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How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
1
HOW TO GET A PhD: METHODS AND PRACTICAL HINTS
(2011-2012)
University of Oulu, October 6th, 2011
Research Ethics
Prof. Riitta KeiskiDepartment of Process and Environmental Engineering
POB 4300, FI-90014 University of Oulu
+358 40 726 3018, [email protected], http://www.oulu.fi/polam/
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Contents- Definitions in Ethics
- Research Ethics and Ethics
- Research Ethics in Finland and The National
Advisory Board of Research Ethics (TENK)
- Guidelines for the Prevention, Handling and
Investigation of Misconduct and Fraud in
Scientific Research (2002)
- Good Scientific Practice and Responsibilities
-Violation of Good Scientific Practice –
Misconduct and Fraud
- Procedures in Handling Ethical Violations
- Ethical Principals that Various Codes Address
- Research Ethics – Four areas
- Good Practices in Publishing
- IEEE Code of Ethics
- Copyright law, IEEE rules for self- plagiarism
- Examples on violations
- Programmes to detect plagiarism, UOulu
- Summary
- Materials
What is Research Ethics?
What is the role of Ethical Codes?
How Ethical Problems can be solved?
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Definitions in Ethics
• Also called moral philosophy, involves systematizing, defending, and
recommending concepts of right and wrong behavior.
• Three general subject areas: metaethics, normative ethics, and applied
ethics.
• Metaethics investigates where our ethical principles come from, and what
they mean. Are they merely social inventions? Do they involve more than
expressions of our individual emotions?
• Normative ethics takes on a more practical task, which involves moral
standards that regulate right and wrong conduct.
• Applied ethics involves examining specific controversial issues, such as
abortion, infanticide, animal rights, environmental concerns, capital
punishment, or nuclear war.
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Responsibilities of Human beings
For us human beings it is natural to define/understand/realize what
is e.g.
good and bad; right and wrong
For us human beings it is natural to seek
Love, joy, peace, patience, friendliness, goodness, faithfullness, tenderness, self-
control
We live, however, in pluralistic world
Moral in us human beings is, however, developing based on different experiences
that we have in our life
Thus, there is a great variation in the opinion about good and right
We all need to take into account those who share the life with us at home, in
working places, in different contexts moral
Confidence is created via our moral
Terho Pursiainen, 4.4.2001
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Declaration of Human Responsibilities
• Basis for a new global ethics: The Universal Declaration of Human Rights by the
General Assembly of the United Nations on December 10, l948.
• "Everyone has duties to the community in which alone the free and full development
of his (her) personality is possible." Article 29 (1)
• "Education shall be directed to the full development of the human person-ality and to
the strengthening of respect for human rights and fundamental freedoms." Article
26 (2), Universal Declaration of Human Rights.
• “The Principles of a Global Ethics" (Parliament of the World's Religions in Chicago
in 1993).
– Every human being must be treated humanely
– Commitment to a culture of non-violence and respect for life
– Commitment to a culture of solidarity and a just economic order
– Commitment to a culture of tolerance and a life of truthfulness
– Commitment to a culture of equal rights and partnership between men and women
• The time has now come for the ethical principles to be translated into
RESPONSIBILITIES and for all people, as "citizens of the world," to aim toward
these goals.
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Research Ethics and Ethics – Why should we teach
and discuss this matter?
Definition of ethics and its philosophical background?
Why ethics is globally important – global changes and threats?
What is ment my research and engineering ethics?
What is ment by environmental ethics, sustainable development?
Internal values of ethics and technology (dynamicity and efficiency) – are
they contradictonary?
How ethical problems can be solved?
What is the role of ethical codes?
The honorary rules of TEK (TEK 1996), The ethical codes for professors
(Professoriliitto 2001)
Declaration of human genome and human rights (UNESCO 1997), International
declaration on human genetic data (UNESCO 2003), Universal declaration on
bioethics and human rights (UNESCO 2005)
UNESCO ja COMEST: Ethical codes for water use, energy use, ICT and outer
space; bioethics, ethics of science and technology, ethics education programme
National Advisory Board on Research Ethics (Finland; Ministry of Education)
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Even...
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Ethics and Responsibilities
A researchers is responsible to other researchers, to all those
participating in the joint research, to the whole scientific
society and above all to him/herself (most important)
Ethical questions: What are ethically acceptable research areas and methods?
Should the researcher take responsibility of the consequences of the research –
now and also in the future after tousands of years?
Does the researcher need ethical codes and rules?
Who makes the ethical desicions: researcher, research advisor, university?
What you should do if you know about misconduct of scientific/ethical rules?
What is your responsibility in this case?
Quality/quantity in publications, publicity, celebrity?
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
For Students
Ethical Code - As a student
I) My main objective is to learn.
II) I am aware of my role as a responsible agent in the science community. I am,
in it, an example for others.
III) I will take care of myself and my abilities to study, and will advance the well-
being of my university community and the communal spirit.
IV) I, with my actions, will advance my learning and the learning of my fellow
students. I will not merely aim to complete my courses quickly.
V) I recognize the value of the work made by others and will always act honestly. I
will, in my studies, advance the critical approach of the science community,
truthfulness, communality, and impartiality. So • I will not cheat or otherwise operate dishonestly in an exam or teaching situation,
• My course and seminar work, and other theses are of my own making, unless I am engaged in
pair or group work when the collaboration, is made visible in the credits or in some other
appropriate way,
• I will appropriately mark down the references I have used and will not claim information
obtainable through e.g. Internet as my own,
• I will accept the fact that I am, as a student, a part of the science community, and understand
that my individual claims cannot always be fulfilled, and thus will not pressure other students or
the staff to follow them.
VI) I will not, by my behaviour, disturb other’s learning and working in a teaching
or exam situation.
VII) I will respect the teacher’s teaching and research work. So • I participate in teaching situations and I will act actively and responsibly in them,
• I will give relevant feedback of the teaching,
• I will, in my work, follow the instructions given by the teachers, and will promote positive
atmosphere in the teaching situations.
http://www.oulu.fi/oky/english/ethics.pdf
Prof. Riitta Keiski, October 6th, 2011
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How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
For Teachers
http://www.oulu.fi/oky/english/ethics.pdf
Ethical Code - As a teacher
I) As a teacher in the university, my main objective is to advance
the learning of the students. I will promote it i.e. by • Developing myself as a researcher and a teacher,
• Treating the students equally and assessing their learning and achievements
appropriately,
• Giving credit to students when their working promotes their own or others’
learning,
• Advising students to alter their working methods if they distract the learning
of others,
• Intervening appropriately in dishonest activities e.g. plagiarism or cheating.
II) I recognize my role as a responsible agent in the science community.
I will be a positive role model for the students and my colleagues, and an
example how to operate within a science community.
III) I will take care of myself and my ability to work, and will promote the
well-being and communal spirit within the university community. I will
work in collaboration with my colleagues. I will not present information or
research results produced by others in my own name.
IV) I appreciate and develop my work as a teacher and will advance the
esteem of teaching work in my unit and university.
V) I am interested in the learning of my students and respect their views
and the appropriate feedback given by them.
VI) I will not try, without a credit, to benefit from my students and their
input.
Prof. Riitta Keiski, October 6th, 2011
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Prof. Riitta Keiski, January 8th, 2008
Professional Ethics
Ethics in Engineering, 4th edition, McGraw Hill 2005, 339 p.
Martin, M.W. & Schinzinger, R.
Ethics and Professionalism
Moral Reasoning and Codes of Ethics
Moral Framework
Engineering as Social Experimentation
Commitment to Safety
Workplace Resonabilities and Rights
Honesty
Environmental Ethics
Global Issues
Engineering and Technological Progress
’Engineers shall hold paramount the safety, health and walfare of the public in the performance of
their professional duties.’
’The first principle is that you must not fool yourself – and you are the easiest person to fool.’
’By honest it is not only ment to tell what is true. But you also make clear the entire situation. You
make clear all the information that is required for somebody else who is intelligent to make up
their minds.’
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Study of practical
cases, including
some which has no
converging
solution, no
solution which
most people would
find acceptable.
Some general
observations
about the relation
between ethics and
living the "good
life".
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
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Prof. Riitta Keiski, October 6th, 2011
http://www.singaporestatement.org/
NEW!!
Prof. Riitta Keiski, January 8th, 2008
1. Modes of action: integrity, meticulousness and accuracy in
conducting research, in recording and presenting results, and in
judging research and its results
2. Ethically sustainable data-collection, research and evaluation
methods (variation by research discipline) and openness in
publishing
3. Taking due account of other researchers’ work and achievements
4. Planning, conducting and reporting according to standards set for
scientific knowledge
Good Scientific Practice (1/2) (www.tenk.fi)
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Good Scientific Practice (2/2) (www.tenk.fi)
5. Status, rights, co-authorship, liabilities and
obligations of the research team are determined
• Ownership of data
• Storage of material
• Recording matters agreed
• Before starting research/recruiting reasercher
6. Sources of funding and other associations are made
known to those participating in research and to public
7. Good administrative practice and personnel and
financial management
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
First and foremost it is the responsibility of the
researcher him/herself but also:• Research team collectively
• Supervisor as a research director
• Head of research unit/organisation as a developer of the
working environment
• Learned societies and journalists as mediators of research
data and as promoters of science
• Funding organisations as research policy makers
Responsibility of Maintaining Good
Scientific Practice (www.tenk.fi/)
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Responsibility for preventing misconduct and fraud in science:• Scientific community, researchers, directors of the research group.
• Strengthening of good scientific practice
• Quality assessment systems.
• Teaching of good scientific practice and of research ethics
• Maintaining and furthering good scientific practice.
• The system of peer review applied in scientific publishing prevent scientific
misconduct and fraud.
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
1. Misconduct in science
– Gross negligence
2. Fraud in science
– Fabrication
– Misrepresentation (falsification)
– Plagiarism
– Misappropriation
Violation of Good Scientific Practice(http://www.tenk.fi)
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Violations of good scientific
practice:
• Underestimation of the
contribution of other
scientists
• Insufficient reference
• Sloppy and misleading
reporting of methods or
results
• Inadequate documentation
• Covert duplicate publication
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Examples:
• Understatement of other researchers contribution
to a publication
• Negligence in referring to earlier findings
• Careless and misleading reporting of research
findings and the methods used
• Negligence in recording and preserving results
• Publication of the same results several times as
new
• Misleading the research community about one’s
own research
Misconduct in Science (http://www.tenk.fi)
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
• Presentation of fabricated data or results to the research
community
• Fabricated data have not been obtained in the manner or by
the methods described in the report
• Presenting fabricated results in a research report
Fabrication (väärentäminen, keksiminen)(http://www.tenk.fi)
Misrepresentation (Falsification) (vääristäminen) (http://www.tenk.fi/)
• Intentional alteration or presentation of original findings in
a way which distorts the result
• Scientifically unjustified alteration or selection of data or
results
• Misrepresentation to omit results or data pertinent to
conclusions
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
• Presenting someone else’s research plan, manuscript, article or text, or parts thereof, as one’s own.
Plagiarism (plagiointi)(http://www.tenk.fi)
Misappropriation (anastaminen)(http://www.tenk.fi)
• A researcher illicitly presents or uses in his/her own name an original research idea, plan or finding disclosed to him/her in confidence.
– E.g. manuscript in peer review or research plan in evaluation for funding
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Ethics problems – Reasons?(http://www.tenk.fi/)
• Financial problems – competition between researchers
• Co-work with commercial sector – rules of the came blend
• Insufficient leadership training
• Alienation from basic rules: do not lie, do not steal
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Allegation of a violation of good scientific practice is handled at the organization in which the suspect research has primarily been conducted
Most relevant to legal protection in the process are:
– Fairness and impartiality
– The hearing of all parties concerned
– A speedy process
The procedures proposed by TENK have three stages:
1. Written notification
2. Inquiry
3. Investigation
A suspect or a complainant dissatisfied with the procedures used, the inquiry, the investigation or the final report can request the National Advisory Board on Research Ethics to give its opinion
Procedures (http://www.tenk.fi/)
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
TENK - The National Advisory Board of Research
Ethics (http://www.tenk.fi/)• Established in 1991; Makes proposals concerning
research ethics, gives its opinion on questions and legislation pertaining to research ethics and disseminates information about research ethics.
• In 1994 the National Research Ethics Council of Finland issued guidelines for the prevention and handling of the cases of misconduct and fraud in scientific research.
• On March 7, 1994 the Finnish Council of University Rectors, the Academy of Finland and national research institutes signed a recommendation, calling upon the scientific community to follow these guidelines
• The guidelines aimed at stimulating discussion and raising public awareness of research ethics
• In January 20, 1998 the Council adopted the new guidelines „Guidelines for the Prevention, Handling and Investigation of Misconduct and Fraud in Scientific Research‟
• In 2002 the Council adopted the „Good scientific practice and procedures for handling misconduct and fraud in science‟
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
• Misconduct in Research and pocedures for handling (1994)– The reliability and dignity of scientific research: researchers have good
scientific practices.
– Good scientific practice: procedures accepted by the scientific community,
general conscientiousness and accuracy in the performance of research and
presentation of results, appropriate acknowledgement of the work and
achievements of others, honest presentation of the researcher's own results
and respect for the principles of openness and controlled procedures
• Guidelines for the Prevention, Handling and Investigation of
Misconduct and Fraud in Scientific Research (1998)– It is in the best interests of society and of the scientific community that all
suspected deviations from good scientific practice are thoroughly
examined.
– The scientific community should take into account that these guidelines are
subject to legislative measures such as legislation on intellectual property,
criminal liability, procedures in administrational affairs, public records
and all human rights conventions.
Guidelines (http://www.tenk.fi/)
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Guidelines (http://www.tenk.fi/)
Good scientific practice and procedures
for handling misconduct and fraud in
science (2002)
• Three principles: impartiality, the hearing
of all parties and the promptness of the
process.
• The rector of the university or the director
of the research institution makes all
decisions as to commencement of the inquiry
and the investigation, and is responsible for
decision-making throughout the process.
• In performing these activities, he or she is to
take into account the provisions of the Act on
Procedures concerning Administrative Affairs.
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
PROBLEMS IN HANDLING RESEARCH
ETHICAL ALLEGATIONS (www.tenk.fi)
1. Nature of the problem: ethical, academic, administrative or
personal?
2. Written communication vs. conversation
3. How to find the right handling instance/authority
4. Ignorance shifts bigger problems for later
5. One-sided hearing before decision-making
6. Finding a right balance between expertise and impartiality
(puolueettomuus)– small research community
7. Awareness of standards for good scientific practice
8. Slow process
9. Legal protection of the “whistleblower” (pelin keskeyttäjä)
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
The number of allegations, inquiries, investigations
and found violations of good scientific practice
annually (www.tenk.fi)
0
5
10
15
20
25
1998 1999 2000 2001 2002 2003 2004 2005
nu
mb
er
allegations inquiries investigations found
Questionnaire 1 Questionnaire 2
Questionnaries:
• January 2003 and May 2006
questionnaire to all
organizations committed to
good scientific practice
guidelines 2002:
– prevalence of allegations
and consequences
– procedures for handling
• In 2006: 52 responses from 78
(67 %)
– universities 81 %
– research institutes 73 %
– polytechnics 53 %
– other organizations 50 %
• Questionnaire was sent to the
rector/director, and it was
filled in without exception by a
person from the central
administration
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Number of allegations, inquiries, investigations and
found violations of good scientific practice in years
1998-2005 according to the nature of violation (www.tenk.fi)
0
5
10
15
20
25
Plag. Misappr. Fabr. Falsif. Miscond. Other
nu
mb
er
allegations inquiries investigations found
Questionnaire 1: 1998-2002
0
5
10
15
20
25
Plag. Misappr. Fabr. Falsif. Miscond. Other
allegations inquiries investigations found
Questionnaire 2: 2003-2005
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Ethics (http://www2.uiah.fi/projects/metodi/051.htm)
1. Ethics of Targeting the Project
2. Ethics of Collecting Data
3. Ethics of Publishing
4. Ethics of Application
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Research Results and Responsibilities (1/2)http://www2.uiah.fi/projects/metodi/051.htm
Responsibilities of researchers:
• Research tasks are designed and run so that new scientific
information will be gained
• Research results must have high quality and they must be true
• Research results must be published and set open so that other
researchers can utilize them in the future: to design and perform their
own research, to evaluate the results and to confirm their findings
• Responsibility to develop the professional skills
• Responsibility towards human beings, environment and the future
Problems:
• Conflicts between publishing the results and filing patents/applications
• Publishing the results should not harm your own, your partner‟s or
the funding organization‟s interests (e.g. commercialisation)
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Results and
Responsibilities (2/2)
The findings of earlier scientists may be freely used by
later researchers. The correct procedure is to include the
original inventor being duly acknowledged in the final
report. Failing this, the writer gives the impression of
being himself the originator of the ideas. This kind of
misbehaviour is called plagiarism.
Citations are part of the reward system of science. They
are connected to funding decisions and to the future
careers of researchers. More generally, the misallocation
of credit undermines the incentive system for publication.
http://www2.uiah.fi/projects/metodi/051.htm
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Exercise: What are ethical implications of the following
scenarios, advantages and disadvantages (the career of an
individual researcher, the research community, funding agencies
and the general public)?
1) Not publishing the findings of a major research project?
2) Accepting sponsorship from a multinational company?
3) Agreeing to add your name (as a co-author) to a paper that you
have not seen?
4) Loosing research data because there was no back-up data?
If ethical issues are raising, please, concult always your supervisor!
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Prof. Riitta Keiski, October 6th, 2011
Finn, J.A. Getting a PhD, An avtion plan to help manage your research, your supervisor and your
Project.Routledge , USA and Canada, 2005. 191 p.
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
IEEE Code of Ethics (1/2)http://www.ieee.org/portal/cms_docs/about/CoE_poster.pdf
The IEEE members have committed themselves to the highest
ethical and professional conduct and agree: • to accept responsibility in making decisions consistent with the safety, health and
welfare of the public, and to disclose promptly factors that might endanger the
public or the environment;
• to avoid real or perceived conflicts of interest whenever possible, and to disclose
them to affected parties when they do exist;
• to be honest and realistic in stating claims based on available data;
• to reject bribery in all its forms;
• to improve the understanding of technology, applications, consequences;
• to maintain and improve our technical competence
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IEEE is the world’s largest professional association advancing innovation and
technological excellence for the benefit of humanity. IEEE and its members
inspire a global community to innovate for a better tomorrow through its highly
cited publications, conferences, technology standards, and professional and
educational activities. IEEE = Institute of Electrical and Electronics Engineers
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
IEEE Code of Ethics (2/2)http://www.ieee.org/portal/cms_docs/about/CoE_poster.pdf
The IEEE members have committed themselves to
the highest ethical and professional conduct and
agree:• to seek, accept, and offer honest criticism of technical work, to acknowledge
and correct errors, and to credit properly the contributions of others;
• to treat fairly all persons regardless of such factors as race, religion, gender,
disability, age, or national origin;
• to avoid injuring others, their property, reputation, or employment by false or
malicious action;
• to assist colleagues and co-workers in their professional development and to
support them in following this code of ethics.
Approved by the IEEE Board of Directors, February
2006
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Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Guidelines and policies on all aspects of IEEE intellectual property
rights for authors, readers, researchers, and volunteers(http://www.ieee.org/web/publications/rights#pg)
Copyright Information
• IEEE Copyright Policies
• IEEE Copyright Form (Introduction to the Copyright Form; Links to the official form, &
information about the electronic IEEE Copyright Form); Policy on Electronic
Dissemination; General Info and FAQs
Plagiarism Guidelines
• Introduction to Plagiarism Guidelines
• Policies on Allegations of Misconduct; Plagiarism FAQ; Identifying Plagiarism and
investigating possible misconduct
Multiple Submission, Prior Publication Guidelines
• Introduction to the Guidelines (From the PSPB Operations Manual)
Request Permission to Reuse Copyrighted Material
• How to Obtain Permission to Reuse Copyrighted Material (How to Access Rightslink - the
electronic permissions service)
Trademark Policies
• Using the the IEEE Logo and “IEEE“ (Using the IEEE Trademark; Registered Marks of the IEEE;
How to Register a New Logo or Title)
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
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Copyright law and IEEE rules for self-plagiarism
Collected by Aarne Mämmelä, VTT
Prof. Riitta Keiski, October 6th, 2011
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Research Ethics
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Copyright © (1)/Collected by Aarne Mämmelä
• Copyright (tekijänoikeus) is “the exclusive ownership of and the right to make use of a literary or artistic work, protected by law for a specified period of time” [Skillin74].
• For original work of authorship (teos) copyright continues 70 yearsafter the author’s decease [Tekijänoikeuslaki, 43 §].
• If the work cannot be interpreted as “original work of authorship”, it may still have a related right (lähioikeus), which continues in the case of catalogs, tables, databases, and programs 15 years from the completion or publication of the work and in the case of photographs 50 years after the preparation of the photograph [Tekijänoikeuslaki, 49 §, 49 a §].
• Copyright is owned by the author. When the work is published, the publisher usually owns the copyright [IEEE-Copyright], [IEEE-FAQ]. A copyright form is signed by the author. The author needs a permission from the publisher to reuse the material [IEEE-Permission], [IEEE-Rights]. The permission is usually granted if the author refers to the earlier publication.
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Prof. Riitta Keiski, January 8th, 2008
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Copyright © (2)/Collected by Aarne Mämmelä
• Copyright “protects the form of expression rather than the subject matter of the writing” [US-PTM]. If you give the reference, you can quote about 250 words in quotation marks without permission [Higham98]. Otherwise you must paraphrase the text and give the reference. Figures and tables must be substantially altered, otherwise they cannot be used without permission [Higham98].
• After the specified period has expired, the work enters into the public domain as a work free for all to use, but you must still paraphrase the text or use quotation marks and give the reference.
• Copyright law mainly restricts the use of the work as a commodity. After the specified period is expired, anybody can use the material as a commodity, but you cannot change the name of the author.
• Copyright protection does not include titles, which are legally protected by trademarks, or ideas, which are legally protected by patents [Skillin74].
• Plagiarism is an ethical question that is only partially covered by copyrights, trademarks, and patents.
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
37
Plagiarism and self-plagiarism/Collected by Aarne Mämmelä
• Plagiarism in “taking ideas, writings, etc. from another and passing them off as one’s own” [Webster00]. Self-plagiarism is “verbatim copying or reuse of one’s own research” [IEEE-Policy], [IEEE-PSPB].
• Manuscripts that contain crossover of more than 25 % with another manuscript by the same authors may incur sanctions [IEEE-SP].
• A conference paper can be published as a journal paper, but it must usually be substantially revised to meet the technical standards maintained by the journal [IEEE-Guidelines]. If the publisher of the journal paper is different, you must obtain permission for the reuse.
• Some journals request at least 30 % of new material compared to a conference paper [IEEE-PDS], but in some other journals a journal paper manuscript can be even identical to a conference paper manuscript [IEEE-COM].
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
38
Avoid Self-Plagiarism – SummaryCollected by Aarne Mämmelä
Two journal or two conference papers cannot be identical. Even 25 % overlap may cause sanctions [IEEE-SP]. It is possible to write a journal paper based on a conference paper, but
1) the earlier paper must be clearly mentioned in the new paper
2) if the publisher is different, the first publisher has the copyright and you must follow the copyright law to solve the possible copyright conflict (paraphrase the text, substantially alter the figures and tables, or ask for permission)
3) in most cases conference paper must be substantially revised to meet the technical standards maintained by the journal (usually no new results are requested, but up to 30 % of new material may be needed, including expansions of key ideas, examples, elaborations, etc., depending on the journal [IEEE-COM], [IEEE-PDS]), and
4) the paper must pass again the anonymous review process, which is stricter in journals than in conferences.
Prof. Riitta Keiski, October 6th, 2011
Conference paper
Journal paper
Conference paper 1
Conference paper 2
Journal paper
Revision and review process
Revision and review process
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Examples: Plagiarism and punishment
• Plagiarism and punishment by Fiona Godlee in BMJ 2007, 335: 0 (Nov. 10).
• University drops case against Croatian academic accused of plagiarism by Zosia
Kmietowicz in BMJ 2007, 335: 1014.
• Policing plagiarism by Michael Cross in BMJ 2007, 335: 963-964.
• Role of systematic reviews in detecting plagiarism: case of Asim Kurjak by Iain
Chalmers in BMJ 2006, 333: 594-596.
• UiT-ansatt tatt for juks (Plagiointitapaus Tromsøn yliopistossa) Merete Korsberg-
Dalsbø, Tromsø, Nov. 6, 2007
Programmes to detect plagiarism (plagiaatintunnistin)
• Urkund.se (used in Sweden (University of Uppsala) and in Oulu (University of
Oulu))
• http://www.oulu.fi/urkund/index_english.html
• Turnitin.com (commercial for English text)
• Docol©c (German, demo is free of charge)
• Nalkki (developed at Tampere University of Technology, for texts taken from the web)
(see http://www.studiamedia.com/Tiede-%20ja%20tekniikka.178.0.html,
http://www.nalkki.cs.tut.fi)
39
Prof. Riitta Keiski, October 6th, 2011
Urkund-system
Prof. Riitta Keiski, January 8th, 2008
Why Did We Get the Urkund System at the University of Oulu?
• Good scientific practice requires a proper way of marking references.
• Checking the papers, documents and theses is a part of the University’s quality assurance.
• In order to be considered as a high quality scientific university, we have to have tools to check the references of our documents and measures prevent plagiarism.
Guidelines for the Management of Theses and Course-Completion
Related Plagiarism at the University of Oulu
• The Guideline was signed by Rector Lajunen at September 2009.
• The guideline was included in the Register of Standards in October 2009 and at the same time delivered by email to university’s teachers and other important directions, among others to Students’ Union in Oulu University.
• This guideline concerns both the theses and course completions. It also gives advice how students should be informed about the ethical issues:
”It is important that students are provided adequate instruction
from the beginning of the studies in correct referencing techniques
and in the recognition of the ethical aspects of scientific writing.”
• Translated in English: www.oulu.fi/urkund/index_english.html
40
Prof. Riitta Keiski, October 6th, 2011By Katja Pura, 2009
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
41
Prof. Riitta Keiski, October 6th, 2011
Urkund-system
• Developed in Sweden (2000) and it is used in many countries in universities and polytechnics for example in Sweden, Norway, Finland, Denmark, Belgium, and
the Netherlands.
• Urkund uses three main sources:
– Materials on the Internet,
– Published materials and
– Students’ materials.
• Works on a web browser and doesn’t need to be installed or has not any specific demands of facility.
• Does not eliminate the work done by teachers but makes it mush easier: Still the Teacher always decides either plagiarism occurs or not.
Instructions and other important information is available here:
http://www.oulu.fi/urkund/index_english.html
• Students guidance is very important. Teachers have to tell students
what plagiarism is and how students should make the references in
their documents!
• Students must be told when Urkund is going to be used at the
courses
-> preventative effect.
By Katja Pura, 2009
Prof. Riitta Keiski, January 8th, 2008
42
Prof. Riitta Keiski, October 6th, 2011By Katja Pura, 2009
Urkund-system
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
43
Prof. Riitta Keiski, October 6th, 2011
• The Teacher makes the interpretation about plagiarism, what is plagiarism and what
is not.
• Urkund-system does not tell how the references should have been made!
• The Teacher advises the students how they should make the references or tells
where these kind of instructions can be found.
• Urkund finds only those documents that are available on the internet.
• Urkund does not eliminate teacher’s work, but makes it much easier, no need to go to
Google so much.
• It is very important that rules of making the references of plagiarism are clear to
every student - What you can do and what is forbidden.
• Teachers must always tell students beforehand that Urkund is used in the course.
• Student is the one who sends the document to Urkund and teacher gets the analysis.
http://www.oulu.fi/urkund• Guidelines for students and teachers
• Links to other sites concerning this matter
• Guidelines for the Management of Theses and Course-Completion Related Plagiarism at the University of Oulu
• Accept the students contract and send your document to Urkund (students).
• Apply username to Urkund and sing in the system (teachers).
By Katja Pura, 2009
Urkund-system
Prof. Riitta Keiski, January 8th, 2008
Research Ethics – Summary
Ethics is an essential part of good research
Researchers should always have strong ethical thoughts, principles
and actions
Illegal and unethical procedures in research are not good science
Researchers are responsible for their work, actions and research results
Researcher must know beforehand that the actions and results do not
harm human beings, animals or nature (proper planning) – good research
is systematic and planned
Researchers must always keep in mind the possible ethical problems
that may rise during the research and when the results are utilized
44
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Ethics – Summary
The reliability and dignity of scientific research:
researchers have good scientific practices
Good scientific practice:
• Procedures accepted by the scientific community
• General conscientiousness and accuracy in the
performance of research and presentation of results
• Appropriate acknowledgement of the work and
achievements of others
• Honest presentation of the researcher's own results
• Respect for the principles of openness and controlled
procedures
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Research Ethics – SummaryRough and general summary of some ethical principals that
various codes address http://dir.niehs.nih.gov/ethics/whatisethics.htm
Honesty
Strive for honesty in all scientific communications. Honestly report data, results,
methods and procedures, and publication status. Do not fabricate, falsify, or
misrepresent data. Do not deceive colleagues, granting agencies, or the public.
Objectivity
Strive to avoid bias in experimental design, data analysis, data interpretation, peer
review, personnel decisions, grant writing, expert testimony, and other aspects of
research where objectivity is expected or required. Avoid or minimize bias or self-
deception. Disclose personal or financial interests that may affect research.
Integrity
Keep your promises and agreements; act with sincerity; strive for consistency of
thought and action.
Carefulness
Avoid careless errors and negligence; carefully and critically examine your own work
and the work of your peers. Keep good records of research activities, such as data
collection, research design, and correspondence with agencies or journals.
46
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Openness
Share data, results, ideas, tools, resources. Be open to criticism and new ideas.
Respect for Intellectual PropertyHonor patents, copyrights, and other forms of intellectual property. Do not use
unpublished data, methods, or results without permission. Give credit where credit is
due. Give proper acknowledgement or credit for all contributions to research. Never
plagiarize.
Confidentiality Protect confidential communications, such as papers or grants submitted for publication,
personnel records, trade or military secrets, and patient records.
Responsible Publication
Publish in order to advance research and scholarship, not to advance just your own
career. Avoid wasteful and duplicative publication.
Responsible MentoringHelp to educate, mentor, and advise students. Promote their welfare and allow them to
make their own decisions.
Respect for colleagues
Respect your colleagues and treat them fairly.
http://dir.niehs.nih.gov/ethics/whatisethics.htm
47
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Social Responsibility
Strive to promote social good and prevent or mitigate social harms through research,
public education, and advocacy.
Non-Discrimination Avoid discrimination against colleagues or students on the basis of sex, race, ethnicity, or
other factors that are not related to their scientific competence and integrity.
CompetenceMaintain and improve your own professional competence and expertise through lifelong
education and learning; take steps to promote competence in science as a whole.
Legality
Know and obey relevant laws and institutional and governmental policies.
Animal Care
Show proper respect and care for animals when using them in research. Do not conduct
unnecessary or poorly designed animal experiments.
Human Subjects ProtectionWhen conducting research on human subjects, minimize harms and risks and maximize
benefits; respect human dignity, privacy, and autonomy; take special precautions with
vulnerable populations; and strive to distribute the benefits and burdens of research
fairly. http://dir.niehs.nih.gov/ethics/whatisethics.htm
48
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
Research Ethics – Summary
Proposals and Guidelines
Good scientific practice and procedures for handling misconduct and fraud in
science. (2002) Second edition National Advisory Board on Research
Ethics 2002
Guidelines for the Prevention, Handling and Investigation of Misconduct and
Fraud in Scientific Research (1998) National Research Ethics Council 1998
Journals
Science and Engineering Ethics
Business and Professional Ethics Journal
Professional Ethics
Journal of Empirical Research on Human Research Ethics
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Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
Web-sites:http://www2.uiah.fi/projects/metodi/151.htm
http://www.professoriliitto.fi/ (Professoriliitto, 2001)
http://www.tek.fi/ (Tekniikan Akateemisten liitto)
http://pro.tsv.fi/tenk/htkfi.pdf (Hyvä tieteellinen käytäntö ja sen loukkausten
käsitteleminen. Helsinki 2002, Tutkimuseettinen neuvottelukunta)
http://www2.uiah.fi/projects/metodi/051.htm
http:www.niee.org (National Institute of Engineering Ethics)
http://www.nspe.org (National Society of Professional Engineers)
http://www.onlineethics.org (The Online Ethics Center of Engineering and Science)
http://blogs.nature.com/nautilus/2007/10/accountability_of_co-authors.html
(Accountability of Authors, Nature 450, 1; 2007)
50
Research Ethics – Summary
Good research is systematic and planned!
Good scientific practice is of vital importance!
Research ethics covers the responsible conduct of research
(consideration of intellectual property and fabrication, falsification, and
suppression of data…..)!
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008
51
References (1) collected by Aarne Mämmelä
[Chicago93] The Chicago Manual of Style. 14th ed. University of Chicago Press, London, 1993.
[Higham98] N. J. Higham, Handbook of Writing for the Mathematical Sciences. Society for
Industrial and Applied Mathematics, 2nd ed., 1998.
[IEEE-FAQ] Frequently Asked Questions, http://www.ieee.org/web/publications/rights/faqs.html.
[IEEE-COM] “Information for authors,” IEEE Transactions on Communications,
http://www.comsoc.org/dl/jrnal/transcom/authorinfo.html.
[IEEE-Copyright] IEEE Copyright Form, www.ieee.org/web/publications/rights/copyrightmain.html.
[IEEE-Ethics] IEEE Code of Ethics,
http://www.ieee.org/portal/pages/iportals/aboutus/ethics/code.html
[IEEE Guidelines] Introduction to Guidelines on Multiple Submission and Prior Publication,
http://www.ieee.org/web/publications/rights/Multi_Sub_Guidelines_Intro.html.
[IEEE-IPR] IEEE Intellectual Property Rights, http://www.ieee.org/web/publications/rights.
[IEEE-Policy] IEEE Policy on Self-Plagiarism,
http://www.comsoc.org/dl/jrnal/transcom/Self_Plagiarism.pdf
[IEEE-PSPB] IEEE Publication Services and Products Board Operations Manual,
http://www.ieee.org/portal/cms_docs_iportals/iportals/publications/PSPB/opsmanual.pdf.
Prof. Riitta Keiski, October 6th, 2011
Prof. Riitta Keiski, January 8th, 2008
52
References (2) collected by Aarne Mämmelä
[IEEE-SP] “Information for authors,” IEEE Transactions on Signal Processing,
http://ewh.ieee.org/soc/sps/tsp/guidetoreauthors.php.
[IEEE-WC] “Information for authors,” IEEE Transactions on Wireless Communications,
http://www.ee.ust.hk/%7ETwireless/instruction.html.
[IEEE-PDS] “Information for authors,” IEEE Transactions on Parallel and Distributed Systems,
http://www.computer.org > Publications > Journals > IEEE Transactions on Parallel and
Distributed Systems > IEEE TPDS Guidelines > For Reviewers > Preliminary/Conference
Version(s).
[IEEE-Permission] How to Obtain Permission to Reuse IEEE-Copyrighted Material,
http://www.ieee.org/web/publications/rights/reqperm.html.
[IEEE-Rights] Arranging for Rights and Permissions, http://ieeexplore.ieee.org/xplorehelp/
Help_Arranging_for_Rights_and_Permissions.html
[Skillin74] M. E. Skillin and R. M. Gay, Words into Type, 3rd ed. Prentice Hall, 1974.
[Tekijänoikeuslaki] Tekijänoikeuslaki 8.7.1961/404, http://www.finlex.fi/fi/laki/ajantasa/1961/
19610404.
[US-PTM] What Are Patents, Trademarks, Servicemarks, and Copyrights? United States
Patent and Trademark Office, www.uspto.gov/web/offices/pac/doc/general/whatis.htm.
Finn, J.A. Getting a PhD, An avtion plan to help manage your research, your supervisor and
your Project. Routledge , USA and Canada, 2005. 191 p.
Prof. Riitta Keiski, October 6th, 2011
How to Get A PhD?
Research Ethics
Prof. Riitta Keiski, October 6th, 2011
http://www.oulu.fi/pyolam/
Prof. Riitta Keiski, January 8th, 2008•Prof. Riitta Keiski, 06.10.2009
Contact Information
Thanks to Aarne Mämmelä, Katja Pura, Salla Lötjönen, TENK and others for providing me material for this presentation!
Contact Information:
Prof. Riitta Keiski, D.Sc.(Tech.), Docent
Head of the Laboratory
Vice-head of the Department
Laboratory of Mass and Heat Transfer Process Engineering
Department of Process and Environmental Engineering
Center of Expertise in University Education in 2004-2006, 2007-2009, 2010-2012
FI-90014 University of Oulu, POB 4300
Phone: +358-8-553 2348, +358-40-726 3018; Fax: +358-8-553 2304
E-mail: [email protected], [email protected]; http.//www.oulu.fi/pyolam/
Prof. Riitta Keiski, October 6th, 2011