(2011-2012) , 2011 Research Ethics - infotech.oulu.fi · Research Ethics and Ethics ......

How to Get A PhD?

Research Ethics

Prof. Riitta Keiski, October 6th, 2011

[email protected]

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/



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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Research Ethics


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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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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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Research Ethics


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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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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...


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Research Ethics


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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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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


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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.


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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".


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Research Ethics


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11


http://www.singaporestatement.org/

NEW!!


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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https://www3.ntu.edu.sg/wcri2010/

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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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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.


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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



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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• 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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• 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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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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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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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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• 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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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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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)


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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



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


Questionnaire 1: 1998-2002

0

5

10

15

20

25

Plag. Misappr. Fabr. Falsif. Miscond. Other


Questionnaire 2: 2003-2005

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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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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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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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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!

30


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.

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Research Ethics


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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



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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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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34

Copyright law and IEEE rules for self-plagiarism

Collected by Aarne Mämmelä, VTT


http://www.ieee.org/portal/pages/iportals/publications/rights/copyrightpolicy.html

http://www.ieee.org/portal/pages/iportals/publications/rights/copyrightpolicy.html

http://www.ieee.org/portal/pages/iportals/publications/rights/cfrmlink.html

http://www.ieee.org/portal/pages/iportals/publications/rights/copyrightmain.html

http://www.ieee.org/portal/pages/iportals/publications/rights/policies.html

http://www.ieee.org/portal/pages/iportals/publications/rights/policies.html

http://www.ieee.org/portal/pages/iportals/publications/rights/geninfo.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Plagiarism_Guidelines_Intro.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Investigating_misconduct.html

http://www.ieee.org/portal/pages/iportals/publications/rights/plagiarism_FAQ.html

http://www.ieee.org/portal/pages/iportals/publications/rights/ID_Plagiarism.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Multi_Sub_Guidelines_Intro.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Section_822F.html

http://www.ieee.org/portal/pages/iportals/publications/rights/reqperm.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Rightslink.html

http://www.ieee.org/portal/pages/iportals/publications/rights/logopnp.html

http://www.ieee.org/portal/pages/iportals/publications/rights/Section_121_TRADEMARK.html

http://www.ieee.org/portal/pages/iportals/publications/rights/marks.html

http://www.ieee.org/portal/pages/iportals/publications/rights/logoreg.html

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35

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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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.


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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].



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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.


Conference paper

Journal paper

Conference paper 1

Conference paper 2

Journal paper

Revision and review process

Revision and review process

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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


Urkund-system


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


[email protected]



41


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


42

Prof. Riitta Keiski, October 6th, 2011By Katja Pura, 2009

Urkund-system

How to Get A PhD?

Research Ethics


[email protected]



43


• 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


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


How to Get A PhD?

Research Ethics


[email protected]




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

45



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


How to Get A PhD?

Research Ethics


[email protected]



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



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


How to Get A PhD?

Research Ethics


[email protected]




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

49



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


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…..)!


http://www.nspe.org/

http://www.onlineethics.org/




http://www.nature.com/nature/journal/v450/n7166/full/450001a.html



How to Get A PhD?

Research Ethics


[email protected]



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.



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.


http://www.ieee.org/web/publications/rights/faqs.html

http://www.comsoc.org/dl/jrnal/transcom/authorinfo.html

http://www.ieee.org/web/publications/rights/Multi_Sub_Guidelines_Intro.html

http://www.comsoc.org/dl/jrnal/transcom/Self_Plagiarism.pdf

http://ewh.ieee.org/soc/sps/tsp/guidetoreauthors.php

http://www.ieee.org/web/publications/rights/reqperm.html

http://ieeexplore.ieee.org/xplorehelp/

http://www.finlex.fi/fi/laki/ajantasa/1961/

http://www.uspto.gov/web/offices/pac/doc/general/whatis.htm

How to Get A PhD?

Research Ethics


[email protected]


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/


mailto:[email protected]

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