Good Scientific Practice - Wissenschaftsmanagement Online

Deutsche
Forschungsgemeinschaft
Good
Scientific
Practice
vs.
Misconduct
Dr. Reinhard Grunwald
Würzburg, November 2008
Scientific Misconducts Makes Headlines
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Illustration using: http://www.scholars.umd.edu/bse/newspaper.jpg
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Scientific Misconduct – Not a Recent Problem!
Claudius Ptolemy (circa 100 to 160):
Catalogue of fixed stars (almagest), copied
from Hipparchus and altered slightly: the
figures are right for Rhodes, but not for
Alexandria, where Ptolemy lived.
Galileo Galilei (1564-1642):
The first to conduct scientific
experiments. But didn’t conduct some of
those he described, e.g. a cannonball
dropped from a ship’s mast, and an
object thrown from the Leaning Tower of
Pisa.
Ernst Haeckel (1834-1919):
Formulated the ground rules of genetic
engineering. He also published images
in which he had ‘redrawn’ vertebrate
embryos.
Source: Einbecker Morgenpost from 17.02.2004
Illustration using: http://home.tiscalinet.ch/biografien/biografien/haeckel.htm; http://majakari.net/id.html;
http://www.lb.shuttle.de/mm1002/personit/galilei.jpg; http://www.newint.org/issue182/Images/galilei.gif;
http://www hyaden de/images/ptolem1 gif; http://cwx prenhall com/bookbind/pubbooks/chaissonat4/chapter2/medialib/image/almagest 2 jpeg
The right attitude?
Fame
Ruhm
Fame
Money
Geld
Money
Fame
Fame
Fame
Increase
Famethe
Fame
levelFame
of
Ruhm
Ruhm
knowledge
Ruhm
Ruhm
&
Ruhm
Ruhm
Ruhm
Ruhm
Ruhm
Ruhm
Money
Money
Money
Money
Money
Money
Money
Money
Geld
Geld
Geld
Geld
Geld
Geld
Geld
Geld
Ruhm
Geld
Ruhm Geld
Geld
Ruhm
Ruhm
Geld
Searching for
the truth
Macht
Macht "Impact
"Impactfactor"
factor"
Macht
"Impact
factor"
"Impact
factor"
"Impact
factor"
Macht
Macht
Macht
Macht
Macht
Power
Power
"Impact factor"
"Impact
"Impact factor"
factor"
Impact
Impact factor
factor
Macht
Macht Impact
Impact factor
factor
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"Impact factor"
factor"
Power
Impact
Power
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factor
S
IDEA
Power
Power
Power
Power
Power
Power
Macht
Impact
Impact factor
factor
Impact
Impact factor
factor
Impact factor
Impact factor
"Impact
factor"
Illustration using: http://www.copyoil-paintingscn.com/images/frame.jpg; http://home2.planetinternet.be/cdehants/idee.jpg
Misconduct Casts a Shadow on Science
Honest
mistake
Careless
work
Deliberate
falsification
Fabrication
Forgery
Plagiarism
Illustration using: http://www.ocf.org/OrthodoxPage/icons/clip/hand.gif
Scientific Misconduct – Science 2005
Survey: Evaluation of 3247
anonymous answers from
researchers who are
working in the USA and are
funded by the NIH:
Offences far exceed FFP
33% admit having
committed one or more of
the “top ten offences” in
the last 3 years
Survey conductors
estimate that the answers
are understated.
Culture of Excrescences
Data
Data fabrication,
fabrication,
-manipulation
-manipulation und
und
-falsification
-falsification
Mass
Mass production
production
of
of scientific
scientific results
results
Plagiarism;
Piracy
Lack of communication
Dishonesty regarding
performance/contribution
of partners, competitors
and predecessors
Insufficient
Insufficient support
support of
of young
young
researchers
researchers
Scientific
Scientific interests
interests
Increasing
Increasing
Publish
Publish or
or perish
perish
Peer
Peer pressure
pressure
specialisation
specialisation
Stiffer
Stiffer competition
competition for
for scarcer
scarcer funding
funding
Illustration using: http://diseyes.lycaeum.org/teo/mexi.jpg
Internal limits of science
under changed circumstances
Scientific discourse
increasing specialisation
Verifiability of
research results
Complexity of science
and research
Illustration using: http://www.msn.fullfeed.com/~jpdesign/MPR.html
peer review
"Immunisation through
reputation"
Scientific freedom: Limits
External limits
Legal system
ƒ
Criminal law
ƒ Falsification
ƒ Fabrication / fraud
ƒ Plagiarism / piracy
(§§ 106 copyright law)
ƒ
Labour / civil service law
ƒ
Civil law
Internal limits
Good scientific practice
Illustration using: www.jensv.de/impressum/; http://epost.prevezanos.com/motive/Entschuldigung/Haendeschuetteln.jpg;
http://www.tf.uni-kiel.de/dekanat/graphiken/diplmhat.gif
Protection of scientific freedom in Germany
Legal system
Constitution
Article 5, Paragraph 3:
Art and science, research and teaching are free...
General legal system
Jurisdiction of the supreme courts
Federal Constitutional Court/
Federal Administrative Court
Illustration using: http://www.textinfo.nl/images/justitia.jpg
Keeping the Balance
Trust
Control
ƒ
Within the scientific
community; in the
research results of
other scientists
ƒ
Verifiability and
traceability of research
results
ƒ
In the relationship
with public and
private investors
ƒ
Appropriate use of
funds
ƒ
In the relationship to
the public, to create
and maintain a
congenial atmosphere
for science
ƒ
Relevance / social
implications
Progress in science is based on trust
&
good scientific practice
Illustration using: http://www.mh-hannover.de/einrichtungen/tumorzentrum/pso/grafik/seiltaenzer_klein.gif
Good practices in:
Funding/
support of
young
Realisation of a researchers
research project
Use of
citation
Data analysis
are the guardians of integrity and
a prerequisite for mutual trust
Planning of a
research project
Publication of
research findings
Reporting
Appraisal /
peer review
Illustration using: http://www.skillsusa.org/store/media/fairplay.jpg
Lex artis
ƒ
Support of
students
ƒ
Authorship
ƒ
Documentation
and storage of
data
ƒ
Publication
ƒ
Disclosure of
potential conflicts
of interest
ƒ
(Preventative)
Measures against
scientific
misconduct
Illustration using: http://www.amuseum.de/physik/alwami/exponate/laeFlae/schieblehre.jpg; www.nionex.com/images/ zahnraeder_3051.jpg;
http://www.ad.siemens.de/mc/mediadb/files/%7B65AADF2B-5F2E-45E0-AC12-3AFB8CD85450%7D/haende.jpg; http://perso.clubinternet.fr/splou/DAUMIER.jpg; http://www.federationpress.com.au/Gifs/daumier.JPG
Scientific Integrity ... A Shared Responsibility
fairaccurness
acy
ethical science
opensinness
cerity collegiality
cooperaleadertion
ship
trust
Illustration using: http://www.amuseum.de/physik/alwami/exponate/laeFlae/schieblehre.jpg; www.nionex.com/images/ zahnraeder_3051.jpg;
http://www.sheepworld.de/welt/
The DFG is committed...
...to promoting and supporting the concepts
and principles of “good scientific practice,”
by:
ƒ obliging its members and other research
institutions, when they claim funding, to
comply with the standards for ensuring
good scientific practice
(www.dfg.de/aktuelles_presse/reden_stellungnahmen/do
wnload/empfehlung_wiss_praxis_0198.pdf)
ƒ establishing an independent ombudsman
system (ombudsman on site and “DFG
Ombudsman” committee), which
ƒ Advises scientists in questions of
good scientific practice and performs
a mediatory function
ƒ Advises whistle-blowers
ƒ Renders an account of its work by an
annual report (DFG Ombudsman)
The DFG Ombudsman
Goals for the future:
ƒ
ƒ
ƒ
ƒ
ƒ
Stronger protection for whistle-blowers against disadvantages
Relationship between Ombudsman – Investigation Committee
Assurance of good scientific practice by self-monitoring alone?
Prevention of scientific misconduct
Handling of media publicity
Advice, support and mediation:
ƒ Cooperation with the institutions
ƒ Link between parties
ƒ Communication of the results
Protection of all participants through:
ƒ Confidentiality
ƒ Fairness
ƒ Transparency
ƒ Anonymisation of the cases handled
Illustration using: http://cf.bc.uva.nl/voorzieningen/ombudsman/gfx/logo.ombudsman.groot.gif
DFG Recommendations
1.
The rules of good scientific practice should especially
include standards for the following issues
ƒ
Gen. principels of scientific work (incl. working
according to lex artis, documentation of research
findings, etc ...)
2.
Formulation of rules for good scientific practice with binding
force for all members of the university/research institution
3.
Explicit assignment of the tasks of management,
supervision, conflict settlement and quality assurance and
guarantee of their implementation
4.
Standards for support of young researchers
5.
Independent confidants
6.
In respect of performance and evaluation criteria, priority
should be given to originality and to quality above quantity
7.
Secure storage of primary data for 10 years
8.
Higher education institutions and research institutions:
Development of procedures for handling accusations of
scientific misconduct
...
11. “Honorary authorship” is dishonest.
...
Source: http://www.dfg.de/aktuelles_presse/reden_stellungnahmen/download/empfehlung_wiss_praxis_0198.pdf
Illustration using: http://www.egyptianaaa.org/Pix-FinePrint.gif
Standards of Integrity
ƒ
Never manipulate data!
ƒ
Secure your methods and findings against error!
ƒ
Respect the authorship of others!
ƒ
Take into account data that contradict your findings!
ƒ
Publish your results!
ƒ
Be open to criticism!
ƒ
Don’t sell the same result as innovative twice!
ƒ
Name your co-authors and colleagues!
ƒ
Ensure that your employees observe the standards of
good scientific practice!
Illustration using: http://www.spieler-internet.de/www.wilhelm-busch.de/geschichten/max_und_moritz/max04.php
Qualis rex, talis grex ... or
The role of experienced
scientists
ƒ Responsibility of colleagues
and students to create an
atmosphere that motivates
everyone to achieve high
scientific performances,
while at the same time
observing the highest
professional standards
&
Leadership and
role model function
Research funding
organizations
ƒ Oblige member
organisations to
develop rules for
good scientific
practice
ƒ Ensure the
adequacy of the
review process
ƒ Working principles
must be
characterised by
equity, integrity,
confidentiality and
transparency
Illustration using: http://www.nici.de/sheepworld/img/bild_vorseite.gif; http://www.tf.uni-kiel.de/dekanat/graphiken/diplmhat.gif
"A black sheep is a perilous beast"
Illustration using: www.truckonline.de/ schwarzesschaf.jpg; http://www.tf.uni-kiel.de/dekanat/graphiken/diplmhat.gif
Handling Accusations of Scientific Misconduct 1
Whistleblower/
Caller
Other
sources
informs
inform
Ombudsman
Examines
plausibility of
allegations
University/
research
institutions
If necessary,
activates
Investigation
Committee
1. Preliminary
investigation
Starts
2. Formal
procedures
investigation
Illustration using: http://www.egyptianaaa.org/Pix-FinePrint.gif; http://www.nobitz.de/grafiken/schiedsrichter.gif;
http://www.ombudmhmr.state.mn.us/reports/images/govtre1.gif; http://www.careers-london.com/images/oxford.gif;
http://www.ieee.org/organizations/rab/scs/pubs/Successful Chpt Mtgs/images/newspaper.jpg;
Handling Accusations of Scientific Misconduct in cases related to
the DFG
Imposition of sanctions
IF
necessary
present evidence;
hearing of experts, if necessary
Transition to
not
not
formal
IF
dismissed
dismissed
procedure
Hearing of parties involved
Prelim. investigation of accusations
D
Accusation of scientific misconduct
Illustration using: http://www.nobitz.de/grafiken/schiedsrichter.gif
FG
lle
te
s
fts
ä
ch
es
G
In
v
C es
o m ti
g
m at
itt io
ee n
Underlying
Underlying principles:
principles:
Establish the facts,
recommendations for restoration of
ƒƒ Voluntariness
Voluntariness
good scientific practice
ƒƒ Discursiveness
Discursiveness
Opportunity to comment and
ƒƒ Fairness
Fairness
n e
a i i t te
M m
om
C
Statistics of the DFG Ombudsmans (June 1999 – 31.03.2005)
40
35
Other or no
figures
30
Business Studies
25
not accepted
Humanities and
social sciences
20
15
N.A., other
Natural science
10
bis
31.3.
5
Medicine
0
1999
2001
2003
50
45
40
35
30
25
20
15
10
5
0
2005
not
completed
Non-acceptance
Otherwise
completed
Handover to Investigation
Committee
bis
31.3.
50
45
40
35
30
25
20
15
10
5
0
Tenure
procedure
Protection from
accusations
Review, research
funding procedure
bis
31.3.
Data manipulation, falsification
Plagiarism
1999
2001
2003
2005
Authorship
Public
statement
Advice to parties
1999
2001
2003
2005
Agreement, or
similar
Research
obstruction
Figures for: reported cases
Basis: http://www.rrz.uni-hamburg.de/dfg_ombud/ and internal documents for the Senate from 12.05.05
Illustration using: http://diseyes.lycaeum.org/teo/mexi.jpg; http://www.egyptianaaa.org/Pix-FinePrint.gif; http://www.tf.unikiel.de/dekanat/graphiken/diplmhat.gif
Many Guidelines, One Goal: Good Scientific Practice
Finland: 2002
Good Scientific Practice and
Procedures for Handling
Misconduct and Fraud in
Science
Denmark: 1998
Guidelines for Good
Scientific Practice
Sweden:1990
The Swedish
Council for
Research in the
Humanities and
Social Sciences
published a code of
ethical principles
Germany: 1993
DFG Vice President Prof.
Eser makes
recommendations for
ensuring good sci.
practice; 1997:
recommendation of the
commission „Selfmonitoring in Science“
GB: 1998
Statement
Safeguarding
Good
Scientific
Practice
South Korea: no systematic
treatment of sci. misconduct,
but formal process for
establishment has been
introduced and adoption of
state regulations is planned
for 2007.
China: 2006
NSFC: New
publication on
good sci.
practice and its
promotion
Poland: 1998
Committee
“Ethics in
Science”:
Czech Rep.: 2003 Jubilee
Workshop – Contemporary
Ethical Problems in Science
Canada:
1995
Misconduct
Policies
Japan: 8/2006 MEXT:
Publishing of a directive against
sci. misconduct
Australia: 1997 Statement &
Guidelines on Research Practice
ESF: 2000
Good Scientific
Practice in
Research an
Scholarship
USA: 1989 OIG /
1993 ORI, 1995/97: Model
policy and procedures for
responding to allegations
of scientific misconduct
ESF-ORI First World Conference on Research Integrity:
Fostering Responsible Research
World Conference
on
Research Integrity
ƒ The European Science Foundation (ESF) and the US Department of Health and Human
Services’ Office of Research Integrity (ORI) organised a World Conference on Research
Integrity in Lisbon, Portugal from 16 to 19 September 2007. The World Conference focused
on systemic and institutional topics, including organisational, governance and
legal issues.
ƒ The World Conference on Research Integrity was the first global forum convened to provide
researchers, research administrators, research sponsors, journalists, representatives from
professional societies, policymakers, and others an opportunity to discuss strategies for
harmonising scientific misconduct policies and fostering the responsible conduct of
research.
Result of the Conference: Awareness of the necessity to
establish a framework for common guidelines
Illustration using :http://www.quadr.at/downloads/grafix-signs/konferenz-quer.jpg
E pluribus unum ...
“Science and art belong to
Increasing glo-
the world. Before them the
balisation, inter-
borders of nationality
nationalisation and
dissolve.”
mobility demand …
J. W. v. Goethe
international access
to good scientific practice and
standards of scientific integrity
Illustration using: http://www.nd-online.de/_fotos/weltkugel.gif; http://www.uni-frankfurt.de/fb01/Dekanat/Goethe.gif ;
http://www.srzg.de/english/studgr/sg00.htm