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Application of a Sensemaking Approach to Ethics Training in the Physical Sciences and Engineering

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Abstract

Integrity is a critical determinant of the effectiveness of research organizations in terms of producing high quality research and educating the new generation of scientists. A number of responsible conduct of research (RCR) training programs have been developed to address this growing organizational concern. However, in spite of a significant body of research in ethics training, it is still unknown which approach has the highest potential to enhance researchers’ integrity. One of the approaches showing some promise in improving researchers’ integrity has focused on the development of ethical decision-making skills. The current effort proposes a novel curriculum that focuses on broad metacognitive reasoning strategies researchers use when making sense of day-to-day social and professional practices that have ethical implications for the physical sciences and engineering. This sensemaking training has been implemented in a professional sample of scientists conducting research in electrical engineering, atmospheric and computer sciences at a large multi-cultural, multi-disciplinary, and multi-university research center. A pre-post design was used to assess training effectiveness using scenario-based ethical decision-making measures. The training resulted in enhanced ethical decision-making of researchers in relation to four ethical conduct areas, namely data management, study conduct, professional practices, and business practices. In addition, sensemaking training led to researchers’ preference for decisions involving the application of the broad metacognitive reasoning strategies. Individual trainee and training characteristics were used to explain the study findings. Broad implications of the findings for ethics training development, implementation, and evaluation in the sciences are discussed.

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Notes

  1. Training materials are available from the authors upon the request.

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Acknowledgements

We thank Dr. Morris W. Foster for his input in interpreting the ethnographic data that contributed to RCR training content development. We would also like to acknowledge the National Institute of Health (NIH), Contract No. 5R01-NS049535-02. This research was funded by the National Science Foundation (NSF), Contract No. SES 0529910, with Michael D. Mumford serving as Principal Investigator.

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Authors and Affiliations

  1. Department of Psychology, University of Oklahoma, 455 W. Lindsey Street, Dale Hall Tower, Room 705, Norman, OK, 73019-2007, USA

    Vykinta Kligyte, Richard T. Marcy, Ethan P. Waples & Michael D. Mumford

  2. Department of Anthropology, University of Oklahoma, 455 W. Lindsey Street, Dale Hall Tower, Room 521, Norman, OK, 73019-2007, USA

    Sydney T. Sevier

  3. School of Meteorology, University of Oklahoma, 120 David L. Boren Blvd. Suite 5900, Norman, OK, 73072-7307, USA

    Elaine S. Godfrey

  4. School of Computer Science, University of Oklahoma, 200 Felger Street, Room 144, Norman, OK, 73019-6151, USA

    Dean F. Hougen

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  1. Vykinta Kligyte
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Appendix

Appendix

Item Example of Ethical Decision-Making (EDM) Measure

Sharon researches algorithms to correct attenuation in small-wavelength weather radars, and has a special interest in using a differential propagation phase measurement to correct attenuation in dual polarization radars. She has recently made exciting progress in developing a new algorithm that significantly decreases the amount of attenuation at X-band frequency, and has the basis for a strong NSF proposal to pursue her line of research.

  1. 1.

    Sharon has been asked to review an NSF proposal with preliminary results similar to hers and a proposed program of study nearly identical to her own plans, except that it uses an algorithm designed for a dual polarization phased array radar to achieve the same goal as her enhanced algorithm. What should she do? Choose two from the following:

    1. a.

      Set aside any biases and give the proposal a thorough review

    2. b.

      Return the proposal to the NSF program officer, explaining the conflict of interest

    3. c.

      For the sake of impartiality, ask her postdoctoral student to do the review

    4. d.

      Give the proposal an honest, but highly critical review, since her proposal is probably getting the same treatment

    5. e.

      Send the proposal on to a competent colleague at another university with whom she has no close ties

    6. f.

      Write a review and ask her department chair to look it over to see if it appears fair

    7. g.

      Contact the PI and discuss the possibility of setting up a collaboration

    8. h.

      Return a rigorous review, but attach a note to the program officer indicating the conflict of interest

  2. 2.

    The following year, two of Sharon’s graduate students announce that they have been exploring an idea on their own time and have obtained very striking results. They appear to be close to identifying a way in which data they previously analyzed using Sharon’s algorithms can be reanalyzed using a “tweaked” data processor, giving a more enhanced radar picture. Although their idea is somewhat novel, the pieces of the puzzle were obviously drawn from another NSF proposal that Sharon showed to her students. How should Sharon deal with this situation? Choose two from the following:

    1. a.

      Insist that the data was not used until it was published

    2. b.

      Turn the students over to an ethics review board

    3. c.

      Do not allow the research to be published while the students continue to work in her lab

    4. d.

      Insist that the students discuss their work with the PI of the proposal and at least offer the possibility of co-authorship

    5. e.

      Refuse co-authorship or any association with the work

    6. f.

      Congratulate the enterprising students, but remind them that science should not be done this way

    7. g.

      Use the occasion as an opportunity to explain the responsibilities associated with privileged information

    8. h.

      Behave as if she is unaware of the source of her students’ inspiration

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Kligyte, V., Marcy, R.T., Waples, E.P. et al. Application of a Sensemaking Approach to Ethics Training in the Physical Sciences and Engineering. Sci Eng Ethics 14, 251–278 (2008). https://doi.org/10.1007/s11948-007-9048-z

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