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Ch16ScientificEthics06.10.02.doc06.10.02Chapter16.ScientificEthics1ByPatriciaA.BoltonScientificethics,definedasthestandardsofconductforscientistsintheirprofessionalendeavors,coversabroadswathofactivitiesfromissueshandledbyWhiteHouseadvisorygroupsontopicssuchastheuseofhumansubjectsinresearchortheappropriatenessofpatentinggeneticallymodifiedorganismstopeerreview,toone-on-onementoringinindividuallaboratories.Ethicalissuesinthenewsrecentlyhavespannedarangeofissues–fromwhetherornottousefetaltissueinresearchtotheappropriateroleofprivatesectorsponsorshipofacademicresearch.Manyprofessionalassociations,suchastheAmericanAssociationfortheAdvancementofScience,SigmaXi,andtheAmericanPhysicalSociety,haveestablishedcodesofethicalconductforscientists.However,relativelylittleoftheliteratureonscientificethicsreflectsanorganizationaleffectivenessandmanagementperspective–thatis,describinghowethicalbehaviorisencouragedandmisconductissanctionedbyanorganization.Thisreviewfocusesonthatportionoftheliteraturethataddressesorganizationalstructuresandprocessesrelatedtoscientificethics.ExcellentScience,ExcellentEthicsEthicsispartofthe“warrant”forscience;thatis,sciencecanbeexcellentonlyifitspractitionersconducttheirresearchinaccordancewiththeacceptedpracticesintheirfields.Forallscientificfields,ethicalbehaviorincludesadherencetotheprinciplesandpracticesofvalidexperimentation(thescientificmethod,accurateandsufficientsamplingofdata,accuraterecordkeepingandreporting,etc.),educationandmentoring,unbiasedpeerandexpertreview,andcommunicationofresultstothescientificcommunity.Thus,overandabovetheresultsthemselves,excellentsciencehastopasstheethicstest.Sciencecanbesaidtobeethicalintwodifferentways:♦Ethicsofthetopicsandfindings(morality):Ethicistsponderthequestionofwhetherscienceisgoodorbad,especiallyinspecificarenasofsciencesuchasbiomedicalandotherresearchwherehumanoranimalsubjectsareinvolved.Also,groupswithstrongbeliefsraiseethicalquestionswhenpossibleusesofthefindingsortheprocessfordoingthescienceareinoppositiontotheirtenets.Scientiststhemselvesmayraisemoralorethicalissues,understandingthepotentialforharmrelatedtotheresearchprocessoroutcome.♦Ethicsofmethodandprocess(integrity):Theprocessofdoingandreportingsciencehasastrongethicalcomponent.Itaddressesthenatureofthedesign,theexperimentalprocedures,andthereportingoftheresearcheffort.Theassumptionofscientificintegrityincarryingouttheprocessesofscienceisbasictotrustamongscientists,betweensocietyandscientists,andtothecredibilityofscientificresults.Theresearchrecordisimportantbecauseitisbyexaminingtheinputstoapieceofscientificresearchthatscientistswithsimilarexpertisecanjudgethecompetenceoftheresearchdesignandthecredibilityofthefindings.1Relatedchaptersinclude:SciencePolicy;PerformanceAssessment;OrganizationalCulture;Leadership.Ch16ScientificEthics06.10.02.doc206.10.02Thetopicofthisreviewisscientificethicsandthemanagementfunctionofensuringthatscientificresearchisbeingconductedcarefullyandhonestly.2Scientificintegrity,ethicalscience,andhigh-valuescienceareentwined,particularlyforgovernment-fundedscience.Theliteraturefocusesonthedefinitionofscientificmisconduct,thefactorscontributingtomisconductorenhancingscientificintegrity,andthewaysthesciencefundingandresearchcommunitycancreateorsustainenvironmentsinwhichscientificintegritycanthrive.FosteringScientificIntegrityandResponsibleScienceSpecificaspectsofscientificintegrityaredeterminedlargelybythescientificcommunity,andvaryovertime.Personsenteringsciencemustlearnwhatisappropriatebehaviorandwhatisnot.Inmanysettingsneophytescientistslearnaboutpracticesandbehaviorsappropriatetotheirdisciplinesandresearchsettingsbyobservingmoreseniorscientistsonaday-to-daybasis.Inattemptingtoachievehighlevelsofscientificintegrityandresponsiblescience,strategiesthatfosterlearningandworksettingsthatreinforcedesiredvaluesandbehaviorsarepowerfulcomplementstostrategiesthatfocusondetectingandpunishingmisconduct.Figure1outlinesthesourcesoflearningandreinforcementforscientificintegrityonthepartofindividualscientists.Thesemeasuresprovideopportunitiesforscienceorganizations,aswellasthosethattrainscientists,tostrengthentheelementsoflearningandworksettingsthatfosterandreinforcescientificintegrity.ThisprovidesabasisfordesigningabalancedstrategyforpromotingFigure1.InterventionPoints:ForcesthatContributetoScientificIntegrity2Thisliteratureisgenerallyquitedistinctandfocused,withfewlinkagestothebroaderorganizationaleffectivenessliterature.Relatedtopicsintheorganizationaleffectivenessandmanagementliteraturearebusinessethicsandcontrolfunctions.Discussionofoversightasanactivityislocatedprimarilyintheliteratureonpublicpolicyandpublicadministration.Ch16ScientificEthics06.10.02.doc306.10.02integrityandappropriateconduct,andapplyingsanctionstodiscouragemisbehavior(e.g.,IOM1989;NAS,NAE,andIOM1992,1993,1995).Theforcesbehindscientificintegrityaresocial.Thatis,theyaredefinedandappliedthroughsocialinteraction.TheeightforcesproposedinFigure1canbeseenasrepresentingthefollowingcategoriesofinfluence:♦ChildhoodS