Ethics Case Discussions

Credit in a proposal

In this analysis, I will assume that the research discipline is a laboratory science. Thus, it is likely that Professor Pi has contributed significantly to the research that you have conducted, and that Pi would be a co-author on the paper that you are preparing. In this situation, Pi is not expropriating your work.

In the grant proposal, Pi should definitely cite the source of the text and figures. Ideally Pi should cite a preliminary version of the paper, so that the reader of the proposal can determine the source. If the proceedings of the conference at which the work was presented does not include a preliminary version of the paper, then perhaps a preliminary version could be issued as a technical report or deposited in a digital archive.

As you know, a paper may be published only once in a peer-reviewed journal, because each submission must be original. Although you may be concerned about duplicate publication, you are definitely still able to publish your paper in a journal even if much of the text has appeared in a proposal, because a proposal is not a publication. In general, conference proceedings and digital archives are also not considered peer-reviewed publications.

Research is a collective enterprise in which researchers help each other. Just as you have benefited from others’ contributions, later graduate students will benefit from yours.

To answer the specific questions:

1. A grant proposal reports previous research, but it is not a publication because a submitted proposal is not a public document. Reviewers are expected to keep information in proposals confidential.
2. In laboratory sciences, a graduate student’s thesis consists of several research papers, so there is no difference.
3. If Professor Pi makes a presentation on the work, Pi should definitely name all collaborators.
4. There are no standard ways to credit a graduate student in a grant proposal. Normally a graduate student is not a co-principal investigator or a senior researcher on a proposal.
5. Yes, anyone can be listed in a Collaborators section.
6. At a minimum, faculty members must name all students who contributed significantly to a research project; they should err on the side of generosity in acknowledging students’ contributions. In a paper or a presentation, students can be listed as co-authors or named in the Acknowledgments section.

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