Preface
Contents
Special Terminology
Reference
Part I: Professional Ethics for Researchers and Society’s Expectations Towards Researchers
Chapter 1: The Ethical Basis for Research Activities
1.1 Morality and Ethics
1.2 The Morality of Researchers
1.2.1 Research Ethics – A Special Kind of Professional Ethics
1.2.2 Society’s Expectations of Research – The Basis for Research Ethics
1.3 ‘Responsible Research Practice’ – The Standard for How Research Should Be Conducted in an Ethical Manner
References
Chapter 2: National and International Measures to Promote Ethically Responsible Research
2.1 The Bureaucratization of Research Ethics in Recent Years
2.2 National and International Actions to Promote and Secure Responsible Conduct of Research
2.3 Research Ethics as a Growing Research Field
2.4 The Regulatory Framework for Conducting Responsible Research
2.4.1 The Regulations Everyone Must Follow in Research
2.4.2 National Guidelines for Research Ethics
2.4.3 International Guidelines for Research Ethics
2.4.4 Guidelines for Research Ethics – A Combination of Guidance and Requirements
2.4.5 The Relevance of the Guidelines in Different Types of Work
2.4.6 The Relevance of the Guidelines for Different Job Categories
2.4.7 Research Organizations’ Own Procedures and Ethical Guidelines
2.4.8 National Legislation
2.5 When Laws, Regulations and Ethical Guidelines Do Not Provide Unambiguous Answers: Discretion in Research Ethics
2.6 The Further Developments of the Regulations – Will the Best Become the Enemy of the Good?
References
Chapter 3: The Allocation of Ethical Responsibility for Research
3.1 General
3.2 The Independent Ethical Responsibility of the Researcher
3.3 The Researcher’s Responsibility to Internal and External Partners
3.3.1 Responsibility for the Whole in a Collaborative Project
3.3.2 Responsibility as Project Manager, Lead Author, Etc.
3.4 Ethical Responsibility of Research Organizations and Research Leaders
3.5 Organization of Work Related to Research Ethics Within a Research Organization
References
Chapter 4: The Research Organization’s Measures to Ensure Responsible Research Practice
4.1 Ethical Issues Related to Organization and Management
4.1.1 The Importance of a High Degree of Professional Morality at the Lowest Level in ‘Flat’ Organizations
4.1.2 The Importance of Management and Control Systems that Motivate Researchers
4.2 Measures to Ensure That All Employees Act Morally
4.2.1 Requirements for Ethical Competence in New Hires and Measures to Maintain Competence
4.2.2 Quality Assurance and Control Systems that Include Research Ethical Issues
4.2.3 Working Environments that Promote Responsible Research Practice
4.2.4 Goals and Strategies that Researchers Support and that Inspire
4.2.5 Management Focus on Implementing Responsible Research Practices
References
Part II: Morality and Responsible Practice in Daily Research Work
Chapter 5: The Researcher in the Workplace: Employee Morale
5.1 Employee Morale
5.2 Common Decency in the Workplace: The Relationship with Colleagues, Managers and Others
5.3 Bullying and Harassment
5.4 The Danger of Developing Prejudice and Fixed Ideas
5.5 Working Hours and Presence in the Workplace
5.6 Serial Conference-Goers and Research Tourism
5.7 Minor, Private Tasks in the Workplace and During Working Hours
5.8 Work for Others
5.8.1 External Assignments: Paid or Unpaid Work for Others
5.8.2 Private Engagements Based on Personal Convictions in a Cause
5.9 Personal Gifts and Hospitality
5.9.1 Gifts and Hospitality in General
5.9.2 Gifts and Hospitality from Vendors
5.9.3 Invitations to Travel and Events from Clients and Others
5.10 Gifts and Hospitality from a Research Organization to External Individuals or Organizations
5.11 Corruption and Bribery
5.12 Network Corruption, Nepotism, Cronyism and the Like
5.13 Supervision of Students and New Employees
5.13.1 Supervision of Master’s and PhD Students
5.13.2 Supervision of New Employees
5.14 Whistleblowing in Cases of Suspected Misconduct in One’s Own Organization
5.14.1 Responsibility for Reporting Suspected Wrongdoing and Procedure for Reporting
5.14.2 The Form and Content of the Whistleblowing Report
5.14.3 Written or Oral Whistleblowing Report
5.14.4 When the Whistleblower Wishes to Remain Anonymous
5.14.5 Abuse of the Right to Act as Whistleblower
5.15 Reporting of Suspected Scientific Misconduct Outside the Workplace
References
Chapter 6: Choice of Research Topic – A Question of Taking Societal Responsibility
6.1 The Authorities’ Measures to Ensure That the Research Benefits Society
6.2 The Research Organization’s Overall Societal Responsibility when Choosing Research Areas
6.2.1 The Responsibility for Ensuring that the Organization’s Research Profile Can Be Defended Scientifically and Societal
6.2.2 Responsibility for Changing Research Profile when Society’s Needs Change and New Research Areas Develop
6.3 The Individual Researcher’s Independent Responsibility to Society when Choosing Research Projects
6.4 Responsible Choice of Research Projects – The Researcher’s Most Important Decisions
6.4.1 The Background to the Choice
6.4.2 ‘Wasted Research’ – Abuse of Society’s Trust
6.5 Caution when Research Can Have both Positive and Negative Consequences
6.5.1 Increased Awareness that Researchers Have an Independent Responsibility for the Consequences of Their Own Research
6.5.2 The Precautionary Principle
6.6 Academic Freedom – Also a Responsibility
6.6.1 The Background for Academic Freedom
6.6.2 The Individual Researcher’s Academic Freedom in Relation to Their Research Activity
6.6.3 Limitations on Individual Academic Freedom Related to Research
6.6.4 The Relationship Between the Researcher’s Academic Freedom and the Research Institution’s Right to Govern
6.6.5 Academic Freedom in Commissioned Research
6.6.6 Various Forms of Professional Freedom for Researchers Outside Academia
References
Chapter 7: The Ideals of Neutrality, Impartiality and Independence
Chapter 8: Writing of Project Plans and Applications
8.1 Using Other’s Project Ideas: The Risk of Plagiarism
8.2 The Project Plan – Also a Plan for Complying with Research Ethics Norms
8.3 Ethical Issues in Collaborative Projects with Several Participants
8.3.1 Collaboration as a Tool to Promote Responsible Research Practice
8.3.2 Caution in Choosing Partners
8.3.3 Special Caution when Collaborating Abroad
8.3.4 The Project’s Guidelines for Research Ethics and the Collaboration Agreement
8.4 Application for Financial Support
8.4.1 Truthful and Realistic Description of the Project’s Goal and Impact
8.4.2 Transparency About Risks in the Project Implementation and Potential Bottlenecks in the Work Flow of a Research Project
8.4.3 Truthful Description of the Project Participants’ Qualifications and Merits
8.4.4 The Requirement that Applicants for Project Support Account for Research Ethical Issues
8.5 Caution with Whom One Gets Project Support from
Reference
Chapter 9: Commissioned Research and Other Assignments for External Clients
9.1 The Motivation for Commissioned R&D
9.2 A Definition of Commissioned Assignments
9.3 How Commissioned Projects Are Initiated
9.4 The Assignment Agreement
9.4.1 The Provisions on the Project’s Content, Goals, Procedures, and Methods
9.4.2 Provisions on Ownership and Licence Rights
9.4.3 Provisions on Reporting to the Client
9.4.4 Provisions Concerning Publication
9.4.5 Provisions Concerning Guidelines for Research Ethics
9.5 The Relationship Between Client and Researchers
9.5.1 The Balance Between Loyalty to One’s Own Organization and Loyalty to the Client
9.5.2 Financial Honesty Towards the Client
9.5.3 If the Client Seeks to Influence the Researchers: What Is Undue Pressure?
9.5.4 If the Contractor Seeks to Influence the Client: What Is Undue Pressure?
9.5.5 If the Client Requests Changes to the Assignment Report
9.5.6 If Client and Researchers Have Different Views on the Interpretation or Use of the Project Results
9.6 The Risk of Losing Neutrality when Working on Commission for a Client
Chapter 10: Other Forms of Research Collaboration Between the Research Community and Society
10.1 New and Old Measures to Involve Society in Research
10.2 Projects with User Participation
10.3 ‘Citizen Science’
References
Chapter 11: Research and Other Activities Based on Sponsorships and Donations
Chapter 12: Ethical Issues During the Research Project
12.1 From Planning to Implementation
12.2 Responsible Course of Action when an R&D Project Does Not Go According to Plan
12.3 Responsible Use of Project Funds
12.4 Keeping a Daily Research Log
12.5 Management and Storage of Research Data and Material
References
Chapter 13: Research Involving Humans
13.1 Research Involving Humans – An Extensive and Particularly Sensitive Field of Research
13.2 Basic Ethical Principles for Research Involving Humans
13.2.1 Respect for Human Rights and Dignity
13.2.2 Respect for People’s Privacy
13.3 What Is Covered by the Term ‘Research Involving Humans’
13.4 Requirements for Justification and Assessment of Risk
13.5 Requirement for Informed Consent from People Involved in Research
13.6 Special Measures for Involving People Who Do Not Have Competence to Consent
13.7 Right to Withdraw from Further Participation in Research
13.8 Special Requirements for Initiating Research Involving Humans Without Obtaining Consent
13.9 Statutory Requirements for the Processing of Personal Data
13.10 Requirements for Prior Approval of Biomedical and Behavioural Research Involving Humans
13.11 Ethical Issues in Research on People on the Internet
13.11.1 The Internet – A New Research Area and a New Source of Information
13.11.2 Guidelines for Internet Research Involving Humans
13.11.3 Uncertainty About What Is ‘Private’ and ‘Public’ on the Internet
13.11.4 Problems Communicating with and Obtaining Consent from People Active on the Internet
13.11.5 The Risk that Anonymous or Anonymized Information from the Internet May Be Traced to Its Source
13.12 Pledge of Confidentiality and Its Limitations
13.12.1 Pledge of Confidentiality – An Important Element in Safeguarding the Interests of People Participating in Research
13.12.2 The Limitations of the Pledge of Confidentiality
13.13 Payment for Participation in Research
13.14 Consideration for Those Who Are Not Directly Involved in Research, But Who May Be Affected by It
13.15 Respect for Dead People
13.15.1 Respect for the Deceased’s Reputation
13.15.2 Respect for Graves, Skeletons and Other Human Remains
13.16 Respect for People with Values One Does Not Share
13.17 Caution when Researching Other People’s Motives
13.18 Caution when Researchers and Their Research Subjects Become Close
References
Chapter 14: Research in and on Other Cultures
Chapter 15: Research Involving Animals
15.1 Increased Focus on Animal Welfare
15.2 The ‘3Rs’
References
Chapter 16: Professional Writing
16.1 Standards of Integrity in Professional Writing
16.2 Publication of Research Projects and Results as a Tool in Research Ethics
16.3 Good Research Practice for the Use of Other Sources in One’s Own Written Work
16.3.1 Use of Others’ Selection of Topics and Layout of the Text
16.3.2 Use of Text, Images, Tables, Etc. from Other Sources: Quotation, Paraphrase and Mention of Other Sources
16.4 References
16.5 Writing Style, Spelling and Grammar
16.6 Criteria for Co-Authorship
16.6.1 Scientific Works (the Vancouver Recommendations)
16.6.2 Common Forms of Violation of the Co-Authorship Guidelines in Scientific Publications
16.6.3 Special Issues for PhD Dissertations and Master’s Theses
16.6.4 Special Practice for Patents
16.6.5 Special Practice for Less Meritorious Notes and Technical Reports, Administrative Reports and More
16.6.6 Authorship Order
16.6.7 Simple Measures to Avoid Disagreements and Conflicts About Co-Authorship
16.7 Acknowledgment – The Custom of Thanking for Contributions, Help and Support
16.8 Requirement to Account for Any Actual, Potential or Perceived Conflicts of Interest
16.9 Ethical Issues Related to New Forms of Publication
16.9.1 Transition to Online Journals – A Paradigm Shift in Scientific Publishing
16.9.2 Open Access to Publicly Funded Scientific Articles
16.9.3 Responsibility to Avoid Fraudulent Publishers and Conference Organizers
16.9.4 Disputed Procedures for Increasing the Number of Publications – ‘Least Publishable Unit’
16.9.5 Unwanted Publication Biases
References
Chapter 17: Authors’ Legal Rights
17.1 General
17.2 Authors’ Copyrights
17.3 Author’s Moral Rights
Chapter 18: Commercialization of R&D Results from Research Institutions
18.1 Commercialization – When the Concrete Societal Benefit of a Research Result Is Realized Via the Business Community
18.2 The Business Community’s Operating Conditions and Working Methods – An Important Premise for Commercialization
18.3 Patenting and Secrecy of Business-Critical Information
18.4 The Authorities’ Expectation that Researchers Should Contribute to Commercialization
18.5 Alternative Procedures for Commercialization
18.6 Some Research Ethics Issues in Commercialization
18.7 New Business Concepts in the Business Sector Can Open New Avenues for the Commercialization of Research Results
18.8 Variations in the Research Communities’ Competence Regarding Commercialization
Reference
Chapter 19: Membership of Boards, Councils and Committees
19.1 Researchers and Research Leaders Are Important Resource Persons in the Research Community
19.2 Peer Review
19.2.1 Peer Review of Scientific Articles before Publication
19.2.2 Internal Peer Review of Project Reports and Related Documents
19.2.3 Peer Review of Project Applications
19.2.4 Peer Review in Connection with Employment, Promotions, Etc.
19.3 Work on Boards, Councils and Committees Within the Research System
19.4 Impartiality
References
Chapter 20: The Researcher in the Public Arena
20.1 Knowledge Transfer and Dissemination of Research
20.2 Participation in the Public Debate as an Expert
20.3 The Distinction Between Professional and Private
20.3.1 Researchers Must Clarify Whether They Are Acting as Professionals or Private Individuals
20.3.2 Use and Misuse of Titles
20.3.3 The Danger of Being Politicized
20.4 Marketing, PR or Lobbying Activities Within Research
References
Part III: Violations of Research Ethics Norms: Extent, Handling and Reactions
Chapter 21: Extent of Violations of Research Ethics Norms
References
Chapter 22: Various Forms of Irresponsible Research Practice
22.1 General
22.2 Sloppiness and Negligence
22.3 Less Serious Violations of Research Ethics Norms
22.4 Serious Violations of Research Ethics Norms (Research Misconduct)
22.4.1 The Definition of Research Misconduct
22.4.2 Fabrication – Cheating that Cannot Be Explained Away
22.4.3 Falsification – Also when Not Telling the Whole Truth
22.4.4 Plagiarism – The Most Common Form of a Serious Breach of Good Research Practice
22.4.5 The Question of Whether One Can Be Held Responsible for Research Misconduct in Unfinished Works and Documents
22.4.6 Fake Science
22.5 Violations of Laws, Regulations, Procedures and Agreements
References
Chapter 23: Handling of Violations of Research Ethics Norms
23.1 The Duty of Research Organizations to Respond to Violations of Research Ethics Norms
23.2 General Aspects of the Procedure for Dealing with Violations of Research Ethics Norms
23.2.1 The Objective Element of a Blameworthy Act
23.2.2 The Subjective Element of a Blameworthy Act
23.2.3 Assessment of Uncertain Evidence
23.3 Open or Confidential Investigation of Violations of Research Ethics Norms
23.3.1 Research Ethics Assessment of Confidentiality and Transparency in the Serious Cases
23.3.2 Research Ethics Assessment of Confidentiality and Transparency in Less Serious Cases
23.3.3 Consideration of the Research Organization’s Reputation
23.4 Special Duties and Roles of Those Involved in the Processing of the Case
23.4.1 The Suspect’s and Witnesses’ Duty
23.4.2 The Management’s Role
23.4.3 The Whistleblower’s Role
23.5 Processing of Various Categories of Irresponsible Research Practice
23.5.1 Handling Sloppiness and Negligence
23.5.2 Handling Less Serious Violations of Research Ethics Norms
23.5.3 Handling Serious Breaches of Research Ethics Norms (Research Misconduct)
23.6 Handling Ethically Reprehensible Matters in Activities That Are Not R&D
Reference
Chapter 24: Reactions to Researchers Who Violate Research Ethics Norms
24.1 Disciplinary Actions from the Employer
24.2 Sanctions from Others Than the Employer
24.3 Reactions from Public Authorities
Chapter 25: Possibilities for Reinstatement
25.1 Preconditions for Reinstatement
25.2 Reinstatement Following Loss of Responsibility and Work Tasks or After Reassignment
25.3 Reinstatement Following Dismissal