Provides an introduction to research ethics and ethically responsible research practice
Focuses on issues that are particularly relevant in a research organization
Takes on a practical perspective on research ethics in professional settings
Dag Slotfeldt-Ellingsen has worked as a researcher, been director in SINTEF – a Norwegian multidisciplinary research organization. He has been a member of and led a number of boards, councils and committees within the research community, including as a member of the Norwegian National Commission for the Investigation of Research Misconduct(2007-2016).
This book provides a thorough introduction to research ethics and ethically responsible research practice in a research organization. It is relevant for all research areas. Morality, however, is not something one can just "learn”. Therefore, the book is written with a different basic tone than regular textbooks, so that it makes the reader aware of how morality plays a role in the various daily tasks one has in a research organization. The book conveys knowledge and experience material about the society´s and the research community´s view of how different ethical issues should be solved. From this, the reader will acquire the basic ethical principles they need to know and understand and be aware of, in order to be qualified in an ethical context as employees of a research organization, and to be able to deal with common ethical issues associated with research.
ContentsSpecial Nomenclature Used in This Book. 12
References. 12
Part I Professional Ethics for Researchers and Society´s Expectations Towards Researchers 13
1 The Ethical Basis for Research Activities 14
1.1 Morality and Ethics. 14
1.2 The Morality of Researchers. 15
1.2.1 Research Ethics – a Special Kind of Professional Ethics. 15
1.2.2 Society´s Expectations of Research – the Basis for Research Ethics. 15
1.3 `Responsible Research Practice´ – the Standard for How Research Should Be Conducted in an Ethical Manner 18
References. 18
2 National and International Measures to Promote Ethically Responsible Research. 19
2.1 The Bureaucratization of Research Ethics in Recent Years. 19
2.2 National and International Actions to Promote and Secure Responsible Conduct of Research. 20
2.3 Research Ethics as a Growing Research Field. 21
2.4 The Regulatory Framework for Conducting Responsible Research. 21
2.4.1 The Regulations Everyone Must Follow in Research. 21
2.4.2 National Guidelines for Research Ethics. 22
2.4.3 International Guidelines for Research Ethics. 22
2.4.4 Guidelines for Research Ethics – a Combination of Guidance and Requirements. 23
2.4.5 The Relevance of the Guidelines in Different Types of Work. 24
2.4.6 The Relevance of the Guidelines for Different Job Categories. 25
2.4.7 Research Organizations´ Own Procedures and Ethical Guidelines. 26
2.4.8 National Legislation. 26
2.5 When Laws, Regulations and Ethical Guidelines Do Not Provide Unambiguous Answers – Discretion in Research Ethics 28
2.6 The Further Developments of the Regulations – Will the Best Become the Enemy of the Good?. 28
References. 29
3 The Allocation of Ethical Responsibility for Research. 30
3.1 General 30
3.2 The Independent Ethical Responsibility of the Researcher 30
3.3 The Researcher´s Responsibility to Internal and External Partners. 30
3.3.1 Responsibility for the Whole in a Collaborative Project 30
3.3.2 Responsibility as Project Manager, Lead Author, Etc. 32
3.4 Ethical Responsibility of Research Organizations and Research Leaders. 32
3.5 Organization of Work Related to Research Ethics Within a Research Organization. 34
References. 35
4 The Research Organization´s Measures to Ensure Responsible Research Practice. 36
4.1 Ethical Issues Related to Organization and Management 36
4.1.1 The Importance of a High Degree of Professional Morality at the Lowest Level in `Flat´ Organizations 36
4.1.2 The Importance of Management and Control Systems that Motivate Researchers. 37
4.2 Measures to Ensure That All Employees Act Morally. 38
4.2.1 Requirements for Ethical Competence in New Hires and Measures to Maintain Competence. 38
4.2.2 Quality Assurance and Control Systems that Include Research Ethical Issues. 39
4.2.3 Working Environments that Promote Responsible Research Practice. 43
4.2.4 Goals and Strategies that Researchers Support and that Inspire. 44
4.2.5 Management Focus on Implementing Responsible Research Practices. 45
References. 46
Part II Morality and Responsible Practice in Daily Research Work. 48
5 The Researcher in the Workplace – Employee Morale. 49
5.1 Employee Morale. 49
5.2 Common Decency in the Workplace – the Relationship with Colleagues, Managers and Others. 49
5.3 Bullying and Harassment 51
5.4 The Danger of Developing Prejudice and Fixed Ideas. 53
5.5 Working Hours and Presence in the Workplace. 53
5.6 Serial Conference-Goers and Research Tourism... 54
5.7 Minor, Private Tasks in the Workplace and During Working Hours. 55
5.8 Work for Others. 56
5.8.1 External Assignments – Paid or Unpaid Work for Others. 56
5.8.2 Private Engagements Based on Personal Convictions in a Cause. 57
5.9 Personal Gifts and Hospitality. 58
5.9.1 Gifts and Hospitality in General 58
5.9.2 Gifts and Hospitality from Vendors. 59
5.9.3 Invitations to Travel and Events from Clients and Others. 60
5.10 Gifts and Hospitality from a Research Organization to External Individuals or Organizations. 61
5.11 Corruption and Bribery. 62
5.12 Network Corruption, Nepotism, Cronyism and the Like. 63
5.13 Supervision of Students and New Employees. 64
5.13.1 Supervision of Master´s and PhD Students. 64
5.13.2 Supervision of New Employees. 65
5.14 Whistleblowing in Cases of Suspected Misconduct in One´s Own Organization. 66
5.14.1 Responsibility for Reporting Suspected Wrongdoing and Procedure for Reporting. 66
5.14.2 The Form and Content of the Whistleblowing Report 67
5.14.3 Written or Oral Whistleblowing Report 67
5.14.4 When the Whistleblower Wishes to Remain Anonymous. 68
5.14.5 Abuse of the Right to Act as Whistleblower 68
5.15 Reporting of Suspected Scientific Misconduct Outside the Workplace. 69
References. 69
6 Choice of Research Topic – a Question of Taking Societal Responsibility. 71
6.1 The Authorities´ Measures to Ensure That the Research Benefits Society. 71
6.2 The Research Organization´s Overall Societal Responsibility when Choosing Research Areas. 72
6.2.1 The Responsibility for Ensuring that the Organization´s Research Profile Can Be Defended Scientifically and Socially. 72
6.2.2 Responsibility for Changing Research Profile when Society´s Needs Change and New Research Areas Develop. 73
6.3 The Individual Researcher´s Independent Responsibility to Society when Choosing Research Projects. 75
6.4 Responsible Choice of Research Projects – the Researcher´s Most Important Decisions. 76
6.4.1 The Background to the Choice. 76
6.4.2 `Wasted Research´ – Abuse of Society´s Trust 80
6.5 Caution when Research can have both Positive and Negative Consequences. 81
6.5.1 Increased Awareness that Researchers have an Independent Responsibility for the Consequences of Their Own Research. 81
6.5.2 The Precautionary Principle. 83
6.6 Academic Freedom – also a Responsibility. 84
6.6.1 The Background for Academic Freedom... 84
6.6.2 The Individual Researcher´s Academic Freedom in Relation to Their Research Activity. 84
6.6.3 Limitations on Individual Academic Freedom Related to Research. 85
6.6.4 The Relationship Between the Researcher´s Academic Freedom and the Research Institution´s Right to Govern 86
6.6.5 Academic Freedom in Commissioned Research. 87
6.6.6 Various Forms of Professional Freedom for Researchers Outside Academia. 87
References. 88
7 The Ideals of Neutrality, Impartiality and Independence. 89
8 Writing of Project Plans and Applications 90
8.1 Using Other´s Project Ideas – the Risk of Plagiarism... 90
8.2 The Project Plan – Also a Plan for Complying with Research Ethics Norms. 91
8.3 Ethical Issues in Collaborative Projects with Several Participants. 93
8.3.1 Collaboration as a Tool to Promote Responsible Research Practice. 93
8.3.2 Caution in Choosing Partners. 93
8.3.3 Special Caution when Collaborating Abroad. 94
8.3.4 The Project´s Guidelines for Research Ethics and the Collaboration Agreement 95
8.4 Application for Financial Support 96
8.4.1 Truthful and Realistic Deillegalscription of the Project´s Goal and Impact 97
8.4.2 Transparency About Risks in the Project Implementation and Potential Bottlenecks in the Work Flow of a Research Project 98
8.4.3 Truthful Deillegalscription of the Project Participants´ Qualifications and Merits. 99
8.4.4 The Requirement that Applicants for Project Support Account for Research Ethical Issues. 99
8.5 Caution with Whom One Gets Project Support From... 99
References. 100
9 Commissioned Research and Other Assignments for External Clients 101
9.1 The Motivation for Commissioned R&D.. 101
9.2 A Definition of Commissioned Assignments. 102
9.3 How Commissioned Projects are Initiated. 103
9.4 The Assignment Agreement 103
9.4.1 The Provisions on the Project´s Content, Goals, Procedures, and Methods. 104
9.4.2 Provisions on Ownership and Licence Rights. 105
9.4.3 Provisions on Reporting to the Client 107
9.4.4 Provisions Concerning Publication. 108
9.4.5 Provisions Concerning Guidelines for Research Ethics. 111
9.5 The Relationship Between Client and Researchers. 111
9.5.1 The Balance Between Loyalty to One´s Own Organization and Loyalty to the Client 111
9.5.2 Financial Honesty Towards the Client 111
9.5.3 If the Client Seeks to Influence the Researchers – What Is Undue Pressure?. 112
9.5.4 If the Contractor Seeks to Influence the Client – What Is Undue Pressure?. 113
9.5.5 If the Client Requests Changes to the Assignment Report 114
9.5.6 If Client and Researchers Have Different Views on the Interpretation or Use of the Project Results 115
9.6 The Risk of Losing Neutrality when Working on Commission for a Client 116
10 Other Forms of Research Collaboration Between the Research Community and Society. 118
10.1 New and Old Measures to Involve Society in Research. 118
10.2 Projects with User Participation. 118
10.3 `Citizen Science´ 119
References. 120
11 Research and Other Activities Based on Sponsorships and Donations 121
12 Ethical Issues During the Research Project 123
12.1 From Planning to Implementation. 123
12.2 Responsible Course of Action when an R&D Project Does Not Go According to Plan. 123
12.3 Responsible Use of Project Funds. 124
12.4 Keeping a Daily Research Log. 125
12.5 Management and Storage of Research Data and Material 125
References. 126
13 Research Involving Humans 127
13.1 Research Involving Humans – an Extensive and Particularly Sensitive Field of Research. 127
13.2 Basic Ethical Principles for Research Involving Humans. 128
13.2.1 Respect for Human Rights and Dignity. 128
13.2.2 Respect for People´s Privacy. 128
13.3 What Is Covered by the Term `Research Involving Humans´ 128
13.4 Requirements for Justification and Assessment of Risk. 128
13.5 Requirement for Informed Consent from People Involved in Research. 130
13.6 Special Measures for Involving People Who Do Not Have Competence to Consent 132
13.7 Right to Withdraw from Further Participation in Research. 133
13.8 Special Requirements for Initiating Research Involving Humans Without Obtaining Consent 133
13.9 Statutory Requirements for the Processing of Personal Data. 134
13.10 Requirements for Prior Approval of Biomedical and Behavioural Research Involving Humans. 136
13.11 Ethical Issues in Research on People on the Internet 136
13.11.1 The Internet – a New Research Area and a New Source of Information. 136
13.11.2 Guidelines for Internet Research Involving Humans. 136
13.11.3 Uncertainty About What Is `Private´ and `Public´ on the Internet 137
13.11.4 Problems Communicating with and Obtaining Consent from People Active on the Internet 138
13.11.5 The Risk that Anonymous or Anonymized Information from the Internet May Be Traced to Its Source 138
13.12 Pledge of Confidentiality and Its Limitations. 139
13.12.1 Pledge of Confidentiality – an Important Element in Safeguarding the Interests of People Participating in Research. 139
13.12.2 The Limitations of the Pledge of Confidentiality. 139
13.13 Payment for Participation in Research. 140
13.14 Consideration for Those Who Are Not Directly Involved in Research, but Who May Be Affected by It 142
13.15 Respect for Dead People. 143
13.15.1 Respect for the Deceased´s Reputation. 143
13.15.2 Respect for Graves, Skeletons and Other Human Remains. 145
13.16 Respect for People with Values One Does Not Share. 146
13.17 Caution when Researching Other People´s Motives. 146
13.18 Caution when Researchers and Their Research Subjects Become Close. 147
References. 147
14 Research in and on Other Cultures 149
15 Research Involving Animals 151
15.1 Increased Focus on Animal Welfare. 151
15.2 The `3Rs´ 151
References. 152
16 Professional Writing. 153
16.1 Standards of Integrity in Professional Writing. 153
16.2 Publication of Research Projects and Results as a Tool in Research Ethics. 153
16.3 Good Research Practice for the Use of Other Sources in One´s Own Written Work. 154
16.3.1 Use of Others´ Selection of Topics and Layout of the Text 154
16.3.2 Use of Text, Images, Tables, Etc. from Other Sources – Quotation, Paraphrase and Mention of Other Sources 155
16.4 References. 159
16.5 Writing Style, Spelling and Grammar 159
16.6 Criteria for Co-Authorship. 160
16.6.1 Scientific Works (the Vancouver Recommendations) 160
16.6.2 Common Forms of Violation of the Co-Authorship Guidelines in Scientific Publications. 161
16.6.3 Special Issues for PhD Dissertations and Master´s Theses. 162
16.6.4 Special Practice for Patents. 163
16.6.5 Special Practice for Less Meritorious Notes and Technical Reports, Administrative Reports and More 163
16.6.6 Authorship Order 164
16.6.7 Simple Measures to Avoid Disagreements and Conflicts About Co-Authorship. 165
16.7 Acknowledgment – the Custom of Thanking for Contributions, Help and Support 165
16.8 Requirement to Account for Any Actual, Potential or Perceived Conflicts of Interest 166
16.9 Ethical Issues Related to New Forms of Publication. 166
16.9.1 Transition to Online Journals – a Paradigm Shift in Scientific Publishing. 166
16.9.2 Open Access to Publicly Funded Scientific Articles. 168
16.9.3 Responsibility to Avoid Fraudulent Publishers and Conference Organizers. 169
16.9.4 Disputed Procedures for Increasing the Number of Publications – `Least Publishable Unit´ 170
16.9.5 Unwanted Publication Biases. 172
References. 172
17 Authors´ Legal Rights 174
17.1 General 174
17.2 Authors´ Copyrights. 174
17.3 Author´s Moral Rights. 175
18 Commercialization of R&D Results from Research Institutions 176
18.1 Commercialization – when the Concrete Societal Benefit of a Research Result Is Realized Via the Business Community 176
18.2 The Business Community´s Operating Conditions and Working Methods – an Important Premise for Commercialization 177
18.3 Patenting and Secrecy of Business-Critical Information. 178
18.4 The Authorities´ Expectation that Researchers Should Contribute to Commercialization. 180
18.5 Alternative Procedures for Commercialization. 180
18.6 Some Research Ethics Issues in Commercialization. 181
18.7 New Business Concepts in the Business Sector can Open New Avenues for the Commercialization of Research Results 183
18.8 Variations in the Research Communities´ Competence Regarding Commercialization. 183
References. 183
19 Membership of Boards, Councils and Committees 184
19.1 Researchers and Research Leaders Are Important Resource Persons in the Research Community. 184
19.2 Peer Review.. 184
19.2.1 Peer Review of Scientific Articles Before Publication. 184
19.2.2 Internal Peer Review of Project Reports and Related Documents. 189
19.2.3 Peer Review of Project Applications. 189
19.2.4 Peer Review in Connection with Employment, Promotions, Etc. 189
19.3 Work on Boards, Councils and Committees Within the Research System... 190
19.4 Impartiality. 191
References. 192
20 The Researcher in the Public Arena. 193
20.1 Knowledge Transfer and Dissemination of Research. 193
20.2 Participation in the Public Debate as an Expert 195
20.3 The Distinction Between Professional and Private. 196
20.3.1 Researchers Must Clarify Whether They Are Acting as Professionals or Private Individuals. 196
20.3.2 Use and Misuse of Titles. 197
20.3.3 The Danger of Being Politicized. 198
20.4 Marketing, PR or Lobbying Activities Within Research. 199
References. 200
Part III Violations of Research Ethics Norms – Extent, Handling and Reactions 201
21 Extent of Violations of Research Ethics Norms 202
References. 203
22 Various Forms of Irresponsible Research Practice. 205
22.1 General 205
22.2 Sloppiness and Negligence. 205
22.3 Less Serious Violations of Research Ethics Norms. 206
22.4 Serious Violations of Research Ethics Norms (Research Misconduct) 207
22.4.1 The Definition of Research Misconduct 207
22.4.2 Fabrication – Cheating that Cannot Be Explained Away. 207
22.4.3 Falsification – Also when Not Telling the Whole Truth. 207
22.4.4 Plagiarism – the Most Common Form of a Serious Breach of Good Research Practice. 209
22.4.5 The Question of Whether One Can Be Held Responsible for Research Misconduct in Unfinished Works and Documents. 212
22.4.6 Fake Science. 213
22.5 Violations of Laws, Regulations, Procedures and Agreements. 213
References. 214
23 Handling of Violations of Research Ethics Norms 215
23.1 The Duty of Research Organizations to Respond to Violations of Research Ethics Norms. 215
23.2 General Aspects of the Procedure for Dealing With Violations of Research Ethics Norms. 216
23.2.1 The Objective Element of a Blameworthy Act 217
23.2.2 The Subjective Element of a Blameworthy Act 217
23.2.3 Assessment of Uncertain Evidence. 218
23.3 Open or Confidential Investigation of Violations of Research Ethics Norms. 219
23.3.1 Research Ethics Assessment of Confidentiality and Transparency in the Serious Cases. 220
23.3.2 Research Ethics Assessment of Confidentiality and Transparency in Less Serious Cases. 223
23.3.3 Consideration of the Research Organization´s Reputation. 223
23.4 Special Duties and Roles of Those Involved in the Processing of the Case. 223
23.4.1 The Suspect´s and Witnesses´ Duty. 223
23.4.2 The Management´s Role. 223
23.4.3 The Whistleblower´s Role. 224
23.5 Processing of Various Categories of Irresponsible Research Practice. 224
23.5.1 Handling Sloppiness and Negligence. 225
23.5.2 Handling Less Serious Violations of Research Ethics Norms. 225
23.5.3 Handling Serious Breaches of Research Ethics Norms (Research Misconduct) 225
23.6 Handling Ethically Reprehensible Matters in Activities That Are Not R&D.. 231
References. 231
24 Reactions to Researchers Who Violate Research Ethics Norms 232
24.1 Disciplinary Actions From the Employer 232
24.2 Sanctions From Others Than the Employer 235
24.3 Reactions From Public Authorities. 235
25 Possibilities for Reinstatement 236
25.1 Preconditions for Reinstatement 236
25.2 Reinstatement Following Loss of Responsibility and Work Tasks or After Reassignment 236
25.3 Reinstatement Following Dismissal 237
This book provides a thorough introduction to research ethics and ethically responsible research practice in a research organization. It is relevant for all research areas. Morality, however, is not something one can just "learn". Therefore, the book is written with a different basic tone than regular textbooks, so that it makes the reader aware of how morality plays a role in the various daily tasks one has in a research organization. The book conveys knowledge and experience material about the society's and the research community's view of how different ethical issues should be solved. From this, the reader will acquire the basic ethical principles they need to know and understand and be aware of, in order to be qualified in an ethical context as employees of a research organization, and to be able to deal with common ethical issues associated with research.
Special Nomenclature Used in This Book.- Part I Professional Ethics for Researchers and Society's Expectations Towards Researchers.- 1. The Ethical Basis for Research Activities.- 2. National and International Measures to Promote Ethically Responsible Research.- 3.The Allocation of Ethical Responsibility for Research.- 4. The Research Organization's Measures to Ensure Responsible Research Practice.- Part II. Morality and Responsible Practice in Daily Research Work.- 5.The Researcher in the Workplace - Employee Morale.- 6. Choice of Research Topic - a Question of Taking Societal Responsibility.- 7. The Ideals of Neutrality, Impartiality and Independence.- 8. Writing of Project Plans and Applications.- 9. Commissioned Research and Other Assignments for External Clients.- 10. Other Forms of Research Collaboration Between the Research Community and Society.- 11. Research and Other Activities Based on Sponsorships and Donations.- 12. Ethical Issues During the Research Project.- 13. Research Involving Humans.- 14.Research in and on Other Cultures.- 15. Research Involving Animals.- 16. Professional Writing.- 17. Authors' Legal Rights.- 18. Commercialization of R&D Results from Research Institutions.- 19. Membership of Boards, Councils and Committees.- 20. The Researcher in the Public Arena.- Part III Violations of Research Ethics Norms - Extent, Handling and Reactions.- 21. Extent of Violations of Research Ethics Norms.- 22. Various Forms of Irresponsible Research Practice.- 23. Handling of Violations of Research Ethics Norms.- 24. Reactions to Researchers Who Violate Research Ethics Norms.- 25. Possibilities for Reinstatement.
Dag Slotfeldt-Ellingsen has worked as a researcher, been director in SINTEF - a Norwegian multidisciplinary research organization. He has been a member of and led a number of boards, councils and committees within the research community, including as a member of the Norwegian National Commission for the Investigation of Research Misconduct(2007-2016).
Über den Autor
Dag Slotfeldt-Ellingsen has worked as a researcher, been director in SINTEF - a Norwegian multidisciplinary research organization. He has been a member of and led a number of boards, councils and committees within the research community, including as a member of the Norwegian National Commission for the Investigation of Research Misconduct(2007¿2016).
Inhaltsverzeichnis
Special Nomenclature Used in This Book.- Part I Professional Ethics for Researchers and Society's Expectations Towards Researchers.- 1. The Ethical Basis for Research Activities.- 2. National and International Measures to Promote Ethically Responsible Research.- 3.The Allocation of Ethical Responsibility for Research.- 4. The Research Organization's Measures to Ensure Responsible Research Practice.- Part II. Morality and Responsible Practice in Daily Research Work.- 5.The Researcher in the Workplace - Employee Morale.- 6. Choice of Research Topic - a Question of Taking Societal Responsibility.- 7. The Ideals of Neutrality, Impartiality and Independence.- 8. Writing of Project Plans and Applications.- 9. Commissioned Research and Other Assignments for External Clients.- 10. Other Forms of Research Collaboration Between the Research Community and Society.- 11. Research and Other Activities Based on Sponsorships and Donations.- 12. Ethical Issues During the Research Project.- 13. Research Involving Humans.- 14.Research in and on Other Cultures.- 15. Research Involving Animals.- 16. Professional Writing.- 17. Authors' Legal Rights.- 18. Commercialization of R&D Results from Research Institutions.- 19. Membership of Boards, Councils and Committees.- 20. The Researcher in the Public Arena.- Part III Violations of Research Ethics Norms - Extent, Handling and Reactions.- 21. Extent of Violations of Research Ethics Norms.- 22. Various Forms of Irresponsible Research Practice.- 23. Handling of Violations of Research Ethics Norms.- 24. Reactions to Researchers Who Violate Research Ethics Norms.- 25. Possibilities for Reinstatement.
Provides an introduction to research ethics and ethically responsible research practice
Focuses on issues that are particularly relevant in a research organization
Takes on a practical perspective on research ethics in professional settings
