Research Ethics for Scientists: A Companion for Students PDF
Preview Research Ethics for Scientists: A Companion for Students
P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Research Ethics for Scientists P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Research Ethics for Scientists A Companion for Students C. Neal Stewart Jr. UniversityofTennessee A John Wiley & Sons, Ltd., Publication P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Thiseditionfirstpublished2011 (cid:2)C 2011byJohnWiley&Sons,Ltd Wiley-BlackwellisanimprintofJohnWiley&Sons,formedbythemergerofWiley’sglobal Scientific,TechnicalandMedicalbusinesswithBlackwellPublishing. Registeredoffice: JohnWiley&Sons,Ltd,TheAtrium,SouthernGate,Chichester,WestSussex,PO198SQ,UK Editorialoffices:9600GarsingtonRoad,Oxford,OX42DQ,UK TheAtrium,SouthernGate,Chichester,WestSussex,PO198SQ,UK 111RiverStreet,Hoboken,NJ07030-5774,USA Fordetailsofourglobaleditorialoffices,forcustomerservicesandforinformationabouthowto applyforpermissiontoreusethecopyrightmaterialinthisbookpleaseseeourwebsiteat www.wiley.com/wiley-blackwell. Therightoftheauthortobeidentifiedastheauthorofthisworkhasbeenassertedinaccordance withtheUKCopyright,DesignsandPatentsAct1988. Allrightsreserved.Nopartofthispublicationmaybereproduced,storedinaretrievalsystem,or transmitted,inanyformorbyanymeans,electronic,mechanical,photocopying,recordingor otherwise,exceptaspermittedbytheUKCopyright,DesignsandPatentsAct1988,withoutthe priorpermissionofthepublisher. Designationsusedbycompaniestodistinguishtheirproductsareoftenclaimedastrademarks.All brandnamesandproductnamesusedinthisbookaretradenames,servicemarks,trademarksor registeredtrademarksoftheirrespectiveowners.Thepublisherisnotassociatedwithanyproductor vendormentionedinthisbook.Thispublicationisdesignedtoprovideaccurateandauthoritative informationinregardtothesubjectmattercovered.Itissoldontheunderstandingthatthepublisher isnotengagedinrenderingprofessionalservices.Ifprofessionaladviceorotherexpertassistanceis required,theservicesofacompetentprofessionalshouldbesought. LibraryofCongressCataloging-in-PublicationData Stewart,C.NealJr. Researchethicsforscientists:acompanionforstudents/NealStewart. p.cm. Includesbibliographicalreferencesandindex. ISBN978-0-470-74564-9(pbk.) 1.Research–Moralandethicalaspects. 2.Scientists–Professionalethics. I.Title. Q180.55.M67S762011 174(cid:3).95–dc23 2011016038 AcataloguerecordforthisbookisavailablefromtheBritishLibrary. Thisbookispublishedinthefollowingelectronicformats:ePDF9781119978879;WileyOnline Library9781119978862;ePub9781119979869;Mobi9781119979876 Typesetin10/13ptBembobyAptaraInc.,NewDelhi,India FirstImpression2011 P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Contents Preface xi AcknowledgementsandDedication xiii Chapter1 ResearchEthics:TheBestEthicalPracticesProduce theBestScience 1 Judgeyourself 4 Moralityvsethics 4 Inauspiciousbeginnings 6 Howscienceworks 7 Summary 9 Judgeyourselfredux 9 Chapter2 HowCorruptisScience? 11 Judgeyourself 12 “Scientistsbehavingbadly” 12 Doscientistsbehaveworsewithexperience? 14 Judgeyourself 15 Crimeandpunishment 15 Judgeyourself 17 Judgeyourselfredux 18 Judgeyourselfredux 19 Judgeyourselfredux 19 Summary 20 Chapter3 PlagiariseandPerish 21 Ideas 23 Sentences 23 Phrases 23 Ahoppyexample 24 Whatisplagiarism,really? 24 Judgeyourself 25 Howmanyconsecutiveidenticalanduncitedwords constituteplagiarism? 25 Self-plagiarismandrecycling 26 Judgeyourself 27 Judgeyourself 31 Toolstodiscoverplagiarism 33 Self-plagiarismandethicsrevisited 34 Judgeyourself 34 Isplagiarismgettingworse? 35 Thecaseoftheplagiarisinggraduatestudent 35 Judgeyourselfredux 36 v P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Contents Judgeyourselfredux 37 Judgeyourselfredux 37 Summary 38 Chapter4 FindingthePerfectMentor 39 Caveat 40 Choosingamentor 40 Judgeyourself 43 Choosingagraduateproject 46 Judgeyourself 47 Mentorsforassistantprofessors 47 Howtotrainyourmentor 52 Choosingtherightresearchproject:thenewgraduate student’sdilemma 54 Judgeyourselfredux 56 Judgeyourselfredux 56 Summary 56 Chapter5 BecomingthePerfectMentor 57 Grantsandcontractsareaprerequisitetoproductivescience 57 Judgeyourself 58 Publicationsarethefruitofresearch 59 Onapersonallevel 59 Judgeyourself 60 Commonandpredictablemistakesscientistmakeatkey stagesintheirtrainingandcareersandhowbeingagood mentorcanmakeimprovements 60 Questions 70 Judgeyourselfredux 71 Judgeyourselfredux 71 Summary 72 Chapter6 ResearchMisconduct:FabricatingData 73 Whycheat? 74 Judgeyourself 76 ThecaseofJanHendrickScho¨n,“PlasticFantastic” 76 ThecaseofWoo-SukHwang:dogcloner,datafabricator 77 Judgeyourself 78 Detectionofimageanddatamisrepresentation 78 Judgeyourself 81 Neitherherenorthere–thecuriouscaseof HommeHellinga 81 Judgeyourself 83 Lessonslearnt 83 Judgeyourselfredux 84 Judgeyourselfredux 84 vi P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Contents Judgeyourselfredux 84 Summary 85 Chapter7 ResearchMisconduct:Falsificationand Whistleblowing 87 A“canofworms”indeed:thecaseofElizabeth“Betsy” Goodwin 89 Judgeyourself 91 Judgeyourself 92 Judgeyourself 94 Judgeyourself 98 Dealwithethicalquandariesinformallyifpossible 99 Judgeyourself 100 Cultivatingacultureofopenness,integrity,and accountability 100 Judgeyourselfredux 101 Judgeyourselfredux 102 Judgeyourselfredux 102 Judgeyourselfredux 102 Judgeyourselfredux 103 Summary 103 Chapter8 Authorship:Who’sanAuthoronaScientific PaperandWhy 105 Theimportanceofthescientificpublication 106 Judgeyourself 107 Whoshouldbelistedasanauthoronascientificpaper? 107 Judgeyourself 109 Howtoavoidauthorquandaries 110 Authorshipforworksotherthanresearchpapers 111 Thedifferencebetweenauthorshiponscientificpapers andinventorshiponpatents 112 Otherthoughtsonauthorshipandpublications 113 Judgeyourself 114 Judgeyourselfredux 118 Judgeyourselfredux 118 Judgeyourselfredux 119 Summary 119 Chapter9 GrantProposals:EthicsandSuccessIntertwined 121 Whyfundingiscrucial 121 Judgeyourself 125 Pathtosuccessinfunding 125 Fairplayandcollaboration 126 Judgeyourself 126 Judgeyourself 128 vii P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Contents Recordkeepingandfiscalresponsibility 128 Pushingthelimitsonproposals 129 Judgeyourselfredux 133 Judgeyourselfredux 133 Judgeyourselfredux 134 Summary 134 Chapter10 PeerReviewandTheEthicsofPrivilegedInformation 135 Thehistoryofpeerreview 135 Thenatureofjournalsandthepurposeofpeerreview 136 Whichpaperstoreview? 140 Anonymity 140 Judgeyourself 141 Grantproposals 141 Confidentialityandprivilegedinformation 142 Reviewers 143 Judgeyourself 143 Judgeyourselfredux 145 Judgeyourselfredux 145 Summary 146 Chapter11 DataandDataManagement:TheEthicsofData 147 Stewardshipofdata 148 Judgeyourself 149 Judgeyourself 153 Judgeyourself 156 Thelandofin-between:ethicsofdatapresented atprofessionalmeetings 156 Judgeyourself 159 Futureofdatamanagement 160 Judgeyourselfredux 160 Judgeyourselfredux 160 Judgeyourselfredux 161 Judgeyourselfredux 161 Summary 161 Chapter12 ConflictsofInterest 163 Thedynamiclandscapeofconflictsofinterest 164 Potentialconflictsofinterestforuniversityscientists 165 Judgeyourself 169 Conflictsofinterestwithinlabsoruniversities 169 Judgeyourself 170 Judgeyourselfredux 177 Judgeyourselfredux 177 Summary 177 viii P1:TIX/XYZ P2:ABC JWST085-FM JWST085-Stewart July13,2011 14:13 PrinterName: YettoCome Contents Chapter13 WhatKindofResearchScienceWorld DoWeWant? 179 “Acultureofdisciplineandanethicofentrepreneurship” 180 Judgeyourself 181 Toomuchpressure? 181 Integrityawarenessthroughethicseducation 184 Accountability 185 Wescientists 185 Judgeyourselfredux 186 Summary 187 Appendix 189 References 203 Index 209 ix P1:TIX/XYZ P2:ABC JWST085-Preface JWST085-Stewart July8,2011 8:46 PrinterName: YettoCome Preface My initial involvement with research ethics was quite accidental (to me) and commencedjustasIbeganmyownPhDprogrammeasastudent.Iwasselected by the Associate Dean of the graduate school to be the Chief Justice of my university’s graduate honour system. To this day, I still don’t understand how that all happened, but now I realise the huge affect it subsequently had on my career. Unbeknownst to me at that time, it paved the way for this book some 20yearslater.AsChiefJustice,mydutiesweretohelpinvestigateandhearcasesof plagiarism, research misconduct, and cheating in courses by graduate students – my peers. I still recall my major professor’s response when I asked him what he thought about my taking the job. “If you don’t mind judging your fellow students...” In other words, I don’t think he believed it was such a good idea. I wasn’t altogether convinced about this new gig either – I thought it had the potentialtobeasignificantdiversionfromtheresearchIneededtodotograduate. Plus,truly,whatscientistwantstojudgetheallegedlybad practicesofhisfellow peersinresearch?This,Ifind,isacommonfeelingamongscientists.Fewscientists arecomfortablepolicingtheconductofotherscientists. The Graduate Honour System cases of alleged student misconduct were heard and decided by a panel of faculty members and graduate students. I simply presided over the proceedings and administered the system. If a guilty verdict was found, then a penalty would be prescribed, and I was the guy to tell the accused of their fates. These penalties ranged from probation to dismissal. After the hearings I walked downstairs from the hearing room and into the ersatz waitingroom,personallydeliveredthegoodorbadnewstothegraduatestudent; alwaysananxiousmoment.Thissimplebearingofgoodorbadnewsshowedme in a profound way that there is a face and heart behind every case of scientific misconduct. Hearing these cases over three years opened my eyes to the world of bad be- haviour in science (and most of the cases we heard were in fields of science or engineering) that I hadn’t realised even existed. It also helped me understand someofthepsychologyandpressuresthatprecipitatedacademicmisconduct.That experience helped steer my own career clear of major potholes and fatal wrecks alike.Oh,Istillmademyshareofmistakes,butnonewerefatal.Ihadsimplybeen giventhesomewhatuniquechancetolearnfromlotsofotherpeople’smistakes. And I think I could have steered clear of a few more of my wanderings had I read a book such as this one and/or sat through a one-hour graduate course on researchethics.I’llmakemyownconfessionsthroughoutthebook,andwewill examinerealandfictionalcasestudiesthatshouldbefuelforthoughtasscientists windtheirwaythroughtheircareers. xi P1:TIX/XYZ P2:ABC JWST085-Preface JWST085-Stewart July8,2011 8:46 PrinterName: YettoCome Preface WithmyPhDinhandandthebusyday-to-daytasksofrunningalabandteaching, thedaysofmyethical“trials”wereadistantmemory.Real-liferesearchintegrity didn’thithomeuntiljustafewyearsagowhenIwasthe“victim”ofplagiarism. Ivividlyrecallreadingmyownwordsfromanotherperson’spaperandthinking, “this looks familiar – and the writing’s not so hot.” A student’s plagiarism of my own work inspired me to pursue ethics anew in the form of co-teaching a graduate course on practical research integrity. This book then naturally arose from my teaching experiences, and from the fact that when my colleague and I searched for a book or material to help teach our graduate-level research ethics course, we learned there are a plethora of works on bioethics and many fewer that address research ethics. As a practicing biologist, I don’t consider this book to be a scholarly treatise in ethics; it is written to practically address common problem issues in scientific research with narrative and case studies. I wrote it as a guidebook of sorts – both for undergraduate students contemplating a life in scienceandthosegraduatestudentsandearlycareerscientistswhofindthemselves in the thick of it. In the end, the book turned out to be more autobiographical thanI’dsetoutforittobe.Thatsaid,allopinionsaremyownandallnamesIuse in the fabricated case studies are also fabricated. Any resemblance to real people ispurelyaccidental. Iamthoroughlyconvincedthatthebestethicalpracticesleadtothebestscience. GrantingagenciessuchastheNationalInstitutesofHealth(NIH)andtheNational Science Foundation in the US must agree as they require research integrity training to their awardees. I think it is simply a matter of time before all US funding agencies follow suit. I see more and more scientists now motivated to teach courses in research ethics to address these needs. Aside from mandates set byfundingagencies,thereseemstobeagrowingnumberofcolloquia,informal meetings and workshops on research ethics being held. This is a welcome trend to proactively address real concerns in a complicated research world. Research integrityisforeverybody! Knoxville, TN, USA March2011 xii
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