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SELECTED READINGS ON SCIENCE, THE SCIENTIFIC PROCESS, ETHICS AND RESPONSIBIUlY IN SCIENCE

Prepared for the PHSWodcshop on Education and Training of Scientists In the Responsl)le Conduct of Research

. MIlICh 8-9,1990

Penny J. Gamer, Ph.D. FIoIfda State University

Department of Chemistry

Ruth Ben Bulger, Ph.D. Institute of MedlcIne

NatIonal Academy of Sciences

What Is Science?

• Atkinson, RIcha!d C. and BIanpIed. WlIIam A. Peer R8YIew and the PublIc . Interest. Issues In Science and.

. Tecflnology (SuI1l'l18l): 101-114, 1985.

~ Barnes, Barry. About Science, BasIl Blackwea Inc., NY, 1985.

• Bloch, EtIch. Managing for Challenging 1lmes: A NatIonal ReselllCh Slndegy,

. Issues In Science In Technology (Winter): 20-29, 1986.

BronowskI, J. Science and Human VWes, . revised second edIIIon, Harper and Row, NY,l965.

Drexler, K. Eric. Engines of Crea!loo, Anchor PresslDoubleday, Garden CIIy, NY,l986.

• Feyerabend, PauL How to Defend SocIety AgaInst ScIence Rad!ca! PhDosoDhy 2 (Summer): .c.s, 1970, (also In Scientific RevokJ!lons, (L HackIng, ed.), Oxford University Press, Oxford).

feynman, RIchard. Surely You're JokIng, Mr. Feynmanl, W. W. Norton, NY, 1984.

• Groueff, Stephan. Manhattan ProW: The Untold Story of the Making of the Atomic Bomb, Little Brown and Co~ Boston, 1967.

HUts, Ph~ J. Scientific Temoeraments: Three llves in ConIerrporart Science, Simon and Scruster, NY, 1982.

• - Honor In Science: Some Practical AdvIce, Sigma Xl, The Scientific Research Society, New Haven, CT, 1984.

• Koshland, Daniel To See OurselVes As Others See Us, Science 247: 9, 1990.

• - Kuhn, Thomas S. The St!Udure of Scient!!lc RevokJ!lons. Second EdiIIon, The UnIVersity of Chlcago Press, . Chlcago, Illinois, 1970, (REB used lIle first 91 pages, PJG used 136-143).

Klotz, Irving M. Diamond Dealers and Feather Merchants. Tales from the Sciences, 81rkhauser, Boston, 1986.

• LaFoDette, Marcel ChotkowsId. auallty In ScIence, The MIT Press, Cambr1dge, MA,1982.

• M8Ik8, John. ScIence and ihe MakIng of the Modem World. Heinemann Educational Books Ud., London, 1983.

Medawar, Peter. The lIm"s of ScIence, Oxford U. Press, NY, 1984. .

• Merton, Robert K. Behavior Patterns of ScIentists, American Scientist 57: 1, 1-23, 1969.

• Moore, G.W. *The N.I.H., How It Works: a document distrbrted by the NiH, 1986.

• Muner, RA An Adventure In Science, ~ ~!lL New York, NY,

Page 2

Perutz, Max. Is Science Necessary? New American LlJrary. NY. 1989.

Raup. D.M. The Nemesis Affair; A Story of the Dinosaurs and the Ways of Science. Norton Press. NY. 1986.

• The Regulatory Environment for Science. Congress of the United States. Office of Technology Assessment. Superintendent of DoaJments. Washington, D.C .• 1986.

• Sayre. Anne. RosaOnd FrankOn and DNA. W. W. Norton and C91!1)a1lY. NY. 1975.

• ScIence 85. The Next Step: 25 Discoveries that Could Change OUr Uves. In: Science '85 (November): 1985.

Slndermann. Cart J. The Joy of ScIence: Excenence and its Rewards. Plenum Press. NY. 1985.

· Snow. C.P. The Two Cultures and the ScientHic Revolution. University Press. 1959.

• Task Force on Women. Minorities and the HancfK:apped In ScIence and Technology Changing America: The New Face of ScIence and Engineering. S. Kemnitzer. ExecutlveDlrec:tor. 1989.

Thomas. lewis. late Night Thoughts on listening to Mahler's Ninth Synphony. Bantom Books. NY. 1984.

• Watson. James D) •• u~~~~~~~. Atheneum P

• Welsskopl. V.F. The Frontiers and limits of Science. American ScIentist 65: 405- . 411. 1977.

Welsskopf. Victor F. The Privneoe of Being a Phvsiclst. W.H. Freeman and Co •• NY. 1989.

White. John A. Values and ScientiSts. lanham, NY. 1983.

WhiUey. Richard. The Intenectual and SocIal Organlzpt!on of the ScIences. Clarendon Press. OXford, 1984.

Animals In Research

Adams. PerTie M. Animal Research. Responsible ScIence. (review of two videotapes and several guidebooks on use of anlmaIs In research). J:!H!. Sc!en!1s! 24 (February 8): 1988.

- Bulger. RE. The Use of AnImals In experimental Research: A ScIentists· Perspecllve. Ana!om!ca! Record 219: 215- 222, 1987.

- Caplan. ArtIIJr L Beastly Conduct: BhIcaI Issues In AnImal Experimentation. In: The Role of An/maJs In Biomedical Research. ScIences

Captm, ,\rti1l'r. M{)l"':1.! SBw!lr.jsi"tip nt~d Ou( EIhicaI Responsibility to Animals. In: National Svmposlum on imperatives In Research Animal Use: ScIentifIC Needs and Anirna! WeHare. NIH. 99-109.1984.

DHHS (Department of Health and Human Services). Guide for the Care and Use of laboratory AnImals (revised.) NIH PublicatIon 188-23, DHHS. Washington, D.C., 1985.

• Dagan!. Ron. in-Vitro Methods May Oller Alternatives to AnImal T estJng. Chem!ca! engineering News: 25-28, Novell'tler 12, 1984.

Dresser. Rebecca. AnImal experimentation, In: B!olaw: A legal and Ethical Reporter on Me<flCine, Heafth care. and Bioengineering University PubrlCBtions of America . 253-271, 1986.

. '~ ~: .... . • Horton. L The Enduring AnImal Issue. J.

National Cancer Institute 81: 736-743. 1989.

Page 3

• Kaplan. John. The Use of An/maIs In Research, ScIence 242: 839-40. 1988.

SInger. Peter. AnIma! LIleratlon. A New Ethics for OUr Treatmert of An!ma!s. Avon Books. New York, 1975.

• Snyder. Marvin. We Have A Moral Obligation to Contiroe Conducting Resean:h Involving Animals. The Chronicle of Hloher Education (Jan. 18): 1989.

Humans In Reaearc:h

.. Beecher. HenlY K. Bh/cs and CIInIcaJ Research, New England JoumaJ of MesflClne 274: 1354-1360. 1966 (also raprinled In Reiser. 8.J.. Oydc, IW .. and Cunan, W.J •• In: ethics In Med!c!ne. 288-293, 1977).

.. Declaration of Helsinki: Recommendallons Guiding Medical 00ct0nI In Biomedical Research Involving Human Subject (raprinled In Reiser, S.J., Oydc, A.J. and Cunan, W.J., In: EthIcs In Medicine. 328-330, 1977) • .

HoIIzman, NeD A. Proceed wfth caution. Pred!c!ing Genetic Risks In the Recombinant DNA Era. The Johns Hopkins University Press, Baltimore, MD,1989 •

.. Jonas, H. PhDosophical Reflections on ExpeIImenIIng wfth Human Subjects. In: Experimentation wfth Human Sublects (Paul A. Freund, ed.), New York" George BnlzlDer, 1-33, 1969. (Reprinted In Reiser, S.J., Oydc, A.J. and Cunan, W.J., ethics In Med!c!ne, 304-315. 1977).

levine, Robert J. Ethics and Regulation of COnical Research, Second EOItlon, Urban and Schwarzenberg. Baltimore- ' Munich. 1986.

Neldn, Dorothy and Tancredi, Laurence, . Dangerous Diagnostics. The Social

Power of Biological InfOnnatlon. Basic Books, Inc., NY. 1989 • .

.. The Nurenberg Code. Trials of War CrimInals before the Nurenberg MUItaIY Tribunals under Control CouncD Law No. 10, voL 2 (Washington, D. C.: U. S. Government PrlnUng OffIce, 181-182. 1949) (reprinted In Reiser, S.J., Dyck,A.J. and Cunan,W.J., 272-273 • 1977).

Mapping arid Sequencing the Human Genome. NatIonal Academy Press, Washington, D.C., 1988.

Mapping our Genes. The Genome Prolec!s: How Big, How Fast1. Congress 01 the United States, OffIce of Technology Assessment, Washington, D.C. 20510-6025,1988.

CreatIvIty

.. ArIetI. SDvano. Crea!!vI!y. The Magic . Synthesis, BasIc Books, Inc., NY, 1976, (especially he~1 were .Chapter 1 (The Creative PIocess); Chapter 2

(The Major TheorIes of Creallvlty: A Critical Review); Chapter 11 (ScIence); Chapter 14 (The Creatlvogenlc Society); Chapter 16 (The Culllvatlon of Creativity In the Individual Person).

• Mansfield. RichaId S. and Busse, Thomas V. The Psvcho!ogv of Crea!lv!!y and Discovery: Scientists and TheIr Work. Nelson HaD, Chicago, IL, 1981.

.. Rothenberg, Albert The Emem!ng Goddess. The Creative process In M. Science, and Other FIelds.

Sclentlftc Freedom and Responslbluty

• Branscomb, Lewis, M. Integrity In ScIence. American ScIentist 73: 421-423, 1985.

.. Bulger, Roger J. On the Drinking of the Hemlock: Soaates, SemrneDwels, and B81bara McCrmtock In: Search of the Modem H'!Q!lOC@tes. 93-107, Univ. of Iowa Press, Iowa City, 1987.

• Bok. S. Freedom and Risk. Daedalus: 107. 115-127, 1978.

Page 4

Bok, Sissela. lying-Moral Choice in PubHc and Private life. Random House, NY, 1979.

• Bok, s. Secrecy and Openness In ScIence: Ethical Considerations, In: CuaDly In Science. (M.C. laFollette, ed.), MIT Press, MA, 131-148, 1982.

• Bowman, James S. WhIst1e-Blowing In the Public Service: An Overview of the Issues, Review of Public Personnel Administration 1 (FaIO: 15-27, 1980.

Brown. Martin (Ed'IIO". The SocIal Responsibility of the ScIentist CoD/er MacMiDan lid., NY, 1971.

Chalk, Rosemcuy. Responsllle Chemlstty, . Chemtech: 294-297, May, 1986.

• Chalk, Rosemcuy. Making the World SAFE for Whlstfebfowers; Technology Review: Jaru8/Y, 48-57, 1988 .. ··

• Chalk, Rosemcuy (ed.) ScIence, T"~;,l~f0rr!. ~'Jm.§ooe~~mtmlLoo i1elativu;;f .:i)S, Amd;'oCaJl A:isociation for the Advancement of ScIences, Washington, D.C., 1988.

• Chalk, Rosemcuy and yon HOI)QI. Due Process for

• Committee on ScIence, Space and . Technology. Maintaining the Integrity of Sclentiffc Research, a summary of a hearing before the Subcommittee on Investlgatlons and Oversight, transmitted to the Committee on Science, Space and Technology, U.S. House of Representatives, Jaru8/Y, 1990.

Djerass~ Cart Cantor's Dnemma, Doubleday, NY, 1989.

Edsan, J.T. Two Aspects of Scientific Freedom, In: Science, Technology, and Society. Emerging Rrelationships, (R. Chalk, ed.), 12-15, American Association for the Advancement of Sciences, Washington, D.C., 1988.

Hotton, Gerald. Niels Bohr and the IntegritY of Science, 74 (May.June):

• KoshIand, Daniel. The PrIce of Progress, ScIence 241: 637 (editorial), 1988.

Lawrence, WUUam W. Modem Science and Human Values Oxford UniversUy Press, NY, 1985.

• On Beino a Scientist. National Academy of Sciences, National Academy Press. Washington, D.C. 1989. '

Raven+iarris, Peter. Dos 8nd Don'ts for WhlsUeblowers: PIamIng for Trouble, Technolooy Review (May): 34-5, 1980.

Rhodes, Richarcl. Man-made Death: A Neglected MortalItY, tWM 260 (5): 686-S87, 1988.

The Resoonsib!e Conduct of Research in the Heatth ScIences, InsIlIute of Medicine, NatIonal Academy Press. 1-97, 1989.

Stelll;!<;i\, ,..UIUici.s Ii. ' fjjlj Uilo,(j("iiy <1110 Resean:h Ethics, ScIence Technology and Human Values 9 (4): 6-15, 1984.

Fraud In ScIence

• American Association for the Advancement of ScIences - American Bar Association National Conference of Lawyers and Sclentlsls

1988 project on ScIentifIC Fraud and M!sconduc!, Workshop #1 1989 project on Sclentiffc

Fraud and Misconduct. Workshop #2 1989 project on ScientifIC Fraud and Misconduct, Workshop #3 AI three were published by the MAS, Washington, D.C.

• - Broad, WilHam and Wade, NIcholas. Betrayers of the Truth. Fraud and Deceit in the Halls of Science. Simon & Schuster, NY, 1982. (EspeciaUy useful is the chapter on self-<leception and gUlfibilUy.)

. Page 5

• Fancher, Raymond E. The Intelligence Men: Makers of the 1.0. Controversy. Chapter 5, "Twins and the Genellcs of La.," W. W. Norton and Co., 162-225, 1985.

Petersdorf, Robert G. The Pathogenesis of Fraud In Medical ScIence, Annals of Intema! Medlc!ne 104: 252-254, 1986.

Powfedge, Tabitha. Getting Serious About Fraud and Misconduct, AM& Observer (Nov. 4): 1, 6-7, 1988.

Reiman, Arnold S. Lessons from the Darsee Affair, New England JoumaJ of Medicine 308: 1415-1417, 1983.

• Special Section: WhistIebIowing'1 Trusted the Research System," by Bruce W. HoOis, "I Am Not an OptimIst," by Jerome Jacobsteln. and "We Must Deal Realistically with Fraud and Error," by Walter W. Stewart and Ned Feder, The Scientists 1: Dec. 14, 1987.

Wolf, Patricia. Pressure to PublIsh and . Fraud In Science,

Medicine 104:

ZUckerman. H. Deviant Behavior and SocIal Control In ScIence, In: DevIance anc! ~~~~~Ed~by E. Sagat/n, 87-1: HDIs, CA, 1977.

ZUckerman. H. Norms and DevIant BehavIor In Science, Science. Technology and Human Values 9: 7-13, 1984.

Impact of Biotechnology

American Association of University Professors. Academic Fraed9mand Tenure: Corporate funding of Academic ResealCh, 1983.

Blumenthal, P., Gluck M.E., louis, K.S., eI ai, University Industry Research Relationships: Implications for UniversitieS, ScIence 232 (June 13): 1361-1366, 1986.

. , ..

Deforest. P, Frankel M.S., Poindexter, J. S., and Wert, V. Professional ...... 'es and Societal Concems, AA.N3, Comrnttee on Sclenlitlc Freedom and . ResponsibiDty, 1988.

• DevIne, M.D., James, T.E., Jr., Adams, T J. Govemment SUpported Industry­University Research Centers: Is&ues for Successful Technology Transfer, JL. Tech. Transfer 12: 1987.

Gluck, M., Blumenthal, D., and Stoto, M. University-Industry Relatlo~ In the Ue ScIences; IqlI/caIions for Students and Post-Doctora/ Fellows. Rase8lCb f2!l!<x 16: 327~ 1987.

• Long, Frankflll A. Govemment DoIIat8 for University Research, The Bu!!et!o of Atomic Scientis!s (March): 45-9, 1985.

NeDdn, Dorothy. Science as Intellec!ual P!ODertv. Who Controls ScIentific Research? AA.N3 Series on Iasuea In ScIence and Technology, MacMI/a Pubfishing Company, NY, 1984.

New Developments in Biotechnology. 1. Ownership of Human T!§!!!!es and ~ Congress of the United States, OffIce of Technology Assessment, Washington, D.C., 1987.

Selzer, Richard J. Advances In ScIence and Technology ChaDenge Const/lutlon's Principles, Chemical and EngIneerli'lg ~ (October 19): 7-12, 1987.

• VarrIn, A.D., and Kuklch, D.S. GuldeOnes for Industry - Sponsored Research at · Universities, Science 227: 385-8, 1985.

Well, V. and J. Snapper, Editors. Owning Scientific and Technical Infonnat!on: Value and Ethical Issues, Rutgers University Press; NJ, 1989.

Conflict of Interest/Conflict of Commitment .

American Association of University Professors. Freedom and Responsibility (A Statement of the Association CounciQ AAUP eunetin, Winter, 1970 •

Page 6

American Council on Education. Higher Ed ocaIJon and Research Entrepreneurship: Conflids-of­Interests. Self-Regulation Initiatives: Research OogJments for Coneoes and Unr/ersltles 4.(Decerroe,,: 1986.

American Council on Education. On Preventing Conflicts of Interest In Government Sponsored Research at Universities. December. 1964.

Bereano. Philip L Making Knowledge a Convnodlty: Increased Corporate Influence on Unlversilles. IEEE Technology and ScIence Magazine Decerroer. 8-17. 1986.

Confrlct of Interest In Academic Health Centers. a Report by the AHC Task Force on ScIence Policy. Association of Academic Health Centers. 1990.

Cooperman. Alan and SIXJIman. Seth. . MIT- ' Industry Program Under Siege. Irnt ~e!1l!st. :3 (September 18): 1989.

Crawford. Mark. MIT-Industry Unks Draw Congressional Attention. ScIence .244: 1136.

Fox, Jeffrey L Offlctals Ponder Scientlflc Misconduct. Conflicts of Interest. MM ~: 472-474.1990.

Hart. Kathleen. Is Academic Freedom Bad . for Business? Bulletin of the Atomic Scientists (April): 28-34. 1989.

Holden. Constance Research Group Forswears FInancIal Ties to FIlmS Whose Drugs It Tests. ScIence 244: 282, 1989.

Lea/}'. Warren E. Business and Scholarship: A New Ethical Quandary. NY Tunes. June 12. 1989.

Marshan. Elfiot ScIence Advisors Need Advice. Science 245: 20-22. 1989.

Minsky. Leonard and Noble. David. Corporate Takeover on Campus. The Nation: October 30. 1989.

, Mooney. Carolyn J. Academics on Corporate Boards: Beneficial f<?r Universltles or Conflict of Interest? The Ch/'on!c!e of Higher Education: Jaooa/}' 10. 1990.

National Research CouncD Policy on Potentlal Sources of Bias and Confrlct of Interest In Studies and Related ActIvitles. The National Research Council, 1989.

Palca, Joseph NIH Grapples with ContrlCt of Interest. ScIence 245: 23. 1989.

Thomson. Judith Jarvis. Draben, Burton S .• Holtzman. Eric. Kreiser. B. Robert. Corporate Funding of Academic Research. Academe (November­Decerroeq: 18a-23a, 1983.

Wheeler. David L Health Secreta/}' Kills GuideOnes to Bar Abuse Among NIH Grantees, The Chrpn!c!e of Higher Education: Jaooa/}' 10. 1990.

Whc~J~,;r. I).;:'.'/:..l L La~'l J rn~\-.~() ~ .. C\ Universities for Selling the ' Results of U.S.Ananced Research to Foro.inn

Education.

Authorship

- AngeD. Marcia Publish or Perfsh: A Proposal, Annals of Internal Med'lCine 104: 261-262, 1986.

- Huth. Edward J. GuldeUnes on Authorship of Medical Papers. Annals of Internal Med'lClne 104: 269-274. 1986.

- Huth. Edward J. Irresponslbl8 Authorship and Wasteful Publlcallon. Annals of Internal Med!c!ne 104: 257-259. 1986.

Ethics of Teaching and Learning

Sol<, Derek. HIgher Learning. Harvard University Press. cambridge. MA. 1986.

Page 7

Bok, Derek, Ethics. The Universlty. and Soctety. Harvard Mmzlne (May­June): 39-50. 1988.

Brann. Eva T. H., Paradoxes of Educa!!on In a Repub!!c. The University of ChIcago Press. Chicago. ILo 1979.

Bulger. R.E. The need for an ethical Code for Teachers of Basic Biomedical Sciences. JoumaJ of MesflCa! Education 63: 131-133. 1988.

Cshn. Steven M. SaInts and Scarros. Eth!cs In Academia. Rowman and Lltllefleld. Totwa, New Jersey. 1988.

Friedman. Paul J. Research EthIcs: A Teaching Agenda for Academe Medicine. ACademic Med!¢!ne 65: 32-33. 1990

• GDmer. P .J .• and RashotIe. M.E. Marshalling the Resources 01 a Large Stale University. For an Inte~naJY "Science. and SocIety" Course.

1989/1990. of ethics Into an course for primarily and for Some graduate students).

IIby. D. M. EvaklatIng Teaching SkDIs. 1I1U...~<iI12! 11 :370046 (Supp).

I.Jckona. Thomas. What Does Mollll Psychology Have to Say to the Teachers of EthIcs? In: .EI!!!cs. Teaching In Higher Educa1!on: (Daniel Callahan and Sisseia Bok, ed.). 103-132, Plenum Press. NY. 1980.

May. wunam F. Professional EthIcs: Setting. Terrain. and Teachers. In: .e!l!cs. Teaching In Higher Educa1!on. (Daniel Callahan and Sisseia Bok, ed.). 205-241. Plenum Press. NY. 1980.

Shiis. E. The Report of A Study Group of the International Council on the Future of the University. In: The Academic Ethic. The University of Chicago Press. Chicago. ILo 1983.

Swazey. Judiltl P •• louis. Karen Seashore. and Anderson, Melissa S. University PolIcIes and Ethical Issues In Research and Graduate Education: HighIIghIa 01 the CGS Dean's Survey. Council of Gmruat8 Schools Commm!cator, XXII 3 (March): 1989.

CommunICation In ScIence

Goldman. Sleven L Images of Technology In Popular Aims: DlsaJsslon and Aimography. ScIence. Technology. and Human Values 14: 275-301. 1989.

Friedman, Sharon M •• Dunwoody. Sharon. and Rogers. Carol L ScIentists and JoumaJlsIs. Recortlng Science as ~. MAS. Inc. 1988. (In partlaJlar see Chapter .. by Jon D. MUler • Reaching the Attentive PublIc and . Interested PublIcs for ScIence.)

...... "'... Dorothy.

and Co ••

Source Books and Bibliographies

Beauchamp. Tom L and Chllcltess. James F. Prlnc!D!es of Biomed!ca! Eth!cs. Third EdItion, Oxford University Press. NY,1989.

Beauchamp, Tom L and Walers, leRoy. Contenporary Issues In Bloeth!cs. Third EdlIlon, Wadsworth Publishing ,CoIJ1l8llY, Inc., 1989.

Press,

Chalk, Rosenwy (editor). ScIence. Technolooy. and Soc!etv. Emerging RelationshiPs, MAS, 1989.

Frankel. Mark S. (editor). ScIence. . Engineering and Ethics. StatEKlf-the­Art and Future Directions. Report on . an MAS Workshop and Symposium. Mark S Frankel. Editor. 1988.

Page 8

Reiser, S. J., Dyck, A.J. and Curran, W. J. Ethics In Medicine. Historical Perspectives and Contemporary Concerns, MIT Press, cambrldge, MA, 19n. .

A Select BIbliography on Professional Values and Ethical Issues In the Graduate Education of ~entists and engIneers, Prepared by .,Judith C; Watkins and JudIth P. Swazey, The Acadia Institute, 1989.

Ethical Misconduct In Research pubrlCatlon: An Annotated BibHography, Prepared by Marcel Chotkowski LaFoUette, National ScIence foundation, 1988.

Other ThIngs to ConsIder includIng

institutional Policies

• ..

1) Plaglarlsm'cheating . 2) Honesty In Science

3) AnImal Protocol Review Forms 4) . Human Subjects Protocol Review

Forms ... ~)t1:;:_~' M.afllJ:'J.~ 6) Other Materials trom Your

Institution

IllIflC8tes use In courses In science at Florida State University •

Indicates use In course on phlJosophlcallssues In science at the University of Texas Health Sciences Center at Houston.

•