Frank Morgan

The National Science Foundation is starting to require ethics training for students doing research on grants. Because of the clumsiness of programs available on the web, we developed our own program for the undergraduate researchers in the Williams College SMALL project. At the outset the students are provided with the following outline and some case studies for reading. Midway, there is a workshop on ethics, going over the outline and discussing principles and some cases.

Ethics Training Outline (Williams College Department of Mathematics and Statistics)

An important general principle is full disclosure. Whenever relevant, disclose any personal factors that could affect objectivity: relationships, business interests, etc. Feel free to discuss any concerns with a department chair, dean, or others confidentially.

A second important general principle is confidentiality. Check with your supervisor before sharing confidential materials with anyone. In general, outside of very limited professional consultation, confidential materials cannot be shared without permission.

1. Responsible teaching/mentoring. As a student you have the right and responsibility to keep relationships free of harassment and other kinds of inappropriate behavior. If you have any concerns, you should feel free to talk to a department chair, dean, or others. Sometimes they are required by law or by their institutions to report such conversations, but you can always ask about confidentiality and from whom it is available.

2. Research. The guiding principle is fidelity to the truth, the whole truth, and nothing but the truth. Present all the evidence, not just favorable selections. Cite sources and give credit where credit is due. Get permission when appropriate, as for the use of figures, illustrations, or data.  Be sure no part of your research or manuscript could be considered plagiarism.

3. Publication. Submit to one place at a time. All co-authors should be informed and participate in decisions. Take care in writing and proof-reading.

4. Peer review. Journal submissions, grant applications, and tenure and promotion cases are often sent out to experts in the field for review. Disclose personal factors and limitations. Write from your own understanding and the evidence. Respond in a timely manner. Your review is generally kept anonymous, but there is some freedom and variability and you should understand the conditions.

5. Grading. Disclose to your supervisor or a dean any personal factors that could affect your objectivity.  All grades are confidential; unless given permission by your supervisor, you should not discuss grades with or show homework assignments/exams/quizzes to anyone other than your supervisor.  Your supervisor should know that such information may be shared only with colleagues who have a need to know or with the student’s permission.  Feel free to discuss any concerns about your job or your students with your supervisor, the department chair, or a dean confidentially.

6. Human or animal subjects. If by chance you are ever involved with human or animal subjects, you will need to research the substantial ethics considerations beforehand.

Cases for discussion

1. “Group Project”

2. “Intellectual Property”

3. “Credit for work”

4. “Refereeing Papers”

5. You’re grading homework for a course. When you get back to your room, you find that a friend in the course has put his homework under your door instead of turning it in in class, with a note that says he’s giving it to you early because he can’t make it to class. What should you do?

6. You’re grading homework for a course and your friend’s mom asks you how he’s doing. He’s doing well. What should you say?

7. After you publish a paper you realize that you did not credit a lemma to another paper where you found it. What should you do?

8. You are a Math graduate student enrolled in an undergraduate physics course.  When your physics professor finds out you are a graduate student, s/he starts coming to your office to personally hand back and discuss your homework.  S/he stays for what you think are long periods of time and tries to steer the conversation to subjects that are personal. You are uncomfortable during these visits. What should you do?

9. You’re grading homework for a course and you find your roommate looking over the grades and comments. What should you do?

10. “Graduate Program Applications”

March 2012 Notices AMS article on “Ethics for Undergraduate Researchers” by Mike Axtell and Chad Westphal provides more cases for discussion.