Index
A
Academic institutions.
See also Research enterprise;
Research institutions
cooperation between industry and, 76–77
data storage in, 50
ethics education by, 132–133
and faculty participation in investigations, 119–120
misconduct allegations in, 9–10, 91–93, 98–99.
See also Misconduct allegations policies and procedures instituted by, 43–44, 73, 77, 101, 104, 134
research traditions in, 67–68
and role of government agencies in handling misconduct allegations 112–115
scientists employed by, 71
Acadia Institute Survey, 91–93
Accountability
balance of intellectual freedom and, 11–12, 123
panel conclusions regarding, 123–124
in research enterprise, 74
of scientists, 2
Adjudication
discussion of, 107
responsibility for, 111
Agency for Health Care Policy and Research, 85
Alcohol, Drug Abuse, and Mental Health Administration (ADAMHA)
biomedical training programs funded by, 129
misconduct-in-science regulations applicable to research sponsored by, 85
ALERT system (PHS), 110-111
Allegations.
See Misconduct allegations
American Association for the Advancement of Science, 99
American Chemical Society, 55
Association of American Medical Colleges, 99
Association of American Universities, 99
Australia, 88
Authors
honorary, 52–53
order of, 53
Authorship
inappropriate, 86–87
plagiarism and issues of, 54–55
recognition of contributions, 53–54
specialized, 53
B
Bias
appropriate and inappropriate sources of, 46
in peer review situations, 141
Biomedical training programs, 129
Bush report, 68
C
Carnegie Commission on Science, Technology, and Government, 152
Causes of misconduct, 30–31
Centers for Disease Control, 85
Clinical research
academic–industry collaboration in, 76–77
unique nature of, 31
Code of ethics.
See also Ethics adopted by individual disciplines, 39, 42
unwritten, 36–37
Collaborative research, 72
Committee on Science, Engineering, and Public Policy (COSEPUP), 3, 22
Communication/publication issues
authorship and, 52–55
editors and, 55–56
overview of, 51–52
peer review and, 56
Computer technology.
See Information technology
Confidentiality, 107
Council of Graduate Schools (CGS), 91, 92
Courts, role in misconduct allegations and investigations, 115–116
D
Data.
See Research data
Department of Health and Human Services (DHHS), 84, 85, 108
regulations and procedures regarding misconduct allegations, 87–88, 99, 108–111
Disciplinary measures, 103–104
Disciplines, role of, 41–42
Disclosure, 78–79
Doctorates
increase in number of, 71
variations in length of training for, 61
Due process requirements
Constitutional requirements, 116–117
differences in university and government approach to, 113–114
elements of, 117–118
resolving misconduct cases and, 116–118
E
Edsall, John T., 131
Educational programs
to foster responsible research practices, 129
incorporation of ethics into, 130–133
panel recommendations regarding, 13, 146–147
Engineers, 71
Ethics.
See also Code of ethics
approaches to teaching, 131–133
benefits of teaching, 130–131
Evidentiary standards, 113
F
False accusations, 121.
See also Whistle-blowers
False Claims Act, 84
Federal research funds
standards for recipients of, 85
Feynman, Richard, 37
Food and Drug Administration (FDA), 85
Foreign students, 61
Fraud
first public examination of, 98
legislative requirement, 99
Freedom of Information Act, 151
G
Germany, 88
Gift authorship, 52–53
Gore, Albert, 98
Government agencies.
See also individual agencies
handling of misconduct allegations by, 112–115
panel recommendations for, 14–15, 147–150
policies and procedures to handle misconduct allegations, 9–10, 20, 100–101, 108–112
regulations of, 44–45, 49, 98–101
sanctions imposed by, 118–119
statistics on misconduct provided by, 20, 81–84
Great Britain, 88
Guidelines for conduct of research.
See Research conduct guidelines
H
Harassment
handling allegations of, 29
as other misconduct, 86
panel recommendations regarding, 15, 149
Harvard Medical School, 55, 135
Health Research Extension Act of 1985 (P.L. 100–504), 108
Honor in Science (Sigma Xi), 54, 131, 134, 137
Honorary authors, 52–53
Huth, E., 71
Hypotheses
explanation of, 38
formulation and testing of, 58
I
India, 88
Industry
cooperation between academic institutions and, 76–77
role in interdisciplinary research, 73
Information technology, 51
Inquiries.
See Misconduct inquiries
Inspector General Act Amendments of 1988, 111
Institutions.
See Academic institutions;
Research institutions
Integrity of research process
methods of ensuring, 20–22
panel recommendations regarding, 13, 145–147
safeguards to, 18
Integrity of science, 25
Intellectual freedom
balance of accountability and, 11–12, 123
panel conclusions regarding, 123–124
Intellectual property rights
disputes over, 19
journal submission dates and, 52
National Science Foundation policy regarding, 44
policies of academic institutions regarding, 73, 77
Intent to deceive, 26
Interdisciplinary research
organization of, 73
training workshops dealing with responsible research practices in 133
International studies of misconduct in science, 88
Investigations.
See Misconduct investigations
J
Johns Hopkins University Medical School, 135
Journals.
See Scientific journals
L
Laboratories.
See Research laboratories
Legislation, 21, 84, 99, 111, 151
M
Massachusetts Institute of Technology, 68
Materials transfer agreements, 49
Mentorship
explanation of, 59
negative aspects of, 60–62, 146
positive aspects of, 59–60
responsible research practices and, 141–142
selection of trainees and, 62
Merton, Robert, 41
Misconduct allegations
accountability and intellectual freedom issues and, 11–12
consequences of inquiries and investigations due to, 118–119
due process requirements and, 116–118
experiences of institutional officials with, 87–88
findings, discussion, and conclusions regarding, 104–107
issues related to reporting of, 81, 91, 120–121.
See also Whistle-blowers
panel findings and conclusions regarding, 9–12, 95, 105, 107, 111, 121–125
procedural elements to handle, 10–11, 98–104, 148–149
role of courts in, 115–116
special issues in university investigations regarding, 119–120
university–government approaches to handle, 9–10, 98–107
unresolved issues in approaches to handling, 112–115
Misconduct in science, 2, 4, 80
and access to primary data, 49–50
analyses, surveys, and other reports of, 88–95
causes and cures for, 30–31
consequences of confirmed, 84–85
definitions of, 5, 25–28, 112–113, 147–148
demarcation between questionable research practices and, 29
government statistics on, 81–84
incidence of, 2, 9,19–20, 80–95
international studies regarding, 88
panel recommendations regarding, 147–150
problems for those who report.
See also Whistle-blowers
reasons for taking action regarding, 31–33
reports from local institutional officials regarding, 87–88
sources of detection for, 90–92
variations in definitions of, 85–87, 112–113, 124, 148
Misconduct inquiries
consequences of, 118–119
explanation of, 100
procedures for, 102
Misconduct investigations
access of scientists to reports of, 87
as distinguished from adjudication, 107
consequences of, 118–119
explanation of, 100
faculty participation in, 119–120
leaking of draft reports of, 114
procedure for, 102–104
quality and timeliness of, 114–115
Misconduct (other)
associated with misconduct in science, 29–30
definition of, 6–7, 26, 29, 86
panel recommendations regarding, 18, 149
Mulkay, Michael, 41
N
National Academy of Public Administration (NAPA), 152
National Academy of Sciences (NAS), 152
National Institutes of Health (NIH)
awards supported annually by, 20
biomedical training programs funded by, 129
guidelines for conduct of research, 135
misconduct-in-science regulations applicable to, 85
National Library of Medicine, 55
National Science Foundation (NSF)
data-sharing policy of, 44–45
regulations and procedures to address misconduct allegations, 21, 88, 100, 108, 111–112
review of misconduct allegations by, 82–83, 103
sanctions imposed by, 119
New England Journal of Medicine , 55–56
Noncontributing authors, 52–53
Norms of science, 40–41
O
Office of Inspector General (OIG) (DHHS)
activities of, 108–110
also NSF OIG, 82, 101, 111–112
report on incidence of misconduct, 94
report on institutional policies and procedures for addressing misconduct 99
role in handling misconduct allegations, 82–83 3, 110
Office of Science and Technology Policy (OSTP), 147–148
Office of Scientific Integrity (OSI) (DHHS), 84, 90
procedures regarding leaks, 114
regulations and procedures to address misconduct allegations, 108, 109
Office of Scientific Integrity Review (OSIR) (DHHS)
description of investigatory process by, 103
first annual report of, 86
misconduct cases studied by, 84, 85, 90–91
regulations and procedures to address misconduct allegations, 109
requirements for recipients of Public Health Service research awards 100
sanctions imposed by, 119
On Being a Scientist (National Academy of Sciences), 131, 134, 137
P
Panel on Scientific Responsibility and the Conduct of Research
approach, scope, and audience addressed by, 4, 22–23
definitions of terms used by, 4–7, 24–30
findings and conclusions of
regarding changing research enterprise, 8–9, 77–79
regarding handling of allegations of misconduct, 9–12, 95, 105, 107, 121–125
regarding incidence and significance of misconduct, 9, 95
regarding need for independent organization to strengthen processes and procedures, 124–125
regarding PHS ALERT system, 111
regarding responsible research practices 12–13, 62–64, 137–138, 143
regarding scientists and research institutions, 7–8, 149
recommendations of, 13–16, 145–155
Patents
increases in issuance of, 71
profitability associated with, 48
Peer review
discussion of, 56
effects of increased volume of research on, 71–72
identification of misconduct by, 91
misuse of privileged information gained through, 54–55
to penalize competitors, 27
responsible research practices and, 140–141
Plagiarism
confirmed misconduct charges due to, 82
discussion of, 54–55
Postdoctoral positions
growth rate in, 71
period of training for, 61
Privileged information, 54–55
Professional societies.
See Scientific societies
Public Health Service (PHS)
maintenance of ALERT system by, 110–111
misconduct allegations under review by, 84, 103
regulations to address misconduct allegations, 21, 85–86, 99
regulatory definitions used by, 27
requirements for recipients of research awards from, 100, 129, 148
sanctions imposed by, 119
Publication.
See also Authorship;
Communication/publication issues;
Scientific journals
concerns regarding practices of, 52
overemphasis on, 75–76
responsible research practices and, 139–140
Q
Questionable research practices, 4.
See also Research practices
demarcation between misconduct in science and, 29
discouragement of, 142–143
inappropriate authorship as, 86–87
investigated as alleged misconduct in science, 87
R
Regulatory policies
for academic institutions, 73
accountability and, 74
regarding reports of fraud, 21
Remedial actions, 119
Replication of research, 59
Research conduct guidelines
benefits of, 136
disadvantages of, 136–137
panel conclusions regarding, 137–138
panel recommendations regarding, 13, 147
scope and purpose of, 135–136
Research data
acquisition and management of, 47–49, 138–139
and advances in information technology, 51
selective use of, 29
storage of, 49–50
Research data sharing
discussion of, 48–49
government reliance on, 45
National Science Foundation policy on, 44–45
Research enterprise
changing circumstances and expectations in, 18–19, 69–70, 77
complexity of collaboration in, 72
factors suggesting possible causes of misconduct in, 30–31
historical perspective of, 67–69
organization, goals, and management of groups within, 72–74
panel findings and conclusions regarding, 8–9, 77–79
panel recommendations to strengthen, 13–16, 145–155
regulation and accountability in, 74
reward system in, 74–76
size and scope of contemporary, 71–72
traditions of science in, 17–18
university–industrial cooperation in, 76–77
Research environment
factors contributing to change, 18, 69–70
See also Research enterprise
Research ethics.
See Ethics
Research funds.
See also Federal research funds
increases in, 16, 18, 33, 68, 71
misconduct allegations regarding, 29, 92–93
Research groups
dynamics of, 42–43
management of, 72–74
role of research trainee in, 60
size, specialization, and diversity within, 19, 61, 70, 78
Research institutions.
See alsoAcademic institutions;
Research enterprise
benefits of information technology advances to, 51
challenges to, 2–3
educational programs sponsored by, 129
encouragement of responsible research practices by, 128–129
misconduct allegations handled by, 9–11, 20, 98–104.
See alsoMisconduct allegations
panel findings and conclusions regarding, 7–8, 63, 78
panel recommendations for, 13–15, 147–150
research guidelines developed by, 39–40, 43–44
role in fostering responsible research practices of, 129–130, 134–135
social expectations regarding accountability of, 2, 21
Research laboratories
role of research trainee in, 60
storage of data in, 49–50
Research practices.
See alsoQuestionable research practices;
Responsible research practices
communication and publication and, 51–56
data handling and, 47–51
error correction and, 18, 56–59
government regulations and policies affecting, 44–45
guidelines for conduct of.
See Research conduct guidelines
individual scientific disciplines affecting, 41–42
institutional policies affecting, 43–44
panel findings and conclusions regarding, 12–13, 62–64
panel recommendations regarding, 13–15, 145–147
during periods of new conceptual insights, 39
role of individual scientists and groups in, 42–43
scientific norms affecting, 40–41, 48
social attitudes and expectations affecting, 45–46
training and mentorship and, 59–62
Research process
integrity of.
See Integrity of research process
replication and reconfirmation of results as element of, 38, 59
steps in, 17–18
Research proposals, 71
Research trainees.
See alsoMentorship;
Training programs in large research laboratories, 61
relationship between mentors and, 59–60
responsible research practices and, 141–142
selection of mentors by, 62
Responsible research practices.
See also Research practices
ethics education of scientists as method to encourage, 130–133
guidelines for.
See Research conduct guidelines
institutional efforts to encourage, 128–129
panel findings and conclusions regarding, 12–13, 62–64, 137–138, 143
panel recommendations for, 13–16, 145–155
subjects to consider to encourage, 138–142
Reward system, 74–76
S
Sapp, Jan, 39
Science.
See also Misconduct in science
integrity of, 25
nature of, 38–39
traditions of, 17–18
Scientific disciplines
guiding principles of specific, 36
research practices in various, 37, 39, 41–42
Scientific evidence
operation of judgment in selecting, 39
principles of acceptable, 37
Scientific Freedom and Responsibility (Edsall), 131
Scientific Integrity Advisory Board (SIAB), 15, 124–125, 152–156
organization and structure of, 152–153
panel comments regarding, 153–154
panel recommendation for, 15, 150
specific tasks of, 150–151
termination of, 153
Scientific journals
authorship guidelines for, 52, 55–56.
See also Authorship
data storage issues and, 49–50
editors of, 55–56
number of articles published in, 71
panel recommendations for, 16, 155
proliferation of, 71
Scientific reports
correction of errors, 56–57
detection of errors in, 18, 57–58
Scientific societies
ethics publications of, 131
panel recommendations for, 16, 155
standards-setting activities of, 42
Scientific theories, 38
Scientists
academic rank and misconduct of, 90, 91
basic principles guiding, 36–37, 42–43
challenges to, 2–3
concerns regarding definition of misconduct in science, 26
concerns regarding reports of misconduct, 20
deviant behavior by, 93–94
integration of ethics into education of, 130–133
norms for, 40–41
panel findings and conclusions regarding, 7–8
panel recommendations for, 13–16, 149, 154–155
replication and reconfirmation of results as responsibility of, 59
social expectations regarding accountability of, 2, 21
Self–regulatory system
evolution of, 62
need for modifications of, 63
questions raised regarding, 18, 20
Sexist behavior, 61
Sharing Research Data (National Research Council), 48
Sigma Xi
material on ethics published by, 131
misconduct study by, 94
Social attitudes, 40–41
Specialized authorship, 53
Subcommittee on Oversight and Investigations (House Science and Technology Committee), 98
Supreme Court, U.S., 117
T
Technology transfer programs, 76
Trainees.
See Mentorship;
Research trainees
Training programs.
See alsoMentorship;
Research trainees
panel recommendations regarding, 13, 146
programs to foster responsible research practices in, 129, 133
Truthfulness, 17
U
Underreporting, possibility of, 9, 20, 81, 95
Universities.
See Academic institutions
University of Maryland, 134
University of Michigan Medical School, 135
V
Vandalism, 149
W
Whistle-blower Protection Act of 1989, 123
Whistle-blowers
false accusations by, 121
panel's recommendation on, 16, 156–157
professional and economic deterrents for, 81, 91
protections for, 122–123
role of, 120–121
Woolf, Patricia, 89–90
Z
Ziman, John, 41