Advisers to the Nation on Science, Engineering, and Medicine

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences.

The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering.

The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.

The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council.

www.national-academies.org

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (NRC’s) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:

JOHN F. AHEARNE, Sigma Xi Center, The Scientific Research Society

PAUL J. FRIEDMAN, University of California, San Diego

C. KRISTINA GUNSALUS, University of Illinois at Urbana-Champaign,

RUSSEL E. KAUFFMAN, The Wistar Institute

DAVID KORN, Association of American Medical Colleges

JEFFREY D. KOVAC, University of Tennessee

MARCEL C. LAFOLLETTE, George Washington University

MARY FAITH MARSHALL, Kansas University Medical Center

RICK ANTONIO MARTINEZ, Johnson and Johnson

JUDITH P. SWAZEY, The Acadia Institute

Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, not did they see the final draft of the report before its release. The review of this report was overseen by BERNARD LO, University of California, San Francisco, appointed by the Institute of Medicine, and HAROLD C. SOX, Annals of Internal Medicine, appointed by the NRC’s Report Review Committee, who were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

The committee is indebted to the researchers and administrators who presented informative talks to the committee and participated in lively discussions at the open meetings, including Melissa Anderson, Stephanie Bird, Ruth Fischbach, Peter Fiske, Barbara Mishkin, Howard Schachman, Joan Schwartz, Harold Varmus, Bart Victor, and Peter Yeager (see Appendix A for affiliations and discussion topics). The committee is grateful to Barbara Brittingham, Steven Crow, Beth Fischer, Alasdair MacIntyre, Jean Morse, George Peterson, James Rogers, David Smith, David Stevens, and Naomi Zigmond, who graciously made themselves available by phone and e-mail for consultation and technical advice, and to Kenneth Pimple and David Guston, who were commissioned to prepare technical literature reviews and historical reviews (see Appendix A). Thanks to Diane Waryold and the Center for Academic Integrity for kindly providing their Academic Integrity Assessment Guide. The committee also thanks the Institute of Medicine and National Research Council staff who presented overviews of previous Academy work on integrity in research, including Rosemary Chalk, Robin Schoen, and Debbie Stine.

Many thanks to Bruce Alberts, president of the National Academy of Sciences and chair of the National Research Council, Kenneth Shine, then president of the Institute of Medicine, Clyde Behney, deputy director of the Institute of Medicine, and Andrew Pope, director of the Institute of Medicine Board on Health Sciences Policy, for advice and guidance in addressing the task. Thanks also to Kathi Hanna, Michael Hayes, and Tom Burroughs for assistance with editing the text of the report.

The committee also wishes to thank Nicholas Steneck, University of Michigan, for his contributions during the early stages of the study, and Jennifer Rietfors, an intern at the American Association for the Advancement of Science, for assistance with information on accrediting bodies.

This report was made possible by the generous support of the Office of Research Integrity, U.S. Department of Health and Human Services. Thanks to Chris Pascal and Larry Rhoades for providing background information, advice, and encouragement throughout the course of the study.