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.
National Academy Press
2101 Constitution Avenue, N.W. Washington, D.C. 20418
Printed in the United States of America
First Printing, February 1993
Second Printing, March 1996
PANEL ON SCIENTIFIC RESPONSIBILITY AND THE CONDUCT OF RESEARCH
EDWARD E. DAVID, JR. (Chairman), President,
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,
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,
IRA J. HIRSH, Mallinckrodt Distinguished University Professor of Psychology and Audiology,
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
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
ROSEMARY CHALK, Study Director
BARRY GOLD, Senior Staff Officer
SUSAN MAURIZI, Editor
DAVID H. GUSTON, Research Assistant
MARYANN SHANESY, Administrative Secretary
ELIZABETH BLOUNT, Secretary
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,
STUART BONDURANT, Professor and Dean,
School of Medicine, University of North Carolina
ROBERT A. BURT, Southmayd Professor of Law,
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.,
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
LAWRENCE E. McCRAY, Executive Director
BARBARA A. CANDLAND, Administrative Assistant
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.
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.
Professional Societies and Responsible Research Conduct
Mentorship and the Research Training Experience
Guidelines for the Conduct of Research at the National Institutes of Health