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Research Ethics
for Scientists
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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
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Thiseditionfirstpublished2011
(cid:2)C 2011byJohnWiley&Sons,Ltd
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Stewart,C.NealJr.
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Includesbibliographicalreferencesandindex.
ISBN978-0-470-74564-9(pbk.)
1.Research–Moralandethicalaspects. 2.Scientists–Professionalethics. I.Title.
Q180.55.M67S762011
174(cid:3).95–dc23
2011016038
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FirstImpression2011
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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
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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
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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
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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
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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
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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.
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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
