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NOTICE: The project that is the subject of this report was approved by the Governing Board
of the National Research Council, whose members are drawn from the councils of the
National Academy of Sciences, the National Academy of Engineering, and the Institute of
Medicine. The members of the committee responsible for the report were chosen for their
special competences and with regard for appropriate balance.
Support for this project was provided by the Office of Research Integrity, U.S. Department
of Health and Human Services. The views presented in this report are those of the Institute
of Medicine and National Research Council Committee on Assessing Integrity in Research
Environments and are not necessarily those of the funding agencies.
Additional copies of this report are available for sale from the National Academies Press,
500 Fifth Street, N.W., Box 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in
the Washington metropolitan area); Internet, http:// www.nap.edu.
For more information about the Institute of Medicine, visit the IOM home page at:
www.iom.edu.
The National Academy of Engineering was established in 1964, under the charter
of the National Academy of Sciences, as a parallel organization of outstanding
engineers. It is autonomous in its administration and in the selection of its mem-
bers, sharing with the National Academy of Sciences the responsibility for advis-
ing the federal government. The National Academy of Engineering also sponsors
engineering programs aimed at meeting national needs, encourages education
and research, and recognizes the superior achievements of engineers. Dr. Wm. A.
Wulf is president of the National Academy of Engineering.
The National Research Council was organized by the National Academy of Sci-
ences in 1916 to associate the broad community of science and technology with
the Academy’s purposes of furthering knowledge and advising the federal gov-
ernment. Functioning in accordance with general policies determined by the
Academy, the Council has become the principal operating agency of both the
National Academy of Sciences and the National Academy of Engineering in pro-
viding services to the government, the public, and the scientific and engineering
communities. The Council is administered jointly by both Academies and the
Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and
vice chair, respectively, of the National Research Council.
www.national-academies.org
COMMITTEE ON ASSESSING INTEGRITY
IN RESEARCH ENVIRONMENTS
ARTHUR H. RUBENSTEIN (Chair), Executive Vice President,
University of Pennsylvania for the Health System, and Dean, School
of Medicine, University of Pennsylvania School of Medicine,
Philadelphia
MURIEL J. BEBEAU, Professor, School of Dentistry, University of
Minnesota, Minneapolis
STUART BONDURANT, Professor of Medicine and Dean Emeritus,
University of North Carolina at Chapel Hill
DAVID R. COX, Professor of Genetics and Pediatrics, Stanford
University School of Medicine, Stanford
ROBERT C. DYNES, Chancellor and Professor of Physics, University of
California, San Diego
MARK S. FRANKEL, Program Director, American Association for the
Advancement of Science, Washington, D.C.
PENNY J. GILMER, Professor of Chemistry and Biochemistry,
Department of Chemistry and Biochemistry, Florida State
University, Tallahassee
FREDERICK GRINNELL, Professor of Cell Biology and Director,
Program in Ethics in Science and Medicine, University of Texas
Southwestern Medical Center, Dallas
JOYCE M. IUTCOVICH, President, Keystone University Research
Corporation, Erie, Pennsylvania
STANLEY G. KORENMAN, Associate Dean for Ethics and the Medical
Scientist Training Program and Professor of Medicine, University of
California at Los Angeles School of Medicine, Los Angeles
JOSEPH B. MARTIN, Dean, Harvard Medical School, Boston
ROBERT R. RICH, Executive Associate Dean and Professor of
Medicine and Microbiology/Immunology, Emory University School
of Medicine, Atlanta
LOUIS M. SHERWOOD, Senior Vice President for Medical and
Scientific Affairs, Merck & Co., Inc., West Point, Pennsylvania
MICHAEL J. ZIGMOND, Professor of Neurology and Psychiatry,
University of Pittsburgh, Pittsburgh
v
Project Staff
THERESA M. WIZEMANN, Study Director, Board on Health Sciences
Policy
MEHREEN N. BUTT, Senior Project Assistant, Board on Health
Sciences Policy
FREDERICK J. MANNING, Senior Program Officer, Board on Health
Sciences Policy
ROSEMARY CHALK, Senior Program Officer, Board on Health Care
Services
Auxiliary Staff
ANDREW POPE, Director, Board on Health Sciences Policy
DALIA GILBERT, Research Assistant, Board on Health Sciences Policy
ALDEN CHANG, Administrative Assistant, Board on Health Sciences
Policy
CARLOS GABRIEL, Financial Associate
ROBIN SCHOEN, Program Officer, Board on Life Sciences, Division on
Earth and Life Sciences
Consulting Writer
KATHI E. HANNA
Copy Editors
TOM BURROUGHS
MICHAEL K. HAYES
vi
Reviewers
This report has been reviewed in draft form by individuals chosen for
their diverse perspectives and technical expertise, in accordance with pro-
cedures approved by the National Research Council’s (NRC’s) Report
Review Committee. The purpose of this independent review is to provide
candid and critical comments that will assist the institution in making its
published report as sound as possible and to ensure that the report meets
institutional standards for objectivity, evidence, and responsiveness to
the study charge. The review comments and draft manuscript remain
confidential to protect the integrity of the deliberative process. We wish
to thank the following individuals for their review of this report:
vii
viii REVIEWERS
ix
x ACKNOWLEDGMENTS
EXECUTIVE SUMMARY 1
1 INTRODUCTION 16
2 INTEGRITY IN RESEARCH 33
xi
xii CONTENTS
APPENDIXES
INDEX 195
Tables, Figures, and Boxes
TABLES
1-1 Grants Funded by ORI in the First Round of Research on
Integrity in Research, 23
1-2 NSF Awards Directly Related to Integrity in Research,
1989 to Present, 24
1-3 NSF Awards Indirectly Related to Integrity in Research,
1989 to Present, 24
1-4 Addressing the Charge, 29
A-1 Search Terms, 136
A-2 Number of Relevant Articles, by Journal, 137
A-3 Number of Relevant Articles, by Category, 138
FIGURES
1 Open systems model of the research organization, 7
2 Environmental influences on research integrity that are
external to research organizations, 8
3-1 Open systems model of the research organization, 51
3-2 Environmental influences on research integrity that are
external to research organizations, 64
xiii
xiv TABLES, FIGURES, AND BOXES
BOXES
1 Integrity in Research, 5
2 Recommendations, 12
1-1 Glossary of Terms Used in This Report, 30
2-1 Definition of Institutional Conflict of Interest, 44
5-1 The Four-Component Model of Morality, 88
A-1 Invited Presentations, 140
C-1 Time Line of Some Significant Events in Research Integrity,
1991 to Present, 174
Executive Summary
1
2 INTEGRITY IN SCIENTIFIC RESEARCH
als in the popular press. The committee invited experts to make public
presentations, commissioned background papers, and sought additional
technical assistance from knowledgeable individuals.
OVERARCHING CONCLUSIONS
Several overarching conclusions emerged as the committee addressed
DHHS’s need to develop means for assessing and tracking the state of
integrity in the research environment:
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