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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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.

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×
This page in the original is blank.
Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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.

Page viii Cite
Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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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.

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×
Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×

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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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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

Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Page viii Cite
Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
×
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Suggested Citation:"Front Matter." National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 1993. Responsible Science, Volume II: Background Papers and Resource Documents. Washington, DC: The National Academies Press. doi: 10.17226/2091.
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Volume II of Responsible Science includes background papers and selected institutional reports, policies, and procedures that were used to develop Volume I. Topics discussed include traditions of mentorship in science; data handling practices in the biological sciences; academic policies and standards governing the conduct of research practices; congressional interest in issues of misconduct and integrity in science; the regulatory experience of human subjects research; and the roles of scientific and engineering societies in fostering research integrity.

The panel also considers numerous institutional policy statements adopted by research universities and professional societies that address different aspects of misconduct or integrity in science. These statements have been selected to convey the diverse approaches for addressing such matters within research institutions.

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