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Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

Association of American Universities, 99

Australia, 88

Authors

honorary, 52–53

number per article, 54, 71

order of, 53

Authorship

inappropriate, 86–87

plagiarism and issues of, 54–55

recognition of contributions, 53–54

requirements of, 52, 140

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

Definitions, 5–7, 27–30

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

Error correction, 18, 56–59

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

Ethics.

See also Code of ethics

approaches to teaching, 131–133

benefits of teaching, 130–131

Evidentiary standards, 113

F

Fabrication, 5, 27

False accusations, 121.

See also Whistle-blowers

False Claims Act, 84

Falsification, 5, 27

Federal research funds

increases in, 16, 33, 68, 71

standards for recipients of, 85

Feynman, Richard, 37

Food and Drug Administration (FDA), 85

Foreign students, 61

Fraud

first public examination of, 98

legal definition of, 25, 34

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

definition of, 4, 17, 24–25

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

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

underreporting, possibility of,9, 20, 81, 95

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

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

definitions used by, 27, 86

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

P

Panel on Scientific Responsibility and the Conduct of Research

approach, scope, and audience addressed by, 4, 22–23

charge of, 3, 22

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

definition of, 5, 27

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

definition of, 5–6, 28–29

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

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 directors, 43, 70

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

code of ethics guiding, 36–37, 42

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

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

general norms of, 40–41, 48

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×

Scientific method, 36, 38

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

Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 191
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 192
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 193
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 194
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 195
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 196
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 197
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 198
Suggested Citation:"INDEX." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1992. Responsible Science, Volume I: Ensuring the Integrity of the Research Process. Washington, DC: The National Academies Press. doi: 10.17226/1864.
×
Page 199
Responsible Science, Volume I: Ensuring the Integrity of the Research Process Get This Book
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Responsible Science is a comprehensive review of factors that influence the integrity of the research process. Volume I examines reports on the incidence of misconduct in science and reviews institutional and governmental efforts to handle cases of misconduct.

The result of a two-year study by a panel of experts convened by the National Academy of Sciences, this book critically analyzes the impact of today's research environment on the traditional checks and balances that foster integrity in science.

Responsible Science is a provocative examination of the role of educational efforts; research guidelines; and the contributions of individual scientists, mentors, and institutional officials in encouraging responsible research practices.

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