l14-ethicsinresearch研究生课后练习整理

2021年1月25日发(作者：镁光灯)
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When most people think of ethics (or morals), they think of rules for distinguishing between
right and wrong, such as the Golden Rule (
you
religious creed like the Ten Commandments (
the sayings of Confucius. This is the most common way of defining
norms for
conduct
that distinguish between acceptable and unacceptable behavior.
Most people learn ethical norms at home, at school, in church, or in other social settings.
Although most people acquire their sense of right and wrong during childhood, moral
development occurs throughout life and human beings pass through different stages of growth
as they mature. Ethical norms are so ubiquitous that one might be tempted to regard them as
simple commonsense. On the other hand, if morality were nothing more than commonsense,
then why are there so many ethical disputes and issues in our society?
One plausible explanation of these disagreements is that all people recognize some common
ethical norms but different individuals interpret, apply, and balance these norms in different
ways in light of their own values and life experiences.
Most societies also have legal rules that govern behavior, but ethical norms tend to be broader
and more informal than laws. Although most societies use laws to enforce widely accepted
moral standards and ethical and legal rules use similar concepts, it is important to remember
that ethics and law are not the same. An action may be legal but unethical or illegal but ethical.
We can also use ethical concepts and principles to criticize, evaluate, propose, or interpret
laws. Indeed, in the last century, many social reformers urged citizens to disobey laws in order
to protest what they regarded as immoral or unjust laws. Peaceful civil disobedience is an
ethical way of expressing political viewpoints.
Another way of defining 'ethics' focuses on the
disciplines that study
standards of conduct,
such as philosophy, theology, law, psychology, or sociology. For example, a
is someone who studies ethical standards in medicine. One may also define ethics as
a
method, procedure, or perspective
for deciding how to act and for analyzing complex problems
and issues. For instance, in considering a complex issue like global warming, one may take an
economic, ecological, political, or ethical perspective on the problem. While an economist
might examine the cost and benefits of various policies related to global warming, an
environmental ethicist could examine the ethical values and principles at stake.
Many different disciplines, institutions, and professions have norms for behavior that suit their
particular aims and goals. These norms also help members of the discipline to coordinate their
actions or activities and to establish the public's trust of the discipline. For instance, ethical
norms govern conduct in medicine, law, engineering, and business. Ethical norms also serve
the aims or goals of research and apply to people who conduct scientific research or other
scholarly or creative activities. There is even a specialized discipline, research ethics, which
studies these norms.
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There are several reasons why it is important to adhere to ethical norms in research. First,
norms
promote the aims of research
, such as knowledge, truth, and avoidance of error. For
example, prohibitions against fabricating, falsifying, or misrepresenting research data promote
the truth and avoid error. Second, since research often involves a great deal of cooperation
and coordination among many different people in different disciplines and institutions, ethical
standards promote the
values that are essential to collaborative work
, such as trust,
accountability, mutual respect, and fairness. For example, many ethical norms in research,
such as guidelines for authorship, copyright and patenting policies, data sharing policies, and
confidentiality rules in peer review, are designed to protect intellectual property interests while
encouraging collaboration. Most researchers want to receive credit for their contributions and
do not want to have their ideas stolen or disclosed prematurely. Third, many of the ethical
norms help to ensure that researchers can be held
accountable to the public
. For instance,
federal policies on research misconduct, conflicts of interest, the human subjects protections,
and animal care and use are necessary in order to make sure that researchers who are funded
by public money can be held accountable to the public. Fourth, ethical norms in research also
help to build
public support
for research. People more likely to fund research project if they can
trust the quality and integrity of research. Finally, many of the norms of research promote a
variety of other important
moral and social values
, such as social responsibility, human rights,
animal welfare, compliance with the law, and health and safety. Ethical lapses in research can
significantly harm human and animal subjects, students, and the public. For example, a
researcher who fabricates data in a clinical trial may harm or even kill patients, and a
researcher who fails to abide by regulations and guidelines relating to radiation or biological
safety may jeopardize his health and safety or the health and safety of staff and students.


Codes and Policies for Research Ethics
Given the importance of ethics for the conduct of research, it should come as no surprise that
many different professional associations, government agencies, and universities have adopted
specific codes, rules, and policies relating to research ethics. Many government agencies,
such as the National Institutes of Health (NIH), the National Science Foundation (NSF), the
Food and Drug Administration (FDA), the Environmental Protection Agency (EPA), and the US
Department of Agriculture (USDA) have ethics rules for funded researchers. Other influential
research ethics policies include the Uniform Requirements for Manuscripts Submitted to
Biomedical Journals (International Committee of Medical Journal Editors), the Chemist's Code
of Conduct (American Chemical Society), Code of Ethics (American Society for Clinical
Laboratory Science) Ethical Principles of Psychologists (American Psychological Association),
Statements on Ethics and Professional Responsibility (American Anthropological Association),
Statement on Professional Ethics (American Association of University Professors), the
Nuremberg Code and the Declaration of Helsinki (World Medical Association).
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The following is a rough and general summary of some ethical principals that various codes
address*:


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.


Openness
Share data, results, ideas, tools, resources. Be open to criticism and new ideas.


Respect for Intellectual Property
Honor 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.
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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 Mentoring
Help 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.


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.


Competence
Maintain and improve your own professional competence and expertise through lifelong education and
learning; take steps to promote competence in science as a whole.
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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 Protection
When 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.
* Adapted from Shamoo A and Resnik D. 2009.
Responsible Conduct of Research, 2nd ed.
(New York:
Oxford University Press).


Ethical Decision Making in Research
Although codes, policies, and principals are very important and useful, like any set of rules,
they do not cover every situation, they often conflict, and they require considerable
interpretation. It is therefore important for researchers to learn how to interpret, assess, and
apply various research rules and how to make decisions and to act in various situations. The
vast majority of decisions involve the straightforward application of ethical rules. For example,
consider the following case,
Case 1:

The research protocol for a study of a drug on hypertension requires the administration of the
drug at different doses to 50 laboratory mice, with chemical and behavioral tests to determine
toxic effects. Tom has almost finished the experiment for Dr. Q. He has only 5 mice left to test.
However, he really wants to finish his work in time to go to Florida on spring break with his
friends, who are leaving tonight. He has injected the drug in all 50 mice but has not completed
all of the tests. He therefore decides to extrapolate from the 45 completed results to produce
the 5 additional results.
Many different research ethics policies would hold that Tom has acted unethically by
fabricating data. If this study were sponsored by a federal agency, such as the NIH, his actions
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