welfare Act, 39 Dental Practice Act, 160 Government Performance and Results Act, 77 Health Insurance Portability and Accountability Act, 67 Malcolm Baldrige National Quality Improvement Act, 77-78 National Institutes of Health (NIH) Revitalization Act, 170 Licensing, 25, 37, 80, 118 Literature reviews, 85, 135-142 bibliographic resources, 178-183 committee methodology, 6, 49, 135-142 M Malcolm Baldrige Quality Award, 77-78 Mass media, 2-3, 18 Medical Device Manufacturers Association, 139 Medical Ethics Inventory, 160

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct Medical research, see Biomedical research Men, see Gender factors Mentor/trainee relations, 5, 9-10, 22, 26-27, 35, 38, 40, 42-43, 59, 85, 86, 99-101, 107 bibliographic resource list, 178-179, 180 ORI core content areas, 22 performance-based assessment, 76 Methodological issues, general, 1, 3, 11, 14, 16, 122, 126, 131, 150-162 see also Definitional issues; Literature reviews; Models and modeling; Outcome measures collegiality, 37 committee biographies, 184-194 committee report at hand, methodology of, 2-3, 6, 17, 18, 28-31, 135-142 lacking, 3, 124, 126 multidisciplinary approaches, 102, 104, 128 professional education, 95-97 theory, 3, 6, 9, 49, 68, 98, 103, 125 Middle States Commission on Higher Education, 79, 80-81 Minority groups, see Racial factors Models and modeling, 8, 10, 14, 73, 97, 125, 143, 174 Four-Component Model of Morality, 87, 88, 94, 150-151 open systems, 7, 49-71 Moral Reasoning in Scientific Research: Cases for Teaching and Assessment, 92, 93 Multidisciplinary approaches, 102, 104, 128 N National Center for Education Statistics, 150 National Council of Examinations for Engineers and Surveyors, 80 National Institute of Neurological Disorders and Stroke, 23 National Institute of Nursing Research, 20 National Institute of Standards and Technology, 77-78 National Institutes of Health, 75, 84, 168, 170-171, 173, 174 National Institutes of Health (NIH) Revitalization Act, 170 National Performance Review, 77 National Research Service Awards, 84 National Science and Technology Council, 171-172 National Science Foundation, 23, 24, 145, 171 O Occupational Safety and Health Administration, 73 Office of Government Ethics, 148 Office of Research Integrity (ORI), 13-14, 21-22, 118, 146, 167-176 (passim) committee charge/methodology, 2, 18, 19, 135, 138-139 databases, 20, 132 funding, 12, 23, 24, 125, 128 Quality Improvement Program, 77 Office of Science and Technology, 171 Office of Scientific Integrity, 168, 174 Office of Scientific Integrity Review, 168, 174 Ombudspersons, 4-5, 42, 43 On Being a Scientist, 33, 95 Open systems model, 7, 49-71 animal research, 54, 65 cultural issues, 7, 49-71 data issues, 59-60 economic factors, general, 63, 64, 65-66 funding, 53, 63, 64, 65 human subjects, 54, 65, 67 outcome measures, 52, 61-63 professional education, 53, 55, 63, 67 professional organizations, 66-67 regulatory issues, codes of conduct, 54-55, 58-59, 61, 66 regulatory issues, other, 53, 63, 64, 65 Organizational factors, see Institutional factors ORI, see Office of Research Integrity Outcome measures, 2, 11, 14, 28, 29, 114, 143-166 (passim) see also Standards benchmarks, 75-77, 78-79, 81, 112 individual scientists, 143-144 institutions, 22, 143-144 open systems model, 52, 61-63 professional education, 22, 114, 131-132

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct P Patents, see Intellectual property Peer education, 55, 100, 103 Peer review, 5, 35, 37, 73, 79-81, 112, 113, 116, 119, 130-131 see also Collegiality; Self-assessment ORI core content areas, 21-22 Penalties, see Sanctions Performance-based assessment, 10, 73, 75-79, 112, 151-152 see also Reward systems benchmarks, 75-77, 78-79, 81, 112 institutions, 10, 73, 75-79 Plagarism, see Intellectual property Political factors, 8, 33, 124, 156, 168 see also Public opinion individual scientists’ beliefs, 38 Portfolio assessment, 77 Poynter Center for the Study of Ethics and American Institutions, 92, 141 Problem solving, 9, 20, 41, 53, 62, 63, 89-93, 98, 99 Professional Decisions and Values Test, 160-161 Professional education, 1, 3, 4, 5, 6, 9-10, 12-13, 14, 20-21, 28, 30, 33, 35, 45-46, 84-111, 112, 124, 128, 129-132, 142-143, 148-149 see also Mentor/trainee relations; Universities and colleges administrators, 86-87 attitudes of educators, 98, 116 bibliographic resources on teaching, 183 case analyses, 90, 91, 92-93, 151-152 committee biographies, 184-194 computer-based instruction, 103-104 defined, 30 Defining Issues Test (DIT), 91-92, 154-159 essays, 20, 95, 153 multidisciplinary approaches, 102, 104, 128 open systems model, 53, 55, 63, 67 ORI core content areas, 21-22, 104-105 outcome measures, 22, 114, 131-132 peer education, 55, 100, 103 portfolio assessment, 77 principles of adult learning, 98-100 self-assessment, 79, 80-81, 113-120 textbooks, 106 time factors, 98-99, 105 continuing education, 27, 40, 41, 85, 86-87 full-semester courses, 103 reaccreditation, 113-114 short courses, 102 single workshops, 103 workshops, 61, 97, 103, 105, 106 Professional organizations, 21, 120 American Association for the Advancement of Science, 21, 106, 187-188 Association of American Medical Colleges, 21 Association of American Universities, 44 Center for Academic Integrity, 148-149 committee biographies, 184-194 committee charge/methodology, 2, 138 Medical Device Manufacturers Association, 139 National Council of Examinations for Engineers and Surveyors, 80 open systems model, 66-67 Society for Neuroscience, 106 Professional Role Orientation Inventory, 159-160 Public Health Service, 20, 45, 169, 173, 174, 175 Public opinion, 1, 3, 4, 16, 33, 130 accreditation, institutions, 115, 119 committee charge, 2-3, 18, 29, 124 mass media, 2-3, 18 Q Quality Improvement Program, 77 R Racial Ethical Sensitivity Test, 90, 151 Racial factors, 89, 90, 100, 151, 152 Regulatory issues, 6, 27, 33-34, 36, 42, 45, 73-75, 81, 86, 112, 130 see also Accreditation, institutional; Investigations and inspections; Sanctions; Standards administrators, 74 committee methodology, 2 expert opinion, 74

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct investigations and inspections, 35, 41, 45, 54, 73-74, 79, 168 licensing, 25, 37, 80, 118 occupational health and safety, 73, 89 open systems model, codes of conduct, 54-55, 58-59, 61, 66 open systems model, other, 53, 63, 64, 65 reporting requirements, 73-75 sanctions, 35, 41, 59-60, 67, 76 self-assessment and, 10-11, 73 Religious issues, 38 Reporting requirements, 5, 34, 36, 37, 79, 107, 171, 172 bibliographic resources on writing, 183 journals, 38, 63, 64, 66, 85, 101, 105 mentoring, 40 regulatory compliance, 73-75 The Responsible Conduct of Research in the Health Sciences, 20, 167-177 Responsible Science: Ensuring the Integrity of the Research Process, 19, 20-21, 22-23, 140 Reviews of the literature, see Literature reviews Reward systems, 20-21, 24, 76, 112, 127, 175 Award for Excellence in Human Research Protection, 77 Malcolm Baldrige Quality Award, 77-78 National Research Service Awards, 84 S Sanctions, 35, 41, 59-60, 67, 76 The Scientific Attitude, 95 Scientific Research Society, 21 Self-assessment, 3, 10-11, 78, 79-82, 112-123 see also Peer review accountability, general, 10, 73 administrators, 79, 116, 121 economic factors, general, 80-81, 113 funding, 73, 118-120, 122 institutions, 10, 11, 13, 73, 78, 112, 113-122, 124, 130-132 professional education, 79, 80-81, 113-120 regulatory issues, 10-11, 73 standards, 79, 80 technology, 79 Self-efficacy abilities, 96-97 Self-regulation abilities, 96-97 Sex differences, see Gender factors Sigma Xi, see Scientific Research Society Social factors, see Cultural issues; Institutional factors; Mentor/ trainee relations; Political factors; Public opinion Society for Neuroscience, 106 Standards, 24, 33, 34, 58, 73, 81, 84, 115, 169-170, 174-175, 176 see also Accreditation, institutional; Outcome measures; Performance-based assessment benchmarks, 75-77, 78-79, 81, 112 codes of conduct, 54-55, 58-59, 61, 66, 95, 120, 127, 138 identity formation, 94 licensing, 25, 37, 80, 118 open systems model, codes of conduct, 54-55, 58-59, 61, 66 self-assessment, 79, 80 T Technology computer-based instruction, 103-104, 151 computer technology, general, 25 inadequate, 17 Internet, 21, 105, 125, 138, 170 open systems model, 54, 57, 67 public opinion, 1, 16 self-assessment, 79 Textbooks, 106 Theoretical issues, 3, 6, 9, 49, 68, 98, 103, 125 see also Models and modeling U Universities and colleges, 25, 27, 39-40, 81-82, 84-111, 116-117, 120-122, 148-149 committee biographies, 184-194 conflicts of interest, 38, 43-44 open systems model, 50, 55 regulatory compliance, 74 U.S. Army, 149-150

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Integrity in Scientific Research: Creating an Environment that Promotes Responsible Conduct V Varmus, Harold, 17 Videotapes, 90, 151-152, 188 W Wellcome Trust, 21 Women, see Gender factors Workshops, 61, 97, 103, 105, 106 World Wide Web, see Internet