Overview of Ethics in Science…. Dr. Gail P. Taylor UTSA MBRS-RISE/MARC-U*STAR Programs 06/02/2009.

Overview of Ethics in Overview of Ethics in Science….Science….

Dr. Gail P. TaylorDr. Gail P. Taylor

UTSA MBRS-RISE/MARC-UTSA MBRS-RISE/MARC-U*STAR ProgramsU*STAR Programs

06/02/2009

SourcesSources► On Being a Scientist: Responsible Conduct in ResearchOn Being a Scientist: Responsible Conduct in Research, Second , Second

Edition (1995) Committee on Science, Engineering, and Public Edition (1995) Committee on Science, Engineering, and Public Policy (Policy (COSEPUP)) http://newton.nap.edu/openbook/0309051967/html/index.htmlhttp://newton.nap.edu/openbook/0309051967/html/index.html

► Beth Fischer and Michael Zigmond, Survival Skills and Ethics Program http://www.pitt.edu/~survival

► Beyond the Beakers: SMART Advice for Entering Graduate Beyond the Beakers: SMART Advice for Entering Graduate Programs in the Sciences and Engineering. Gayle R. Slaughter, Programs in the Sciences and Engineering. Gayle R. Slaughter, Ph.D. Baylor College of Medicine/National Science Foundation. Ph.D. Baylor College of Medicine/National Science Foundation. 20052005

► Onlineethics.org –Published by the Online Ethics Center for Onlineethics.org –Published by the Online Ethics Center for Engineering and Science. Case Western Reserve University.Engineering and Science. Case Western Reserve University. http://onlineethics.org/index.htmlhttp://onlineethics.org/index.html

Ethics: Ethics:

►Studying and Analyzing Right from Studying and Analyzing Right from Wrong….Wrong….

►May vary, but some more absolute May vary, but some more absolute through cultures – ex Lying or through cultures – ex Lying or cheating.cheating.

Ethics in Science…Ethics in Science…

►Has both personal and broad Has both personal and broad cultural/world impactcultural/world impact

►AKA BioethicsAKA Bioethics Can involve Research TopicsCan involve Research Topics Can involve Behavior when doing Can involve Behavior when doing

research – Research Ethicsresearch – Research Ethics

Ethics – Scientists’ BehaviorEthics – Scientists’ Behavior►Whatever gets you ahead, can trip you up…Whatever gets you ahead, can trip you up…►Science ethics problems impact can be wideScience ethics problems impact can be wide►Stakeholders can be extensive:Stakeholders can be extensive:

All lab employeesAll lab employees Graduate students/postdocsGraduate students/postdocs CollaboratorsCollaborators University (NIH Funding)University (NIH Funding) Publishers/science JournalsPublishers/science Journals Funding AgencyFunding Agency Taxpayers or donorsTaxpayers or donors The world…and particularly other scientists…The world…and particularly other scientists…

Impact of MisconductImpact of Misconduct

►Wasted timeWasted time Self – fieldSelf – field

►Wasted MoneyWasted Money TaxpayerTaxpayer

► Lost public trustLost public trust► Lost reputationLost reputation

► http://www.msnbc.msn.com/id/12749497/http://www.msnbc.msn.com/id/12749497/

► http://www.sciencemag.org/cgi/content/full/http://www.sciencemag.org/cgi/content/full/311/5759/335b311/5759/335b

Woo-suk Hwang

Ethics and BehaviorEthics and Behavior►Most Common ProblemsMost Common Problems

AuthorshipAuthorship►““Errors” in Science Errors” in Science

Data IntegrityData Integrity►Honest errorsHonest errors►NegligenceNegligence

CarelessnessCarelessness►MisconductMisconduct

Fabrication (Make data)Fabrication (Make data) Falsification (Change data)Falsification (Change data) Plagiarism (Steal Data)Plagiarism (Steal Data)

Ethics and BehaviorEthics and Behavior►Other Problems or ConcernsOther Problems or Concerns

Sharing of Data/Information – Idea theftSharing of Data/Information – Idea theft Conflicts of InterestConflicts of Interest

►Will funding influence results?Will funding influence results?► Illegal behaviorIllegal behavior

Attempts to harm othersAttempts to harm others Sexist/racist social problemsSexist/racist social problems

AuthorshipAuthorship

► Motivations behind publishing:Motivations behind publishing: Scientific papers report findingsScientific papers report findings Quantity and Quality count!Quantity and Quality count! Promotes careerPromotes career

►document productivitydocument productivity►document impact on field/reputationdocument impact on field/reputation►Promotion to full professorPromotion to full professor►Advertises your lab for future traineesAdvertises your lab for future trainees►May be hired by more prestigious universityMay be hired by more prestigious university►Speaking feesSpeaking fees►Reviewer for Journals or governmentReviewer for Journals or government►National prideNational pride

Improves chances of more money!Improves chances of more money!

Where Problems Arise w Where Problems Arise w AuthorshipAuthorship

►Who is qualified to be an author?Who is qualified to be an author? Left out?Left out? Too many included?Too many included?

►What is the order of authors?What is the order of authors?►Number vs Quality of pubsNumber vs Quality of pubs►Same data, multiple journalsSame data, multiple journals

International Council of International Council of Medical Journal EditorsMedical Journal Editors

► http://www.icmje.org http://www.icmje.org ► Authorship credit should be based on Authorship credit should be based on ALLALL

1) substantial contributions to conception and design, or 1) substantial contributions to conception and design, or acquisition of data, or analysis and interpretation of data; acquisition of data, or analysis and interpretation of data;

2) drafting the article or revising it critically for important 2) drafting the article or revising it critically for important intellectual content; intellectual content;

3) final approval of the version to be published. Authors 3) final approval of the version to be published. Authors should meet conditions 1, 2, and 3.should meet conditions 1, 2, and 3.

► Acquisition of funding, collection of data, or general Acquisition of funding, collection of data, or general supervision of the research group alone does not constitute supervision of the research group alone does not constitute authorship. authorship.

► Each author should have participated sufficiently in the work Each author should have participated sufficiently in the work to take public responsibility for appropriate portions of the to take public responsibility for appropriate portions of the content. content.

Number and Quality of PubsNumber and Quality of Pubs

►Least Publishable UnitLeast Publishable Unit Scientific Papers tell a story…Scientific Papers tell a story…

►How much of a story is needed?How much of a story is needed?►Can we split and have two pubs?Can we split and have two pubs?

►Publishing same data in multiple Publishing same data in multiple paperspapers Less ethicalLess ethical Frowned upon – reputation issueFrowned upon – reputation issue

Data Integrity and “Errors” in Data Integrity and “Errors” in the Literature…the Literature…

► All scientific results (and especially interpretations) must be seen as All scientific results (and especially interpretations) must be seen as susceptible to errorsusceptible to error

► May show up in any publicationMay show up in any publication► Often difficult to prove causalityOften difficult to prove causality

► Honest Errors (lowest concern)Honest Errors (lowest concern) Reagents wrongReagents wrong Wrong use of machineWrong use of machine MathematicsMathematics Wrong interpretationsWrong interpretations

► Negligence (greater concern)Negligence (greater concern) HasteHaste InattentionInattention CarelessnessCarelessness Publishing same results in multiple journalsPublishing same results in multiple journals

► Misconduct…(Very high concern)Misconduct…(Very high concern)

► These all make it into the literature/publicationsThese all make it into the literature/publications

Problematic Activities – Usually Problematic Activities – Usually Not MisconductNot Misconduct

►Doing things that make your data fit a Doing things that make your data fit a pre-existing notionpre-existing notion

►Often is NOT intentionalOften is NOT intentional Asking leading questionsAsking leading questions Cooking data – choosing data that fits idea…Cooking data – choosing data that fits idea…

►Never throw away datapointsNever throw away datapoints► If there is a problem during expt, write down.If there is a problem during expt, write down.

Could be used to justify non-inclusionCould be used to justify non-inclusion Always let your mentor decideAlways let your mentor decide

Types of MisconductTypes of Misconduct

► Fabrication - making up data or resultsFabrication - making up data or results► Falsification - changing or misreporting data or Falsification - changing or misreporting data or

resultsresults► Plagiarism - and using the ideas or words of another Plagiarism - and using the ideas or words of another

person without giving appropriate creditperson without giving appropriate credit► or other practices that deviate commonly accepted or other practices that deviate commonly accepted

practices within the scientific community for practices within the scientific community for proposing, conducting, or reporting research.proposing, conducting, or reporting research.

► Broad impact!Broad impact!

► UTSA Handbook: UTSA Handbook: http://www.utsa.edu/grants/Researchhttp://www.utsa.edu/grants/Research%20Related%20Policies%20-%20Section%202.htm%20Related%20Policies%20-%20Section%202.htm

Fabrication/FalsificationFabrication/Falsification

►Creating dataCreating data►Changing dataChanging data► Intentionally ignoring dataIntentionally ignoring data► Inflating numbersInflating numbers► Inflating # of research papersInflating # of research papers

Submitted…Submitted…

PlagiarismPlagiarism

►Be very careful!Be very careful!►Must reference others’ ideas and dataMust reference others’ ideas and data►Put others’ words in quotation marksPut others’ words in quotation marks►Must NOT pull text out of other pubs Must NOT pull text out of other pubs

and incorporate!and incorporate!

Misconduct Leads to Other Misconduct Leads to Other ProblemsProblems

►Cover-ups of misconductCover-ups of misconduct►Reprisals against whistleblowersReprisals against whistleblowers►Malicious allegations of misconductMalicious allegations of misconduct►False accusationFalse accusation

Blame your postdoc…Blame your postdoc…

►Violations of due process in handling Violations of due process in handling complaints of misconduct in science. complaints of misconduct in science.

Lesser Offenses - Lesser Offenses -

► Not Sharing InformationNot Sharing Information Science hypothetically “open” for sharing infoScience hypothetically “open” for sharing info Sharing is required for progressSharing is required for progress Idea/experiment theft can occurIdea/experiment theft can occur

►Small lab vs “factor”Small lab vs “factor”►Extremely hard to proveExtremely hard to prove►May protect due to financial or prestige pressureMay protect due to financial or prestige pressure

What happens with secrecy comes in?What happens with secrecy comes in?►Don’t share at conferences…Don’t share at conferences…►Many researchers doing similar experimentsMany researchers doing similar experiments

► NIH – if publish paper, must bank the NIH – if publish paper, must bank the sequencesequence

► Federal – provisional patentsFederal – provisional patents

Lesser Offenses - Conflicts of Lesser Offenses - Conflicts of InterestInterest

►A circumstance that has possibility of A circumstance that has possibility of influencing professional judgmentinfluencing professional judgment Owning stock in a Co., for whom you are Owning stock in a Co., for whom you are

doing critical researchdoing critical research Smoking study funded by Tobacco Co.Smoking study funded by Tobacco Co. Reviewing manuscripts one step beyond Reviewing manuscripts one step beyond

your own workyour own work

UTSA Conflict of Interest UTSA Conflict of Interest PolicyPolicy

► Each PI Each PI shallshall submit to thesubmit to the Office of Research Development,Office of Research Development, a financial a financial disclosure statement listing all Significant Financial Interests of the disclosure statement listing all Significant Financial Interests of the Investigator (and those of the investigator's spouse and dependent children) Investigator (and those of the investigator's spouse and dependent children) that would reasonably appear to be affected by the research or educational that would reasonably appear to be affected by the research or educational activities proposed for funding, including interests in entities whose financial activities proposed for funding, including interests in entities whose financial interests would reasonably appear to be affected by such activities. interests would reasonably appear to be affected by such activities.

► Significant Financial Interests.Significant Financial Interests. ► Anything of monetary value including Anything of monetary value including

salary or other payments for services (e.g., consulting fees or honoraria)salary or other payments for services (e.g., consulting fees or honoraria) equity interests (e.g., stocks, stock options or other ownership interests)equity interests (e.g., stocks, stock options or other ownership interests) and intellectual property rights (e.g., patents, copyrights and royalties from such and intellectual property rights (e.g., patents, copyrights and royalties from such

rights).rights).

► Does not include:Does not include: Salary, royalties or other remuneration from The University of Texas at San Salary, royalties or other remuneration from The University of Texas at San

AntonioAntonio Income from seminars, lectures or teaching engagements sponsored by public or Income from seminars, lectures or teaching engagements sponsored by public or

nonprofit entitiesnonprofit entities Income from service on advisory committees or review panels for public or Income from service on advisory committees or review panels for public or

nonprofit entitiesnonprofit entities An equity interest that, when aggregated for the investigator and the investigators An equity interest that, when aggregated for the investigator and the investigators

spouse and dependent children, meets both of the following tests: spouse and dependent children, meets both of the following tests: ► does not exceed $10,000 in valuedoes not exceed $10,000 in value► does not represent more that a 5% ownership interest in any single entity; does not represent more that a 5% ownership interest in any single entity; ► salary, royalties or other payments that are not expected to exceed $10,000 during the salary, royalties or other payments that are not expected to exceed $10,000 during the

next twelve month period. next twelve month period.

Illegal Behavior- not Illegal Behavior- not Scientific Scientific MisconductMisconduct::

► Problems non-specific to scientists:Problems non-specific to scientists: Sexual or other harassmentSexual or other harassment misuse of fundsmisuse of funds Gross negligence in a person's professional Gross negligence in a person's professional

activitiesactivities Tampering with the experiments of others or with Tampering with the experiments of others or with

instrumentationinstrumentation Violations of government research regulationsViolations of government research regulations Criminal activityCriminal activity

►Radioactive water cooler… Radioactive water cooler… ►http://www.now.org/nnt/01-96/nih.htmlhttp://www.now.org/nnt/01-96/nih.html►http://www.nih.gov/news/NIH-Record/10_21_97/http://www.nih.gov/news/NIH-Record/10_21_97/

story03.htmstory03.htm

Actually Making a ComplaintActually Making a Complaint

►Discuss the situation with a trusted Discuss the situation with a trusted friend, advisor, department chairfriend, advisor, department chair

►When to put in writing! Important. It’s When to put in writing! Important. It’s “official” then and must be acted upon “official” then and must be acted upon formallyformally can have serious consequences for the can have serious consequences for the

career of a scientist (both) and should be career of a scientist (both) and should be undertaken only after thorough undertaken only after thorough consideration.consideration.

How does UTSA Respond to How does UTSA Respond to Allegations?Allegations?

►Allegations brought to Department Allegations brought to Department Chair. Chair. If about Department Chair, brought to If about Department Chair, brought to

President. President.

►PI and others notified. PI and others notified. ►The Department Chair conducts The Department Chair conducts

inquiry (within 60 days complete).inquiry (within 60 days complete).

Response IIResponse II► Written report shall be prepared and delivered to Written report shall be prepared and delivered to

the President and accused.the President and accused.

► Accused must respond in 10 days. Accused must respond in 10 days.

► The President shall review the inquiry report The President shall review the inquiry report Dismiss chargesDismiss charges Proceed with hearingProceed with hearing

► After the hearing:After the hearing: Unsubstantiated – restore reputations and protect Unsubstantiated – restore reputations and protect

accuser and accusee.accuser and accusee. Substantiated?Substantiated?

► Penalties given.Penalties given.► Sponsoring agency notified Sponsoring agency notified ► Journal Editors notified. Journal Editors notified.

Overall….Overall….

►Maintain your Integrity!Maintain your Integrity!►Maintain vigilance over those in your Maintain vigilance over those in your

employemploy