RESPONSIBLE SCIENCE

Ensuring the Integrity of the Research Process

Volume II

Panel on Scientific Responsibility and the Conduct of Research

Committee on Science, Engineering, and Public Policy

National Academy of Sciences

National Academy of Engineering

Institute of Medicine

NATIONAL ACADEMY PRESS
Washington, D.C.
1993



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Responsible Science: Ensuring the Integrity of the Research Process, Volume II RESPONSIBLE SCIENCE Ensuring the Integrity of the Research Process Volume II Panel on Scientific Responsibility and the Conduct of Research Committee on Science, Engineering, and Public Policy National Academy of Sciences National Academy of Engineering Institute of Medicine NATIONAL ACADEMY PRESS Washington, D.C. 1993

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II NOTICE: This volume was produced as part of a project approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. It is a result of work done by an independent panel appointed by the Committee on Science, Engineering, and Public Policy, which has authorized its release to the public. Part A of this volume has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee and by the Committee on Science, Engineering, and Public Policy. Both consist of members of the National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Frank Press is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Robert M. White is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences in its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The Committee on Science, Engineering, and Public Policy (COSEPUP) is a joint committee of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. It includes members of the councils of all three bodies. Library of Congress Catalog Card Number 92-10780 International Standard Book Number 0-309-04788-9 Copyright 1993 by the National Academy of Sciences. All rights reserved. Available from: National Academy Press 2101 Constitution Avenue, N.W. Washington, D.C. 20418 B-026 Printed in the United States of America First Printing, February 1993 Second Printing, March 1996

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II PANEL ON SCIENTIFIC RESPONSIBILITY AND THE CONDUCT OF RESEARCH EDWARD E. DAVID, JR. (Chairman), President, EED, Inc. PHILIP H. ABELSON, Deputy Editor of Science and Science Advisor, American Association for the Advancement of Science VICTOR R. BAKER, Regents Professor and Professor of Geosciences and Planetary Sciences, Department of Geosciences, University of Arizona ALBERT BARBER, Vice Chancellor for Research, University of California, Los Angeles MICHAEL BERMAN, President, The Duberstein Group, Inc. JOHN DEUTCH, Institute Professor of Chemistry, Massachusetts Institute of Technology VAL L. FITCH, James S. McDonnell Distinguished University Professor of Physics, Princeton University MARYE ANNE FOX, M. June and J. Virgil Waggoner Regents Chair in Chemistry, University of Texas at Austin PETER GALISON, Co-Chairman, History of Science Program, Stanford University BERNARD GERT, Stone Professor of Intellectual and Moral Philosophy, Dartmouth College IRA J. HIRSH, Mallinckrodt Distinguished University Professor of Psychology and Audiology, Washington University JENNY L. McFARLAND, Postdoctoral Fellow, Department of Brain and Cognitive Sciences, Massachusetts Institute of Technology LAURIE E. McNEIL, Associate Professor, Department of Physics and Astronomy, University of North Carolina at Chapel Hill RICHARD A. MESERVE, Partner, Covington and Burling FRANK M. RICHTER, Professor and Chairman, Department of Geophysical Sciences, University of Chicago ARTHUR H. RUBENSTEIN, Professor and Chairman, Department of Medicine, University of Chicago HOWARD K. SCHACHMAN, Professor, Department of Biochemistry and Molecular Biology, University of California, Berkeley HOWARD E. SIMMONS, JR., Vice President and Senior Science Advisor, E.I. du Pont de Nemours and Company, Inc. ROBERT L. SPRAGUE, Professor in the College of Medicine and Director of the Institute for Research on Human Development, University of Illinois at Urbana-Champaign SHEILA WIDNALL, Associate Provost and Abby Rockefeller Mauze Professor of Aeronautics and Astronautics, Massachusetts Institute of Technology

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II PATRICIA K. WOOLF, Lecturer, Department of Molecular Biology, Princeton University KEITH R. YAMAMOTO, Professor and Vice Chairman, Department of Biochemistry and Biophysics, University of California, San Francisco Staff ROSEMARY CHALK, Study Director BARRY GOLD, Senior Staff Officer SUSAN MAURIZI, Editor DAVID H. GUSTON, Research Assistant MARYANN SHANESY, Administrative Secretary ELIZABETH BLOUNT, Secretary

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY CORNELIUS J. PINGS (Chairman), Provost and Senior Vice President of Academic Affairs, University of Southern California LAWRENCE BOGORAD, Maria Moors Cabot Professor of Biology, Harvard University STUART BONDURANT, Professor and Dean, School of Medicine, University of North Carolina ROBERT A. BURT, Southmayd Professor of Law, Yale University ALBERT M. CLOGSTON, Member, Center for Material Sciences, Los Alamos National Laboratory RALPH GOMORY, President, Alfred P. Sloan Foundation HARRY B. GRAY, Arnold O. Beckman Professor of Chemistry, Division of Chemistry, California Institute of Technology WILLIAM G. HOWARD, JR., Scottsdale, Arizona RICHARD M. JOHNS,* Massey Professor and Director, Department of Biomedical Engineering, Johns Hopkins University FRANCIS E. LOW, Institute Professor, Department of Physics, Massachusetts Institute of Technology JOHN L. McLUCAS, Aerospace Consultant BEATRICE MINTZ, Senior Member, Institute for Cancer Research, Fox Chase Cancer Center C. KUMAR PATEL, Executive Director of Research, Materials Sciences, Engineering, and Academic Affairs Division, AT&T Bell Laboratories FRANK PRESS (ex officio), President, National Academy of Sciences KENNETH I. SHINE (ex officio), President, Institute of Medicine MAXINE F. SINGER,* President, Carnegie Institution of Washington ROBERT M. SOLOW, Institute Professor, Department of Economics, Massachusetts Institute of Technology H. GUYFORD STEVER, Science Advisor ROBERT M. WHITE (ex officio), President, National Academy of Engineering Staff LAWRENCE E. McCRAY, Executive Director BARBARA A. CANDLAND, Administrative Assistant *   Term expired June 30, 1991.

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II Preface In 1989, the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine initiated a major study to examine issues related to the responsible conduct of research. The Committee on Science, Engineering, and Public Policy convened a 22-member study panel to review factors affecting the integrity of research in science as it is carried out in the United States today and to recommend steps for reinforcing responsible research practices. The panel was also asked to review institutional mechanisms that exist for addressing allegations of misconduct in science. Finally, the panel was asked to consider the advantages and disadvantages of formal guidelines for the conduct of research. Between May 1990 and June 1991, the panel held seven meetings, and it heard from a broad range of individuals about factors that affect integrity and misconduct in the research environment. In addition, the panel drew on several published studies and reports, commissioned six background papers to aid in its deliberations, and considered numerous policy statements developed by research universities and professional societies to address issues related to responsible research practices and misconduct in science. The panel's findings and recommendations were published in March 1992 as Responsible Science: Ensuring the Integrity of the Research Process, Volume I (National Academy Press, Washington, D.C.). Volume II of the panel's report, this volume, includes the six commissioned background papers as well as selected institutional guidelines, reports, policies, and procedures. These materials were considered by the Panel on Scientific Responsibility and the Conduct of Research, and they provided guidance for the development of several chapters of Volume I. All six background papers have been reviewed as part of the Academy's report review process. The institutional statements reprinted in Volume II have been selected to convey the diverse approaches for addressing different aspects of misconduct or integrity in science within research institutions.

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II In two cases, the panel reviewed early drafts of documents—the ethical guidelines prepared by the American Physical Society and the report of the Committee on Academic Responsibility of the Massachusetts Institute of Technology. The final reports of these organizations, which were adopted after the panel had completed its deliberations, are included here to ensure that the most current material is available for the interested reader. Further information about institutional policies and procedures reprinted in this volume should be requested from appropriate officials at the relevant university, research laboratory, or professional society. This study was undertaken with both public and private sector support. The following agencies of the federal government provided support for the study: the Alcohol, Drug Abuse, and Mental Health Administration, the Department of Agriculture, the Department of Energy, the Department of Health and Human Services, the National Institutes of Health, and the National Science Foundation. The William and Flora Hewlett Foundation and the Alfred P. Sloan Foundation also awarded grants in support of the study. Additional support was provided by funds from the National Research Council (NRC) Fund, a pool of private, discretionary, nonfederal funds that is used to support a program of Academy-initiated studies of national issues in which science and technology figure significantly. The NRC Fund consists of contributions from a consortium of private foundations including the Carnegie Corporation of New York, the Charles E. Culpeper Foundation, the William and Flora Hewlett Foundation, the John D. and Catherine T. MacArthur Foundation, the Andrew W. Mellon Foundation, the Rockefeller Foundation, and the Alfred P. Sloan Foundation; from the Academy Industry Program, which seeks annual contributions from companies concerned with the health of U.S. science and technology and with public policy issues with technological content; and from the National Academy of Sciences and the National Academy of Engineering endowments.

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II Contents PART A: BACKGROUND PAPERS     1   Fostering Responsible Conduct in Science and Engineering Research: Current University Policies and Actions Nicholas H. Steneck   3 2   Professional Societies and Responsible Research Conduct Mark S. Frankel   26 3   Mentorship and the Research Training Experience David H. Guston   50 4   Reflections on the Current State of Data and Reagent Exchange Among Biomedical Researchers Robert A. Weinberg   66 5   Factors Enhancing Acceptance of Federal Regulation of Research Barbara Mishkin   79 6   Congressional Activities Regarding Misconduct and Integrity in Science Barry D. Gold   90 PART B: SELECTED GUIDELINES FOR THE CONDUCT OF RESEARCH     7   Guidelines for the Conduct of Research at the National Institutes of Health National Institutes of Health   119

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II 8   Guidelines for Investigators in Scientific Research Harvard University Faculty of Medicine   126 9   Rules and Guidelines for Responsible Conduct of Research Johns Hopkins University School of Medicine   130 10   Guidelines for the Responsible Conduct of Research University of Michigan Medical School   138 11   Report of the Committee on Academic Responsibility Massachusetts Institute of Technology   159 PART C: SPECIFIC RESEARCH POLICIES AND PRACTICES     12   Policy for Recording and Preserving Scientific Data Dana-Farber Cancer Institute   203 13   Guidelines on Research Data and Manuscripts Brain Tumor Research Center, Department of Neurological Surgery, School of Medicine, University of California, San Francisco   206 14   PHS Policy Relating to Distribution of Unique Research Resources Produced with PHS Funding National Institutes of Health   223 15   Guidelines for Professional Conduct American Physical Society   226 PART D: POLICIES AND PROCEDURES FOR HANDLING ALLEGATIONS OF MISCONDUCT IN SCIENCE     16   Framework for Institutional Policies and Procedures to Deal with Fraud in Research Association of American Universities, National Association of State Universities and Land-Grant Colleges, and Council of Graduate Schools   231

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Responsible Science: Ensuring the Integrity of the Research Process, Volume II 17   Principles and Procedures for Dealing with Allegations of Faculty Misconduct Harvard University Faculty of Medicine   243 18   Procedures for Investigating Academic Fraud University of Chicago   249 19   Draft Revision of Policy on Integrity of Research University of California, San Diego   266

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