PRACTICAL GUIDANCE
ON SCIENCE AND ENGINEERING
ETHICS EDUCATION
FOR INSTRUCTORS AND
ADMINISTRATORS

Papers and Summary from a Workshop
December 12, 2012

Frazier F. Benya, Editor
Cameron H. Fletcher, Co-Editor
Rachelle D. Hollander, Co-Editor

Joint Advisory Group to the Center for Engineering, Ethics, and Society (CEES)
and the Online Ethics Center (OEC)

NATIONAL ACADEMY OF ENGINEERING
OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.

www.nap.edu



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PRACTICAL GUIDANCE ON SCIENCE AND ENGINEERING ETHICS EDUCATION FOR INSTRUCTORS AND ADMINISTRATORS Papers and Summary from a Workshop December 12, 2012 Frazier F. Benya, Editor Cameron H. Fletcher, Co-Editor Rachelle D. Hollander, Co-Editor Joint Advisory Group to the Center for Engineering, Ethics, and Society (CEES) and the Online Ethics Center (OEC) NATIONAL ACADEMY OF ENGINEERING OF THE NATIONAL ACADEMIES THE  NATIONAL  ACADEMIES  PRESS Washington,  D.C. www.nap.edu

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW, Washington, DC 20001 On December 12, 2012, the Center for Engineering, Ethics, and Society (CEES) at the National Academy of Engineering (NAE) held a workshop on “Practical Guidance on Science and Engineering Ethics Education for Instructors and Administrators.” This workshop was part of the University of Illinois at Urbana-Champaign project (NSF No. 1045412) to develop a national online resource on ethics in science, mathematics, and engineering, which was funded by the National Science Foundation. The workshop was supported by Contract/Grant No. 1013801 between the National Academy of Sciences and the University of Illinois at Urbana Champaign. NAE staff prepared the discussion summaries and session introductions and they have been reviewed according to procedures approved by the NAE report review process. Participants at the workshop prepared the workshop papers and modified them for this publication. The bibliography of suggested resources was compiled from the suggestions of the workshop participants. Publication of signed work signifies that it is judged a competent and useful contribution worthy of public consideration, but the data, interpretations, findings, 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 NAE or the organizations or agencies that provided support for the project. International Standard Book Number 13: 978-0-309-29356-3 International Standard Book Number 10: 0-309-29356-1 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2013 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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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. C. D. Mote, Jr. 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 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. C. D. Mote, Jr. are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Joint Advisory Group to the Center for Engineering, Ethics, and Society (CEES) and the Online Ethics Center (OEC) 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 STEPHANIE J. BIRD, ethics consultant FELICE LEVINE, executive director, American Educational Research Association W. CARL LINEBERGER, E.U. Condon Distinguished Professor of Chemistry and Fellow of JILA, University of Colorado MICHAEL LOUI, professor, Department of Electrical and Computer Engineering, University of Illinois ROBERT M. NEREM, NAE, Institute Professor and Parker H. Petit Professor Emeritus, Institute for Bioengineering and Bioscience, Georgia Institute of Technology Principal Support Staff RACHELLE D. HOLLANDER, director, National Academy of Engineering Center for Engineering, Ethics, and Society FRAZIER F. BENYA, program officer, National Academy of Engineering Center for Engineering, Ethics, and Society SIMIL L. RAGHAVAN, associate program officer, National Academy of Engineering VIVIENNE CHIN, senior administrative assistant, National Academy of Engineering

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Acknowledgments The summary sections of this publication have been reviewed, in draft form, by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Academies. The purpose 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 institutional 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: Deborah Johnson, University of Virginia Carl Lineberger, JILA, University of Colorado Jason Borenstein, Georgia Institute of Technology William Kelly, American Society for Engineering Education (ASEE) 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 Wm. A. Wulf, former President of the National Academy of Engineering, who was appointed by NAE to ensure that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rest entirely with the editors and the NAE. In addition to the reviewers, the JAG wishes to thank the project staff. Vivienne Chin managed the committee’s logistical and administrative needs, making sure the workshop ran efficiently and smoothly. NAE senior editor Cameron H. Fletcher edited the authored papers and the summary sections written by CEES program officer Frazier F. Benya. Benya also assisted in planning the workshop, coordinated with the authors on their submissions, edited the proceedings, led the response to review, and managed the development of the publication. CEES associate program officer Simil Raghavan participated in planning the workshop and in workshop discussions. She also assisted in developing the report. NAE senior program officer Janet Hunziker managed the review process. CEES director Rachelle Hollander planned the workshop, reviewed and edited the entire proceedings, and oversaw the project from start to finish. Lastly, the JAG would like to extend a special thanks to C. K. Gunsalus and Michael Loui from the National Center for Professional and Research Ethics (NCPRE) at the University of Illinois at Urbana-Champaign for collaborating on the workshop planning and publication, and for contributing to the discussion at the meeting. NCPRE supported and co-sponsored the workshop through the Ethics CORE project, which was funded by the National Science Foundation (#1043289), so we also thank the staff members that worked on that project and at NCPRE.

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Contents 1 Introduction 1 2 Goals and Objectives for Instruction 4 Why Teach Research Ethics? 5 Michael Kalichman Balancing Priorities: Social Responsibility in Teaching Responsible Conduct of Research 17 Ronald R. Kline Discussion 26 3 Goals and Objectives for Instructional Assessment 28 Instructional Assessment in the Classroom: Objectives, Methods, and Outcomes 29 Michael Davis Assessing Ethics Education in Programs and Centers: Challenges and Strategies 38 Heather E. Canary and Joseph R. Herkert Discussion 44 4 Institutional and Research Cultures 46 Institutional Strategies for Effective Research Ethics Education: A Report from the Council of Graduate Schools 47 Julia D. Kent Getting from Regulatory Compliance to Genuine Integrity: Have We Looked Upstream? 55 Brian C. Martinson Discussion 66 5 Final Discussion 67 Appendix A: Biographies 73 B: Workshop Agenda 78 C: Workshop Participants 81 D: Bibliography of Suggested Resources 83

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