Ethics Education and Scientific and Engineering Research: What's Been Learned? What Should Be Done? Summary of a Workshop (2009)

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Rachelle Hollander, editor Carol R. Arenberg, co-editor Center for Engineering, Ethics, and Society The NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu 

THE NATIONAL ACADEMIES PRESS   500 Fifth Street, N.W.   Washington, DC 20001 This publication has been reviewed according to procedures approved by the National Academy of Engineering report review process. Publication of signed work signifies that it is judged a competent and useful contribution worthy of public consideration, but it does not imply endorsement of conclusions or recommendations by the National Academy of Engineering. The interpretations and conclusions in such publications are those of the authors and do not purport to represent the views of the council, officers, or staff of the National Academy of Engineering. The National Academy of Engineering (NAE) held a workshop on “Ethics Education and Scientific and Engineering Research: What’s Been Learned? What Should Be Done?” This summary, prepared by NAE and National Research Council staff, provides summaries of the workshop presentations and discussions. This study was supported by Contract/Grant No. 0834149 between the National Acad- emy of Sciences and the National Science Foundation. Any opinions, findings, con- clusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-14001-0 International Standard Book Number-10: 0-309-14001-3 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2009 by the National Academy of Sciences. All rights reserved. Printed in the United States of America 

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. Ralph J. Cicerone 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. Charles M. Vest 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 examina- tion of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by 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. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to ­associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org 



PLANNING COMMITTEE FOR THE WORKSHOP on ethics education and scientific and engineering research JOHN F. AHEARNE (NAE), Chair, National Academy of Engineering Center for Engineering, Ethics, and Society Advisory Group; director, Ethics Program, Sigma Xi, The Scientific Research Society FRANCISCO J. AYALA (NAS), NAS Committee on Science, Engineering, and Public Policy; University Professor and Donald Bren Professor of Biological Sciences, Department of Ecology and Evolutionary Biology, University of California, Irvine KATHLEEN FLINT, director, Bring RCR Home Project of the National Postdoctoral Association MARK S. FRANKEL, director, Scientific Freedom, Responsibility and Law Program, American Association for the Advancement of Science FELICE LEVINE, executive director, American Educational Research Association Principal Support Staff CAROL R. ARENBERG, senior editor, National Academy of Engineering RICHARD BISSELL, executive director, National Research Council, Policy and Global Affairs CECILE GONZALEZ, program associate, National Academy of Engineering Program Office (until mid-August 2008) RACHELLE D. HOLLANDER, director, National Academy of Engineering Center for Engineering, Ethics, and Society KATHRIN HUMPHREY, associate program officer, National Research Council, Policy and Global Affairs JACQUELINE MARTIN, senior program assistant, National Academy of Engineering Awards Program  



Acknowledgments This summary has been reviewed, in draft form, by individuals c ­ hosen for their diverse perspectives and technical expertise, in accor- dance with procedures approved by the National Academies. The pur- pose of this independent review process is to provide candid and critical comments to assist the committee and NAE in making its published reports as sound as possible and to ensure that the report meets insti- tutional standards for objectivity, evidence, and responsiveness to the study charge. The reviewers’ comments and the draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their reviews of this report: Julia M. Phillips, Sandia National Laboratories Paul Citron, University of California, San Diego (retired from Medtronic, Inc.) Mark S. Frankel, American Association for the Advancement of Science (AAAS) Kelly Laas, Illinois Institute of Technology W. Carl Lineberger, JILA, University of Colorado Michael Loui, University of Illinois at Urbana-Champaign Michael Pritchard, Western Michigan University Although the reviewers listed above provided many constructive comments and suggestions, they were neither asked to endorse the views expressed in the report nor did they see the final draft of the report before its public release. The review was overseen by Julia M. Phillips, Sandia National Laboratories, who was appointed by NAE to ensure that an independent examination of this report was carried out in accor- vii 

viii ACKNOWLEDGMENTS dance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the editors and the NAE. In addition to the reviewers, the committee wishes to thank the proj- ect staff. Cecile Gonzalez, Kathrin Humphrey, and Jacqueline Martin managed the committee’s logistical and administrative needs, making sure the workshop ran efficiently and smoothly. NAE senior editor Carol R. Arenberg edited the summary drafted by CEES director Rachelle Hollander. Policy and Global Affairs director Richard Bissell contrib- uted to the workshop content, and associate Kathrin Humphrey helped edit the report and supervised the editorial and review response process. CEES director Rachelle Hollander managed the project from start to finish. 

Contents 1 Introduction 1 2 The Environment for Science and Engineering 5 3 Ethics Education in Science and Engineering 11 Approaches to Ethics Education, 11 Characteristics of Effective Ethics Education, 13 4 Models and Resources in Ethics Education 17 Instructional Approaches, 18 Institutional Approaches, 21 Instructional Resources, 25 5 Assessment and Evaluation of Ethics Education and Mentoring 29 6 What’s Next? 33 APPENDIXES A Workshop Agenda 39 B Workshop Participants 43 ix