Trisha Phillips

The National Science Foundation [NSF] has long been a leader in promoting responsible and ethical research environments and responsible conduct in research, both through their research programs and their implementation of the America Competes Act, which mandated training in the responsible conduct of research for researchers supported by their funds. However, many institutions still do not have plans for required RCR education that incorporate best practices in a meaningful way because they have no clearly articulated goal for an RCR program, are not aware of model practices, and face institutional obstacles and constraints. The project reported here brought together subject matter experts and key partners from the research integrity community to develop and evaluate resources that might address those concerns. Here we present two of the resources developed through these workshop activities: (1) recommended approaches for effective and meaningful RCR instruction, and (2) guidance for Institutional NSF RCR Plans.

The context of compliance creates special challenges for research ethics education. It can serve as a positive force in promoting research integrity because it forces academic institutions to provide research ethics training, and it forces some people to complete research ethics training. However, when compliance mandates create patchwork coverage with inconsistent requirements, they can have the paradoxical effect of trivializing the very thing they intend to promote. After providing a background on research ethics education mandates from US federal funding agencies, I review the way in which academic institutions tend to respond to these mandates and I explore the impact of these compliance requirements on the goals of research ethics education. Finally, I consider recent calls to harmonize federal agency requirements, and close by sharing the way in which we are trying to harmonize the requirements at my own institution.

This study experimentally tests whether the techniques of neutralisation as identified in the criminal justice literature influence graduate student willingness to engage in questionable research practices (QRPs). Our results indicate that US-born graduate students are more willing to add an undeserved coauthor if the person who requests it is a faculty member in the student's department as opposed to a fellow student. Students are most likely to add an undeserving author if a faculty member is also their advisor. In addition, four techniques of neutralisation, ‘diffusion of responsibility’, ‘defence of necessity’, ‘advantageous comparison’ and ‘euphemistic labelling’, are associated with student willingness to act unethically. Participants who had received responsible conduct of research training were no less likely to commit the violation than those who had not. Knowledge of these influencing factors for QRPs will provide for opportunities to improve research ethics education strategies and materials.

Preventing exploitation in human subjects research requires a benchmark of fairness against which to judge the distribution of the benefits and burdens of a trial. This paper proposes the ideal market and its fair market price as a criterion of fairness. The ideal market approach is not new to discussions about exploitation, so this paper reviews Wertheimer's inchoate presentation of the ideal market as a principle of fairness, attempt of Emanuel and colleagues to apply the ideal market to human subjects research, and Ballantyne's criticisms of both the ideal market and the resulting benchmark of fairness. It argues that the criticism of this particular benchmark is on point, but the rejection of the ideal market is mistaken. After presenting a complete account of the ideal market, this paper proposes a new method for applying the ideal market to human subjects research and illustrates the proposal by considering a sample case

This paper challenges the fitness of Angela Ballantyne's proposed theory of exploitation by situating her ‘fair risk account’ in an ongoing dialogue about the adequacy conditions for benchmarks of fairness. It identifies four adequacy conditions: (1) the ability to focus on level rather than type of benefit; (2) the ability to focus on micro-level rather than macro-level fairness; (3) the ability to prevent discrimination based on need; and (4) the ability to prescribe a certain distribution as superior to all others. While the fair risk account satisfies the first condition, this paper argues that it has difficulty satisfying the last three conditions. Ballantyne's proposal includes several new and promising features, but in order for the fair risk account to be useful in identifying and preventing exploitation, Ballantyne must either clarify and augment her theory or challenge the relevance of the adequacy conditions it fails to meet

Offering cash payments to research subjects is a common recruiting method, but this practice continues to be controversial because of its potential to compromise the protection of human subjects. Some critics question whether researchers should be allowed to offer money at all, citing concerns about commodification of the research subject, invalidation of study results, and increased risks to subjects. Other critics are comfortable with the idea of monetary payments but question how much researchers can pay their subjects, citing concerns about undue inducement, crowding out, and monetary exploitation. Focusing only on the amount researchers can pay their subjects, this paper argues that the federal regulations and guidelines should implement a standard payment formula. It argues for a wage payment model, and critically examines three candidates for a base wage: the nonfarm production wage, the FLSA minimum wage, and a living wage.

Offering cash payments to research subjects is a common recruiting method but there is significant debate about whether and in what amount such payments are appropriate. This paper is concerned with exploitation and whether there should be a lower limit on the amount researchers can pay their subjects. When subjects participate in research as a way to make money, fairness requires that researchers pay them a fair wage. This call for the establishment of a lower limit meets resistance in two places: (1) denial that the payments offered by researchers are wages for participation; and (2) concern about undue inducement. This paper critically examines these arguments for and against a lower limit. It shows that the need for a lower limit cannot be avoided by adopting a non-wage payment model and that concerns about undue inducement are unjustified in all trials except those that present greater than minimal risk. This analysis suggests the following compromise position: there should be an unconditional lower limit on payment amounts so that researchers cannot offer less than a fair wage, and when researchers cannot satisfy this limit because fairness requires a problematically large payment, then researchers should offer no payment at all

This project evaluates the impact of the National Science Foundation's policy to promote education in the responsible conduct of research. To determine whether this policy resulted in meaningful RCR educational experiences, our study examined the instructional plans developed by individual universities in response to the mandate. Using a sample of 108 U.S. institutions classified as Carnegie “very high research activity”, we analyzed all publicly available NSF RCR training plans in light of the consensus best practices in RCR education that were known at the time the policy was implemented. We found that fewer than half of universities developed plans that incorporated at least some of the best practices. More specifically, only 31% of universities had content and requirements that differed by career stage, only 1% of universities had content and requirements that differed by discipline; and only 18% of universities required some face-to-face engagement from all classes of trainees. Indeed, some schools simply provided hand-outs to their undergraduate students. Most universities had plans that could be satisfied with online programs such as the Collaborative Institutional Training Initiative's RCR modules. The NSF policy requires universities to develop RCR training plans, but provides no guidelines or requirements for the format, scope, content, duration, or frequency of the training, and does not hold universities accountable for their training plans. Our study shows that this vaguely worded policy, and lack of accountability, has not produced meaningful educational experiences for most of the undergraduate students, graduate students, and post-doctoral trainees funded by the NSF.