excellence-everywhere

A RESOURCE FOR SCIENTISTS LAUNCHING
RESEARCH CAREERS IN EMERGING SCIENCE CENTERS

© 2009 by the Burroughs Wellcome Fund ACKNOWLEDGMENTS
All rights reserved. The course on which this manual is based was
conceived and driven by Maryrose Franko (Howard
Permission to use, copy, and distribute this manual or
Hughes Medical Institute) and the late and much-
excerpts from this manual is granted provided that (1)
missed Martin Ionescu-Pioggia (BWF), and this book
the copyright notice above appears in all reproductions;
owes much to—and draws from—the manual produced
(2) use is for noncommercial educational purposes
from that course, Making the Right Moves: A Practical
only; (3) the manual or excerpts are not modified in any
Guide to Scientific Management for Postdocs and
way; and (4) no figures or graphic images are used,
New Faculty. We are grateful to the team which built
copied, or distributed separate from accompanying
the earlier manual and to HHMI for making it easy for
text. Requests beyond that scope should be directed
us to move ahead with Excellence Everywhere.
to news@bwfund.org.
Thank you to the scientists who are quoted through-
Some parts of Excellence Everywhere are taken directly
out this book. They have provided personal insights
from Making the Right Moves.
and frank comments without which this book would
The views expressed in this publication are those of its be much diminished. Many, many other researchers
contributors and do not necessarily reflect the views of from around the world—too many to list- provided
the Burroughs Wellcome Fund. informal input and critical reading of drafts, and we
thank them all for their time and for helping us make
This manual is also available online at
this manual a resource worth sharing.
www.excellenceeverywhere.org.
Thanks especially to patient colleagues Jill Conley
Project Developer: Victoria McGovern, Ph.D.
and Maryrose Franko at the Howard Hughes Medical
Editor: Russ Campbell
Institute and Barbara Sina at the Fogarty International
Designer: Liaison Design Group
Center of the U.S. National Institutes of Health for
Copyeditor: Ernie Hood
their long term encouragement, support, and help
Burroughs Wellcome Fund over the course of this project, and to HHMI editor
21 T.W. Alexander Drive Pat Davenport for helpful comments throughout the
P.O. Box 13901 process. Thanks to HHMI and to the Wellcome Trust
Research Triangle Park, NC 27709-3901 for access to their international awardee networks,
www.bwfund.org and to Jimmy Whitworth and Pat Goodwin at the
Wellcome Trust for helpful discussions. Thanks to
science writers Heather B. McDonald and Christopher
Thomas Scott, who provided some additional writing.
Appreciation to Queta Bond, president emeritus now
of BWF, who has been a great supporter of this work.
Finally, deep gratitude to Dan Colley, Stephanie
James, and Michael Gottlieb, who on seeing the
U.S.-focused Making the Right Moves in 2005 told us
“You need to make one of these for the rest of the
world.” Who can resist such good advice from such
wise people?

TABLE OF CONTENTS

VII PREFACE 33 CHAPTER 3
GETTING STARTED:
1 CHAPTER 1 EQUIPPING YOUR LAB
GETTING STARTED: AND HIRING PEOPLE
FINDING AND MOVING 33 Designing and Equipping
INTO A JOB Your New Lab
2 The Job Search 33 Putting the People You Need
In Place
6 The Job Application
38 Interviewing Applicants
8 The Job Interview
40 Evaluating Applicants
14 Negotiating Your Position
41 Making the Offer
18 Resources
42 Asking Staff to Leave
19 CHAPTER 2
44 Resources
ENTRY AND RE-ENTRY:
ESTABLISHING YOURSELF AS
45 CHAPTER 4
A SCIENTIST IN A NEW JOB
MANAGING YOUR
20 People You Should Get to Know MANY ROLES

21 Support Facilities and Services 46 Your Role as a Laboratory Leader

24 Working with Human Subjects 47 Developing Leadership Skills

26 Responsibilities Beyond the Laboratory 48 How to Improve Your
Leadership Skills
27 Scientists and the Outside World
50 Creating Your Vision as a Leader
28 Understanding Your Institution
and How to Progress Within It 51 Developing Your Leadership Style

32 Resources

TABLE OF CONTENTS III

53 Building and Sustaining an 97 CHAPTER 7
Effective Team GETTING FUNDED
54 Good Practice for Laboratory 97 Understanding the Review Process
Notebooks
100 Preparing a Strong Grant Application
61 Making Decisions
106 Resources
62 Setting and Communicating Rules
of Behavior for Members of
107 CHAPTER 8
Your Laboratory
TEACHING AND
65 Keeping Lab Members Motivated COURSE DESIGN
67 Managing Conﬂict in the Lab 107 Why Teach Well?
70 Resources 109 Becoming an Effective Teacher

110 The Principles of Active Learning
71 CHAPTER 5
MANAGING YOUR TIME 114 Developing Examination Questions

72 Strategies for Planning Your Activities 115 Course Design

74 Making Choices 117 Teaching Others to Teach

74 Managing Your Time Day-to-Day 118 Time Management When
Balancing Teaching and Research
76 Making the Most of the Time You Have
119 The Teaching Portfolio
77 Managing Non-Research Tasks
120 Resources
79 Family Matters

80 Resources 121 CHAPTER 9
INCREASING YOUR IMPACT:
81 CHAPTER 6 GETTING PUBLISHED
PROJECT MANAGEMENT 121 Understanding Publishing
82 Deciding on a Project 127 Writing Your Paper
84 Getting Started 129 Submitting Your Paper
87 Tools for Developing Schedules 132 Publishing Honestly
90 Controlling the Project 133 Promoting Your Work
91 Resources 134 Resources

IV EXCELLENCE EVERYWHERE

135 CHAPTER 10 157 CHAPTER 12
EXPANDING YOUR INTELLECTUAL PROPERTY
INFLUENCE: TRAINING
157 Understanding Intellectual
THE NEXT GENERATION Property Rights
OF SCIENTISTS
160 Intellectual Property in a Global
135 Training Others Environment

139 Strategies for Effective Training 163 Case Studies

140 Different Needs at Different Stages 166 Resources

143 How to Get the Career Help and
Advice That You Need 167 CHAPTER 13
MOVING MATERIALS
144 Resources
AND EQUIPMENT
144 When Mentoring, Advisory, or
168 Regulations and Relevant
Supervisory Relationships are not
Organizations
working out
169 Appropriate Packaging
145 CHAPTER 11
170 Important Issues and Practical Advice
COLLABORATION
172 Service and Maintenance
145 The Collaborative Effort
174 Responsibility for Materials
148 Setting up a Collaboration
174 Animals and Plants
151 The Ingredients of a Successful
Collaboration 174 Physical Challenges to Shipping
Materials Long Distances
152 Dealing with Authorship and
Intellectual Property Issues 176 Resources

154 Special Challenges for the
Beginning Investigator 177 APPENDIX

155 When a Collaboration is Not Working

156 Resources

TABLE OF CONTENTS V

“ EVERY VIRTUE OR EXCELLENCE BOTH BRINGS INTO GOOD CONDITION
THE THING OF WHICH IT IS THE EXCELLENCE AND MAKES THE WORK OF
THAT THING BE DONE WELL;

THE EXCELLENCE OF THE EYE MAKES BOTH THE EYE AND ITS WORK
GOOD, FOR IT IS BY THE EXCELLENCE OF THE EYE THAT WE SEE WELL.

SIMILARLY THE EXCELLENCE OF THE HORSE MAKES A HORSE BOTH
G O O D I N I T S E L F, A N D G O O D AT R U N N I N G , A N D AT C A R R Y I N G I T S R I D E R ,
A N D AT A WA I T I N G T H E AT TA C K O F T H E E N E M Y.

THEREFORE, IF THIS IS TRUE IN EVERY CASE, THE EXCELLENCE OF
A PERSON ALSO WILL BE THE STATE OF CHARACTER WHICH MAKES A
PERSON GOOD AND MAKES HIM DO HIS OWN WORK WELL. ”
ARISTOTLE

VI EXCELLENCE EVERYWHERE

PREFACE

Launching a scientific career is difficult. Success so like an enzyme we hope to pick a good spot
as a scientist will depend on many things—from from which to bring things into line so that the
intelligence and creativity to luck; from being a barriers to activation can be reduced.
good team player to being an independent thinker
Several years ago, we asked our awardees who
and driver of your own work; from bringing out
were just starting faculty careers in the United
the best in the people with whom you work to
States and Canada to think about how we could
being an accurate and respected authority whose
help them better. What we heard back from them
fairness and good ideas are known to other
surprised us—they did not ask for more money
researchers, research organizations, and perhaps
or more scientific resources. Instead, they asked
governments. At the top in research, people
us for help in understanding how to succeed at
almost universally want the same things: to be
many activities—managing people, getting grants,
excellent scientists, to do their best work, and to
spreading one’s reputation, and more—that are
see good things come of it. Integrity is at the core
critical for scientific success and are not taught at
of a good career, everywhere. A successful career
the bench.
in science pays off by advancing knowledge, and
often by helping to make the world a healthier or Their replies stirred us to action. The Burroughs
easier place, by earning one the respect of other Wellcome Fund teamed up with the Howard
scientists, and by providing new opportunities to Hughes Medical Institute, another research-
do good work and share in a better life. supporting organization that, like us, is interested
in what it takes to make a good career great
The Burroughs Wellcome Fund is proud to support
and a great career magnificent. Together we
many excellent life scientists during the early part
put together a short course for our early-career
of their careers. Although we are a research funder,
awardees. The response to the course was so
our focus is actually not just on the research
strongly positive that we put together a book to
but also on the scientists who carry it out. Put
make the material covered in the course available
simply, we look for the best young scientists and
to a broader audience.
then invest our resources to help them reach
new levels of excellence. We believe that giving When BWF’s awardees and advisors who work
scientists room for creativity, for taking risks, and in other parts of the world saw it, they said that
for moving their interests between fields to look at this information was needed far beyond North
existing problems in new ways is a strategy that America, the region in which we make almost
produces a catalytic effect. Foundations are fairly all of our grants. So we set about making this
small in the overall scheme of scientific funding, material relevant to scientists starting careers

PREFACE VII

outside our region. This volume focuses on starting these will help you feel that you are in kinship and
careers in the emerging scientific communities in in conversation with these scientists, even though
the South—the low- and middle-resource regions they may be far from you.
of the tropics and sub-tropics.
It would be impossible to create a book that fits the
The material here features insights from researchers experiences of researchers in every place where
in Africa and South and Central America, and we science is expanding and new opportunities are
hope it may be useful to those in other regions as arising for young researchers. But the material in
well. this book is “open source.” If you are in an institu-
tion, organization, or government that is interested
The work on re-interpreting this material for
in custom-tailoring our laboratory management
scientists in many other countries has taken place
resources to use in your own country or region,
in several phases. It began with asking North
we are glad to hear it.
American researchers who work closely with
investigators and field sites in the South to provide Science is an international endeavor. Wherever it
commentary on parts of the original book that were is done, it connects us to the scientists, scholars,
especially “North Americo-centric.” Next, a number and philosophers of the past and the future. Our
of researchers from the South, but working in the work as a scientific community can make human
U.S., were asked for their ideas. Then BWF staff lives better, healthier, and longer, and can improve
sent the revised material to researchers who the economies of nations, regions, and the world.
have established their careers in South America, To be a scientist is both a privilege and a passion.
Central America, and Africa and asked for both their We hope the insights in this book will help you
critiques and corrections and, more importantly, for build a career where you consistently aim higher,
stories from their own early experiences in starting reach farther, and perform even better than you
research careers. Their comments and thoughts may have thought would be your best.
are found throughout the book. We hope that

John E. Burris, Ph.D.
President
Burroughs Wellcome Fund

Victoria McGovern, Ph.D.
Senior Program Officer
Burroughs Wellcome Fund

VIII EXCELLENCE EVERYWHERE

CHAPTER 1

GETTING STARTED:
FINDING AND MOVING INTO A JOB

“ LA CIENCIA NO TIENE PATRIA PERO EL HOMBRE DE CIENCIA SÍ LA TIENE. ”
BERNARDO HOUSSAY

As you complete your scientific training and will become program coordinators or managers of
prepare to move forward into a position of greater complex partnerships, while experienced people
scientific and often managerial responsibility, you with PhDs will more commonly lead one or a
are probably starting to think about the next step group of research programs. It is a good idea to
in your research career. For some of you, this be familiar with what kinds of jobs and responsi-
may mean a position as the head of a laboratory bilities generally go with the degree you have in
at a university or as a researcher in an industry or the place where you will work.
government laboratory. For others, it may mean
The process of obtaining a research appointment
working more independently than during your
varies greatly from country to country and from
training, but still under another scientist or official’s
situation to situation. This chapter will provide
authority. You may have lined up a job even before
some general advice and strategies to help you
starting your training or you may have to embark
find the type of job that suits your ambitions and
on a job search, perhaps with little idea of how to
goals. If you will be moving to a new position in
begin. You may have completed your training in
the same institution or department or into a job
the same country where you hope to find perma-
that has been held for you, you may not need to
nent employment, or you may be returning to your
carry out a job search. Still, this chapter may
home country after having trained elsewhere.
provide some insight into how to make sure you
This book focuses on scientists with doctoral and your institution—whether it is a university,
degrees, but there are several levels of training research institute, clinic, or government—have the
for professional scientists, and in many countries same expectations as you begin a new phase of
there are jobs at each of these levels that can your career. That insight will help even if you find
lead to positions of power and responsibility. For yourself in a totally different country, neither your
example, in many places people who hold the own nor the one where you trained, but where
MPhil or MSc degree and have relevant experience you may have secured a job or hope to find a job.

The quote above: Houssay, referring to a famous quote by Pasteur, reflects that while science itself has no country, scientists do.

GETTING STARTED: FINDING AND MOVING INTO A JOB 1

As you start your job search or prepare to move There are no universally correct answers to these
into new responsibilities, you will confront a series questions, but this chapter will raise some things
of challenging questions: to consider as you look for your own answers.
What do I want and need from my scientific work?

What do I want and need from a job? THE JOB SEARCH
If a job is being held for me, is it still the next job I If you need to find a job, make your search a
want, and one that makes sense for me? concentrated effort. Ideally, doing so may bring
multiple offers your way at about the same time.
How has time away affected my standing at an
Even if resources and opportunities in the region
institution to which I might return?
where you will work are scarce, still try to enter
What will my career progression be like if I return the search mindful that you have choices and
to this institute? opportunities, and that you are bringing something
excellent—yourself!—to your potential employer.
If I find I have more than one opportunity in front
Making the job hunt a focused and dedicated
of me, how will I chose between them?
effort also makes the labor-intensive process of
How can I ensure that my achievements and gathering your credentials and references much
capabilities, which may have been developed far more productive.
from where I want to work, will be recognized?
If you have your heart set on getting one specific
If I have more than one job offer, how will I choose? job, it may still be useful to think through other
How can I ensure that the resources I need to possibilities. As you think more broadly, you may
launch my career and succeed as a researcher are find that many different possible futures are
made available to me? available to you. You may still love the job that
was your original favorite, but also find some
How can my skills and knowledge be used to other ways forward that will allow you to develop
address the needs and opportunities in the contingency plans in case the preferred job does
institution and position in which I will work? not work out. There are many reasons an excellent
Most people also confront a very basic question: candidate may not be selected for what seems
like “the perfect job,” including personalities not
How do I go about finding a job? quite fitting, funding being cut, and governments
changing directions.

WHILE YOU ARE STILL IN TRAINING

If you know that you will train abroad for a few years and then return to your home country, you can
help pave the way for your future job search by forming an informal advisory group of past teachers and
advisors, young scientists who are slightly senior to you and who will enter jobs while you are finishing
your training, and any friends and relatives who may have useful knowledge of the scientific job market
which you plan to enter.
Keep these advisors informed of your scientific and career progress while you are gone so that in a few
years, when it is time to begin moving toward a long-term position, you have some allies in your own
country keeping you in mind and watching out for job opportunities that may fit you.
Meanwhile, if you are training in a wealthy country, be on the lookout for re-entry grant funds, which are
available from a number of agencies. These modest grants are meant to help you successfully establish
your research project when you return to your own country.

2 EXCELLENCE EVERYWHERE

KNOWING WHAT YOU WANT
The concept of job-hunting does not apply
exactly in the scientific activity in my country.
In your job search, you will have a greater chance
Apart from the very few companies that may of finding a job that fits you well if you have your
offer jobs for scientists (really negligible), most own needs and wants firmly in mind. Career
scientists start their careers as investigators of options in specific countries and regions will vary
the CONICET and/or as teacher/professors at greatly, and the choices you make will be very
public universities. In both cases the most criti- dependent on the nature of scientific careers in the
cal issue is to find the lab/institute or university place you plan to work. In some places, universities
department where to work, and only then one will be the principal and perhaps only settings for
applies. The position is obtained through open research. Elsewhere, research may be concentrated
contests where there is not a personalized job in government facilities or in research institutes.
offer but a peer review analysis of your CV, Whatever opportunities are available, you should
your work plan, and the institution you chose. consider the following questions:
In the case of universities, a contest includes
a public lecture, and the analysis of previous Do you need to be working at the “top”

”
teaching activity, all assessed by a jury. institution to achieve your goals as a scientist,
or would an excellent but less competition-driven
institution be acceptable or even preferable,
Alberto Kornblihtt, Argentina given your personality, talents, ambitions, and
commitments?

Do you want to devote yourself exclusively to
Even if a position is being held for you or you are
research, or would you prefer some combination
moving on to a new role in your current institution
of research and teaching, consulting, government
without a formal job search, it can still be worth- service, or clinical practice?
while to set aside some time to put together your
curriculum vitae (CV) as you are finishing up your Do you prefer an urban, rural, or suburban location?
training. The CV is the professional passport for Will personal responsibilities or the professional
scientists, and it is a document you should always needs of other family members set limits on what
be ready to produce on request. You should also you might do or where you might live?
make contact with those involved in your training
and others who will be preparing letters of If you are a physician-scientist, will you want to
recommendation for you, to let them know that see patients? How much time will you want to
you are about to move on to a new stage in your devote to research versus clinical practice? If you
career. Sending a copy of your newly-updated CV are rarely in the clinic, how will you make the time
to these individuals will help them remember your to keep your clinical credentials (licenses, etc.) up
experiences and goals and will show them the to date?
progress you have made. This will help them write Is the timing right? Have you finished what you
their strongest letters of recommendation with hoped to accomplish in your training? Are you ready
scientific specifics, rather than just statements to succeed at the job you are considering?
about their own relationships with you and your
good character.

In some cases, one has to start with
whatever is available so as to be able to feed
your family or to look after your parents. As
long as you are passionate about science and
have your goals clear, you will eventually find

”
your way back to science.

Abdoulaye Djimdé, Mali


LEARNING WHAT JOBS ARE AVAILABLE
Often, we ‘create’ our job by what we bring
Reliable formal and informal sources of information to the opportunity, including our perspective
to find out about available jobs include: of the position and setting. Where some see

”
Informal discussions with current and former problems, others perceive opportunity.
colleagues—for example, the supervisor of your
current training, other scientists with whom you Nancy Gore Saravia, Colombia
have a relationship (especially those with whom
you have collaborated), teachers from your under-
graduate education, government officials and civil
Public-Private Partnerships (PPPs), and other
servants you may know, and your peers. If you
wide-reaching international organizations.
are doing part of your training in a different country
from where you will seek permanent employment, Web sites of academic institutions, particularly
it is critically important to keep in contact with university Web sites, and of research institutes,
a broad array of people back home, not just family as well the ministry of education or equivalent
and your closest friends, so that you can find out government body in your country.
about job opportunities or changes to a position
Employment bulletins published by professional
you have been promised in advance.
associations.
Job announcement letters sent to your department
List serves for researchers, including technical
or your professional society.
ones focused on your scientific interests and
Announcements (print and online) in major those of multinational organizations such as the
scientific journals such as Cell, Science, and Nature World Health Organization.
and in publications devoted to your subspecialty.
Major radio stations and selected newspapers
Advertisements in local scientific and medical (announcing jobs this way is a legal requirement
journals. in some countries).
Advertisements in national and regional
newspapers and international magazines. The NARROWING YOUR SEARCH
Economist frequently carries advertisements for
jobs (mostly not research-oriented but requiring Job offers in your country may be scarce. If so,
scientific knowledge) at Non-Governmental you should consider every opportunity that is at
Organizations (NGOs), Quasi-Autonomous the appropriate level and involves the kind of work
Non-Government Organizations (QANGOs), you would like to do. But many readers will be able

A FEW CAREER-RELATED WEB SITES FOR SCIENTISTS

Nature magazine’s Nature Jobs (http://naturejobs.nature.com) Web site advertises jobs around the
world and has a useful feature for focusing on jobs in your region of interest.
Science magazine’s ScienceCareers.org Web site (http://sciencecareers.sciencemag.org/) contains
a career development resource for postdocs and beginning faculty. This site is primarily focused on
American scientists, with some European content, but some of the advice will apply to scientists in
other countries.
While jobs advertised on these sites and in these magazines are mostly in countries with larger
research economies, both magazines take an international view and are adding new content and new
job opportunities from additional countries as time goes by.


QUESTION
q&a
What Is a “Tenure-Track” Job?

ANSWER
In Nature, Science, and frequently in career discussions you will encounter the term “tenure-track.” In
some countries, a faculty member hired in a tenure-track position will work for several years before a formal
decision is made on whether tenure—something approximating lifetime job security—will be granted. If
tenure is not granted, the investigator is typically asked to leave so that someone else can fill the tenure-
track spot. In most institutions that use this system, a tenured professor cannot be fired, except for certain
limited causes such as gross misconduct or neglect of duty. However, gaining tenure is not an easy way to
convert one’s job into a sinecure. At many tenure-granting institutions, chronically unproductive faculty will
lose their research space and much of their salary support until not much more than the professorial title
remains.

Some career opportunities and funding programs require that an investigator have a “tenure-track” or
equivalent position. That is because such a position is expected to include dedicated research space,
intellectual independence (meaning that you are the driver of your own research program), and—perhaps
most importantly—your institution’s clear statement that it is committed to your long-term career success
and that you are part of the institution’s plans for its own future. The important thing about a tenure-track
position is not that someone has offered you a job for life, but rather that your position and your institution’s
commitment to you are stable enough for you to be a researcher not only today but also far into the future.
Letters of nomination or recommendation from your institution should highlight this long-term commitment
to your research, in addition to commenting on your science and the personal qualities that make you an
excellent scientist, if your position has a similar level of stability.

In some places, a model much like that of the French system INSERM prevails—investigators who become
part of the government-sponsored research system are very secure. Some government institutions will hire
researchers for a short probationary period during which they must show they will do well in the job, and
then will move them into a permanent and very secure position.

to find several job offerings that fit well and should
be considered. Once you have a list of possible I know of no positions (with one exception)
job opportunities, compare the advantages and in Argentina that have been advertised. In
disadvantages of the various jobs against your list Argentina it is mostly the other way around,
of priorities. Find out about: with some minor exceptions—it is not the
institutions that go looking for applicants, but
The parameters and expectations of the position.
former students that want to come back and
The department’s reputation, mission, research knock at the door of every institution looking

”
activities, curriculum, and collegial atmosphere. for some lab space.

The institution’s quality, mission, values, and
political and social climate. Belen Elgoyhen,Argentina

There is no easy way to determine how many
positions you should apply for. If you work in a
place where there are many jobs open at the


same time, or are considering jobs in more than explanation that you were unaware of the position
one country or region, you may put in several job before the deadline. Many institutions are willing
applications at once. That may seem unnecessary, to consider late applications, and most will be
but remember that job hunting has valuable delighted to see your application if you are
spin-offs. For example, if more than one place is particularly well-suited for the position available.
interested in you, you may get more chances to
Putting Together Your CV. Most job applications
make presentations about your work. Your ideas
require you to submit a CV along with your applica-
are sharpened by organizing your thoughts and
tion. Typically, this career summary should contain:
making presentations, and your research itself will
benefit from this outwardly directed thinking.When Your name, address, and telephone number.
you pull together your work for presentation, you
All higher education, with degrees obtained
are practicing skills you will use throughout your
and dates.
career. You also get better at all parts of the pro-
cess as you go along. Your self-confidence builds, All professional positions held, with dates and
and your sense of what you want develops as you brief descriptions of the work performed.
are introduced to various research environments. Awards and honors, including pre- and
However, unless jobs are extremely scarce in the postdoctoral fellowships.
place where you most want to work, do not apply Membership in national, regional, and
for a scientific job for which you are clearly not international scientific and professional societies.
qualified, whether it is beyond your current experi-
ence level or far below it. Nor should you pursue Major sources of independent funding.
employment that really does not interest you. You Publications, including major reviews.
do not want to waste people’s time and perhaps
damage your own credibility. Teaching experience, awards, and interests.

References, including names, titles, addresses,
and other contact information.
THE JOB APPLICATION
Invited keynote speeches and presentations.
How you go about applying for a job varies from
place to place and from institution to institution. Major research projects undertaken.
Talk to those who trained you and to colleagues Main responsibilities held in work-related
to find out about the culture at the institutions you committees.
would like to approach and what you will need to
do to put in a successful application. This section In some countries, it is accepted that you will
provides some general guidelines, with specific provide personal details such as your marital
examples from various individuals. status, number of children, or general health, but
in others this practice will seem peculiar and may
cause your application to be viewed less seriously
MAKING A GOOD FIRST IMPRESSION than those that conform to a less personal
Regardless of the type of application process, standard. Ask friends and colleagues who have
follow the application instructions or expected positions like the job you hope to get if they will
protocol carefully. Make sure your materials are look at your CV and tell you if there is anything
free of factual, grammatical, and spelling errors. more that should be included or anything that
You do not want to be eliminated at the outset— should be removed.
a sloppily-prepared document makes a bad
Highlight your name in bold type in your publica-
impression.
tions list so that it will be easy to see where you
If there is a deadline, be sure to get your applica- fell among the authors. List manuscripts in
tion in on time. But if you learn about the position preparation as a separate category. Do not list
after the application deadline has passed, go every paper you can conceive of writing in the next
ahead and send in your application with an year. Include only papers that you are seriously


preparing for immediate submission, or you may A short bibliography backing your research plan.
be seen as dishonestly padding your CV rather than It should include your publications and manuscripts
as someone who has many irons in the fire. Be submitted or in press, as well as pertinent
prepared for requests for copies of manuscripts that publications by others.
you have described as in preparation or submitted.
Your research proposal should accomplish one
The Research Proposal. Some applications will goal: to spell out what you realistically hope to
require you to provide a description of your accomplish in the next few years as an employee
research plans. This research proposal may be of the organization to which you are applying. If
reviewed by a committee composed of people your plans are too grandiose, you may undermine
from scientific areas outside your subspecialty. your case by showing that you are not a realist.
For this reason, make sure that your proposal (Worse, you might land the job and then be
is clearly written and that it provides sufficient expected to live up to your unrealistic plans!)
background for non-specialists to understand the If your plans are not big enough, however, you
importance of the work. may appear to misunderstand the position or lack
Follow any guidelines given when writing your ambition. This, then, is another document where
research proposals. Here are some suggested insight from others who have landed similar jobs in
items you might include: the same or similar institutions will be extremely
valuable.
A title that succinctly describes the nature of
your proposal. Reprints. Follow instructions given for each
application. Send along any important papers that
A statement about the problem you intend to work
are not yet published.
on, indicating the key unanswered questions you
will tackle. State how this research is expected to Statement of Teaching. If the job has a teaching
contribute to other research in your general area component, you may be asked to include a
of scientific interest, and if appropriate to the separate section describing how you look at
proposal, how it may contribute to policy formula- teaching, your instructional style, and any teaching
tion or informed decision-making. experience you may have already had. This topic
will be discussed further in chapter 8.
A description of your research plans. This section
should comprise 50-70% of the proposal. Put Letters of Recommendation. Depending on the
forward three or four specific aims that address application instructions, letters of recommendation
a range of fundamental questions within your can be included by you in the application package or
discipline. Demonstrate that you have the neces- submitted later without passing through your
sary background to achieve what you propose. hands. Typically, these letters are written by your
Be both creative and realistic. former supervisors. It also may be acceptable
to submit one or two more references than the
A few comprehensive figures. These can help
make your proposal more interesting to read.
number asked for in the application. If possible,
Remember, figures are most useful when they you should check in with the organization to which
are included in the text, as they would be in a you are applying about this. Again, it is usually not
published paper, and not tacked on at the end, as appropriate to go overboard. Sending 12 references
they usually are when you are submitting a paper when three are requested would be viewed by
for publication. many employers as a sign that you are insecure or
grandiose, but some might view it as a sign that you
A detailed description of the research you conduct- are well-connected. It is in your best interest to find
ed as part of your training, with an emphasis on out which is more likely to be true at the institution
what is novel, useful, and important and how it is you are interested in joining. Checking in directly
the basis for your research proposal. You may with the office of the person who is hiring is one
want to make clear that the work you are taking way to make sure that you do not send the wrong
with you will not be in direct competition with your message.
former supervisor, especially if you work in the
same country.


When you approach someone other than an In most cases, your recommenders will write the
advisor for a letter of recommendation, use the letters themselves and will not let you see them.
conversation as an opportunity to get a sense of When you deliver or send them your CV, point
how they judge your work. If you encounter any out any strengths you have that they may not be
hesitation at all, or an indication that the person fully aware of. But be careful—you do not want
does not have time to write a letter or does not to appear to be dictating your letter to them, and
know you well enough to do so, ask others. In things you say that are meant to turn any negative
most cases it is better to ask someone who really impressions of you around could backfire.
knows you and your work—not just someone with
If you are able to, provide your recommenders
an important title.
with stamped, addressed envelopes ready to
Give those who are writing you letters of recom- accept letters and be sent, or, if letters are to be
mendation plenty of time to prepare the letters. sent electronically, provide the complete URL or
When possible, give them your application pack- email address for submission. You want to lower
age, any advertisements or job announcements the barriers to them sending the letters, or else
to which you may be responding, and your most they may procrastinate. It is better to buy the
up-to-date CV. It is important that your more stamps yourself rather than have the letter lan-
recent accomplishments are on their minds, not guish simply because this important person was
just things you may have done years ago. If you unable to find time to go to the post office. Tell
find the process narcissistic or are uncomfortable them when each letter to each of your potential
with the self-promotion involved, don’t worry— employers will be needed, and then remind them
many people feel the same way. But what you until they send your letters. Check in with the
are trying to do is to put on paper the facts that office that is hiring to verify that each letter has
will make employers want to have a look at you. been received. If the people who are writing your
These letters may be the key to convincing a reference letters are established scientists with a
potential employer to consider you for the job. secretary or aide, you may want to enlist the help
You need them to be as strong, current, and of that assistant to be sure the letters are sent in
laudatory as they can honestly be. Your future on time.
depends on them.
Unless a job application specifically asks for
In some places, it is not uncommon (but certainly electronic submissions only, a paper letter on the
not common) for people to ask you to prepare a writer’s letterhead stationery should be sent, even
draft of the letter of recommendation for them. if an electronic version has also been forwarded.
They do this so that you can highlight points that
will strengthen your application—if you are ap-
plying on the strength of your experience with a THE JOB INTERVIEW
particular technique, for example, the letter might
Depending on the process for obtaining a job
spend a paragraph focusing on your mastery of
in your country, a formal job interview may be
the technique, in addition to paragraphs comment-
required. It might last a short time, or it could
ing on the bigger picture of your science, on your
involve a day long or over night visit to the
character, and on your standing compared with
institution. It may be conducted by a single
your peers. If an advisor asks you to draft a letter,
person or a committee. Or you might be asked
it is fair for you to ask him or her to give you some
to meet directly with the hiring official at a local
examples of other letters, so that you can get the
or international meeting and not be brought on
format and tone correct, and for you to ask others
site at all. The interview could also be conducted
in your lab to help you craft the best letter you
in stages, with some applicants being eliminated
can. Be aware that although someone may have
at each step. The institution inviting you for an
described this as a “draft,” he or she may sign
interview may or may not pay your expenses for
it and send it without adding more comments or
travel and accommodations. You might meet with
editing it, so check it very carefully before you
several senior members of the institution, either
declare it complete.


QUESTION
q&a
What if I do not get along with my former or current supervisor?

ANSWER
If you do not have a good relationship with your supervisor and cannot ask for a letter of recommendation,
sometimes it is best to explain why in your cover letter. Be completely candid about the situation. Not
having a recommendation from the very person who trained you and supervised your work can be a very
significant red flag. Sometimes if you have a good relationship with the top person at your institution or
department, you can ask that person to take on the task of helping you advance to your next position. This
may be effective in allowing you to get past conflicts with your problematic supervisor. But remember
that your publication record may make it obvious that you are not asking the person with whom you worked
most closely to give you a recommendation. Despite your insertion of a higher official into the process,
those in charge of reviewing applications may contact your immediate supervisor anyway.

Think and act carefully in this situation, but do not become too paranoid—a soured relationship with a past
boss can be inconvenient, particularly in the small world of research, but conflicts are bad for both parties
involved, and hounding you forever would probably be a negative career move for your former supervisor.
When important people are consistently bad bosses to those they train, word gets around. You should
resist the urge to complain or badmouth your nemesis, and should not be surprised if a few years later
others turn out to know of the grace with which you handled this difficult situation.

In the meantime, a letter from another scientist at your supervisor’s level at your institution who can com-
ment on your intellect and hard work and perhaps make a comment on the difficult relationship between
you and your supervisor may be critical in this case. Often, the frictions that arise between people can be
put in a light that reflects positively on you and your supervisor—for example, if your interests in basic sci-
ence grew to conflict with your supervisor’s need to use you in an administrative or bureaucratic role, then
neither of you were “bad people,” the job was simply not a good fit. It is obvious how and why some bad
feeling might come along. People do understand that sometimes the fit between individuals’ personalities
or between a scientist and a particular job is just not right, and will not always judge you harshly for it.

during the first or subsequent interviews, and they Find out as much as you can that will help you
may be asked to provide feedback about you to decide if the institution, the working group, and
the person or committee doing the hiring. You may the job are right for you.
also be asked to give one or more talks about your
Convince the interview panel that your competen-
research. No matter what the format of the job
cies and expertise will complement and strengthen
interview is, it will be your task to:
those of the research group and add value to
Convince those listening that your work is exciting existing research activity.
and that you will be a leader in your field.
Regardless of how the particular process works,
Convince each person you talk with that you will be prepared for a demanding and exhausting
be a good colleague. experience. Get enough rest beforehand so that
you will be at your best.


ADVANCE PREPARATION PREPARING YOUR JOB TALK
Be well-prepared by doing the following before During an interview visit, you may be asked to give
your visit: a formal presentation on your current research.
At many institutions this kind of talk lasts about
Organize the logistics of your trip, including travel
an hour, including 10-15 minutes for questions.
tickets, hotel accommodations, arrangements for
You have probably given a long talk before, and
pick-up, and the schedule of events on interview
you know what works for you, but here are a few
day. Be conservative about your estimates of travel
guidelines on how to prepare your talk:
time—you do not need the added stress of miss-
ing a connection and being late. If you will have ac- First, write out the entire talk, thinking of your
cess to email or cell phone communication during audience as you write. Remember, a talk is not
your trip, exchange addresses or phone numbers presented in the same way as a scientific paper.
with the person who organized your interview so You must get your main ideas across to listeners
that you can alert each other if there are problems who have had little opportunity to study the details,
during your travel or any changes in plans. Do not as well as to those whose research interests and
make assumptions about arrangements being backgrounds are very different from yours. Assume
made for you—get the details beforehand. Find that your audience will be composed of intelligent
out whether you will be given accommodations people who are uninformed about your chosen
while you are on site, particularly if you are flying in scientific field. To help your audience follow
before the day of your interview. It may be that ac- your talk, divide it into several clear and concise
commodations will not be provided. Knowing this sections, and give an overview of the talk at the
before you arrive, so that you can make your own beginning. At the end, restate your conclusions
arrangements, will save you plenty of confusion and offer an outline of your future research plans.
and trouble later. At the outset or at the conclusion of your talk,
If you will be meeting other scientists, find out include a brief statement acknowledging those
about their scientific interests ahead of time. Read who helped you in your research.
a few of their papers or at least skim the abstracts. Next, translate what you have written into the
Be ready to ask them about their work.
pictures and “major points” summaries of a slide
Learn as much as possible about the institution presentation. Most researchers use PowerPoint
and its mission. You want to make sure your presentations to deliver their talks. If you use
ambitions are in line with those of the institution. computer slides, bring along a sturdy backup, for
example a CD or flash drive with your talk, as well
as a less technology-dependent backup like acetate
DRESS CODE slides that go on overhead projectors. Be sure to
Dress neatly and in keeping with scientific custom ask your hosts ahead of time about the type of
as you know it. If you have trained abroad, talk to equipment that will be available to you and plan
colleagues who are local to the institution where accordingly. Try to vary the design of your slides,
you are interviewing to make sure you understand balancing the use of text and figures. Resist the
the dress code. A simple suit—jacket, button- temptation to use only bulleted points, but also
down shirt, tie for men, and matching trousers or avoid long sentences. Many people who are
skirt—may be the best approach. If you end up nervous about public speaking will place every
being over-dressed, the jacket and tie can be taken word that they plan to say on their slides. That
off for a less formal look. Think through what you does not make a very good slide show! Keep the
will do if your luggage is lost on the way. It is text on your slides brief and to the point. Refer to
advisable to carry an extra shirt, underclothes, and the text as you speak, but do not just read it—
light toiletries in your hand luggage, just in case elaborate on it. That will lead your audience to be
your baggage goes missing. comfortably attentive to both your text and your
remarks. Be sure that your slides are readable
from the back of a lecture room and that the order
of your slides matches your written presentation.


it comfortably within the time allowed. Remember
During an interview, in some cultures it is that a talk that is slightly too short is much better
suggested to be very polite, never make than one that is too long. It may be better to focus
eye contact with interviewers, and to avoid on only one aspect of your research, so that you
speaking about oneself (e.g. describing your can give sufficient detail within the time you have,
strengths in overt terms). Specifically, females saving the rest for the question-and-answer session.
are encouraged to avoid eye contact with male
interviewers. When interviewing with a person When you feel comfortable giving your talk, enlist
with a foreign/international background, these your supervisor, your colleagues, scientifically
principles may be viewed as major weak- trained friends and any students you work with
nesses, and thus reduce your chances of as an audience for a “dress rehearsal” practice
getting hired. It is important to find out the talk. If you will be using a laser pointer when you
background of the interviewer and adjust one’s give your interview talk, practice with one, as the

”
behavior accordingly. jumpiness of the laser spot can be a distraction for
the audience if the speaker is not used to handling
the pointer. Encourage the group to ask questions
and offer frank criticism of your work, your man-
ner of speaking, your gestures and any annoying
A few back-up slides of new work or additional speech or gesture habits that distract from your
experiments may occasionally add value to any talk, and your professional appearance. (Especially
discussion arising from your presentation. if you are a very sensitive person, it is good to start
by reminding your helpful crowd you are looking for
View your slides projected in a lighted room, if insights that will let you quickly improve the talk,
possible. Many images look fine on a computer not for thorough dissection of your work, personal-
screen but work poorly when projected. In particu- ity, and appearance.) This is a useful exercise as
lar, avoid using light-colored text on light-colored it may help prepare you to respond to comments,
backgrounds or dark text on dark backgrounds. including difficult and unanticipated questions.
Finally, practice your talk in front of a mirror. Doing Ask the group for suggestions for improving your
so allows you to time your presentation while PowerPoint slides. Make sure that you start prepar-
getting used to the sound of your own voice. Keep ing your talk well before the day you will have to
repeating the talk until you can deliver it easily, leave and that you ask for comments early enough
using your slides as your only memory aid. If to leave time for editing your slides and your talk to
necessary, edit the talk down until you can deliver incorporate with any good advice you receive.

INTERVIEWING IN A GLOBAL CONTEXT

When NGOs and multinational organizations recruit, they will frequently meet with researchers in
the South, but bring with them assumptions and expectations that come from institutional cultures
in Geneva, New York, Paris, London, or elsewhere. The dress code, how to interact with the organiza-
tion’s staff during the process, how forward or aggressive to be during the interview, and even how
much to pursue eye contact may be different from what is right for institutions in your country.
Eye contact, in particular, is difficult to gauge. In many (but not all) Northern cultures, briefly dropping
and then re-establishing eye contact on encountering a person in a position of power is a respectful
sign, but keeping them dropped is viewed as unconfident or dishonest. In most places, whether North
or South, gaining, pursuing, and holding eye contact too much is interpreted as aggressive. Finding
opportunities to talk informally with people from the countries frequently represented will give you a
chance to experiment with different levels of eye contact.


PRACTICING THE TALK DELIVERING THE TALK
Practice your first few sentences until you can If you can, arrive early, so that you can become
deliver them without much thought—this will help comfortable with the room and can be sure that
you dive into your speech even if you are nervous. your slides are set up and ready to go. You may
Do not memorize your whole talk and give it as a have to ask your host to get you to the room with
recitation, though—know what you plan to say, but enough time to prepare.
relax and talk with your audience rather than trying
The most nerve-wracking moments are just before
to say exactly the same words that you practiced
you begin your lecture. Focus on your breathing.
in the weeks before the talk.
Make every inhale and exhale deliberate to control
On your own, go through your talk over and over a rapid heart rate. During the talk, pause and take
again, paying attention to the words you will use a breath between transitions, just as you would if
to go through your slides. If there is a slide where you were telling a friend an exciting story.
you find yourself saying too much or going off on
Greet your audience and tell them you are glad
tangents, work particularly hard on moving crisply
to be with them. Make eye contact with a few
through the data.
audience members who seem eager to hear what
Feeling balanced is important to your self- you have to say. Then plunge in.
confidence. Plant your feet firmly on the floor.
Let it show that you are excited about your work
Break habits such as rocking from foot to foot
and the chance of perhaps landing a job working
or pacing.
with the people in front of you.
Make sure you speak clearly and loud enough for
Do not worry if some people close their eyes or
all in the room to hear.
seem uninterested. Continue to give your talk
Practice what you will do with your hands so that as you practiced it, making eye contact with those
you can break fidgeting habits or the urge to put who are listening closely, even if those who
them in your pockets. A computer mouse and a remain engaged are the students, not the leaders.
pointer may be enough to keep you from fidget-
ing—but be careful not to play with either of them.
ANSWERING QUESTIONS
Even though you may have done all the work
Repeat the question for the audience, as it is often
presented, it is important to sound modest in your
difficult for other audience members to hear a
presentation. Begin by saying, “The work I will tell
question asked without benefit of a microphone.
you about today was carried out while I was in
Then take your time answering. If you need to, buy
the lab of X at institution Y.” Then, describe each
some more time by asking for a restatement of
research slide in terms of “we.” Be aware that
the question. In a pinch, give an interpretation of
someone may interrupt and ask, “Yes, but what of
what you think the questioner wants to know. Take
this work did you yourself do?”
a moment to think through what you want to say
Practice how you will answer questions. It is okay and then speak, formulating a beginning, middle,
to answer “I do not know” if you then offer to and end for your answer. Give your best answer
find out about any matters of fact later and follow and stop. Rambling on only conveys uncertainty.
up with the questioner. It is a great opportunity to
If questions are slow in coming, take the initiative
make contact with faculty after the interview.
by pointing out some aspect of your work that you
If you feel you will be very close to your time limit, passed over quickly but that you believe warrants
practice deferring questions to the end of the the audience’s attention. This gives you a chance
session so that you are not derailed by questions to use some of the material you edited out of your
that come up during the talk. talk. You may generate a whole new line of ques-
tioning. In case you need to go back through your
slides to a particular one in order to clarify a point,
arrange to have your slides accessible during the
discussion period.


If challenged, listen to the criticism and give a Expect to be interrupted. This kind of talk is a
judicious response. Do not become defensive. chance to show that you can think on your feet,
Questions are more often asked because the that you respect others, and that you will be an
questioner does not understand something than interactive research colleague. Even if you feel
because he or she is trying to make a fool of the pressured, do your best to keep things friendly
speaker. Give the other person the benefit of the and to keep any disagreements light. Saying “You
doubt. If the criticism seems unfair or there is may be right, I may be right—what is the best
a disagreement about a matter of fact, stand experiment for settling the matter?” is a good
your ground politely. You might suggest a follow- way to turn a disagreement back to the questioner
up discussion later. Even if the person is being and to the audience.
quite aggressive, you can still try to end the back-
and-forth by suggesting that you agree to disagree Meeting Potential Colleagues. If part of the
until you can talk later and find out where you are interview process will include one-on-one conver-
misunderstanding one another. sations with other researchers who will be at or
near your level, it is important to show interest in
their work and ask lots of questions. Remember
GIVING AN INFORMAL TALK that these potential colleagues are looking for
When you visit a potential employer, you may someone who will benefit their own work, as well
also have an opportunity to give a less formal as someone who is a good scientist, and often as
presentation during which you can offer detailed someone who will be pleasant to have as a neigh-
information about the direction of your future bor down the hall. You may be taken out to dinner
research. Ask before the interview how long you by some of the faculty. This is a chance for them
should talk and make sure that in fact the more to evaluate you as a future colleague and for you
formal seminar is not expected. to determine whether you would enjoy working
with them. Be yourself during these events, but
For an informal talk, give a brief overview of your also be appropriately respectful and deferential to
research agenda (which you may have included your would-be colleagues.
in your job application as a research proposal).
Include in this talk both your short- and long-term Depending on where you are applying, you may
objectives—both the purpose of the work you are also have a chance to meet students or other
talking about and what you would like to accom- trainees working there.
plish during your career. For example, you may be
working on a very detailed signaling pathway, but CONCLUDING YOUR VISIT
this work is a small part in your greater interest in
how one microbe causes disease. Understanding Typically, your visit will conclude with a conversa-
a tiny phosphorylation event may seem esoteric; tion with the head of the institute or department
putting it in the context of your long-term interest to which you are applying or with the committee
in Dengue fever helps even the least trained person in charge of hiring. Once the visit is over, it may
in the room understand why you are doing the work. be time to wait patiently, because the institution
may be interviewing other candidates. In the
Once you have established a sense of perspective, meantime, it is customary in many places that
state several specific problems you want to work as soon as you return home you write a formal
on in the next few years, and explain in detail how letter addressed to the individuals you met during
you plan to proceed. Be prepared to write on a your visit, thanking everyone for their hospitality
white board and bring along an overhead projector and reiterating your interest in the position. Even
sheet or two of preliminary data that will demon- if that is not the expected protocol in the place
strate the feasibility of your plan. Show that you you are looking for a job, few individuals are
are familiar with the details of any new techniques mortified to receive a formal note of thanks and
you may need to master. Be sure to convey to your you have little to lose by sending one. If during
audience why the work is important and how your
work can make a difference to your field.


your one-on-one interviews you have promised to EVALUATING THE OFFER
share data or more information, be sure to follow
up on your commitment quickly. If being “Johnny- If you are offered a position, you will need to find
on-the-spot”—very quick and eager to serve any out as much as possible about the job and the
request—is out of place in the culture in which resources that will be made available to you if
you will work, still follow up quickly but perhaps you accept it. If you are not satisfied with some
note that the fast follow-up is a sign of your aspects of the offer, try to negotiate better terms,
enthusiasm for the question, not a rush to move if you can (this is not possible at all institutions).
things along more quickly. You will have to do the following:

Be sure to inform those who have interviewed you Learn the details of the offer.
if you decide to take another job or if for some other Re-read the list of priorities you made at the outset
reason you decide to withdraw your candidacy. of your search to evaluate how the job stacks up
They may remember you negatively if you give against that list. Is this the job that will work for
them an unpleasant surprise by not revealing your you and for your family?
plans until after they have made an offer to you.
Calculate precisely what you need in salary and
other benefits to determine whether the offer
NEGOTIATING YOUR POSITION measures up. For example, can you afford to live
in the community on the salary offered? Think
Once the head of the institute or of the department about your family’s expenses and other financial
where you applied has given you a tentative offer, factors that will be important to you in the long run.
or at least let you know that you are the top
Does the institution provide help in finding or
candidate, you are in a position of maximum
paying for housing, fees for children, and, if
strength for asking for what you need to do your
necessary, transportation expenses related to the
job well, both in terms of your salary and technical
job? Benefits such as these can be negotiated
resources. In some places it is expected that you
in some institutions, but not others. In some
may be able to negotiate some aspects of the job,
countries, the idea of asking your institution for
while in other places it is expected that you will
help with any of these things would be absurd,
take what is offered. Find out ahead of time what while in others several of them are typically part
the custom is for the position for which you are of what is available.
applying. The best way is to ask people in similar
positions in the same area about their own experi- Enumerate in detail the other resources—
ences with starting a new position. especially equipment not currently on site or
opportunities to travel to places where the proper
In some places, there will be very little room for equipment is available—that you believe you
negotiation in salary, and there may be no money need to succeed in the scientific work you have
available for start-up support. You may be given the planned. Decide what is absolutely necessary and
only space that is available, or there may be some what you can live without. In some cases, it may
room for negotiating about where your lab will be. be satisfactory for the department to guarantee
You should gather information beforehand to better you access to shared equipment, rather than
understand what is likely to be negotiable. Even buying you your own.
when all of the practical details are pre-determined,
you may be able to negotiate for more indepen- Make your wishes known to the institution’s
dence, or to cluster your responsibilities in ways representatives, and engage them in the process
that leave you more time for research. No matter of negotiating with you. Even in situations where
where you go, talking with senior scientists who salary and other personal factors are not nego-
are familiar with the institution may help you learn tiable, it is important to clearly indicate any
resources without which you will not be able to
where flexibility is available and how to ask for it.
do your work, and discuss what will be done to
make sure you have access to them.


QUESTION
q&a
How do I distinguish myself from the lab that I trained in if I want to continue in
the same research area?

ANSWER
Get a letter from your mentor explaining that he or she is pleased to know that you will be continuing to
work on project X, which he or she will not pursue. Have this discussion with your mentor before you start
to write the grant application.

As much as possible, get everything spelled out You may need to do some homework to rule out
in writing—it helps both you and your employer to problems that may not have been revealed during
be clear on what is promised and expected from your discussions with people at the institution
both sides. This is true even if you are getting where you have received an offer. For example, it
“the standard package” and no negotiations will would be helpful to know if the working group has
take place. experienced internal personal conflicts recently, if
the organization has financial problems, if the head
For physicians in clinical departments, job discus-
sions should indicate the extent of clinical duties
is retiring or stepping down soon, whether key
and clinical support, time to be spent at outlying leadership or staff members are about to leave
clinics, and so on. or retire, and the rate of staff turnover, including
what levels of staff leave most frequently and
Ask for a copy of a manual that spells out the why. You also want to know whether people who
institution’s or department’s policies for its staff, if have worked in the institution and department
such a document exists. If it does not, make sure have been happy, well-supported, and successful.
you know who you will need to see, what forms Use the grapevine—talk to people you met during
you will need to fill out, etc., to get yourself situ- your interview visit, and talk with others recently
ated at the institution. Often finding someone affiliated with your potential department and
who is willing to act as a “big brother” or “big institution. Be discreet, but be straightforward.
sister” as you settle in is the most useful way to You do not want to be surprised, especially if there
go about learning the written and unwritten rules are issues that are not “deal breakers” but would
of your new institution, as well as important be better dealt with before you arrive.
secrets like where to find the good coffee or who
to call when the power goes out. When you are contacted with an offer, you might
be asked for a second interview. This time, you
It may be that your job is very large. For example, will be able to ask more detailed questions about
you may be hired to be the person for an important
the position. Talk with key people in your prospec-
disease in your country. Even in cases like that,
tive department, and have a preliminary look at
you will need resources well beyond your job title
available housing. A second interview visit is an
to get your work done. It may be easier to discuss
excellent time to start the discussion about
those resources before you agree to take the job
what you will need in terms of laboratory space,
than it will ever be after you have done so.
materials and equipment, and staff.


Are you responsible for obtaining money for your
If talking directly about money is not salary through grants, or will your institution
socially acceptable in a given place, what provide it?
kind of conversation could yield some
If your institution provides it, what is the amount
general numbers without showing your
of your base pay (this may determine future raises)
hand or asking someone else to?
and is that base pay tied to a particular grant or
You can engage in a conversation with human other funding source that may expire?
resource personnel in a relaxed environment
(away from the work environment) where Can the salary be negotiated or is it a set amount
you can talk about your vision of the research for the type of position you are being offered?
group that you will be leading. This group will What benefits come with the position?
be in various grades and will also have differ-
ent career advancement requirements as well Can you supplement your salary from other
as salary scales. On the pretext of this line sources, for example by consulting or teaching or
of discussion try to find out (how advance- working in an unrelated job?
ment works) and where you want to be in the
What are your institution’s policies on outside
next five years.Also try to get the associated
advancement grades and some salary scales.
consulting, including how much consulting is
In so doing you may be able to estimate the permitted, what approvals are required, and what
salaries of those that are above you and thus limitations apply? Are there outside opportunities
compare with your own salary. It is much that are explicitly not allowed?
easier to find out what salaries those you
Salary. If your salary is negotiable, you should

”
supervise earn than those who supervise you.
seek out sources of information you can use to
evaluate your initial offer. Salaries differ not only
Susan Mutambu, Zimbabwe from country to country, but even within the
same country they can vary widely depending on
degree, geographical location, type of institution
(public vs. private, research institute vs. university
WHAT YOU NEED TO FIND OUT vs. hospital), and scientific discipline. To evaluate
Here are some of the details you will need to the salary offered, you need comparative informa-
ask about. tion on starting faculty salaries at the institution
offering you the job and in your field elsewhere,
The Appointment. You need to know the following: as well as on costs of living.
What your job title implies about your independence Salary numbers are confidential in many institu-
and authority, length of your expected relationship tions, but it can be useful to draw on friends and
with the place where you are working, and expec- colleagues to at least get an idea of the appropriate
tations about your role(s) within the organization. range.
The length of your initial term of employment. Research Money and Facilities. In some
The terms under which the organization’s commit- countries, an institution is expected to provide an
ment to you will be renewed or not renewed. investigator who is just starting his or her own
lab with some money for hiring workers and for
The Salary. You need to pin down the following: buying supplies and other resources such as office
and lab space, equipment, computers and soft-
Is the salary guaranteed, and if so, for how long?
ware, a technician and other support staff, help
In other words, you need to know whether part
in obtaining grants, and support for travel to con-
of your salary and other support must eventually
be obtained from other sources.
ferences and meetings. This kind of institutional
support may be ongoing, or it may be available
only for a pre-determined period of time, after
which the head of the lab is expected to obtain
funds through other sources, such as grants.


If you are to set up a new laboratory yourself, it is
useful to inquire about how to get such resources The pool of jobs is limited in our clinical
at the institution. You may inherit them or be setting, which does compromise one’s ability
expected to share them with others in the research to negotiate. Secondly, for active clinicians,
group. However, if it works at your organization, posts are mainly clinical. Research is seen as
it is good to ask up front about the resources you a secondary activity which does limit time
need so that you can plan appropriately. You do allocated to research and the ability to negoti-
not want to later find out that your assumptions do ate for protected research time. Fortunately,
the status quo is changing. Government has
not match those of the person or people who have
begun to increase research funding through
hired you.
the National Research Foundation and the

”
Service within the Institution. Ask whether you Medical Research Council.
will be expected to serve on committees within
the institution and about other projects you will
Brian Eley, South Africa
be expected to become involved with, in addition
to doing your research. Early on, try to establish an
understanding and agreement with your superiors
about how your time will be divided between your
research project and other tasks. Jobs are far too scarce! One has to find
something, anything, and then negotiate as

”
Teaching Responsibilities. If your job will be time goes by and you climb the ladder.
attached to a university, you should know that
although it is rewarding, teaching can be the most
time-consuming activity for new faculty. You will
want a clear statement about the following:
Your teaching load (the number of subjects and
classes each term, typical enrollments, and levels
Negotiation is not so common with government
and types of students). positions, but this can be done in cases of
Expectations about teaching-related tasks such consultancies. One can negotiate their salary
as running student laboratories and administering and the rest of the package (transport, housing
and grading student examinations, students’ allowances, work terms) in some parastatals

”
accessibility to you during non-lecture times, and (state-run companies) and the private sector.
advising students on their university curriculum and
their careers. Susan Mutambu, Zimbabwe
Whether you are expected to draw students into
your research work and direct their thesis projects.
GETTING WHAT YOU NEED AND WANT
Protecting Research Time. If you are a physician
who is seeing patients and doing research, or if you How to Negotiate. If in your institution you can
are a government scientist or public health official negotiate some of the aspects of your job (such
who has administrative tasks and is doing research, as the salary, money for research, or other duties
you will need to clarify as much as possible how you will need to perform), present your requests
much time you will spend in each of your roles. clearly. Take some time to make a list of what you
You need to know what is expected when your really need, and think about how to explain those
other responsibilities call you away from your needs to the person in charge of hiring you.
research. If you do not get a clear understanding Be reasonable with your requests, but do be sure
of these issues before you start your new job, you that you maximize your opportunities to do the
may become overwhelmed when opportunities or research you hope to do.
crises put your various roles into conflict.


When the institution responds and you begin to Whether you should play the institutions against
discuss the terms of your employment, be prepared one another to obtain a better offer varies from
to make trade-offs. For example, if you are asking place to place. Talk confidentially to some very
for a piece of equipment, indicate that you would trusted advisors to gauge the situation where you
be willing to share it with other faculty and how it want to work.
would benefit the rest of the department. Knowing
If you need to delay making a decision, ask for an
what is essential to you is crucial at this time. extension of the deadline if you need to. It is much
The Offer Letter. At some institutions, the fruits better to try to move a deadline than to miss one
of your negotiations should be reflected in an completely.
official letter from the institution offering you a job.
Work with the institution to craft as comprehen-
sive a letter as possible. The letter is usually your RESOURCES
contract, so take it seriously. In addition to the Davis, Martha, and Gloria Fry. Scientific Papers and
basics (e.g., title, salary, and research support), the Presentations. New York: Academic Press, 1996.
letter should detail the timing, schedule, process,
Heiberger, Mary M., and Julie M. Vick. The Academic
and requirements for your job.
Job Search Handbook. Philadelphia: University of
Even if offer letters are not usual in the institution Pennsylvania Press, 1996.
where you are accepting a job, it can be useful
Rehrig, Norita H. Six Steps to Successful Interviewing:
to write a letter to the person who is hiring you How to Build Your Reputation by Picking the Winners.
soon after you have talked about your needs. In it, Bethlehem, PA: College Placement Council, 1990.
you can restate what he or she has said regarding
Online
the particulars of the job. If presenting a list of
Austin, Jim. “You’ve Worked Hard to Get This Far.”
the particulars seems arrogant or offensive, one
ScienceCareers.org (November 22, 2002),
way to accomplish the same thing is to write a
http://sciencecareers.sciencemag.org/career_
detailed thank you letter expressing your pleasure magazine/previous_issues/articles/2002_11_22/
at accepting the job and noting the features that noDOI.15726094919902624321.
make it especially attractive.
Federation of American Societies for Experimental
Biology. Career pages, http://www.faseb.org/careers/
HANDLING MULTIPLE OFFERS careerresources.htm.

If you are offered more than one job, congratula- Golde, Chris, M. “After the Offer, Before the Deal:
tions! Multiple offers are gratifying, but they also Negotiating a First Academic Job,” Academe: Bulletin
make life complicated. The important thing is to of the American Association of University Professors,
deal honorably with all of your suitors. January/February 1999, 44–49, http://www.aaup.org/
publications/academe/1999/99jf/GOL_JF99.htm.
Be as straightforward as custom allows.
Golde, Chris, M. “Be Honorable and Strategic,”
Be prompt to decline the offers you are not ScienceCareers.org (August 24, 2001), http://scienceca-
interested in so that other candidates may be reers.sciencemag.org/career_magazine/previous_issues/
considered for the job you do not want. Keep articles/2001_08_24/noDOI.5231522495243752553.
in mind, however, that it can be risky to decline
all your other offers before you have accepted
your first choice in writing. There have been
cases when firm verbal offers have been with-
drawn because of a university-wide hiring freeze.


CHAPTER 2

ENTRY AND RE-ENTRY:
ESTABLISHING YOURSELF AS
A SCIENTIST IN A NEW JOB

“LE PRÉSENT SERAIT PLEIN DE TOUS LES AVENIRS, SI LE PASSÉ N’Y PROJETAIT
DÉJÀ UNE HISTOIRE. ”
ANDRÉ GIDE

Many scientists decide to train abroad and then very frustrated with how slowly things get done,
return to their home countries to obtain a perma- especially when stocking your laboratory with sup-
nent position. The advantage of training abroad plies and equipment for the first time. In addition,
is that you get exposure to the latest approaches the ways of judging scientific accomplishments
and ideas from the broader community. You differ between countries, so that the fact that you
will meet people with whom you will be able to published in top-tier journals while training abroad
collaborate for years to come. If you trained in a may not hold as much weight as having the right
country with many resources, you probably had connections in your home country. Also, remem-
access to state-of-the-art facilities, major scientific ber that science does not proceed at the same
publications, and conferences, and so you may pace in all countries. And even if you maintain a
have many advantages in moving your scientific high rate of work, your basic research may be
ambitions forward. slowed as you respond to your country’s or region’s
needs for practical solutions to immediate health
But at the same time, training abroad can pose
problems. Even if you are doing well, it can be
special challenges to a job search. For example,
frustrating to see those you trained with “race
you may not have maintained the necessary conn-
ahead” with their careers in a richer country when
ections to help you find a job in your homecountry.
you return to a place where doing science is more
You may also not be as familiar with the current
difficult from a practical standpoint.
system in your home country, particularly if you
left your country very early in your professional Challenges you may face include limited research
training, before you had gained a true understand- support and its attendant need for more time
ing of how and why things work in your own spent on preparing and revising budgets, reading
country’s scientific system. It may be difficult to and modifying contracts, and handling your own
adjust after working in a different system for so administrative tasks, including human resources
many years. When you return, at first you may be management and procurement of materials,

The quote above: Gide says that the present would be full of possible futures if the past hadn’t already chosen the story.

ENTRY AND RE-ENTRY: ESTABLISHING YOURSELF AS A SCIENTIST IN A NEW JOB 19

equipment and supplies. Maintenance and calibra-
tion of equipment may be sub-optimal and you Be humble and respectful: work hard on your
may find yourself handling those tasks yourself. relationship with him or her. No matter how
Exchange rate fluctuations may eat away at grants well trained you’ve come back, he or she is
from international funders. Your network of nearby better connected and will know many more
colleagues may be smaller than you have grown things that can help you readjust. It is in your

”
used to, and you may have less access to the interest to be humble and open minded.
informal transfer of knowledge that happens when
there are more scientists working closer together. Abdoulaye Djimdé, Mali

What happens if I outrank my advisor when PEOPLE YOU SHOULD
I come back?
GET TO KNOW
You must always bear in mind that outranking
As a beginning investigator, you will want to learn
your advisor will be a sore point for him or
quickly which individuals can affect your career
her in most cases, and you should handle this
situation carefully. Communication (including
progress. They may include:
in writing) in all aspects of your work copied to Heads of departments and divisions
his supervisor is very important. Your advisor
may feel outranked in terms of: Senior scientists within your own department or
division
qualifications
Senior scientists in other divisions who share your
grants sourced
research interests
technical expertise
Senior physicians (if you are a physician-scientist)
publications
It is a good idea to get acquainted with faculty in
One way to overcome this would be to tactfully your own department and in other departments
get your advisor involved in grant proposal whose research interests are complementary to
writing (if he or she is a good scientist) that
your own. You may find, for example, colleagues
will boost the overall profile of the research
with whom research collaboration is possible,
section where both of you are. This should
and/or colleagues with a good understanding of
be done in such a way that he feels that he is
any health and safety risks associated with your
truly part of the process. The advisor should
also be a part of the planning and implementing research, who can advise you about the policies of
process of your research programme. You can the university and safe procedures for controlling
also use your technical expertise to bring into research risks.
the section some funds that can be used by You should get to know administrators in your
the section as agreed upon by you and your
department or division who can help you with
supervisor. However, one should be careful
matters such as requesting maintenance, purchas-

”
not to be taken advantage of.
ing, tracking expenditures, hiring staff, and a host
of other issues you will not have time to deal with
Susan Mutambu, Zimbabwe in detail. These individuals will also be valuable
in preserving stability when inevitable changes
come, such as when the head of your department
or division retires or moves on to another position.


SUPPORT FACILITIES
In many developing countries it is possible
AND SERVICES that government policy and infrastructure to
Some universities provide considerable support regulate safety, scientific integrity and the
to aid faculty in their activities. Support services ethical conduct of research are weak, or
perhaps even non-existent. Institutionalization
include libraries and media centers, scientific or
of regulatory guidelines and policy on scientific
technical services commonly referred to as “core
integrity and the ethical conduct of research
facilities,” and administrative offices established
will often require proactivity by the scientific

”
to help faculty complete grant applications and
community.
comply with regulatory requirements. To save your
time and to be compliant with your institution’s
rules and customs, you must know what central- Nancy Gore Saravia, Colombia
ized facilities exist to support you.
If you are remaining at or returning to the place
where you trained, you are probably already Approvals for human subjects research.
familiar with the traditional campus-wide resources Requirements for carrying out studies on animals.
and some core facilities at your institution, but
may never have dealt with administrative support Requirements for using lasers or acutely toxic
services. Listed below are some issues for which chemicals, and for disposing of hazardous chemi-
you may find some administrative support at an cal or biomedical waste.
institution that has a large research operation.
If you are not at an institution that is primarily HEALTH AND SAFETY
focused on research, you may find that you need
to handle these important concerns yourself. It is important that you become familiar with the
health and safety guidelines that apply to your
research. Universities often have rules for safety,
REGULATORY COMPLIANCE but even if you are at an institution that does
There may be an office or committee at your not, you should make sure the members of your
institution to help keep track of the licenses and research group know the hazards that may be
approvals you will need to comply with govern- present in your laboratory, are trained in safe work
ment regulations for research. You may need to habits, and know how to deal with any emergency
find out about: that may arise. Your institution may have an office
to help you with this responsibility by providing
Requirements for radiation safety, if you intend to safety training programs, technical assistance,
use radioactive materials. regulatory compliance assistance, risk assess-
Requirements for the possession and use of blood- ments, and services to test the integrity of safety
borne pathogens and other infectious materials equipment, or you may have to develop these
and for recombinant DNA research. capabilities yourself.

Licenses needed for the use of proprietary
reagents and materials, drugs and approvals for
research that is specifically regulated in your
country—for example, work with certain dangerous
pathogens, recombinant technologies in organisms
that accidentally or purposely could be released
into nature, or stem cell research.


QUESTION
q&a
Is your institution ready to apply for international funding?

ANSWER
It takes some preparation to get ready for managing grants from most major funding organizations. If your
institution has not already been pursuing grants from major funders, you yourself may have to see to it that
the clerical work to get ready for funding gets done. This preparatory work is not especially difficult, but it
can be bureaucratic and time-consuming.
Most large funding organizations now or will soon require electronic submission of grant proposals.
Funders supported by governments, such as the National Institutes of Health in the U.S., may require
your institution to be registered and given an identification number, which will be used on all grant-related
communications with the agency, before you can put in a grant application.
Uploading grant applications to electronic submission systems can also be a time-consuming task. Each
piece of the grant, from the proposal itself to the budget forms, may require a separate document to be
uploaded to the funder’s online form, and others may be asked to submit electronic letters of recommen-
dation and collaboration agreements before your proposal is complete. If your internet connection is slow
or frequently interrupted, even though you begin to upload a document, it may not be properly transferred
to the funder’s computer. Incomplete grant application forms will generally be rejected by the funder’s
computer system, sometimes leaving one mystified about which of the many parts of the application has
triggered the rejection.
If your institution plans to become more involved in seeking grants, it can be very useful to have clerical
staff who can take care of background work such as registering your institution for ID numbers with various
funders and phoning or emailing funders to straighten out computer glitches. Whether you have clerical
staff to help or will be doing the submission on your own, be aware that until you have conquered these
systems’ learning curves, the process can be very slow. Begin the process as soon as you know you will
be submitting a grant to a particular agency, and begin submitting the grant several days—perhaps two
weeks—before the agency’s deadline to allow time for straightening out any problems that may arise.

GRANTS AND CONTRACTS TECHNOLOGY TRANSFER
Your institution may have individuals who can tell Some institutions have an office to manage the
you about available university financial support and patenting and licensing of any discoveries made
help you apply for it, and can provide information at the university. (See chapter 12 for a detailed
about outside funding opportunities. Some discussion of technology transfer and intellectual
institutions have complex procedures in place property.)
for submitting grants—many signatures may be
needed. You should find out what the procedure
is at your institution before you write your first
grant so that you will not run into administrative
obstacles as you race to meet a grant deadline.


PURCHASING SUPPLIES
One of the lessons I have learned as a student
You may be required to go through a specific in a foreign university and as part of a university
committee or office at your institution to buy in Costa Rica is the importance of keeping good
equipment and supplies. Its staff may be familiar relations with and learning from administrative
with the full range of vendors and products and staff—executive secretaries, administrative
may be able to help you negotiate prices. Staff assistants, financial officers, etc. Even if one
members may also be knowledgeable about regu- is a good researcher, one may not have good
latory and shipping requirements related to the administrative skills. Besides, large organiza-
products they buy. They may also keep track of tions like universities develop a large set of
payments and receipt of goods, thereby providing regulations, and it is difficult to keep track

”
a valuable accounting function for your lab. If there of all of them.
is not such an office, you might consider finding a
good accounting software program to use to keep Gilbert Brenes Comacho, Costa Rica
track of spending and resources.

HIRING STAFF
Large institutions may have administrative
“human resources” staff people who can help you
hire research staff to work in your laboratory, or QUESTION
q&a
you may be responsible for advertising the job and Is your institution ready to administer
attracting candidates yourself. grant- funded work?

RECRUITING STUDENTS
ANSWER
If you are at a well-known training institution,
Your institution will be responsible for a
excellent students may be drawn to you by the
variety of tasks, ranging from assuring good
chance to work at the institution. At smaller or
accounting for financial support you may
less well-known institutions, attracting students
receive to accounting for how much of your
may be more difficult, and forming alliances with working day is spent on a project. If your
(including, perhaps, getting faculty appointments research touches on human subjects, uses
at) other institutions may be very useful if training animals, or requires application of “Good
a new generation is important to you. Practice” guidelines discussed on page 25,
there is administrative tracking that must
be done. Hiring institutional clerical staff will
PUBLIC RELATIONS
make life easier, but if hiring staff for this work
OR COMMUNICATIONS OFFICE is impossible, remember to budget your own
The public relations or communications office time for the required administrative tasks.
at a research institute keeps the outside world Without timely and proper accounting and
informed about the achievements of the institution reporting procedures for grants management,
and its scholars. Its staff maintains contact with the flow of money from funded grants will
the news media and can help you prepare for an likely stop and agencies may be reluctant to
interview, translate your findings into “sound bites,” support you in the future. Failing to keep up
and learn how to field questions comfortably. with administration of human, animal, and
If such an office exists in your institution, individuals good practice requirements could result in
in it may have a personal interest in reading and your work being stopped by regulatory
agencies until you can prove that proper
editing your grants and scientific papers, but this
procedures are in place.
may or may not be part of their official job.


WORKING WITH HUMAN SUBJECTS

Whether you will be using invasive techniques Code, emerged from the trial verdicts. Among
or simple surveys, before you work with human several important statements, the Code firmly
subjects you must obtain the approval of your established the concept of informed consent.
institution’s Institutional Review Board (IRB) or
Independent Ethics Committee (IEC). The IRB The Nuremberg Code stated:
or equivalent committee at your institution is The voluntary consent of the human subject is
responsible for ensuring that all research done absolutely essential. This means that the person
with the institution’s participation is in line with involved should have legal capacity to give consent;
international standards for what experiments can should be so situated as to be able to exercise
and cannot be done with human beings. Research free power of choice, without the intervention
involving non-human animals and some ethically of any element of force, fraud, deceit, duress,
contentious work on plants is also regulated, but over-reaching, or other ulterior form of constraint
falls under different sets of standards. or coercion; and should have sufficient knowledge
and comprehension of the elements of the subject
Why do IRBs exist? matter involved as to enable him to make an
To protect the rights and welfare of human subjects. understanding and enlightened decision. This latter
element requires that before the acceptance of an
To ensure compliance with existing regulations. affirmative decision by the experimental subject
To prevent conflicts of interest. there should be made known to him the nature,
duration, and purpose of the experiment; the
To ensure that all research conducted at a facility method and means by which it is to be conducted;
is reviewed according to a uniform standard. all inconveniences and hazards reasonable to be
expected; and the effects upon his health or person
Why does an ethical person need IRB review
which may possibly come from his participation in
and approval?
the experiment.
No one can be completely objective about their
The duty and responsibility for ascertaining the
own work.
quality of the consent rests upon each individual
People underestimate the risks involved in things who initiates, directs or engages in the experiment.
they are very familiar with. It is a personal duty and responsibility which may
not be delegated to another with impunity.
People overestimate the benefit of things that are
important to them. In 1964, the Nuremberg Code was adapted by the
World Medical Association into a standard for
HISTORICAL BACKGROUND therapeutic research done in humans, the Declara-
tion of Helsinki. The Declaration has been amended
After World War II, several Nazi physicians were several times since then, and continues to be
put on trial for their participation in horrendously one of the international standards used for the
abusive medical experiments done on concentra- conduct of clinical research. A 1975 revision of the
tion camp prisoners. The first codification of Declaration established the idea of review by an
ethical principles surrounding the use of human independent institutional committee. Revisions to
subjects in scientific research, the Nuremberg the Declaration of Helsinki continue, but there are


now competing standards. Council for International the “Conference on Harmonization” or ICH) was
Organizations of Medical Sciences (CIOMS) is the formed. It now brings together European, American,
most dominant of them. Japanese, and other countries’ national interests
related to development of pharmaceuticals. The
The CIOMS International Ethical Guidelines for
ICH has developed a separate standard, Good
Biomedical Research Involving Human Subjects
Clinical Practice, to focus on both ethical and
cover topics that include ethical review (the review
technical issues in developing new therapeutics.
committee process); informed consent, includ-
It provides a framework for design, conduct,
ing whether subjects are inappropriately lured to
performance, monitoring, auditing, recording,
participate; choices of appropriate experimental
analyses, and reporting of clinical trials. It is
controls; rules for research in especially vulnerable
meant to assure that not only are human subjects
groups such as children or the mentally ill; rules
protected, but also that data from human trials
for research on women, especially while pregnant;
meets the highest quality standards.
confidentiality; rights of anyone injured by the
research to get treatment and compensation; Other harmonization efforts have produced other
and more. sets of standards. As a group, they are called the
“GxPs” (with the ‘x’ acting like a mathematical
Although there is considerable overlap between
variable, not as an initial for anything). The Organiza-
the competing standards, the differences between
tion for Economic Co-ordination and Development
them are very important, especially in lower
has produced Good Laboratory Practice (GLP)
resource countries. The Declaration of Helsinki
standards, which are meant to improve rigor in
holds that in therapeutic trials, participants are
planning, performance, monitoring, reporting, and
entitled to the worldwide best standard of care.
archiving the results of experiments, especially in
This standard makes it difficult to test improved
the fields of pharmacology and toxicology, which
therapies that may yield better clinical outcomes
are very involved in pharmaceutical development.
but will not come up to the benchmark of the
Good Manufacturing Practice (GMP), which is not
worldwide best standard of care.
yet as well-harmonized as GCP and GLP, focuses
Many national ethics bodies have pulled away from on documenting the flow of products through
use of the Declaration of Helsinki so that they manufacturing and on quality control in manu-
can continue to allow research that will improve facturing of foods and drugs. Good Regulatory
human lives even if it is not up to the standard of Practice (GRP); Good Distribution Practice (GDP);
care available to the world’s richest people. Efforts Good Agricultural Practice (GAP) and others now
are being made to align the standards better, but exist in science and science-related manufactur-
until unified standards can be established, rules ing. The buzzword has escaped, however—there
for ethics review around the world may remain is also Good Feng Shui Practice (GFSP), Good
contradictory and confusing. Tourism and Hospitality Practice (GTHP) and more.
Countries and corporations that are using GxP
THE GxPS often insist that work done with their support
must be carried out according to certified GxP
In 1990, the International Conference on Harmoni-
standards. Workshops for learning the rules and
zation of Technical Requirements for Registration
procedures are becoming widely available.
of Pharmaceuticals for Human Use (usually called


RESPONSIBILITIES BEYOND COMMITTEE WORK
THE LABORATORY You may be expected to participate in one or more
committees or groups at a university. Although
As a scientist at a research-oriented university or
you should take this responsibility seriously, you
a research institute, you may focus principally on
also need to be judicious in your choice of assign-
research. But you may also be required to teach
ments. Some committees are very labor-intensive.
classes and to train the people who work in your
Others may deal with politically sensitive matters
laboratory. In addition, you may have to perform
that may be difficult for a new researcher. Other
various administrative functions at your institution,
committees may deal with matters irrelevant
and if you are a physician, you may also have to
to your concerns as a scientist. So, before you
look after patients.
accept a committee assignment, ask for a detailed
description of what will be expected of you in
TEACHING terms of time commitment and the nature of the
decisions to be made. It may help to talk with
You may find juggling your teaching and research
your colleagues about which committees are
responsibilities to be a bit overwhelming at first.
important to your success and which are potential
No matter when your teaching duties begin, take
time-wasters.
the time to prepare for them. If there are any
“how to teach” courses offered on campus, take Your university may have a number of committees
them, and if you can, ask permission to sit in on a that take care of issues such as promotion of
few of your colleagues’ lectures to see how they faculty, hiring new faculty, ethics, human subjects
handle their classes. research, laboratory safety, teaching, awards, and
long-term planning for the university. If you are
Bear in mind that teaching gives you an opportunity
asked to serve, try to find out about the meeting
to meet students who may be interested in doing
schedules and workloads of these committees.
research in your laboratory. There is much more
Generally, committees that are responsible for
detailed discussion about teaching in Chapter 8,
case-by-case review of individual applications or
“Teaching and Course Design.”
projects are the most labor-intensive. However,
the workload of a policy committee that initially
sounded light may suddenly expand when it finds
Launching a research career in biomedical itself dealing with a “hot” issue.
sciences in low-resource environments in Many committees, however, do give you a good
disease-endemic countries is a huge challenge. return on your time investment. Serving on a
Success may depend more on creativity and
search committee for hiring new staff may give
luck than the extent of knowledge about the
you a voice in deciding who a new colleague will
subject. In these environments a genius is
be. You might also want to be on a committee
best defined by Thomas Edison’s adage—90%

”
that puts together a seminar program or scientific
perspiration and 10% inspiration.
meeting. This will give you a chance to invite
leaders in your field to visit your institution, as
Moses Bockarie, Papua New Guinea well as being a good way to bring in scientists
with whom you may want to collaborate. Work on
an admissions committee for graduate students
might be worthwhile because it will introduce you
to students who could work in your lab. A good
strategy is to try to get on a committee where
your expertise will be useful but you will not be
overburdened. Ask the head of your department
and senior faculty for advice on balancing commit-
tee work with your other obligations in the early
years of your career.


SCIENTISTS AND PUBLIC SERVICE
THE OUTSIDE WORLD As your career progresses, you may be called
upon to serve on boards of directors or commis-
If you are based at a university or research institute,
sions, or testify before government bodies on the
you may owe allegiance to several constituencies
meaning of your work or its ethical or public policy
—to the university or research institute that sup-
implications.
ports you, to your profession, and to the general
public that stands to benefit from your research. Treat these invitations as a serious responsibility.
Again, letting those above you know that you have
To keep your outside activities appropriate, you
been invited to participate is important. If you are
need to be aware of the university’s or institute’s
worried that your superiors will take these oppor-
rules and expectations with regard to:
tunities for themselves or resent you for having
Service in professional associations. been offered such opportunities, talk to a trusted
advisor about how to proceed. It may help to have
Conflict of interest and conflict of commitment,
a letter of invitation that clearly specifies that your
including limits on consulting activities.
expertise is the reason for the invitation.
Relationships with the news media and with
Remember, anything you say in public will reflect
government and political agencies.
on your institution. It is easy to be misunderstood
Participating in industrial labor actions (strikes). or quoted out of context. Practicing what you
want to say before the event will help you deliver
your message clearly.
CONSULTING
You may also have opportunities to participate
As your career develops, you may find opportuni-
in educating the public about science and how it
ties to consult with commercial entities such as
affects them, at schools or at community events.
biotechnology or pharmaceutical companies in
These opportunities can be both enjoyable and
your own country and abroad. Both you and your
rewarding.
home institution stand to benefit from relation-
ships that extend your reputation, add to your
knowledge and skills, and may result in practical
applications of your discoveries. In addition, you
The people you should get to know locally
may welcome the added income. But remember—
should also include politicians and public
the institution that employs you may have primary servants in the appropriate government
claim to your labor and your allegiance. departments. You will need their support if
Many universities with faculty involved in this kind you require funding from UN organizations
of work have developed explicit guidelines limiting like the World Health Organization and aid

”
agencies like USAID.
the extent of a staff member’s work with other
parties. It is critical that you know your institution’s
policies regarding your work outside the scope of Moses Bockarie, Papua New Guinea
university or research institute employment and
your relationships with outside parties. If you are
at an institution where such guidelines are not
in place, it is still prudent to check in with those
above you before you take on a significant outside
commitment.


UNDERSTANDING YOUR Find out what the expectations are for independent
researchers with regard to how much they should
INSTITUTION AND HOW publish, whether they should seek outside funding
TO PROGRESS WITHIN IT and if so how much of it, and what other activities
they need to perform.
You have no doubt spent many years in academic
institutions and are familiar with their overall struc- This chapter provides you with a starting point for
ture. But now, as fully trained scientist, you are obtaining this type of knowledge. It also discusses
entering into a new set of relationships with your some of the professional responsibilities you may
professional colleagues. Perhaps for the first time, have to fulfill outside the laboratory, including
you may have to deal with many of your institu- teaching and service and, in the case of physician-
tion’s administrative offices. If you have done part scientists, patient care. Finally, it will give you
of your training abroad, you will need to reacquaint some insights into how decisions about promo-
yourself with the structure of institutions in your tions are made and how you can maximize your
own country. chances of being promoted.

If your role includes being the head of a laboratory
or major project, you will need to: ORGANIZATION OF
Get to know people who will support your research A “TYPICAL” UNIVERSITY
efforts, including the head of your department or Although the major goal of most universities is
institution and any more established researchers the advancement and dissemination of knowledge,
nearby who can serve as advisors throughout the universities also need funding to support their
next phase of your career. activities. A university must seek revenue from
Understand how your organization is run and who a variety of sources, including, in some cases,
reports to whom; in particular who will be making researchers. If you are going to work in a university
decisions about how you advance in your career. setting, it can be useful to learn the paths through
which decisions are made, as well as the channels
Watch carefully to understand hidden power through which money flows. Universities across
structures that may be important to your success. the world vary in organizational and reporting
Sometimes there are people who are not technically structures, but many will have the following
“in charge” but are key to your getting resources people in charge:
(or in some cases have the ability to thwart your
efforts). These individuals could be anyone from A board of directors or governors, which may be
senior researchers to clerks. Early on, it is important composed of academic, business, and community
to keep your eyes open and not to overlook or leaders who hold appointed or elected positions
underestimate those around you. with specific terms. A board meets regularly to
review all major policy, financial, and management
Know about the organization’s research infrastruc- decisions, and may have a say in decisions about
ture, including who administers the funds to run faculty appointments and promotions. A typical
your laboratory, what support services are available research institution may be composed of a direc-
to you, and any policies about laboratory safety tor, one or more deputy directors, section or unit
and ethical issues that apply to your work. It may heads and support services that include technical
be that if you are at a quite new institution or the and administration sections/units. Usually a top
first researcher doing your kind of work, you will management team that includes the director,
have to help your organization get up to speed on deputy directors, and heads of the technical units
things like safety standards, proper accounting and and the administration will make decisions on
handling of paperwork for granting agencies, and finances, appointments, promotion of personnel,
international standards for work involving human and institutional advancement.
subjects or collecting samples from the field.


C O N S U LT T H E FA C U LT Y H A N D B O O K

If you take a job in a large, complex university, you will primarily report to your department or division
head, or in some places to a group leader—that is, a more senior scientist who organizes the activi-
ties of a group of researchers working on related aspects of a problem. If you have an appointment in
more than one department, or in a department and in one of the university’s separate research centers
or institutes, you may have to report to more than one individual. If you will report to more than one
person, you should try as much as possible to get these lines of command and responsibility in writing
as described in the previous section.

A president or chancellor who has general over- information technology, regulations for research
sight of the university’s academic programs and involving human subjects, patenting and licensing
financial health. He or she is also the university’s issues, student affairs, and so on.
public spokesperson, dealing with “big picture”
Many universities are organized into smaller
issues such as relationships with the government
schools, divisions, departments of study, and
and with other funding bodies, as well as relation-
departments of research, or faculties—for ex-
ships with alumni, and fundraising.
ample, a large university may contain a School of
A number of individuals with high-level titles— Engineering, or a Faculty of Medicine, or a Division
vice presidents, pro vice chancellors, rectors, vice of Public Health and Sanitation, each headed by
rectors, provosts, deans, chairs of departments, different individuals. These individuals may have
directors of graduate schools, and similar positions significant input on your appointment and career
may look after different areas of academic life, development. Within these units, there may be
such as budgets, appointment of new faculty, smaller ones, or departments, which are also often
maintenance of facilities, research funding, headed by powerful individuals.

THE STRUCTURE OF ONE LARGE UNIVERSITY
(drawn from a South American institution)

Board Board and Office Manager

Executive Secretary

EXECUTIVE TEAM: President Committee Secretary

Legal Secretary

Exec Manager Corporate Affairs

Vice President Research Exec Dir Finance Exec Dir Tech & Innov Exec Dir Operations

Exec Man Exec Man Exec Man Exec Man Exec Man Man Man
Cap Dev Res Admin Strategic Res Knowledge HR IT Operations
& Mgmt Initiatives Mgmt

Strategic Research Committee 18 Intramural Unit Directors 22 Division Managers


CRITERIA FOR PROMOTION
Structure of the South African Listed below are some of the important factors
Medical Research Council that university administrators take into consid-
eration when promoting a scientist. Determine
President’s Office the weight that each of these factors, and other
Corporate and Public Affairs Directorate aspects of your job, carries. You can find this out
Legal Services through discussions with your department head or
other immediate superior.
Research Directorate
Research Units, Groups, Centres, Research. Your research must be of a quality
and Lead Programmes and quantity that contributes substantially to your
Research Capacity Development scientific discipline. Publication in peer-reviewed
Research Admin and Management journals in your specialty and statements from
Strategic Research Initiatives individuals in your field who can testify to the
Technology & Innovation Directorate quality of your research may be required. Ongoing
research grant support may also be expected.
Finance Directorate
Additional evidence of competence includes prizes
Operations Directorate and other recognitions of your work, as well as
invitations to present your work at conferences.
Teaching. You may have to provide evidence that
you are a competent teacher and that you fulfill
PLANNING FOR PROMOTION
your responsibilities to your students in a consci-
You are more likely to advance in your career if entious manner. Teaching is notoriously difficult to
you understand from the start how decisions evaluate, but your department may have mecha-
regarding promotion are made at the institution nisms to do so. You should ask early in your teach-
you are joining. Ask the head of your department ing how your efforts are evaluated so that you can
or division for advice; you can then start planning be sure to perform well in the expected areas.
your strategy accordingly. It may be that promo-
Service. You may have to demonstrate that you are
tion depends on factors outside of the department
willing to work for the betterment of the university,
structure. For instance, in Argentina a researcher
your profession, and the public at large. Service
in a public university depends on evaluation from
on departmental and other campus committees,
Consejo Nacional de Investigaciones Científicas
on research ethics boards, on editorial boards of
y Técnicas (CONICET), the national research
journals, and on grant review panels demonstrates
agency, for promotion.
your willingness to assume your share of responsi-
bility. Invitations to serve on editorial boards and
other outside committees also demonstrate scien-
tific recognition beyond your institution. Work for
professional associations and work as a consultant
to government and industry also may be viewed
positively when considering your service to the
institution.


SPECIAL ISSUES FOR PHYSICIAN-SCIENTISTS:
Straddling the Worlds of Research and Patient Care

You can increase your visibility and the stability of your job by doing the following:
Create allies who will stand up and protect you. Cultivate a few people in your field who think you
are terrific.
Make yourself essential by providing an important clinical skill or filling a crucial clinical need.
Other clinicians who know your worth can become your advocates and help protect your interests.
Advocates need not be in your own department, but they should rely on you and your expertise.
Get the word out that you are doing something. Actively communicate progress on your research
with people who matter in your department or division.
Integrate research and clinical activities and use departmental academic meetings to promote the
clinical relevance of your research program.

THE REVIEW PROCESS TIME FRAME FOR MOVING AHEAD
The review process for promotion varies greatly Your institution may have established the exact
from country to country and from institution to time frame for evaluating your work and for your
institution. You should familiarize yourself with the eventual promotion. Find out how long it typically
process by speaking with colleagues who have takes for someone in your position to progress
gone through it. Seek the advice of several people. from one level to the next. Once you know the
Meet on a regular basis with your department time frame, set specific, achievable objectives for
head or the people who will have input into your yourself right at the outset of your career, with
promotion to review your progress and make sure timelines that tell you what you need to accom-
that you are doing what is expected of you. plish each year. The whole process will seem
more manageable, and you will be able to make
realistic career decisions based on your progress.


RESOURCES
Barker, Kathy. At the Bench: A Laboratory Navigator. Cold Schoenfeld, A. Clay, and Robert Magnan. Mentor in a
Spring Harbor, NY: Cold Spring Harbor Laboratory Press, Manual: Climbing the Academic Ladder to Tenure.
1998. Madison, WI: Atwood Publishing, 1994.

Barker, Kathy. At the Helm: A Laboratory Navigator. Cold Varnadoe, Lionel A. Medical Laboratory Management
Spring Harbor, NY: Cold Spring Harbor Laboratory Press, and Supervision: Operations, Review, and Study Guide.
2002. Philadelphia: F.A. Davis Company, 1996.

Boice, Robert. Advice for New Faculty Members: Online
Nihil Nimus. Boston: Allyn and Bacon, 2000. Collaborative Institutional Training Initiative (CITI) offers
a range of tutorials related to ethics, research review
Deneef, A. Leigh, and Craufurd D. Goodwin, eds. processes, informed consent, good practice, and other
The Academic’s Handbook. 2nd ed. Durham, NC: Duke topics in English, French, Spanish, Portuguese and
University Press, 1995. Chinese at its Web site www.citiprogram.org. There
Goldsmith, John A., John Komlos, and Penny Schine Gold. is both free material and material only available by
The Chicago Guide to Your Academic Career: A Portable institutional subscription at this site.
Mentor for Scholars from Graduate School Through Tenure. Introduction to the Responsible Conduct of Research, a
Chicago: University of Chicago Press, 2001. guidebook on research ethics from the Ofﬁce of Research
Harmening, Denise M. Laboratory Management: Principles Integrity of the U.S. Public Health Service, is available
and Processes. Upper Saddle River, NJ: Prentice Hall, 2003. online at http://ori.dhhs.gov/documents/rcrintro.pdf

Kennedy, Donald. Academic Duty. Cambridge, MA: Quality practices in basic biomedical research, a
Harvard University Press, 1997. guidebook on Good Practices from the World Health
Organization, is available online at http://www.who.int/tdr/
Menges, Robert J., and associates. Faculty in New Jobs: svc/publications/training-guideline-publications/handbook-
A Guide to Settling In, Becoming Established, and Building quality-practices-biomedical-research.
Institutional Support. San Francisco: Jossey-Bass, 1999.
The Good Indicators Guide: Understanding how to use
National Academy of Sciences, National Academy of and choose indicators, a guidebook from the Association
Engineering, and Institute of Medicine. Committee on of Public Health Observatories on how to monitor and
Science, Engineering, and Public Policy. On Being a improve performance, systems or outcomes, is available
Scientist: Responsible Conduct in Research. 2nd ed. online at http://www.apho.org.uk/resource/item.
Washington, DC: National Academy Press, 1995. aspx?RID=44584.
Reis, Richard M. Tomorrow’s Professor: Preparing for
Academic Careers in Science and Engineering.
Piscataway, NJ: IEEE Press, 1997.


CHAPTER 3

GETTING STARTED: EQUIPPING
YOUR LAB AND HIRING PEOPLE

“THE CONVENTIONAL DEFINITION OF MANAGEMENT IS GETTING WORK DONE
THROUGH PEOPLE,BUT REAL MANAGEMENT IS DEVELOPING PEOPLE THROUGH WORK. ”
AGHA HASAN ABEDI

You may need to attend training courses before you
DESIGNING AND can order radioactive or hazardous materials or use
EQUIPPING YOUR NEW LAB animals in your lab. Even the use of recombinant
DNA needs to be approved in some countries.
You may have discussed your space and equipment
needs during your hiring process, or you may be Put in place data management systems both for
moving into a laboratory that has already been in control of laboratory ordering and expenditures
use and has some equipment. Either way, before and for the documentation of your research.
you move in and start working, create a detailed
Plan ahead. Expect major delays in delivery of bulky
plan for how you intend to work within the space
equipment, troubles with customs, fluctuations
allotted to you. This will help you hit the ground
in currency values, etc., so that these predictably
running once you start your position. You should:
unpredictable factors will not derail you.
Envision the relationships between the various
workstations, preparation areas, and any office
space you may have been given. How can you PUTTING THE PEOPLE
best set up your space for the work you are going YOU NEED IN PLACE
to do?
Staffing your lab with the right people is one of
If applicable and possible, arrange for and help the most important things you can do to ensure
supervise any needed renovations or the success of your research. The types of
re-arrangements. people you may bring on board include students,
If you can, order equipment and supervise its
scientists who are not ready to lead their own lab
installation. and will work in yours, and technicians or other
paid employees who offer technical support.
Acquire any licenses required by regulatory
agencies.

GETTING STARTED: EQUIPPING YOUR LAB AND HIRING PEOPLE 33

This section reviews issues to consider when
determining your staffing needs and suggests
strategies to help you manage the process of Quality Used Equipment
recruiting, interviewing, and evaluating applicants.
The chapter also offers guidance on what to do if Seeding Labs (http://www.seedinglabs.
you have to ask someone to leave your lab. org/), a Boston-based non-profit group that
facilitates transfer of used laboratory equip-
For a discussion of the skills needed to manage ment from North American universities to
the people in your lab day to day and get them to laboratories in countries that are building
work productively, see chapter 4, “Managing Your toward greater research capacity, may be
Many Roles.” a good source for equipment that would
otherwise be unaffordable.

DETERMINE YOUR STAFFING NEEDS
Your decisions about whether and when to take on
staff will depend on several factors, such as how
much money you have to run the lab, the stability Purchasing research supplies is often a night-
of your funding sources, the progress of your mare in most African countries. Often, no local
research, and even your personal preferences vendor is familiar with the kinds of equipment
about performing various laboratory tasks. In some and supplies that you need. In some cases,
you have to find out yourself where and how
places, you will not actually hire new people, but
to get required supplies and then teach a local
will take on staff people who have already been
vendor how to proceed. Often, even when one
hired by your institution and belong to a common
finds where to order supplies abroad, payment
labor pool. In other places, you yourself will be the
may become an almost insurmountable hurdle.
new hire, and everyone else in the laboratory will For example, currency exchange issues may
already be in place. arise: there are no project credit cards, suppli-
Established scientists caution against rushing out ers often require payment up front while your
financial office may require that the goods be

”
and hiring people just to fill an empty lab. Before
delivered before initiating payment.
you bring on staff, think carefully about the con-
sequences. Will you be able to hire the caliber of
people you want? Can you make the time to train Abdoulaye Djimdé, Mali
them? Remember, you need to preserve sufficient
time and space to do your own work.
If you have a choice, the first person you might Consider bringing a student on board once your
hire is a laboratory technician or equivalent. A lab is running and you have the time to invest in
person filling this versatile lab position can help training him or her. You could also hire an already
you with time-consuming initial tasks such as trained scientist, for example a postdoctoral
setting up equipment and handling routine tasks fellow, who would like to work in your lab as
that keep your laboratory working. Although an a stepping stone to becoming qualified for an
inexperienced person may be cheaper, you might independent position. A good strategy is to do this
benefit more by hiring an experienced technical when your main project is well underway and you
person who can help train other staff as they have enough other projects to turn one of them
come on board. Some experienced workers over to this person and allow him or her to have a
can also contribute in substantial ways to your great deal of responsibility and independence.
research project. If there are trained technicians Additional considerations for working with lab
working at your institution and funding available members can be found in chapter 10, “Expanding
for such positions, a technician who is familiar Your Influence: Training the Next Generation of
with the administrative processes of your institu- Scientists.”
tion can also be extremely valuable.


q&a
your Web site, if you have one, inviting people to
contact you if they are interested in working with
you. If you teach, you may find some students
QUESTION who are interested in learning more about your
work and carrying out a research project in your
What’s in a Name?
laboratory.
Formal Advertisements. Ask those working
around you how and where the kinds of jobs you
ANSWER would like to fill are advertised. If you are hiring a
The title “technician” means different things scientist to train in your lab, it may make sense to
in different places. In some regions, a place an ad in a science journal published in your
laboratory technician may be a manager or own country. But placing formal advertisements
unit director. Throughout this book, however, in print publications can be expensive and may
a “technician” refers to a professional not yield good candidates, depending on who
scientist who has a steady job focused on reads the journal or newspaper. It is a good idea
advancing the work in your laboratory. to discuss advertising with senior colleagues who
have had experience recruiting people into their
labs.
Advertising on your institution’s Web site is usu-
WRITE THE JOB DESCRIPTION ally a free service, and in some places has a high
If you will hire staff from outside your institution, rate of success. Other resources for advertising
the first step is to develop a job description for the for scientists with advanced degrees are Web
open position. First, identify and prioritize the initial sites and list serves maintained by professional
and ongoing lab tasks for which you need support. associations. For any advertisements you place,
Then determine the qualifications needed to best make sure you follow your institution’s policies.
complete these tasks and develop a general plan
for allocating the person’s time. Bear in mind WHAT DO YOU HAVE TO OFFER?
that the position will have to fit within your ability
to pay and that the position’s level may also be As someone who has just started his or her lab,
something that is already set in stone. The pro- you may find it a challenge to recruit the people
cess may be more complicated if unions represent you want, especially trained scientists and experi-
identified groups of employees at your institution. enced lab technicians. Here are some things you
For example, you may only be able to consider can do to increase your chances:
hiring union workers for certain positions. Promote your vision. When you talk to others,
make sure you mention that you are hiring and
GET THE WORD OUT take time to convey your vision of what your lab
will be “about” (see next chapter). Your excite-
Once you have a job description, the next step is to ment about your work and your lab will excite and
make sure that the people you would like to recruit interest potential staff.
will see it. There are several ways to do this.
Communicate your lab culture. Think about
Informal Methods. Try to recruit by word of how to create a lab environment that allows you
mouth. Ideally, you want people to seek you out. and your staff to work efficiently and harmoniously.
If you work in a country with a fairly large scientific If good communication, collaboration, and coop-
community, meetings and seminars where you eration are valued concepts in your lab, they can
present your work are good venues to reach be selling points that will make people want to
students and scientists, as well as lab technicians work with you.
who are not employed by your institution.
Another strategy is to include a statement on


Convey your commitment to training. a career in this area. On the other hand, they
Let potential staff know if they will be working may be looking for academic credit, funding,
directly with you and that you have an interest in or recommendations for further training. Try to
helping them in their careers. select students who are motivated to contribute
to the productivity of your lab. Students are
Offer flexibility where you can. Flexibility,
often attracted to new labs because, like lab
especially about assignments or research
technicians, they are eager for the opportunity
directions, is attractive to most job applicants.
to work directly with the person who is directing
Provide a realistic level of reassurance the research. Educating these students in how to
regarding the stability of your funding. work in the lab can be time-consuming, especially
Potential staff members are likely to be aware that for the first few months. Therefore, you may
the money to pay their salaries may be coming want to sign up your first student when your lab
from your research grants, or other sources that is running well and you have time to work with
may increase or decline over time. each student properly. At a university, thoughtfully
working with students early in your career will
help you develop a positive reputation and will
In Sierra Leone and more so in Papua New increase your ability to attract other students. On
Guinea, members of your extended family the other hand, if your first students have negative
believe they are entitled to large parts of experiences in your lab, they will quickly share this
your time and attention. This is an enormous with their peers, and your ability to recruit good
challenge for every working person in Sierra students will suffer greatly.
Leone. You are likely to face requests for
Scientists Training in your Lab. It may take
employment. My advice is that you avoid
two to three years for you to recruit a scientist,
seeing extended family members at your work-
place and ensure hiring is a very transparent
for example a postdoctoral fellow, who wants
process that is handled only by the appropriate to train in your lab before establishing his or her

”
staff in the administration section. own lab. Most scientists in training are attracted
to more established labs because they are usually
better launching pads for their careers—the boss
Moses Bockarie, Papua New Guinea is more famous and the publications may come
faster. Nevertheless, some might be attracted by
your research area, your concern for furthering
WHAT THEY ARE LOOKING FOR their careers, or your institution’s reputation and
geographical location. If you have a good reputa-
Lab Technicians. Technicians may be attracted tion from your own work, you may be able to
to a beginning laboratory because they are eager recruit highly qualified individuals right away.
for the opportunity to work closely with the head
of the lab and are interested in learning new
techniques and being included on papers. Good
salaries and status (related to publishing papers) I would encourage policies to hire real
may be of prime importance to more experienced postdocs, i.e. people who really want to do
lab technicians. Inexperienced technicians may a postdoc in your lab and not people who for
place more value on the opportunity to gain experi- family reasons or else could not go abroad

”
ence, especially experience that will help them and seek your lab as a second option.
decide whether to continue with their studies.
Students. Students may want to work in your lab Alberto Kornblihtt, Argentina
because they want to pursue a career in science,
or perhaps they are curious about research and
want to find out whether they should consider


SCREENING APPLICANTS The résumés of less-experienced lab technicians
may not show a record of contributions to pub-
When you review résumés, check skills against lished papers or other indicators of productivity.
qualifications and look for transferable skills. Carefully check references to find out about their
Always review résumés carefully—some applicants capabilities.
may inflate their experience. Gaps in employment
or job-hopping may be signs of problems, or may For a student, speak informally with other people
simply reflect the job situation in your region. If who have worked with the student, including those
the degree of job-changing seems unusual, be who may know how the student has performed in
sure to ask careful questions and check refer- a laboratory course. Talk to the student at length
ences, if you are able to. to see how articulate, bright, and energized he or
she is. Remember, a smart but shy person may
For an applicant to a degreed scientific position, be tongue-tied in a conversation with you—you
consider publication quality—not just quantity— are an important person, after all! Try to talk long
and the applicant’s contribution. Although it may enough to draw them out and put them at ease
not be realistic for someone who has just started so that you can really get a sense of their capacity.
running his or her lab, try to find a scientist with When selecting students, remember that high
a record of accomplishment—usually at least two grades are no guarantee of success in your lab.
first-author papers—that indicates he or she will
be able to see a project through and perhaps will be
competitive for obtaining his or her own funding. CHECK REFERENCES DIRECTLY
If a technician has contributed to publications, For a variety of reasons, people rarely write neg-
you should evaluate the candidate to determine ative letters of recommendation. Therefore, if pos-
whether he or she has the ability to contribute sible, you should directly contact the applicants’
intellectually as well as technically to the lab. references, preferably by telephone, or by email.
Checking references is an important part of the
selection process. It will help to verify impressions

q&a
gained during the interview and expose potential
problems that may not have been evident in either
the interview or CV.
QUESTION
What to Ask a Reference. When discussing
What’s in a Name? an applicant with someone who has provided a
reference:
Describe the job and the work atmosphere you
ANSWER want to create.

Throughout this book, a “postdoc” refers to Ask short, open-ended questions, and avoid asking
a researcher with a relatively recent doctoral questions to which the desired response is obvious.
degree and intentions to move on from your
You might want to ask: Why is this person leaving?
laboratory to a more independent position
Is he or she reliable? What are this person’s
after working with and learning from you. A
strengths and weaknesses? What are you most
“student” refers to a trainee who is enrolled
for an undergraduate or graduate degree disappointed in with respect to this person?
and is working with increasing autonomy in Also, “Would you rehire this person?” is a very
your lab. A “trainee” refers to a student or important question to ask.
postdoc—someone who is both working for Probe for further information, and ask for examples.
you and being educated by you so that he or Do not settle for yes or no answers.
she may advance into another position.


TYPES OF INTERVIEW QUESTIONS

Open-ended questions cannot be answered yes or no; for example, “Tell me about yourself.”
The applicant determines the direction of the answer.
Directive questions solicit information about a specific point; for example, “What skills do you have
for this position?” The interviewer determines the focus of the answer.
Reflective questions solicit information about a past experience that might serve to predict the
applicant’s future performance; for example, “Describe a time when you demonstrated initiative.”

Try to determine whether your lab values are FURTHER SCREEN APPLICANTS
similar to those of the reference, perhaps by asking
BY TELEPHONE
about the reference’s lab and philosophy. This infor-
mation should help you decide how much weight If you live in a place where phones are reliable,
to give to the reference. easy, and everywhere, you may want to screen
promising applicants by telephone before inviting
If Possible, Contact All References. You are any of them for a formal interview. As with
trying to make a decision about someone with interviewing references, focus on asking open-
whom you may be spending many of your waking ended questions. The appendix (page 44) shows
hours. Make sure you get the information you a sample outline that can help you in your phone
need. To correct for bias in the responses of any interviews with applicants. (Consider developing a
one reference, if you can afford it, make sure similar form for talking to applicants’ references.)
you call all of an applicant’s references, even
those overseas. If possible, it is best to obtain
information in person or by phone, rather than by INTERVIEWING APPLICANTS
email, though sometimes email may be the only
option available to you (for example, if the refer-
ence is difficult to reach or lives in a place that is
INVITE APPLICANTS TO VISIT YOUR LAB
extremely expensive for you to call). You may be After you have completed the initial screening,
tempted to do less when hiring for a smaller job, narrow your list of potential applicants to a reason-
but think about the damage hiring a poorly-trained, able number of good prospects. If possible, invite
dishonest, or threatening person could do to your each person to visit your lab for a formal interview.
work, especially in jobs where firing is difficult. Remember, talking to someone by phone is no
substitute for looking them in the eye. If possible,
Sometimes, applicants will not give the name
you might also arrange for the applicant to spend
of a current supervisor as a reference. If that
some time with other lab members so that the
is the case, you must respect their request for
others in your lab can get a sense of this person.
confidentiality—the most common reason is that
If you are a department head yourself and you are
they do not want to risk losing their current job.
to hire trained scientists who will work relatively
However, you should ask why the applicant does
independently underneath you, you might require
not want you to call. You can also ask for additional
that each applicant deliver a seminar to members
references who can provide you with information
of your lab or department.
about the person’s work habits, accomplishments,
and history.


CONDUCTING A I see you have worked with [insert specific
technology or technique]. Tell me about its
STRUCTURED INTERVIEW
features and benefits.
The goal of the structured interview is to use a
standardized set of predetermined questions to Commitment and Initiative
gather key information in an efficient, equitable Why do you want to work in my lab?
manner from all qualified applicants. You want to Where do you see yourself in five years?
give each applicant a fair opportunity to compete
for the position. Your questions should be: What kinds of projects do you want to do? Why?

Outlined ahead of time so that you ask basically Tell me how you stay current in your field.
the same questions of each applicant. Describe a time when you were in charge of a
Job related. project and what you feel you accomplished.

Short and open-ended, like those used when Tell me about a project or situation that required
checking references. you to take initiative.

Focused and designed to elicit information— Working and Learning Styles
avoid asking philosophical questions. What motivates you at work?

Tailor your follow-up questions to reflect each Would you rather work on several projects at a
applicant’s responses and to encourage each time or on one project?
applicant to provide examples from his or her Do you learn better from books, hands-on
own experiences. experience, or other people?

Tell me about a project that required you to work
DEVELOP THE INTERVIEW QUESTIONS as part of a team. What was the outcome of the
As you develop your questions, think about how team’s efforts?
to determine whether the applicant has the How would you feel about leaving a project for a
knowledge, technical skills, and personal qualities few hours to help someone else?
that you need. Review the job description you
created earlier, the applicant’s résumé, and your If you encountered a problem in the lab, would you
notes from your conversations with the references ask someone for help or would you try to deal with
to identify any items or information gaps that need it yourself?
clarification in the interview. You may be asked to work after hours or on a
weekend. Would this be a problem?
Sample interview questions. At the Helm: A
Laboratory Navigator by Kathy Barker (see Time Management
Resources, page 44) contains a list of general How do you prioritize your work?
questions as well as questions geared for specific
laboratory positions and for determining specific What happens when you have two priorities
personal characteristics. In addition, you may want competing for your time?
to tailor the following questions to the position for
Decision Making and Problem Solving
which you are interviewing.
What is your biggest challenge in your current job?
Experience and Skills How are you dealing with it?
Tell me about your most significant accomplish- Tell me about a time when you made a decision
ments. that resulted in unintended or unexpected
Tell me the part you played in conducting a specific consequences, either good or bad.
project or implementing a new approach or Give me an example of a situation where you
technology in your lab. found it necessary to gather other opinions before
you made a decision.


Interpersonal Skills Listen carefully. Let the applicant do most of the
How important is it to you to be liked by your talking.
colleagues, and why?
Develop a high tolerance for silence. Give the
If you heard through the grapevine that someone applicant a chance to think and develop thoughtful
did not care for you, what would you do, if anything? answers to your questions.

Tell me about a situation in which your work was Give the applicant many chances to ask questions.
criticized. How did you rectify the situation? This will give you some insight into what is
important to him or her.
Describe a scientist whom you like and respect.
What do you like about that person? Never make promises or give commitments, even
ones that may seem innocent to you.
Cultural Differences. You may find yourself
considering applicants from different cultures Ask the applicant about his or her timetable for
whose beliefs, such as those about self-promotion, leaving the current job, even if you asked it during
collaboration, and deference, may differ from your the telephone interview.
own. Take this into account when conducting your
Before ending the interview, do the following:
interview, especially if the applicant seems to be
under-selling his or her achievements. Give the applicant a chance to add anything else
he or she thinks may be important for you to know
in making your decision.
TIPS FOR CONDUCTING AN INTERVIEW
Make the applicant aware of the next steps, such as
Before you begin, try to make the applicant feel additional interviews and the time frame for hiring.
comfortable. Make appropriate small talk, offer a
beverage, and compliment the applicant on making Thank the applicant for his or her time.
it thus far in the selection process. Remember that
the applicant is also deciding whether he or she
wants to work for you. EVALUATING APPLICANTS
Develop professional rapport and be friendly, but Before you begin evaluating an applicant, make
avoid a social atmosphere. sure you have all of the necessary information.
Conduct any reference interviews you were
Explain how the interview will be structured.
unable to complete before the interview. Gather
Briefly describe the selection process. opinions from others who have met with the
applicant. As needed, seek guidance from your
Outline the responsibilities for the open position.
department and other relevant departments at
Convey your expectations about the job. Include your university.
values that may seem obvious to you, such as your
commitment to lab safety and scientific rigor.
MAINTAINING OBJECTIVITY
Know your own local laws and customs pertaining
As in any situation that involves interpreting inter-
to what questions can and cannot be asked at job
personal behavior, objectivity in evaluation may be
interviews, and keep in mind which (if any) topics
difficult. Nevertheless, try to avoid the following:
must be avoided.
Relying too heavily on first impressions.
Take brief notes. Record actual answers to
questions, not evaluative or conclusive comments. Making a decision too early in the interview, before
Later, when thinking through whether to offer the asking all questions.
applicant a job, you may find that these answers
Downgrading an applicant because of a negative
give you more insights into the applicant’s character
characteristic that is not relevant to the job itself,
and thinking than you were aware of when you
such as a particular regional accent, or having come
were sitting and talking with the person.
to the interview wearing clothes that have clearly
been used by generations of the family’s job seekers.


Allowing a positive characteristic to overshadow RED FLAGS
your perception of all other traits—an applicant’s
posh accent, polished presentation, or tangential Warning signs during an interview that should
association with someone famous might make alert you to potential problems include:
them seem impressive on meeting, but have little Unwillingness to take responsibility for something
substance in the workplace. that has gone wrong.
Judging the applicant in comparison with yourself. Complaining about an advisor and coworkers.
Comparing applicants with each other, rather than Demanding privileges not given to others.
according to the selection criteria (e.g., if you have
been interviewing poorly qualified applicants, you Delaying answering questions, challenging your
may rate merely average applicants highly). questions, or avoiding answering them altogether.
Humor and sarcasm can be tools to avoid answer-
Allowing factors not directly related to the interview ing questions.
to influence your estimation of the applicant (e.g.,
interviewing during times of the day when you Unless you have been rude, responding to an
may be tired). interview question with anger is never appropriate.

Incongruence between what you hear and what
WHAT TO LOOK FOR you see (e.g., grudging replies and slouching are
not signs of an eager, assertive candidate even if
In addition to determining whether the applicant he or she is saying all the right things).
has the qualifications required to perform well in
your lab, you should also keep the following points Trying to control the interview and otherwise
in mind: behaving inappropriately.

Consider the “chemistry.” Pay attention to your
intuitive reaction to the person. Look for a person MAKING THE OFFER
who is interested in and able to get along with
others. Before you make an offer, check with the
appropriate people in your department or your
Ascertain whether the applicant is a good fit. Keep institution to learn which, if any, items related
in mind that you are building your team and need to the job are negotiable and whether you are
people with the skills and personalities to get responsible for negotiating them. In some institu-
things done. Look for people who have a track tions, the initial salary that you can offer will be
record of productivity and have demonstrated an set for you. In others, you may be given some
ability to learn new skills. leeway within a predetermined range appropriate
Seek someone who has a passion for science and for the job description.
a strong work ethic. Enthusiasm, a can-do attitude, Once you have identified the person you wish to
and the willingness to go the extra mile are critical hire, contact him or her to extend the offer and
attributes. discuss start date, salary, and other conditions of
Check the applicant’s career plans. Knowing what employment. Be sure to check with the appropriate
the applicant wants to be doing in five or ten office in your institution first to determine whether
years can give you insight into his or her scientific you or they will make this contact and cover these
maturity and creativity, as well as his or her issues.
commitment to a specific research area.

Be certain the applicant is committed to good INFORM ALL OF THE APPLICANTS
research practices. Recordkeeping and reporting
First, inform the person you have selected. If he
results are even more important now than in the
or she turns down the offer, you can move on to
past because of patent and other legal issues.
your second choice.
Insist on the highest level of scientific integrity
from anyone you are considering.


Once you have filled the position, try to let the
Multinational Organizations are hiring our other applicants know of the outcome of the inter-
people away! view. You do not need to give a specific reason for
your decision not to hire an applicant. However,
Brain drain continues to be a major problem
you may state that the selected candidate had
in the developing world, where NGOs and the
private sector pay better salaries than govern-
better qualifications or more relevant experience
ment research institutes. Dealing with brain or that it is your policy not to disclose this informa-
drain can be quite frustrating; however, one tion. Check with the appropriate people at your
should continue to recruit appropriate person- institution about their own personal policy or the
nel to fill in vacancies. Those recruited should institution’s personnel policy in this area.
be given an opportunity to train in short- and
long-term courses that are relevant to their
work areas. Once settled in the research
THE OFFER LETTER
programme, they should also be encouraged After you and the selected candidate have con-
to be a part of the ownership of the research firmed the job details, you or your institution might
programme, and to make presentations on send a formal offer letter that confirms the offer
some of the research aspects of the work terms, including start date and salary. Coordinate
that is being done. Presentation of research with the appropriate administrative staff at your
findings at national and international fora is
institution to determine what information to include.
usually a big motivator, because it promotes
If hiring does not involve an administrative office,
collaborative linkages between personnel in
make the offer and clearly establish the start date,
your lab and other labs, and these linkages
may generate a lot of research ideas between
salary, and allowances and pensions where these
groups. Delegation with responsibility to junior are applicable. It is a good idea to put the details
researchers also builds confidence and gives on paper in case disagreements arise later.
them a sense of ownership of the research
programme. In countries where salaries
are low, personnel should be allowed to do ASKING STAFF TO LEAVE
part-time jobs that are related to research,
Despite your best efforts, you may at some point
e.g. teaching at the local university to supple-
need to ask someone to leave your lab. Before
ment their salaries. All research ideas that
are brought forward by research personnel,
considering dismissal, be sure that you have tried
especially junior members, should be taken various avenues to help the person be successful in
into consideration and explored for substance, your lab. This may include assistance with scientific

”
no matter how silly they may sound. techniques or counseling for behavioral issues. Also,
be certain that your dissatisfaction is based on
objective observations, not your personal biases.
Susan Mutambu, Zimbabwe
Try to determine whether you think the person
would be better off in another lab or should con-
Yes, it is a problem, but not a major one for
sider another career. For students and scientists,
now. The solution is creating an attractive
this usually means talking with that person and his
environment, clear career paths, stable social
environment, etc. High salary is not always the
or her advisors, if any. It may be best to suggest

”
most important incentive in keeping staff. to someone that research is not for them if you
truly believe the profession is not suited to his or
her talents or personality. You can provide that
Abdoulaye Djimdé, Mali person with encouragement and suggest other
career options, especially ones of similar stature.
There are no hard and fast rules about how a
manager should address performance or behavior
problems in the lab. However, keep in mind the
following, especially if you are thinking about letting
someone go:


Be fair. IF YOU DECIDE TO TERMINATE
No surprises. An employee with serious work-related problems
Fairness dictates that lab members receive some is a disruptive force and, especially in a small
type of notice about unsatisfactory performance. lab, can significantly retard research progress.
Make sure the person knows your concerns and is Although it is not easy to decide to terminate
given a reasonable opportunity to respond and turn someone, those investigators who have had to
things around. release staff say that in retrospect their biggest
mistake was not doing it sooner.

WHEN IT BEGINS TO LOOK LIKE Questions to ask yourself before letting some-
one go. If circumstances permit, you should ask
FIRING MAY BE NECESSARY yourself the following questions and document
In many places, an institution’s disciplinary and each of the actions before proceeding:
dismissal procedures are based on the country’s
Have you given the person at least some type of
labor laws, and in some places workers are quite notice or warning?
aware of their labor rights. Termination procedures
must be correctly carried out according to the law, Have you made it clear to the person what he or
and so should be directed by someone who has she is doing wrong?
experience with them—usually someone in a Human Has the person received counseling or assistance
Resources or other administrative office. When you in learning new or difficult tasks? If so, how much?
believe that someone should be let go, consult with
colleagues to determine whether there are legal Are you treating (or have you treated) the person
procedures to keep in mind, and if available, seek differently from other staff in your lab?
help from whatever institutional office deals with Are you following written procedures and institu-
personnel issues early on in the process, at least to tional policies?
advise you on how to move forward legally. Many
academic institutions publish their procedures on Does the documentation in the personnel file
their Web sites. support the reason for discharge?

Keep in mind that delivering a warning or giving an How to Terminate. Ask the appropriate individuals
employee a chance to “straighten up” may help at your institution or department how to terminate
you turn a bad situation into a good one without staff. Often, a termination will involve a meeting
resorting to dismissing a worker. between you and the individual you are terminating.
During the meeting, remember to:
KEEP A RECORD Be polite.

It is a good idea to outline and set expectations for Stay focused on the issue at hand. Get to the point
the performance and conduct of everyone in your quickly. Explain the decision briefly and clearly. Do
lab. Do not expect your employees to read your not apologize or argue with the employee in an
mind about what you want them to accomplish and effort to justify your decision.
how you want them to accomplish it.
Avoid laying blame.

Arrange to have scientific materials and equipment
DELIVER A WARNING and supplies returned to you, including lab note-
Warnings should be delivered by you, calmly and books, protocol books (unless it is a personal copy),
in private. Listen to the employee’s point of view lists of laboratory resources and information on
and explanation. Develop a plan for addressing any experiments still in progress, and keys.
the problem with benchmarks and timelines. You Let the employee have an opportunity to have his or
may want to commit your action plan to writing. If her say, and pay close attention to what is being said.
you provide advance notice, employees will not be
surprised when you take forceful action concerning
unsatisfactory performance or behavior.


If there is an office that handles employee benefits,
refer the employee to them for a discussion of
eligibility for any benefits the institution may have APPENDIX
provided.
Telephone Interview Outline
Take notes that document this meeting and convert
them into an informal or formal memo to file. Date:
Candidate:
Try to part on cordial terms. Science can be a small
world, and your paths may cross again. Investigator’s Questions (Use open-
ended questions, and ask for examples.)
Termination Letters and References. As part of
To see if we might fit, give me an idea of
final documentation, a termination letter may be
what you are looking for.
required by your institution or by law. In addition,
you may be asked for, or may wish to offer, a What are your goals for this position?
reference. Check with the appropriate staff at your (short-term expectations, long-term plans)
institution about proper procedures. Tell me about yourself as a scientist:
Immediate Dismissal. Sometimes the reasons for What are your strengths?
dismissal are more acute: dishonesty, endangering What are your weaknesses?
What do you want to learn?
others, or other unusual behaviors may make it
What are you looking for in a supervisor?
necessary to immediately remove someone from
the lab. You should get advice from your colleagues What is your preferred interaction style?
on how such a firing is normally done. How will you (with me, with others, on joint projects)
get any keys they may have or prevent them from
Timing, current job
re-entering the premises? It may be that you should
have the person removed from the premises by Visa status
local or campus authorities, for example, and that
Investigator’s Comments
their personal effects will be sent to them later.
Background, interests, goals

The projects we are working on
RESOURCES
What I am looking for
Barker, Kathy. At the Helm: A Laboratory Navigator. Cold
Spring Harbor, NY: Cold Spring Harbor Laboratory Press, 2002. What I expect (enthusiastic, interested,
communicative, a hard worker,
Online
responsible)
Austin, Robert D. “Managing Knowledge Workers.” Science’s
Science.Careers.org (April 26, 2002), http://sciencecareers. What I will offer (be there, help,
sciencemag.org/career_development/previous_issues/ communicate, support career with
articles/1470/managing_knowledge_workers/. communication about goals, funding for
HRhero.com. Extensive resources on firing: http://www. [e.g., length of time])
hrhero.com/topics/firing.html. The university, department, town
Seeding Labs’ website is www.seedinglabs.org. Timing, constraints
Siering, Marlene. “Hire the Best.” Denver Business Journal
(November 17, 1997), http://www.bizjournals.com/denver/
This interview form is adapted from one developed by
stories/1997/11/17/smallb2.html. Tamara L. Doering, Washington University School of Medicine.

University of Michigan Employment and Executive Services.
“Conducting a Successful Employee Selection Process,” http://
www.hr.umich.edu/empserv/department/empsel/index.html.

University of Michigan Employment and Executive Services.
“Electronic Recruitment Resources,” http://www.hr.umich.
edu/empserv/department/empsel/electronic.html.


CHAPTER 4

MANAGING YOUR MANY ROLES

“I KNOW THE PRICE OF SUCCESS: DEDICATION, HARD WORK, AND AN UNREMITTING
DEVOTION TO THE THINGS YOU WANT TO SEE HAPPEN. ”
FRANK LLOYD WRIGHT

The day has finally come when you take up your The chapter is organized in four sections. The first
new position. At least in the space of your own provides a definition of leadership in the context
bench (and in some readers’ cases, maybe across a of directing a scientific laboratory. The second
whole institution), you are the boss! What got you describes a process for developing a vision for
here is your creativity and scientific expertise. But your laboratory. Your main role as a leader will be
you will quickly realize that the day-to-day opera- to organize and motivate the people in your lab
tion of the laboratory—the projects that get done, to enact this vision. The third section is about dif-
how time is spent, which needs get priority—also ferent leadership approaches and how you might
requires strong leadership and management skills. proceed as you develop your individual leader-
ship personality and style. The fourth discusses
This chapter describes the skills involved in leading
the role of the laboratory leader in building and
and managing a group of people, but many of the
sustaining an effective team—that is, how to
principles here can be applied if you only manage
communicate with the people with whom you
yourself and your day-to-day work, even if you are
work, how to motivate them, how to make deci-
still under the authority of a more senior scientist
sions and resolve conflicts, and how to set and
who directs the project of which your work is a
enforce expectations and rules of behavior.
part. It also offers some suggestions on how to
This chapter draws from material developed by
build these skills.
Edward O’Neil, director of the Center for the
Whether or not you are in charge of your own group Health Professions at the University of California–
of workers and thinkers, the basic ideas may help San Francisco, as well as from interviews with
you as you think about how to get the most out of scientists with years of experience running
your resources. As you get ready to start your job, laboratory research programs.
you should work through how you will manage things
as your own research operation grows.

MANAGING YOUR MANY ROLES 45

YOUR ROLE AS A RELATIONSHIPS
LABORATORY LEADER A leader enables others to come together to do
the work at hand in a unified manner. Thus, a
leader must:
WHAT IS LEADERSHIP?
Build and manage teams, including people whose
Before getting into the details of your responsibili-
time and efforts you do not directly control (e.g.,
ties as the head of a lab or head of a project, it is
from other labs or groups).
probably worthwhile to consider the definition of
leadership. Leadership is getting a group of people Steer others to see things your way and to do their
to turn a vision of what needs to be accomplished work in ways that can advance your projects as
into a reality, a history of accomplishment. Leader- they advance their own.
ship starts with a vision that a leader makes into Create an environment where people are able to
reality by accomplishing tasks. A leader’s reach give and receive feedback.
expands when he or she can sway others to help
advance his or her own vision. Thus, building Motivate and support the people working on your
good relationships with others is a key element of project in your laboratory or performing work
leadership. outside your responsibility but essential to your
success.
In practical terms, a leader must perform a num-
ber of functions, from understanding the scale and Delegate responsibility to others when possible.
scope of the problems to be addressed to coming Make fair decisions and manage conflicts.
up with a scientific strategy; from motivating
people to managing budgets and resources. Communicate and listen.

Be sensitive to the motivations of people around
VISION you—understand what they want and need from
their personal lives and their own careers and how
A leader must create a vision and set direction for those needs affect their behaviors.
the lab (see “Creating Your Vision as a Leader,”
page 50). This means developing a clear idea Be an advisor and teacher to others, as well as
of what you are doing, not just with your hands seeking good advice for your own advancement
(see chapter 10, “Expanding Your Influence:
on any given day, but in a larger sense. It means
Training the Next Generation of Scientists”).
thinking through and clearly stating what you want
to accomplish over the course of your scientific
career, and choosing the right people, projects, TASKS
and opportunities to accomplish those goals.
A leader also manages the activities of lab
Developing a vision is not a small effort. In fact, it members, whether that means managing a large
is central to your success. All scientists have limited group or the activities of only yourself and perhaps
time and limited resources. Only by developing a helper. This requires the leader to understand
great research questions that fit your own individual the core activity that he or she is responsible
strengths and the unique resources available to you for directing. Beyond a basic knowledge of the
at your institution or in your country can you thrive. scientific tools and processes used in the lab, to
advance your work you must also be able to:
Design projects and determine time frames for
successfully carrying them out (see chapter 6,
“Project Management”).

Create budgets (see chapter 7, “Getting Funded”).


Seek funding and publish papers (see chapter 7, CHOOSE A BEHAVIOR
“Getting Funded,” and chapter 9, “Increasing
YOU WANT TO MODIFY
Your Impact: Getting Published”).
Say a conflict arises between two people working
In some cases, teach courses
in your laboratory—their projects have converged
(see chapter 8, “Teaching and Course Design”).
and now they are competing against each other
Juggle many different demands at once over who should take charge. You realize that you
(see chapter 5, “Managing Your Time”). should be keeping closer tabs on the experiments
being done by everyone in your lab, and on the
It is not necessary to be a technical expert at interactions among people. How could you train
everything. But a leader has to understand how yourself to stay better informed on the progress
and why various scientific approaches to a problem of their work? What could you do that would help
work and how to choose between possible strate- you stay more generally aware of the tensions
gies for solving the problems using the resources between the people around you?
available.

CHOOSE A SPECIFIC GOAL
LEADERS AND MANAGERS: FOR CHANGING YOUR BEHAVIOR
WHAT’S THE DIFFERENCE?
You should choose a goal that is as specific as
Although the words leadership and management possible, and state it in clear, measurable terms.
are often used interchangeably, they do not mean For example, a goal that states “I will become
the same thing. A leader influences the opinions better at communicating with people in the lab”
and attitudes of others to accomplish a shared is not very useful, because it is neither clear how
goal. A manager, on the other hand, is primarily you will go about reaching that goal nor easy to
an administrator who makes sure that people assess whether you have succeeded. You will be
and processes are in place to achieve the desired more likely to achieve a goal that states “I will
goal. Managers need to be able to plan, budget, meet weekly with the person who is working
organize, and solve problems, in order to keep on project x to discuss in a direct and open way
a complicated system of people and technology progress on the project and any issues that might
running smoothly. As head of a scientific effort, be affecting the work.” This way you will be able
you will need to be both a leader and a manager. to tell if you have or have not followed through.

DEVELOPING DETERMINE A TIMELINE
LEADERSHIP SKILLS FOR COMPLETION

Some of the leadership skills mentioned above, You should set realistic deadlines for assessing
such as articulating your goals clearly enough to your progress. For example, “In one month, I will
develop a vision statement, may come easily to know what everyone in the lab is working on and
you. Others, such as motivating people in your will have set up regular scheduled meetings with
lab or delegating responsibility, may prove more each person so that it will become routine to talk
difficult. “Leadership development” is the process about the progress of the work.”
of improving your leadership skills. Just as you set
yourself a course for acquiring and improving your
scientific skills, you can set yourself one or several
goals for becoming a better leader, and make a
plan for achieving them. Here are some tips on
how to go about it.


ASSESS YOUR PROGRESS HOW TO IMPROVE YOUR
From the beginning you should have clearly stated LEADERSHIP SKILLS
the expected outcomes of your goal, so that
Improving leadership skills is often a process of
you will know whether you have achieved them.
trial and error, but there are some more system-
The questions you want to be able to answer are:
atic ways of going about it.
How do I know I have been successful?

Who are the other people who will notice and LEARN BY OBSERVING
be affected?
To help you define and achieve a specific goal,
What difference will they notice? identify someone who does what you would like
to do. For example, if one of your limitations is
You can gauge whether your leadership skills are that those who work with you frequently seem to
truly improving. First, are you accomplishing more believe that you do not appreciate their work, you
and moving more effectively toward achieving may want to observe how another leader recog-
your goals? It may be useful to open channels nizes and rewards the people in his or her group,
for feedback. This involves asking people in your and then try using the same kind of action in your
lab and your colleagues for feedback on how own lab. Though everyone likes to be rewarded,
you measure up against your desired model you may be surprised to find that simply saying
(see “Giving and Receiving Feedback,” page 59). out loud things you think should be obvious—
In some places, “the boss is the boss,” and it may “I am proud of your consistently excellent work”
seem paradoxical to suggest opening yourself up or “you set a good example for everyone when
to feedback from those who work under you. But you do your work so carefully”—can go a long
you can ask for helpful input about your own man- way toward solving the problem. Seeing a col-
agement style without undermining your authority. league make this kind of comment may remind
For example, you can say explicitly, “I set up you to do it more often yourself.
these regular meetings with you because I want You will need to practice and probably cannot
to be sure that you and I are communicating well copy your colleague directly, because to be natural
about your day-to-day progress. Now that we’ve any approach you try will have to suit your own
done a few, what is your impression of how these personality and situation. Similarly, you probably
conversations are changing things in the lab?” have colleagues and friends who are good public
You might see evidence of success when you speakers, cool under pressure, effective at manag-
learn that the lab is having a problem with an ing time, or skilled at running meetings. You can
experimental protocol before it becomes a crisis, observe these people and identify factors that
rather than after. It does not make you a weaker make them good at these things, and then try to
leader to ask questions that let you check whether adopt these behaviors yourself. You may also ask
you are communicating as clearly as you think you these colleagues for feedback on the skills you are
are. As your communications improve, people developing and seek advice on your own behavior
working with you might notice that overall, they and progress. They will likely be flattered (see
are better informed about how research in the lab chapter 10, “Expanding Your Influence: Training
is proceeding, or they may notice that meeting the Next Generation of Scientists”).
regularly with you keeps their own project on It is always a good idea to stay in contact with the
course. If there are people supervising your work, teachers who have shaped your life and work. But
they may notice that your lab has become more this is especially important if you are starting your
productive or that the people reporting to you are career at an institution that is just beginning to build
more engaged in their work. up its research training. The role models for you at
your institution may be few and far between.


In fact, even though you yourself have just finished GET TO KNOW YOUR
your training, you may be the senior scientist at STRENGTHS AND WEAKNESSES
your institution and thus the one that others look
to for clues about how to manage their projects. In most cases, you cannot change your personal
Those who trained you will be valuable collabora- qualities, but becoming aware of them can help
tors and may also give you useful suggestions you lead more effectively. You can learn to make
on how to run your laboratory, especially if you the most of your assets and work around or
are building up a working group that will both do improve upon your liabilities. Also, thinking about
research and train students who themselves will your personality and preferences in a formal way
need to learn to become successful professional can make you more aware of how your personality
scientists. may shape the behavior of people around you, and
help you direct and support them more effectively.
If your training was done almost entirely abroad, One useful framework for understanding persona-
it is essential that you also follow the examples of lities is the Myers-Briggs Type Indicator test or
laboratory heads in your own country, rather than similar tools. This is not a test that hands out
coming to the institution and saying, for example, labels like “this person is neurotic” or “that person
“At the Pasteur we always did it this way, and so is paranoid.” It is a questionnaire that sorts out
that is how I will run my own group.” Local senior how one person compares to others with respect
scientists know how the system in the present to four factors related to temperament.
country and in the present institution works. Their
example will help you avoid making serious mis- The factors let you gauge quickly whether one is
steps as you develop your career. It is important oriented toward looking inward or toward looking
to pay attention to them, learn from them, and not outward when surrounded by other individuals;
let your enthusiasm for other approaches come whether one is more of an abstract or concrete
to be seen as signs of disrespect or feelings of thinker; whether one prefers logic or is more
superiority to them. inclined toward trusting feelings; and whether the
person is more comfortable with orderliness and
structure or likes things that are “free form.” In
READ BOOKS AND ATTEND COURSES each of these four areas, neither extreme is good
Good leadership and good management are or bad—everyone uses both logic and feelings,
priorities for organizations of all kinds. You can aid abstract thoughts and hard data—but knowing
your leadership development by reading books your preferences and those of the people around
and taking university courses on the subject. you will help you understand how people act in
You could also take a World Health Organization given situations, and understanding the prefer-
workshop on management, or take advantage ences of the people around you can give you
of similar career development activities offered insight into what drives their habits of mind.
at meetings sponsored by large professional For example, someone who loves big ideas may
societies, non-governmental organizations, or frequently argue with another person who loves
public-private partnerships. Many large scientific looking after page after page of data. One may
societies offer workshops on management as think the other is “too obsessed with detail,”
well as on scientific issues in the days just before while the other may think, “it is all ‘what if’ to you
their annual meeting. Tuition is often charged, but —what about the real situation on the ground?”
scholarships may be available—it never hurts to Once these people realize that the issue is not
ask. Many academic institutions provide leader- one another’s vision but rather that they look at the
ship/managerial courses through their business world in different and complementary ways, they
schools/economics faculties. Often such courses may be able to take advantage of one another’s
are offered at convenient times for busy profes- natural strengths rather than becoming bogged
sionals, such as one night per week. down in frustration about each other’s differences.


There is a great deal of commentary online about HOW TO CREATE A MISSION STATEMENT
what these factors mean in terms of how you
interact with other people or ideas. There are many Writing a formal mission statement can provide
questionnaires available online that will provide a you with a cornerstone for building the vision for
Myers-Briggs score. Searching for the phrase “free your lab. This statement describes the kind of
Myers-Briggs” should find a few. Much of the research you want to do, the motivation for your
development around these personality types has research, and the kind of atmosphere in which
been done in North America and Western Europe, you want to work. It should take into consideration
so some of what you read in these descriptions the history and current challenges of your lab and
(especially in the areas of introversion and what you want to accomplish in the short and long
extroversion—one’s openness to other people or term, with an eye to your future work.
preference for spending time alone), will be written If your position is one of higher responsibility, your
with cultural assumptions that may be different vision and mission will be oriented toward the
from those in your own region. achievements of a department and institution as a
A popular way to understand your on-the-job whole. The exercise of writing down a mission and
strengths and weaknesses is to seek feedback a vision may seem artificial, but it can be useful
from those around you, including those above you to capture “the big picture” and to refer to it now
in rank, your peers, and people you admire. You and then to see if you are spending your time and
may be surprised to find that areas you consider effort in ways consistent with moving
your special strengths are viewed by others as you closer to your long-term intentions.
your areas of weakness and vice versa. Feedback As you develop your mission statement, keep in
from others can help you recognize and see past mind the following points:
your blind spots.
Decide what values you want for your lab (e.g.,
scientific excellence, discipline, teamwork,
CREATING YOUR competition). You might think, “These are all good
things, so why not just aspire to greatness?” But
VISION AS A LEADER the values and strengths you see as leading to
Most people understand that the president of a great science may be different from those some-
university or the head of a large institute must one else would pick. Someone who enjoys being
have a vision for what he or she wants to accom- focused might thrive by picking a single scientific
plish. But what about someone running a lab, or problem and focusing great efforts to solving it.
someone working on one project within a larger A different person might thrive on devoting great
laboratory? Even in a very small working group— efforts at many different problems connected by a
one researcher and a technician—if there is no common thread. Some people want to have a lab
where everyone collaborates on projects; others
clear vision of what drives the work and what its
may prefer to have each lab member work on dis-
goal is, someone may head off in his or her own
tinct aspects of a scientific question without much
direction, wasting time and potentially generating
interaction. Knowing yourself—your strengths and
ill will.
weaknesses—will help you determine what you
Without a clear shared goal, small disagreements want to accomplish and how to get it done.
and normal human differences may become
Consider your social, financial, and family goals, in
magnified as individuals’ own preferences may
addition to your scientific ones. They will not be
come to overshadow what is really important for
elements of your mission statement, but they
driving the work forward. Developing a vision for
should help you understand what efforts and
everyone in the lab to share does not limit innova-
resources you can put into your research. This, in
tion. Instead, it provides a foundation for creativity
turn, will help determine the scope of what you
from which new directions may be taken. If you
hope to achieve.
have many people working under you, a shared
vision may help them better understand how you
set priorities.


Craft a statement that you feel comfortable
communicating to your peers, superiors, and lab
DEVELOPING YOUR
members. It does not need to be flowery language; LEADERSHIP STYLE
it should be ambitious but not a grandiose over- Your mission statement is what sets the course for
statement of importance. your lab, but how do you go about directing and
motivating people to accomplish this vision? The
Here are two sample mission statements:
way you carry out your role as a leader is called
The goal of our laboratory is to be among the most your “leadership style.” It will depend largely upon
successful and respected researchers in the area your own personality and the types of experiences
of cancer genetics. The ultimate goal is to help you have had up to now. For example, you may
develop better therapies and cures for cancer. Our find you feel more comfortable making decisions
access to patients with a unique type of cancer on your own, without seeking the input of others
gives us an unusual opportunity to do excellent in the lab or colleagues. Or you may find it difficult
molecular and population work. We will publish to give unsolicited feedback to your students and
our work internationally and seek out excellent postdocs. After a few months, you will most likely
collaborators. We will be recognized for being fair develop a style that you feel comfortable with. But
and collegial colleagues in the broad cancer field management experts tell us that different styles
and as the world’s experts in the cancer that is our are required for different situations and different
specialty. individuals, and that you should practice using a
Our lab aims to understand the mechanisms by variety of such styles to help you navigate through
which cells transport proteins. In particular, we will different problems and challenges.
focus on technical challenges that others have not American management gurus Ken Blanchard and
been able to overcome. A main focus of the lab is Paul Hershey have written about leadership styles
to train the next generation of scientists. We will in terms of a continuing spectrum of directive and
create an environment that is conducive to learning supportive behavior. Directive behavior involves
and testing new skills. clearly telling people what to do, how to do it, and
Keep in mind that mission statements are not when to do it, and then closely monitoring behavior.
operating plans or strategic maps for the lab, but Supportive behavior involves listening to people,
do serve to shape those essential elements. In providing assistance and encouragement, and then
addition, they are not static—they evolve and facilitating their involvement in problem-solving
change with time. One could read them cynically. and decision-making. According to this model, the
But why do that? You are setting out in words your degree to which you direct and support people
hopes for your career and maybe for your coun- who work for you is influenced by their level of
try’s role in advancing science. Think realistically, competence and their commitment to completing
but think boldly about what you can do, and think a given task.
proudly about doing it where you are.
If you have written a mission statement you are Blanchard and Hershey Model of Leadership Styles
pleased with, try saying it over and over to the
High

people in your lab. State it at lab meetings, when
Supportive Behavior

people first join the lab, and when you sit down SUPPORTING COACHING
to write a paper. Every decision you make from
now on, from hiring staff to choosing scientific
projects for the people in the lab to establishing
how communication flows, can be made with this DELEGATING DIRECTING
Low

statement in mind. It will help remind you to ask
yourself whether an action being considered is in Low High
keeping with what you want to achieve and how
you want to achieve it. Directive Behavior

(Adapted from a concept developed by the Center for Leadership Studies, Inc.)


In their model, the four styles of situational DELEGATING TASKS AND AUTHORITY
leadership are:
Many heads of laboratories are reluctant to del-
Directing. This style puts a high focus on getting egate because they fear losing control or power.
tasks done and a lower focus on relationship. When Delegation is important, because it will relieve you
the person you are supervising is not yet qualified of some of the lab’s day-to-day responsibilities.
or is not sufficiently motivated to carry out a task Assigning responsibility does not lessen your
independently, then you need to tell him or her role in the lab. It merely gives you time to handle
precisely what to do at each step. For example, more tasks that suit your position than you could
you may take this approach with a technician who if you had not passed along some of the work that
has just started working in your lab and needs to can be done by another person. Also, delegation
learn an important technique that he or she will be serves to empower and motivate the people who
doing routinely. work for you, and helps prepare them for the
Coaching. This style puts a high focus on both responsibilities that will someday fall to them.
task and relationship. You would continue to direct In deciding whether there is something you could
the actions of the person you are supervising, delegate, ask yourself the following questions:
but would also take the time to explain decisions, What am I doing now that I would like to see
solicit suggestions, and support the individual’s
someone else do? Is there a person in the lab
professional development. This leadership style is
who is capable of handling some of what I do and
the most demanding. It requires a lot of time and
willing to take on a new responsibility? What could
emotional investment on the part of the leader.
I do if I had more free time? One of the tasks
For example, soon after a graduate student joins
you may want to consider delegating is ordering
the lab, you may have to show him or her differ-
supplies. Although you may want to continue to
ent techniques and help the student decide which
involve yourself in approving purchases, someone
experiments to do, but you would explain why and
else can look up catalog numbers and fill in order
how they fit in with the lab’s mission, so that over
forms. If you make all of the reagents in the
time the student will be able to work creatively,
lab, you may be able to delegate that work to a
confidently, and independently.
trusted, careful worker. Other activities, such as
Supporting. This style puts a low focus on task washing dishes or feeding research animals, could
and a higher one on relationship. In a lab, the su- be passed along to less-trained individuals if you
pervisor is likely to adopt this leadership style with are doing these tasks yourself.
most trained scientists and experienced graduate
students. For example, you would give a trained
Once you have decided to delegate the
scientist working in your lab the responsibility to
responsibility for a given task, you need to:
choose what experiments to do, but continue to Be sure you delegate the necessary authority with
discuss what they are. You would also facilitate the responsibility. You may have to explicitly tell
progress by, for example, helping this person find others, “This person is acting in my stead and must
someone to collaborate with so that he or she can be given the priority and access to resources that
get the next step of a project accomplished. you would give me if I was carrying out this work
myself.”
Delegating. This style puts a low focus on both
task and relationship. You would turn over respon- Give clear directions and make sure they are
sibility for decision-making and problem-solving understood; keep two-way communication chan-
to an individual who has become more indepen- nels open.
dent. For example, you might allow a fully trained
scientist who is doing very well in your lab to Clearly define the responsibilities assigned to each
take responsibility for the day-to-day progress of lab member, and make this information known to
one of the lab’s projects, and to function within everyone in the lab.
the context of that project as a fully independent Once you have delegated, follow up to make sure
researcher. the job is being done, without interfering with it.


When you delegate authority to someone, be sure make a big difference to your group’s research
to back that person up when his or her authority is productivity if you make an effort to walk around
called into question. the lab frequently (on the scale of at least once a
day, if you can) and informally chat with people.
Distribute responsibilities fairly among members of
the lab. Keeping your office door open when you do not
need privacy or quiet sends the message that you
Keep in mind that the people to whom you
are approachable and available for scientific and
delegate may view problems that arise as personal
practical questions about the work in the lab. If
failures or as letting you down. They may there-
you would like to be approachable but your many
fore put off telling you about problems. Taking the
obligations prevent you from having an “open
time beforehand to communicate what should
door policy,” try establishing a regular schedule
happen, and anticipating any potential problems,
of hours during which people from your lab group
may save you headaches later. You do not want to
can reliably get a moment of your time without
add to your own burden by having to micromanage
the formality of setting up an official meeting.
your delegations, but sometimes putting some
time into seeing to it that the work starts off well In addition to these informal interactions, formal
is all it takes to ensure a successful transition to meetings are an organized way to ensure that
your delegates’ ability to work independently. everyone is kept informed of the group’s activities
and results and for you to reiterate your expecta-
tions and values. If you have time, it can be
BUILDING AND SUSTAINING valuable to hold regular goal-setting and evaluation
AN EFFECTIVE TEAM sessions—an annual lab retreat for discussing
big picture issues, regular lab meetings involving
Today, more than at any other time in history, the full staff, and scheduled one-on-one advisory
science is a team sport—and the teams keep meetings and performance evaluations for your
getting bigger. Your job as a leader includes trainees and employees. Group activities such as
maintaining good working conditions so that your lab dinners or outings, held periodically, can also be
group can be productive. Recognizing and dealing important for building morale and encouraging lab
with low morale or bad feeling arising among your members to think of themselves as part of a team.
workers (or between your workers and yourself)
requires most people to pay more attention to
human relationships than they did before taking
on a leadership role. For many kinds of work, you I would add that it is important that the boss,
need to integrate people who have different kinds except when out of the lab for meetings or
of technical expertise and backgrounds. Regard- other academic commitments, spend most of
less of the size of your lab or your group, there his time in the lab, arriving early in the morning
are some general guidelines for keeping the team and staying late. Not to give the impression
members motivated and working effectively, from that being the boss one has the privilege to
communicating and giving feedback to setting work less, no matter the nature of your work

”
specific rules of behavior. They are discussed in (desk or bench).
the sections below.

Alberto Kornblihtt, Argentina
COMMUNICATING WITHIN THE LAB
You should communicate with laboratory members
on a daily basis if possible. If you are still doing
experiments at the bench yourself, you will be
accessible to your lab members. But if you spend
most of your time in your office writing papers
and grants or handling other responsibilities, it will


GOOD PRACTICE FOR LABORATORY NOTEBOOKS

Scientists everywhere are expected to keep daily Avoiding fraud. You will be responsible for the
records of their work. These records allow work integrity of all of the work that comes out of your
to be reproduced by others and serve as a record laboratory. Checking notebooks and setting a good
of your progress and the evolution of your ideas. example by keeping exemplary records yourself
A well-kept lab notebook documents failures just will help prevent fraud.
as thoroughly as it documents successes, not only
Defending patents. In many countries, whoever
because it is meant to be a fair record but also
patents an invention first has rights to it. But in
because sometimes what seems to be a failure some places, including the U.S., if you can prove
turns out to be an important insight and the begin- you thought of an idea first, you own it, even if
ning of a new success. Even routine procedures some-one else tries to patent it before you. Careful
should be documented each time they are carried record-keeping can help prove your claims of priority.
out. This not only reinforces the habit of keeping
notes but also preserves a record of how short- New electronic tools for laboratory record–keeping
cuts, “tweaking”, or individual’s way of carrying are increasingly coming into use. So far, they have
out the work changes with experience. not been exposed to much legal scrutiny or been
part of many controversies. For this reason, many
labs continue to use paper records even if they
WHY ARE NOTEBOOKS SO IMPORTANT?
are also using electronic systems.
Spotting problems quickly. Having a look at
everyone’s notebook a few times a month, and
reviewing your own periodically, will help you
ENSURE THAT DAILY RECORDS ARE
ensure that the work in the lab is being done up KEPT OF ALL OF THE WORK IN YOUR LAB
to your standards, and will let you find out quickly The precise way in which to document scientific
when things are not working or when a worker is
research varies from field to field and from place
struggling to achieve an expected result.
to place, but some general rules apply:
Avoiding technical drift. When working in the
Use a permanently bound book, with consecutive
lab, one often comes up with “tweaks” and
dated entries. Never remove pages. Sometimes,
“work-arounds” that make work go faster. When
especially when you have written down a bold
these changes evolve, they should be noted,
new insight or done a profoundly important experi-
especially if they improve the work process and
ment for the first time, entries should be signed
should replace the original method. Keeping an
by you. Periodically, they should be witnessed by
eye on the lab’s notebooks will also help you spot
a scientifically competent reader in case you later
when an attempt at efficiency or convenience
need to prove that your work came before another
causes an established procedure to become less
scientist’s.
accurate or reliable.

Use only pens, preferably with waterproof, solvent- KEEPING A WELL-ORGANIZED RECORD
proof, and fade-resistant ink that does not smear,
to write in the notebook. Organize material with sections and headings.

Make sure that your handwriting is clear and that Identify and describe reagents and specimens
others can read it. used.

Each entry, even for a routine task, should stand Identify sources of those materials (e.g., reagent
on its own, to permit others to replicate the work. manufacturer, lot number, purity, expiration date).
Entries in the notebook should be written in order Enter analytical instrument serial numbers and
of the time the work was done, not grouped calibration dates.
together with related work done on various dates.
Use proper names for items and real verbs to
Loose items like photographs, drawings, or describe how you used them.
machine printouts should be permanently attached
to the notebook pages using glue or staples. Write all entries in the first person, and be specific
about who did the work.
Lab notebooks should not leave the laboratory area
(including the researcher’s office, if it is close to Explain nonstandard abbreviations.
the lab). They should not go to anyone’s home. If Use ink and never obliterate original writing; never
safety and security of the notebook is a concern, remove pages or portions of a page. If you write
a locked, fireproof box in the lab is a good place to out an experiment and do not carry it out, make a
store notebooks overnight. note that it was not done, including a brief expla-
Laboratory notebooks usually stay with the lab in nation.
which the work was done. For this reason, it can Write down some analysis of your results and
be useful for researchers to keep a personal outline new experiments, including their objectives
notebook full of procedures, methods, recipes, and and rationale, suggested by your observations.
other useful information using a second, sturdy
book which they have purchased themselves. This
personal book, which will leave the lab, should
never function as a separate lab notebook.

RESEARCH GROUP MEETINGS Depending on your circumstances, you may not
have the time to meet with your lab members
Many research groups hold weekly or monthly that often, but it is important that you make an
meetings. People in the lab take turns presenting effort to communicate with them as often as
what they have done since they gave their last possible. If you run a very large group working on
presentation. They give an introduction to the pur- several projects, teach individuals who are leading
pose of their individual project or activity, provide these projects to meet regularly with students
some background to get others “up to speed,” or technicians working under them; you will help
share their results and their interpretation, and them learn how to supervise and at the same time
then discuss what they plan to do next. Comments make your workload more manageable.
and suggestions from the research team usually
follow. It is valuable to carry out formal reviews of a per-
son’s progress during these one-on-one meetings
In some labs, a group meeting is a semiformal once or twice a year. These reviews, sometimes
presentation; in other labs these meetings may called “performance reviews,” spell out in writing
be more informal. For example, each person the progress the individual has made since the
discussing what he or she did that week. Informal last review and set future goals. See the Appendix
meetings tend to be much more interactive, but at the end of this chapter (page 72) for a sample
it can still be useful to schedule occasional formal six-month performance review. The review can
presentations so that the individuals training in give you an opportunity to acknowledge and com-
your lab can perfect their ability to speak about ment on the person’s hard work, make note of
their research and learn to look and act like a new skills acquired, and restate your expectations
professional scientist. Another idea is to have for the trainee or employee’s work in the lab.
joint research meetings with other labs. It is good
experience for your lab members to give presenta-
tions to scientists outside your lab. It can help to SMALL GROUP MEETINGS
clarify presentations and may bring out new ideas
Some large labs also have meetings of subgroups
from those who are not so closely involved with
working on specific projects or working with
the projects. It extends your network and that of
specific techniques. This gives everyone who
your students, which is especially useful when they
is working hands-on with the project a chance
are looking for jobs or letters of reference.
to consider and choose different experimental
strategies to generate the best results, and
ONE-ON-ONE MEETINGS together consider logistics and technical matters.
Small group meetings give everyone an informal
Regardless of the frequency of research group opportunity to share tips and tricks, and can help
meetings, it is useful to meet often with each keep morale up when members of the group run
of the people working or training under your up against technical challenges. The benefit of
supervision so that you can keep current with small groups like this for getting new technologies
their progress and any problems they may be and techniques working is so large that it may
encountering in getting their experiments to work. be worthwhile to put together “user groups” of
Invite them to come into your office with their lab personnel working on the same approaches in
notebooks and show you what they have been other nearby labs.
working on. Many heads of labs meet with lab
members for an hour each week. They may meet
with them more frequently immediately after lab
members have finished a series of experiments or
when they notice that a lab member is struggling.


STRATEGY SESSIONS these questions. Such a meeting also helps the
group develop a shared understanding of the
Should you decide that your research needs to lab’s direction and clarifies what needs to be
take a new direction, you may want to call an done and who within the group is interested in
official strategy session. A strategy session what aspects of the new research area. These
helps the group identify the next most important meetings also help you determine how potential
questions and what experiments will answer conflicts and competing interests can be avoided.

DEVELOPING A DATA MANAGEMENT SYSTEM
TO TRACK YOUR LABORATORY’S WORK

Having an orderly system for maintaining lab procedures and information can be very useful, especially
as the personnel in your working group change over time. Think about what kinds of things, from ideas
to pictures of laboratory results, you would like to be able to find quickly. Then develop a system for
labeling these things so that you can find them again. Once you have developed a systematic way of
labeling everything you’d like to be able to find, you can use the search capacity of a personal computer
to make your life much easier.
A good system might name things in a way that indicated the date the item or information was
generated, who generated it, what kind of resource is stored, and where more information can be
found, as well as other information that may suit a given laboratory.
One might index a new plasmid named pJD03, made and purified by Jane Doe on May 22, and described
and recorded in the third volume of her notebook on page 79 as
20092009-05-22 /jd /plasmid prep/ pJD03/III:79
Even with this simple system, if 20 years from now you would like to remember something about a
plasmid you vaguely remember a student making sometime after the Olympics in China but before the
World Cup in Johannesburg, you will have a quick, simple way to find it.
Integrate research and clinical activities and use departmental academic meetings to promote the
clinical relevance of your research program.

WHAT TO STORE
Lab protocols
Primary data in a form that will survive into the future
CDs/DVDs Handwritten data in pen in laboratory notebooks or other high quality paper
Laser-printed computer documents on high quality paper
Lists of specimens and reagents
Information about instruments


JOURNAL CLUB MEETINGS
Finding Good Papers for Journal Clubs
These meetings are an integral part of training
new scientists, and can vary in frequency from Our journal club, which focuses on infectious
weekly to monthly, or as desired. The discussion diseases, has identified 10 leading journals
of a scientific report serves to illustrate how to from which presenters are encouraged to select
(and how not to) construct and test a hypothesis, articles for presentation. Presenters do have
the freedom to occasionally select interesting
what constitutes effective analysis, and how to
or relevant articles from non-preferential
report scientific findings. A journal club meeting

”
journals.
also reinforces the idea that reading current
papers is essential to keeping up with the field. In
addition, these meetings provide an opportunity Brian Eley, South Africa
for you to communicate your values about science
when discussing other people’s work.

HOW TO RUN A JOURNAL CLUB

In many research institutes, members of different labs will get together to discuss published articles
in a particular field or subject. The subject can be very specialized, such as “chromatin,” or broad
in scope, such as “molecular biology.” Reading and discussing articles with others who share your
interests and background will really help you and the people in your lab stay abreast of current
developments. It will also help more junior scientists stay motivated about their own work and learn
about the elements of a sound scientific paper and study.
There are many ways to hold a journal club, but in general, these meetings work best when:
The group meets regularly in the same location at the same time.
Responsibility for leading the discussion of articles is rotated among all of the regular participants.
Articles selected for reading and discussion are of interest to the majority of the group.
Everyone participates actively in the discussion of the articles.

In some groups, everyone in the group reads the paper ahead of the meetings. In other journal clubs
only the person leading the discussion reads the paper ahead of time and the others learn about it
through his or her presentation. Most journal clubs last about an hour, with a portion of the time
allotted to a presentation, followed by a question-and-answer or discussion period. Some journal clubs
take place over lunch; others at other times of the day. Regardless, these meetings are more popular
if some food and drinks are provided.
Typically, the person leading the discussion of a particular article will review the background of the
study, the rationale for doing it, the data presented, and will evaluate both the results and their
interpretation. In the process, the discussion leader should address the following questions:
Is the paper clearly written?
What is the quality of the work described?
What is the quality of the materials, methods, and instrumentation used?
Is the analysis and interpretation of the data valid?
What are the strengths and weaknesses of the chosen experimental design?
Are there any errors that the authors may have missed?
What is the impact of these errors on the authors’ data, interpretations, and/or conclusions?
What is the overall significance of this work to a particular field of study?
Do the conclusions follow from the data?
Are there other, perhaps better interpretations of the data than those presented in the paper?


these outings. After a while, they will occur more
Finding Good Papers for Journal Clubs spontaneously. Do not feel that you always have
to participate, and do not feel offended if you are
Search on Medline for your ﬁeld/subject
not invited to all after-hours occasions, especially
of interest.
if your role in your organization puts you at a much
Look through relevant journals that the higher level of seniority and responsibility than
research institute/university department those on your team.
subscribes to.
Look at papers that your collaborators GIVING AND RECEIVING FEEDBACK
have published.
Giving and receiving feedback is a critical leader-
Discuss papers of interest that have just
ship skill. Receiving feedback from individuals in
been presented at a recent conference,
your lab will help you improve as a leader, and will

”
especially if full papers are available.
help you steer people toward your vision. In turn,
giving them feedback will help them develop as
Susan Mutambu, Zimbabwe scientists and will ensure that your expectations
are met. Even if you have a very formal manner
with your lab, feedback should be given informally
on a daily basis, as well as during formal meetings.
INFORMAL GROUP ACTIVITIES
You do not have to be everyone’s friend in the lab
Organizing social occasions to celebrate a major to do this—providing small comments will do.
accomplishment—publication of a paper, a team Remember that although one often notices criti-
member getting a new job, the group getting a cism and correction more, positive feedback, for
new grant, and so on—is important for promoting example “Thanks for making sure this got done
your shared vision of the lab and building morale. on time,” or “Keep trying, this is a tough technical
In some groups, a souvenir like a copy of the problem that we need to get through, and you are
newly successful grant or celebratory champagne using a good, systematic approach to do that,” is
bottle signed by the whole team, a group photo, also important.
or some other lasting sign of the day is kept and
When you give feedback to people in the lab, try to:
proudly displayed for continued inspiration. Also,
most heads of laboratories agree that it is impor- Time it well. Feedback delivered during stressful
tant that lab members occasionally socialize in a times (e.g., when a grant deadline is looming) is
relaxed, non-work environment. Such get-togeth- rarely helpful, especially when either party is
ers can help promote a team feeling and enhance angry or elated, or when someone walked into a
communication among lab members. As you are discussion not expecting to hear critique, good or
establishing your lab, you might have to arrange bad, about the work.

GUIDELINES FOR EFFECTIVE MEETINGS

Solicit agenda items and distribute an agenda before the meeting.

Have clear assigned roles for the meeting—that is, who will speak, who will take notes, who will
lead the discussion.

For each action item on the agenda, go over discussion points, make a decision, and determine
post-meeting actions.

Discuss what should be on the next meeting’s agenda.

Follow up the meeting with a meeting summary and a to-do-by-what-date list.


need to say explicitly “In the long run, this is the
kind of problem people get fired for. But we are
Components of an not at that stage yet and we will not be as long as
Especially Useful Agenda we can work together and solve the problem. You
and I both know that you are a good worker and
Meeting title, group title, that you struggle with family responsibilities. What
where it will be held, date, time can you do today that will help you get here on
Meeting purpose time for the next five days in a row?” Working
toward small goals can sometimes help good
Desired outcome workers meet your standards.
Expected preperation Present it in a constructive way. Feedback
Attendees and known absences should be seen as a method for improvement
rather than as a punitive step. To this end, ensure
Minutes from the last meeting that the student or other trainee in the lab has a
New business plan for dealing with any problems you have
identified, and arrange a way to monitor progress.
Other business Why does a person come to the lab late in the day
Date and content of next meeting and have an erratic work schedule? Does she have
a problem with getting transportation to and from
the lab? Has he taken an additional job? Suggest
ways to overcome these problems and agree on a
deadline for re-evaluating the problem. You cannot
Be specific and objective. Focus your comments
organize a person’s life for them, but you can point
on first-hand data, actions, and behavior and not on
out solutions, saying, for example, “Maybe staying
the person or speculation about his or her inten-
closer to the lab during the week or catching a ride
tions. For example, instead of saying “You are not
with someone in another part of the institution
focused enough on your work,” or “You do not
would help?”
seem to care about your experiments,” think of a
specific instance that you thought was a problem. Make sure it registers. Feedback is often
“We decided at our meeting that you would do subject to distortion or misinterpretation. You may
these three experiments, but you only did one.” want to ask the student or postdoc to rephrase
what you have said and talk about his or her
Reinforce expectations. Provide feedback in
assessment of the issues you raised.
terms of previously outlined goals and decisions
(“We decided at the last meeting...”). Avoid too much. Select the highest priority
issues to start with, and remember that time and
Avoid subjective statements. An example of
space are needed for integrating feedback. Even
such a statement is “I do not like the fact that you
positive, well-motivated people sometimes have
show up in the lab whenever you feel like it.” Try
to think a few days to assimilate your message.
instead to stick to objective arguments. “If you
arrive at unpredictable times, it is difficult for other Receiving Feedback. In some cultures it is not
people in the lab to know when they can talk to acceptable for someone working or training in
you. Many people depend on your expertise and your laboratory to give you feedback on any
need to know when you are available.” aspects of your own performance. In such
Be very clear about what you want your systems, you are The Boss, and that is the end
discussion to achieve. Sometimes when people of the story. So how can you get feedback if you
receive negative feedback, they feel defeated. want it?
But that outcome may not help you achieve your
intended goal. If you have an excellent worker who
is failing to meet your expectations for working
regular hours in the lab, for example, you may


If possible, invite people in your lab to provide Whether or not you give a talk at the departmental
feedback on specific issues by asking questions seminar next August may be a decision that will
during lab meetings or scheduled one-on-one not carry very serious consequences.
meetings. This feedback will make you a better
When do I need to make the decision?
manager. Make it a point to meet with your
own supervisor, if you have one, on a regular Do I have enough information to make the decision?
basis, and have lunch with senior colleagues to get
How critical are the consequences of this decision?
a sense of how they think your work is progress-
ing and whether you are on track for achieving Who needs to know or cares about the decision I
your scientific and career goals. If you are a very am about to make?
senior scientist at your institution despite having
Will I need assistance or approval from others?
only recently finished your own training and have
little hope of getting honest feedback from your If I made the same kind of decision before, can I
colleagues, it may be that old friends or trusted use the same approach?
relatives can help you work through your growing
Answers to these questions will help you choose
pains. Past advisors may also be able to help with
the most appropriate decision style, that is, the
some issues. If you have entirely trained abroad,
degree to which you go at it alone or include others.
however, you also need to find someone in your
current social and scientific culture who can help
you maintain your perspective and sense of humor. MAKING A DECISION
Regardless of where you get your advice, remem- IN COMPLETE ISOLATION
ber that to get honest comments and suggestions, This decision style works best when you are
you must be receptive. If you respond angrily or under severe time constraints, when there is no
defensively, those in your lab and other colleagues need for buy-in from other people, when you alone
will be reluctant to give you their true opinions. As have the best insight, or when you are dealing
you are listening to a comment, try to understand with highly confidential information. For example,
what the other person is saying. If something is if another scientist approaches you to collaborate
not clear, ask for clarification. If the feedback is on some experiments for a paper he is in a rush
negative, take time to think about what you heard, to publish, you may quickly decide whether it is
even if you do not agree. What behaviors might worthwhile for you to get involved. You can make
have caused these perceptions? What changes, if this decision without consulting anyone else if
any, do you need to make? the work can be done by yourself or a technician.
Another example would be to decide whether to
referee a paper or write a letter of reference for
MAKING DECISIONS someone working in your laboratory.
As the head of a new laboratory you will be making
tens if not hundreds of decisions a day, from MAKING A DECISION AFTER
determining which emails to open and how to
answer each one, to deciding what experiments to
CONSULTING WITH OTHER INDIVIDUALS
do, to choosing to hire a new researcher to work You would use this decision style when you need
in your lab. In each case, the first step in making a input from others and have sufficient time to gather
decision involves understanding the demands of information. In general, this approach improves
the situation by answering the following questions: the quality of the decision, but you run the risk of
involving people who are not really participating in
How important is the decision I have to make?
For example, the decision involved in hiring a
the decision-making process, which may lead to
new technician is a serious one. You will have to
resentment or misunderstanding. For example, if
interview the candidate and carefully research his approached by another researcher to collaborate
or her background before you make a decision. on a project, you may ask your colleagues whether


they know this person and what his or her reputa- SETTING AND
tion is. The head of a laboratory considering taking
on a new research direction may consult with the COMMUNICATING RULES
head of the research institute or other colleagues. OF BEHAVIOR FOR MEMBERS
But the decision ultimately rests on the shoulders OF YOUR LABORATORY
of the laboratory head. Do not let those you consult
believe that they have control of your decision. A key element of your role as a lab leader is to
effectively convey expectations that reflect your
vision for the lab. Some expectations may apply to
MAKING A DECISION WITH THE GROUP a particular group of lab members (e.g., postdocs);
This decision style is helpful when you have few others may be unique to each individual. You might
time constraints, need the buy-in or technical be formal about stating your expectations, or you
experience of the group, or need a creative may want to work with your lab members to set
response. It is more time-consuming than the two these expectations. This can increase the likeli-
discussed above, but in some cases it improves hood of buy-in and help increase motivation. The
the quality of the decision. For example, when best way to communicate expectations is to convey
deciding whether or not to invite an individual to them continually—at the first interview, on the first
join your lab, you may decide jointly with existing day on the job, at lunchtime if you eat with your
lab members. Another example is if you have group, during lab meetings, and, most importantly,
to decide whether or not to buy a new piece of by setting a good example yourself day by day.
equipment you have little experience with. There It is also a good idea to communicate in writing
may be other scientists working in your lab who your expectations about everything from expected
are more knowledgeable and can make a better work hours to dress code to how one gains access
decision on which particular model to buy. It does to training opportunities and advancement. Having
not diminish your authority to say to a trusted these standards written down is especially good
subordinate, “Since you are the one who will be for new lab members and will be useful when you
the most involved in running this machine, get the are conducting periodic performance reviews. As
one that suits you best.” a general rule, you should live by the expectations
you set for your lab members. Show your workers
PASSING THE DECISION ON TO OTHERS that you enjoy what you are doing. Especially in
the early years, be present in the lab, working side
This happens in cases when the decision is more by side with them if your position still includes
important to other people in the lab, or when you bench work, or showing interest in their work if
have little competence in the area or other more your role is more administrative. They will be able
pressing priorities. The most important thing to to see how you work and what is important to you.
consider in this case is that you will have to live
with the decision, whether you like it or not. The Below are some general areas you will want to
last thing you want to do is overturn a decision consider when setting expectations for people in
once it has been made. For example, you might let your lab.
a senior scientist training in your laboratory decide
on his or her own whether to collaborate with WORK HOURS
another scientist or where to submit a paper, if
you believe that the trainee has good judgment Some heads of laboratories feel they should stipu-
and enough experience to make a mature, late a specific number of hours per week that they
informed decision. expect people in their lab, especially trainees, to
work. But that strategy does not necessarily work
well and can generate resentment if the hours


QUESTION
q&a
How do I avoid potential misunderstandings among lab members regarding work hours
and time off?

ANSWER
The best way to handle this is to convey your expectations about work hours and time off to applicants
during the employment interview or their first day on the job. For example, the amount of vacation leave
varies from country to country, and the degree to which civil and religious events affect work also varies.
You should let applicants know about your institution’s and your lab’s policies.

demanded are far beyond normal expectations. AUTHORSHIP OF PAPERS
Focusing on productivity will prove more success-
ful than focusing on the number of hours or on the The inclusion and order of authors on a paper
specific hours an individual works. Nevertheless, are often sources of discord in the lab. In decid-
you will probably want the members of your labo- ing who should be an author on a paper, the
ratory to be present during certain hours, to make Principal Investigator (PI) must consider who has
sure they can interact with you and the other lab contributed to particular aspects of the work. All
members. Generally, your own work hours set the lab members who are involved in a project should
pace for your group. In some places, laboratories express their expectations concerning authorship
may be capable of running around the clock. While and credits on the resulting paper, and provide
in others, work is confined to the normal business their rationale for being considered as an author.
day. If you want people to have access to the lab This topic is discussed at greater length in chapter 9.
at unusual hours, you will need to think through Here are some guidelines to consider:
issues of key control and your workers’ security
The first author is normally the individual who is
as well as that of your laboratory and the supplies
primarily responsible for the project.
and equipment in it.
Occasionally, two individuals may share that
responsibility. Most journals permit a statement
PROLONGED ABSENCES
that indicates that the first two or three authors
Communicate your expectation that lab members listed have each contributed equally to the publica-
should give you several weeks notice about an tion. This can be helpful, but remember that the
upcoming vacation or their intention to spend author lists when cited in publications or on one’s
a holiday or harvest period away from the area. CV will not have this statement attached.
Inform them of any vacation and personal leave
It is unwise to make upfront promises about
limits set by your institution. Your institution may
authorship. You may choose to make it a policy in
also have guidelines about sick leave, study leave,
your lab to wait until you know how much each
maternity and paternity leave, funeral leave, and
person has actually contributed to any given paper
other adjustments for family needs. It is best to
before authorship is assigned.
follow these guidelines rigorously to avoid
perceptions of favoritism.


WHEN THE “BIG BOSS” EXPECTS TO BE AN AUTHOR

Depending on the protocol of your country or your particular institution, you may have little choice decid-
ing whether your boss should be on the paper. At some research institutes, the head is on every paper,
period. This may be the reality at some institutions, but around the world it is regarded as scientifically
dishonest and quite unethical. There may be no other topic in this book where the gap between the
right thing to do and the pragmatic thing to do is so large.

Of course, if the “big boss” provided ideas or suggestions that were crucial to the development or
completion of the study, he or she should be listed as an author. However, in many cases your boss will
have had little input into your work. And listing this person as an author may communicate to readers
that you are not an independent scientist. So how do you decide whether or not to list him or her as an
author? Here are some things to consider:

If this person is a recognized authority in the field of work of your study, listing him or her as an author
may actually help you get the paper published. Would an accompanying letter to the journal editor from
the authority, rather than the authority’s name on your paper, help as much? It is hard to know. Finding
ways to truly involve the authority as a collaborator in your work may give you a strategy for maintaining
your integrity.

If listing your boss as an author will win you his or her favor and will help you advance in your career,
it may be to your advantage to do so. If leaving the boss off your papers will ruin your position at your
institution, what can you do? This is a difficult problem, though, and in some places a politically danger-
ous issue to confront directly. But setting aside your integrity is never the right thing to do.

In deciding whether to include someone as an SCIENTIFIC ETHICS
author, ask: “Could this project have been done
without this person’s conceptual or technical The best way to communicate responsible
contribution?” research conduct to your lab members is to live
by those values yourself. As a leader, you should
If you are running a lab and overseeing all of the talk about important ethical issues (e.g., scientific
work conducted in the lab, you may always be an rigor and reproducible and discrepant results)
appropriate author on any paper the lab publishes. in a lab meeting or in a more informal setting.
However, if you have a more senior position and Some institutions offer lectures or seminars in
are in charge of several labs, you should consider scientific ethics, and you should encourage your
carefully about when it is appropriate to be an staff to attend. This material is also sometimes
author. The importance of your name being on the delivered at large scientific meetings or in work-
paper will vary from place to place and situation to shops offered by the World Health Organization
situation. and other agencies.


THE INTERNATIONAL COMMITTEE OF MEDICAL JOURNAL
EDITORS CRITERIA FOR AUTHORSHIP OF SCIENTIFIC WORK

Authorship credit should be based on 1) substantial contributions to conception and design, or
acquisition of data, or analysis and interpretation of data; 2) drafting the article or revising it
critically for important intellectual content; and 3) final approval of the version to be published.
Authors should meet conditions 1, 2, and 3.

When a large, multi-center group has conducted the work, the group should identify the individuals
who accept direct responsibility for the manuscript. These individuals should fully meet the criteria for
authorship/contributorship defined above and editors will ask these individuals to complete journal-
specific author and conflict of interest disclosure forms. When submitting a group author manuscript,
the corresponding author should clearly indicate the preferred citation and should clearly identify all
individual authors as well as the group name. Journals will generally list other members of the group in
the acknowledgements. The National Library of Medicine indexes the group name and the names of
individuals the group has identified as being directly responsible for the manuscript.

PROJECT OWNERSHIP Choice. People want to make some decisions.
As the leader of your group, large or small, make
The head of the laboratory, with input from sure you give people appropriate responsibilities,
individual members, usually decides what projects involve them in discussions about general scien-
people in the lab work on. Some labs have strategy tific strategy, and listen to their ideas.
discussions every three to four months, during
which everyone talks about what projects they Competence. People need the skills to do the
would like to continue or initiate. Work in the lab work that is expected of them. Check competen-
is most effective and productive when members cies by asking someone to do an experiment with
have clearly defined projects that are sufficiently you, or ask appropriate questions that will help you
distinct for each person to carry out some indepen- judge the individual’s development.
dent work, but at the same time the projects are Purpose. People need to understand the impor-
interrelated so that no one is working in a vacuum. tance of their role in the lab and in the scientific
This way, everyone in the lab can consult with and enterprise. It is important for you to set goals that
motivate his or her lab mates. define success for those working under you and
make sure they match with what the person is
doing. This matters for everyone. The scientific
KEEPING LAB MEMBERS needs of your trainees are obvious, but remember,
MOTIVATED an excellent technician may be driven by goals in
and outside science, and that even dishwashers
One of your key roles is to motivate people to and other less-skilled helpers are working with you
work hard toward achieving your shared vision for reasons that are important to them. It is impor-
and your shared interests. While different people tant to listen to what each person wants to do and
respond to different types of internal and external understand what his or her goals are. If a postdoc
motivation, most people are motivated when their has decided to pursue a career in government or
contributions to the laboratory are recognized and in industry, trying to motivate him or her to follow
appreciated. According to Edward O’Neil, to feel in your footsteps into academia will not work. As a
motivated, most people require: lab leader, you need to address your lab members’
individual goals while you work together to realize
your shared vision.


POLICY ON LETTING PROJECTS LEAVE THE LAB

You should develop a clear policy concerning whether you will allow scientists who train in your lab, and
then leave to establish their own research programs, to take their projects with them. Communicate
this policy to all scientists who join your lab. Some heads of laboratories let scientists who trained in
their labs take whatever they had worked on during their stay, with no strings attached. Others will let
them take only portions of a project. When you develop your policy, think about how you would want to
handle a situation in which the research results are different from what you anticipated, or a situation in
which the results lead to interesting new avenues of research. If you have a small research group and a
focused area of research, you may not be able to allow departing researchers to take their projects with
them. In that case, you might need to develop some alternatives to benefit them.

Recognition. You need to provide continuous Enthusiasm. You undoubtedly love science for
feedback to those who work with you. Criticism, the thrill of discovery, of finding the answer to an
comments, and suggestions should be provided important scientific question that has never been
in the context of the given expectations. Special answered before, or helping find solutions to an
accomplishments, such as publishing a paper or intractable health problem. Share your enthusiasm
getting a difficult technique to work, require special and passion and soon others in the lab will follow
recognition, such as a lab outing. your lead.

Feeling Comfortable. To be able to focus on Unless also wrestling with personal problems,
their work, people must feel comfortable in their poor health, or family problems, when these
environment. One example is that some lab mem- factors are in place, people should feel motivated
bers like to play music in the lab, while others are to work. A lack of motivation may manifest itself as
distracted by it. The working environment needs a decrease in productivity. For example, someone
to be safe and, if possible, comfortable, so that who was productive will stop producing results
your lab members look forward to coming to work consistently week after week. You will first need
every day and enjoy conducting research in your to determine the cause for this decrease. Is it an
lab with their colleagues. interpersonal problem in the lab, an experimental
Progress. Satisfaction from achieving goals should obstacle, or a personal crisis? Discuss the problem
not be in the distant future. It is a good idea to with the lab member and see whether you can
schedule individual meetings as often as once a jointly develop a strategy to address the issue or
week to set deadlines, solve problems, and plan minimize the impact of the lab member’s actions
future experiments. A paper is a big goal but may or distress on others.
be several years into the future. But getting an
enzyme to work correctly or processing a given
number of samples can be goals that are attainable
much sooner, and are encouraging.


MANAGING CONFLICT it sometimes seems justified, the mistake many
scientists make is to stay in an individualistic,
IN THE LAB competitive mode all the time. For example, if the
Conflict is any situation where one person’s head of another lab asks you for a reagent that you
concerns or desires differ from those of another have not yet cited in a publication and that one of
person. In the lab, conflicts often arise over “turf the people in your lab is using for a project, you
wars,” when two individuals are interested in may decline to share the reagent until your lab
the same project. By staying on top of what each has published a paper referring to it. The decision
member of your lab is doing, you can often spot will probably make you unpopular with the other
potential problems and deal with them before they scientist, but you are safeguarding the interests of
become too serious. your lab.

Many people tend to avoid conflict. But we should Accommodating. This mode is unassertive and
think of conflict as a creative part of our lives. cooperative. In other words, it is the opposite of
Conflict has the potential to produce both positive competing. Accommodators often neglect their
and negative effects. Depending on how it is man- own concerns in order to satisfy the concerns of
aged, conflict can be constructive or destructive, others. The accommodating mode may be appro-
stimulating or unnerving. It can produce higher priate when you want to build political capital or
quality results or stifle a project; it can lead to origi- create good will, and for issues of low importance.
nal thinking or cause destructive power struggles. However, keep in mind that the accommodating
mode can be a problem if you keep a tally and
expect that the other person will be accommodating
STYLES OF HANDLING CONFLICT next time. For example, you and your collaborator
Dr. Kenneth W. Thomas and Dr. Ralph H. Kilmann are sharing a piece of equipment that just broke
provide a useful model for evaluating an individual’s down. He is insistent that you pay for the repairs
behavior in conflict situations. The Thomas-Kilmann since your lab uses it more. You do not agree, but
Conflict MODE Instrument describes a person’s you give in on this one because you know that his
behavior in a conflict situation along two basic lab uses all the other shared equipment more—so
dimensions: assertiveness, that is, the extent to it will be his turn next time a piece of equipment
which an individual attempts to satisfy his or her needs repair.
own concerns, and cooperativeness, that is, the Avoiding. Avoidant behavior is both unassertive
extent to which an individual attempts to satisfy and uncooperative. Those who avoid conflict do
the concerns of the other person. not immediately pursue their own concerns or
These two basic dimensions of behavior can be those of others. The conflict is never addressed by
used to define five specific modes of dealing with avoiders. Many times people will avoid conflicts
conflict that everyone is capable of using. out of fear of engaging in a conflict or because
they do not have confidence in their conflict
Competing. This conflict-handling mode is management skills. However, avoiding can be a
assertive and uncooperative. A person who good strategy in cases where the person with
handles conflict in this manner pursues his or her whom you are in conflict has much more power
own concerns at the other person’s expense. than you do or when issues are not that impor-
They use whatever powers seem appropriate to tant. It is also a good strategy when you need to
win their position, including their ability to argue or buy time. An example of how to do this is to say
their rank. This conflict mode works when you are “These are serious changes. I will need some
dealing with a vital issue, an unpopular decision, time to think about them.”
or a decision that needs quick action. Although


Collaborating.This conflict-handling mode is teaching responsibilities. She tells you that she
both assertive and cooperative. It is the opposite is desperate and needs you to teach a course
of avoiding. Collaborators attempt to work with for 200 students, including labs, during your first
the other person to find some solution that fully semester. You point out that it is stipulated in
satisfies the concerns of both persons. They dig your contract that your first semester would be
into an issue to identify the underlying concerns free of teaching responsibilities; however, you are
of the two conflicting individuals and try to find an willing to teach a smaller, graduate-level course.
alternative that meets both sets of concerns. With You of course would rather not teach anything and
such a positive outcome, some people will profess are not contractually bound to teach in your first
that the collaboration mode is always the best semester, but you also know that it is in your best
conflict mode to use. But collaboration takes a interest to accommodate your chair’s wishes as
great deal of time and energy, so it should be used much as possible.
only when the conflict warrants that investment
Each of these conflict-handling modes has value;
of time and energy. For example, if two students
none is intended to be good, bad, or preferable
in your laboratory are arguing over who should do
in all situations. A worthwhile goal for you as the
a particular experiment, you might want to spend
head of a laboratory or project is to increase your
the necessary time to carefully carve out different
repertoire of responses to conflict, with the flex-
projects in a way that will satisfy both students.
ibility to use various modes in different situations
On the other hand, if your students are in conflict
and in appropriate ways.
about which day to hold a lab meeting, it is prob-
ably not worth the time and energy necessary to The people who work for you in your lab will also
collaboratively resolve the conflict. tend to adopt one style of handling a conflict
over another. You will have a mix of competitors,
Compromising. On the negotiating continuum,
accommodators, and avoiders. Show them by
this mode lies somewhere between assertive-
example that there are different ways of handling
ness and cooperativeness. The goal of the
conflict, depending on the situation.
compromiser is to find an expedient, mutually
acceptable solution that partially satisfies both Resolving a conflict between lab members. When
parties. The compromiser gives up more than the conflict occurs between two or more members of
competitor, but less than the accommodator. He the lab, determine whether it is necessary for you
or she addresses an issue more directly than the (or someone you delegate) to step in and facilitate
avoider, but does not explore it in as much depth a resolution. Usually, people will be able to resolve
or detail as the collaborator. This mode of conflict their own conflicts, but make sure a conflict does
resolution is useful for decisions of moderate not fester to the point that it affects morale and
importance, when you have equal power status, the atmosphere in the lab. Here are a few tips for
or when you are faced with an issue that needs to how to help resolve conflict in the lab:
be resolved quickly. In general, academics tend to
Try to create an environment that accepts conflict,
underutilize this mode of handling conflict.
as long as the difficulties are faced openly and
For example, say you are invited by a collaborator honestly by the people involved. Although different
to give a talk at his university in a different country, cultures differ in how they deal with conflict, open
but you do not want to add more days of travel to disagreement and its positive resolution is a key
your busy schedule. You may agree to do it, but part of science. When it comes to matters of
time it so that it coincides with a meeting or other technical work issues and data, it is good to have
event in that country. Another example is if the an environment where people feel free to express
head of your department or university goes back differences, even if those differences are between
on her agreement to give you a semester free of individuals who are at different levels of power,


STEPS FOR DEALING WITH CONFLICT

When faced with conflict:

Access the problem.

Identify your interests.

Assess the other person’s interests.

Select a strategy that balances the importance of the problem, time constraints, power differences,
and the relationship of the people involved.

status, or seniority. The head of the laboratory RESOLVING CONFLICTS BETWEEN
can actively reinforce openness by lab members,
YOU AND OTHERS IN THE LAB
especially the participants in a conflict episode. It
is up to you to make sure that people’s pride and Conflicts between the head of the laboratory and
dignity do not become too wrapped up in matters the lab members also occur. Such conflicts are
of nature. In the end, the data are the data, no important and influential in developing the future
matter which person harvested it. course of the lab, particularly during the early
stages. The leader can demonstrate interest in
Help the individuals involved get together to discuss
receiving and understanding negative feedback
and settle the disagreement. The head of the lab
and show a willingness to learn from it, when
may, for example, invite the people involved in a
appropriate. The leader must avoid the trap of
conflict to the office at a designated time to
dropping his or her leadership responsibilities and
discuss the problems openly and honestly, and
responding to the challenge by becoming “just
come to a resolution.
another lab member.” In other words, as the
Make sure each person understands the other’s head of your laboratory, you never have just your
point of view. The head of the lab can do this by interests at hand but always those of the lab as
summarizing, clarifying, focusing questions, and a whole.
encouraging listening by each person.


RESOURCES
Barker, Kathy. At the Bench: A Laboratory Navigator. Cold APPENDIX
Spring Harbor, NY: Cold Spring Harbor Laboratory Press,
1998. Performance Review Form
Baron, Renee. What Type Am I? Penguin, New York, NY, Please complete part A in advance and
1998. bring it to our meeting or email it to me.
Boice, Robert. The New Faculty Member: Supporting We will discuss part B together at our
and Fostering Professional Development. San Francisco: meeting, but you might want to look over
Jossey-Bass, 1992. the topics.

Committee on Assessing Integrity in Research Part A. Six-Month Review of Goals
Environments, Institute of Medicine. Integrity in
Date:
Scientific Research: Creating an Environment that
Candidate:
Promotes Responsible Conduct. Washington, DC:
National Academies Press, 2002. I. Accomplishments
II. Goals for the next six months
Drucker, Peter F., The Essential Drucker: The Best of
III. Long-term goals
Sixty Years of Peter Drucker’s Essential Writings on
Management. New York, NY: Collins Business, 2001. Part B. Joint Feedback Meeting
Goleman, Daniel. Emotional Intelligence. Bantam Books, I. Feedback on training
New York, NY, 1995. Frequency of interactions
Harmening, Denise M. Laboratory Management: Quality of interactions
Principles and Processes. Upper Saddle River, NJ: Level of involvement
Prentice Hall, 2003. Positive aspects of interactions
Areas for effort/improvement
Kanare, Howard M. Writing the Laboratory Notebook.
New York, NY: Oxford University Press 1998. II. Comments from advisor
Quality of work
O’Neil, John. Leadership Aikido: 6 Business Practices Organization and efficiency
That Can Turn Your Life Around. Pittsburgh: Three Rivers Knowledge base
Press, New York, NY 1999. Communication skills
Reis, Richard M. Tomorrow’s Professor: Preparing for Working relationships
Academic Careers in Science and Engineering. New York: Leadership/supervisory skills
IEEE Press, 1997. Areas for effort/improvement

Online III. Summary of discussion
Uniform Requirements for Manuscripts Submitted to Strengths/achievements
Biomedical Journals by the International Committee Areas for effort/improvement
of Medical Journal Editors (ICMJE) lays out a widely- Scientific goals
accepted set of criteria for authorship of scientific papers. Long-term plans
http://www.icmje.org/index.html#author.
Lab Director:
The U.S. National Academy of Engineering has a range Lab Member:
of materials relating to scientific ethics available online at Date:
http://onlineethics.org/.

(This form was created by Tamara L. Doering, Washington University
School of Medicine.)


CHAPTER 5

MANAGING YOUR TIME

“SUCCESS IS NOT THE KEY TO HAPPINESS. HAPPINESS IS THE KEY TO SUCCESS.
IF YOU LOVE WHAT YOU ARE DOING, YOU WILL BE SUCCESSFUL. ”
ALBERT SCHWEITZER

Science can move very fast and the demands it years. Try not to be overwhelmed, and at work
places on your time will sometimes become large. and at home take life “one step at a time” without
On top of the work itself, there will someday— worrying too much about the distant future. Your
maybe now—be invitations to present your work, hard work during this start-up time will pay off,
serve on peer review and advisory committees and the dividend will be a better and much less
for grant makers and publishers, provide advice hectic life.
to government and international bodies, and
From a practical perspective, one of the most
more. All of this spent time, from working hard
daunting challenges for beginning investigators
on a problem that has finally begun to unravel to
is learning how to fit all the things that make up
going away to share your expertise, advances your
your life into a 24-hour day and a 12-month year.
career. And much of it is exciting and pleasurable
You will need to deal with the practical aspects of
and helps make the world a better, safer, healthier
running your lab, such as hiring staff and writing
place. But there are only 525,600 minutes in a
grants. There will also be the needs of your
year, and science is not the only part of your life
personal life, such as maintaining a household and
that requires your time. How can you balance
seeing to your children’s education and caring for
science’s demands with those of the rest of your
your extended family. You will also need to spend
life—home, family, community, and self?
time establishing relationships with colleagues
Learning to manage your time will help you make and competitors in your own country and beyond.
the most of every work day during this phase of Such demands may be even more pronounced
your career. Life goes through phases—in the next if you trained abroad, because you will have
few years you may be laying the foundation of already sacrificed months or years by going away,
your career, raising your children, and growing in and may have also gotten used to not having to
responsibility within your institution, your country, account for yourself to your institution or your
and your community. It is important to tend to family quite so often.
your work life and home life during these start-up

MANAGING YOUR TIME 71

If you have left your own country to train, on your STRATEGIES FOR PLANNING
re-entry you may go from being a trainee to being
a leading expert in your field, or you may come YOUR ACTIVITIES
back and find yourself relatively low in the pecking
order among the trained scientists at your institu- DEFINING GOALS
tion. Before you even have a chance to set up
your own lab, you may be pulled away by travel, Planning is a process that starts with a goal. Once
sitting on panels, or advising other colleagues. you have set a goal, you can identify the steps
Similarly, if you have trained in your own country necessary to move toward it. Goals come in
and now have been promoted to new responsibili- descending sizes, each of which informs the next:
ties, or moved to a new institution, you will face long-term goals (years), intermediate-term goals
new challenges. (months), and short-term goals (weeks and days).

Many returning scientists come home to substan- Long-term goals are likely to be a combination of
tial demands from extended families who have tangibles (e.g., promotions within your institute,
made large sacrifices and have placed great hope service to the government, service at a high level
in their success. The needs of parents, siblings, to an international organization such as the World
grandparents, aunts, uncles, and communities Health Organization or the Pan American Health
who have made such an investment in one’s Organization) and intangibles (e.g., a satisfying
career are very important, but these needs can personal life and the various milestones that
also create large time demands. In the end, trying define such a thing for you) that may change over
to build a successful career at the expense of the time, making goal-setting an ongoing process that
things that make life worthwhile does not work. you should revisit periodically. In defining your
Even though you will have to work very hard when long-term goals, you are also defining yourself—
you are an early career scientist, you also need to who you want to be, and how you want to be
preserve time and energy for the other things that perceived.
are important to you. Intermediate-term goals, such as publishing a
Finding ways to manage all of these demands paper, are often composed of many short-term
can be a challenge for a scientist starting out in a objectives, such as preparing figures and writing
career. This chapter discusses planning strategies text. Short-term goals are the ones written on
that are critical for successful time management, your weekly and monthly calendars—the small,
such as defining long- and short-term goals and concrete, finite tasks that can swallow your time.
setting priorities. Tips for day-to-day time manage-
ment are also presented. The chapter also offers GETTING FROM HERE TO THERE
guidance on managing institutional committee
service commitments, balancing research and Take the time to craft a formal plan, beginning
teaching, and juggling the demands of home and with your long-term goals. Then set interim goals
work. In addition, it covers some issues specific along the way that are realistic indicators of
to physician-scientists, who may also need to be progress. By setting achievable goals, you avoid
spending considerable time in the clinic and may having too much to do and not knowing where to
be called on frequently to help family and friends begin. Accomplishing just one goal can serve as a
get appropriate health care. powerful motivator to tackle the next goal.
Write down all of your goals, with each achieve-
ment tied to a specific time frame. Putting your
ideas into words can help refine your thinking and
provide a concrete checklist to keep you on target.
Every so often, take a look at your plans, reflect
on them, and revise them as appropriate to chang-
ing circumstances. Priorities shift; be prepared to
reevaluate yours, but also to defend them.


CHECK YOUR WORK: THE 90-YEAR THOUGHT EXPERIMENT

Imagine how old you will be at the end of your life, if you are lucky and healthy. Now think backward.
In other words, what do you want to be able to see when you look back at your life at age 90? What will
you need to be doing in your life at age 80, 70, 60, 50, 40, 30 for that dream to come true? What needs
to be true about your life and your career this year, or ten years from now, if you want to be on track to
be the person you picture yourself to be at 90? If what you are doing today does not get you there, how
can you change course a little (or a lot) to make sure you achieve what you want to achieve? If your
track clearly leads away from your vision, does this tell you that what you think you want to be doing at
90 is not really what is right for you? Or does it tell you that what you are doing today might not be your
heart’s desire? How can you prepare yourself and those around you for a life that may lead you some-
where quite different from the common assumptions? Or if you want a life much like those of your
parents and grandparents, how can you make science fit into that tradition?

LIFETIME GOALS INTERMEDIATE-TERM GOALS
At the end of your life, looking back, what do you These goals can be achieved in six months to a
want to see? Accomplishments? Wealth? Happy, year. For example, you might be thinking about
healthy great-great-grandchildren? It is important the experiments needed to complete your next
to check in with yourself now and then to make paper or to put together a poster. Completing
sure that the things you are chasing are really the publishable chunks is an essential intermediate-
ones you want to catch. term goal for faculty. Other goals of similar scope
include obtaining preliminary results for a grant,
putting together a new course, or organizing a
LONG-TERM GOALS
scientific meeting.
These goals can be achieved in three to five years.
Before jotting down your long-term plans, first ask
SHORT-TERM GOALS
yourself where you want to be after this stage in
your career. For example, if you are training in a These goals can be achieved in one week to one
foreign lab, do you plan to return to your home month. They include preparing figures for the
country or remain abroad? If you wish to remain paper you are writing, completing an experiment,
abroad, for how long? A lifetime? A career? preparing reagents for the next set of experi-
Until you are well-established? At what type of ments, or writing letters and making phone calls
institution? At a research-intensive institution? to secure a seminar invitation. If you find it hard
At a university much more dedicated to teaching to get organized, make a daily or weekly to-do list
students than to doing research? At a government and check tasks off as you complete them.
ministry? An international organization? When you
have those answers, then ask yourself, “What will
I need to accomplish to make myself competitive
for that job?” If you are an assistant professor, you
probably want to work toward promotion. “What
will I need to do for that—how many papers,
invited seminars, professional meetings, and other
accomplishments?”


MAKING CHOICES MANAGING YOUR
TIME DAY-TO-DAY
SAYING NO, SAYING YES Many people find long-term goals easy to set—
One of the simplest things you can do to stream- for example, “I want to be a professor by the
line your life is also one of the hardest for many age of X.” More difficult is the daily multitasking
people—learning to say no. Remember, you can- —managing the flood of small chores that can
not do everything, please everyone, be available threaten to drown even the most organized
to everyone, and at the same time be a success- professional. This section covers how to make
ful scholar. There are certain tasks to which you the most of the time you have.
must say no, and others for which it is fine to
deliver a less-than-stellar performance. Making FINDING SOME EXTRA TIME
such choices will allow you to focus on doing
an outstanding job in what is truly important to To be able to focus and think creatively, you need
you. Establishing these priorities depends on the blocks of uninterrupted time. Here are some tips
intermediate- and long-term goals you have set to help you do this:
for yourself. Get your email under control. If you are lucky
Saying yes judiciously will make it easier for you enough to have administrative help, have an assis-
to say no to things you do not want to do. Since in tant screen messages and flag time-sensitive ones
most jobs you must accept some administrative for you. You can also print email messages that
assignments, try to make them work for you. require a personal reply and hand write responses
Explore the options, and sign up early for duties during short breaks in your day. Then have your
that either interest you or will work to your advan- assistant type and send them later. If you do not
tage professionally. This may give you leverage have an assistant, set aside specific times of the
to turn down administrative duties that have less day for reading and responding to emails or take
value to you. hard copies of your emails home and read them in
the evening.

Use a telephone answering machine or voice mail
MAXIMIZING RETURNS
service.
Given the ever-increasing demands on your time,
If one is available to you, invest in a family cell
it is impossible to do everything perfectly. Decide
phone plan—one which provides a few family
which projects need to be completed to near per-
phones and makes calls between them inexpen-
fection (e.g., your grant application) and which do
sive—to make sure you are available for family
not (e.g., a draft of a manuscript you are reviewing
communication and emergencies when you have
for a collaborator).
silenced your office phone.

Close your office door or come in early. A sign
DISCONNECTING on your door that reads “knock if important” lets
Part of saying no is also not being available on your students and colleagues know you are in and
demand. Today’s technological “conveniences” working but do not want to be disturbed. Working
are often needless interruptions to concentration. during the early hours of the day, whether at the
Any sound strategy for time management involves office or lab or at home before the family is awake,
learning to disconnect and become the master of might buy you precious focused time away from
those tools rather than their servant. clamoring students and colleagues.

Close your lab door if you are still working at the
bench yourself. Securing uninterrupted time in the
lab is important if your advancement depends on
what you can get done with your own hands
during the day.


Make and keep appointments with yourself: Find SETTING PRIORITIES
a quiet hideaway for thinking, writing, and reading
and use it on a scheduled basis. This practice trains On the basis of your goals, decide what you need
people to expect that you will be inaccessible at to do and when, and follow the ‘keep it simple”
predictable times. rule. A grid that allows you to rank short-term
claims on your attention according to urgency
You might select some milestone during the year and importance can be a useful tool (see Time
—your birthday or name day, New Year’s Day, Management Grid below). Try to control the not
or some other day that normally provokes some urgent/not important quadrant. You get relatively
reflection—and use that as a day to consider little value for the time spent doing tasks in this
whether your career and life are going in the right quadrant. The urgent/important quadrant puts you
direction. Similarly, in addition to your regular day- in crisis mode, where few people operate best.
to-day conversations with them, it can be useful to For maximum efficiency, you should be spending
establish for yourself a time each year for assaying most of your time in the upper right-hand quad-
your spouse and family to be sure that you under- rant, on tasks that are important but not urgent.
stand whether you are moving your life and theirs
If it is important but not urgent, remember your
in ways that conform to what matters most to you.
priorities and schedules:
Plan ahead and know your deadlines.
ROTATING YOUR TASKS
Set aside blocks of time for specific tasks.
If you tend to find it difficult to focus on one
task for long periods, you can turn this potential Break large tasks into smaller tasks.
weakness into a strength through multitasking.
Delegate tasks.
Always have several things to work on (e.g., the
introduction to a grant, a paper to review, or a Complete tasks on time.
recommendation letter to write), perhaps three
or four, and cycle through them with increasing
lengths of time. Make sure they are clearly
arranged on your desk so that you do not waste
time figuring out what you should do next.

Time Management Grid NOT IMPORTANT IMPORTANT

Most Email Ongoing experiments
Discussing weekend plans, the day’s weather, Preparing to speak at an upcoming meeting
NOT URGENT the latest gossip, etc. with lab members
Working on a grant that is due next month
Watching World Cup matches (though in some
Maintaining strong relationships with family,
situations clearly this is important and urgent!)
friends, and lab members

A rumbling stomach 20 minutes before lunch An earthquake
Ringing telephone A grant due tomorrow
URGENT A salesman who wants a minute of your time Accidental exposure to pathogen

Time Management Grid – Adapted from Stephen R. Covey’s time management matrix in The Seven Habits of Highly Effective People: Powerful
Lessons in Personal Change.


MAKING THE MOST
OF THE TIME YOU HAVE Technology Changes Everything

It is important to find ways to make efficient
Better communications—from email and
and productive use of your time. Be aware that
web applications to wireless phone service
for some activities, it may not be immediately
have made it easier for laboratories in
apparent that your time spent is worthwhile. For relatively resource-poor regions to play a
example, attending seminars in your department larger part in the international scientific
can actually be a productive and efficient use of community. If you work in a place where
your time. Not only will you learn new information, Internet access is slow, and you are
but if you ask questions, you will also boost your interested in computers and technology,
visibility. it may be worthwhile for you to form a
committee with like-minded individuals to
Efficiency. Successful people tend to be efficient.
find opportunities for upgrading to faster
They have evolved practices to create blocks of technologies. Foreign and domestic gov-
uninterrupted time for “brain work.” Here are ernments, non-government organizations,
some tips to help you make the best use of those and technology companies from both the
parts of the day you control: telephone and computer sides might be
Create an environment conducive to productivity. willing to develop the infrastructure to im-
prove your speed and connection quality.
Make a place for everything, and put everything
in its place. Clutter is inefficient. Do not make
yourself look for the same piece of paper or pocket
calculator over and over again.
Fitting It All In. Successful people also learn
Find or make a quiet space (or time) to work. to use small units of time, capitalizing on free
Know your biological clock, and protect your most minutes here and there (in professions such as
productive hours for your writing and designing law, people sometimes bill their time in incre-
experiments and other critical tasks. ments of 15 minutes or less). Returning phone
calls, drafting memos, and reviewing your weekly
During your protected work hours, focus and do schedule are just a few ways in which you can put
not allow interruptions. a few minutes to work for you throughout the day.
Set time limits. Give yourself predetermined The trick is to be prepared when those moments
amounts of time to complete tasks (e.g., two arise by having messages or email, students’
hours to review a paper). homework, a notepad, and perhaps a cell phone
with you. Some tasks, such as reviewing papers
Eliminate unnecessary tasks. and reading science magazines, adapt well to
Avoid procrastination. Start tasks early—at least in commuting time if you do not drive.
outline. If you have a grant due, write your goals
early enough to let your lab staff start gathering
IMPROVING YOUR LAB STAFF’S TIME
relevant data without last-minute panic. If a critical
reagent requires a long lead time to produce, start MANAGEMENT SKILLS
it early enough to make sure it will be ready when Here are some tips for helping your staff work
you need it. more efficiently:
Structure and supervise meetings. Establish clear goals and expectations early,
Delegate work. starting with simple tasks your staff can handle.
Make sure they understand the tasks. Reward
If it is possible and inexpensive, make a quick and correct them as appropriate, expand the tasks,
phone call instead of having an often less efficient then repeat the process.
back-and-forth email conversation.


Help them seek advice without taking up unneces-
sary time. Teach them how to describe projects, The local government authorities should not
issues, and problems accurately and efficiently. expect you to attend the opening of every
road, school, or health center. Many public
Develop an agenda for every meeting, and stick
servants take pleasure in performing such

”
to it. Start meetings with a clear description of the
functions, but you may not have time for it.
purpose of the meeting and when it will end.

After lab meetings, send a follow-up email
containing a summary and to-do list. Use these Moses Bockarie, Papua New Guinea
informal minutes to start the next meeting and
gauge progress. Meeting minutes are also useful
for patent protections in establishing proof of an
idea, attribution, and date. Time management is a major challenge for
clinician-scientists based in resource-limited
Once the members of your lab learn the importance settings. Clinical demands are high, which may
of time management, you can also delegate to a on occasion severely compromise protected

”
key staff person the task of summarizing meetings research time.
and assigning follow-up actions.

MANAGING
NON-RESEARCH TASKS
In some institutions, you will be required to teach
In some institutions, scientists are required to take
courses to students. This can be a very rewarding
part in committees or groups that meet on a regular
experience for many scientists, but can also take
schedule. Such committee duties can connect you
a large portion of your time at the expense of
with interesting people in your department, your
everything else.
institution, and beyond. They can also help bring
your research to the attention of your colleagues— If research is of primary importance for your
a genuine plus for a beginning faculty member. On promotion and career goals, you will have to set
the other hand, they can take valuable time away limits for non-research tasks and stick to them.
from your research. If you have some influence When time is up for one task, move on to the next
over which committees you will serve on, be pro- item in your daily planner. This way, you start each
active and seek out committee service that suits day anew without carrying forward serious work
your interests and schedule so you can turn down deficits that accumulate through the week.
other requests with the legitimate excuse of previ-
ous committee commitments. As you begin to
build an international reputation, you may find you
are asked to sit on more committees (including in
other countries), collaborate more, and perhaps be
called on for service to your government. Consider
such opportunities carefully. Though many may be
good for your career and your reputation, they may
also be exhausting because of the travel involved.
As with opportunities close to home, you should
pace yourself when accepting these obligations.


THE TRIPLE LOAD OF THE PHYSICIAN-SCIENTIST:
LAB, CLASS, AND CLINIC

Physician-scientists may have some teaching duties, but the larger challenge for a physician who is run-
ning a research lab is balancing lab and clinical time. An even split between the lab and clinic is increas-
ingly rare; it can be as much as 80% lab and 20% clinic, but this varies considerably from person to
person and by nature of the work. The following are some tips for working in both the lab and the clinic.

In the lab:
If feasible, consider hiring a lab manager, or training a strong worker to assume that role—a well-
trained, responsible, seasoned researcher who can help move things along when you cannot commit
your time to being in the lab yourself. Such a person may be relatively expensive compared to other
kinds of workers you could hire, but what they can add to your productivity can be well worth the
money. A good lab manager can help keep the lab on track while you are on clinical duties.

Establish a system where you can review the lab members’ notebooks and data even if they are not
there (e.g., if clinical duties keep you from being in the lab until late in the evening).

Explain to your lab members that you will not be around much when you are on clinical duty. Try to
schedule times when you can meet with your technicians, students, postdocs, medical residents, and
other trainees to keep yourself apprised of their research and educational progress.

Focus your research program on what you are uniquely qualiﬁed to do. Avoid overextending yourself
with work that you could delegate to a worker with less training than you yourself have.

In the clinic:
If appropriate, tell patients and clinic staff how you want to be contacted during times when you are
not in the clinic, especially if messages from the clinic rarely reach you when you are involved in your
other duties.
If you have access to support staff (many junior faculty do not), use them effectively. Educate nurses
or other staff to do as much of the preparation as possible before your appointments, as well as the
follow-up.
Learn to tell patients when you are running out of time to spend with them or must turn their care
over to another clinical worker.
Make colleagues aware of your dual roles, and tell patients about your divided schedule when it is
relevant to them (for example, when research-related activities will call you away from the clinic for
several days during their course of treatment).

Remember, in the lab, in the clinic, and at home—the most important thing you need to learn is to be
ﬂexible with your time so that you can serve all of your priorities well.


FAMILY MATTERS
In Sierra Leone and Papua New Guinea,
Many scientists face great demands from their where peer group discussions are the biggest
extended families and communities. Although pastime activities, rumors are rife. People do
these demands matter and these relationships not believe in innocent relationships between
are centrally important, to be successful at any men and women and working at night is
profession one may need to find ways to contain always suspicious. Attending meetings/work-
and manage the time involved. shops in hotels with staff members easily
creates stories. To ensure a happy home life
The issues can be practical—how can you be in and avoid confusion regarding after-hours lab
two places at one time? But they can also be very work, meetings, and international travel, I
emotional. If it has always been a tradition that treat my lab staff and their families as one big
you will go home to family to help prepare for a extended family. Spouses are encouraged to
holiday or a change of seasons or to help with a attend seminars. They are educated about the
harvest, deciding to make another use of your need for working late at night and attending
time, or to come in only for the feast and leave meetings. Selection criteria for international
the work to others, is not easy. It is even harder meetings and other perceived privileges are
when you consider that your parents, siblings, made clear to everybody, including family
in-laws, cousins, aunts, uncles, and neighbors will members. I have learnt that once your family
all have an opinion and will likely express it! This is trusts your relationship with your workmates
and students, other family issues will be easy
a matter that is very specific to your own life, but

”
to manage.
it is also universal. There are no perfect solutions.
But you can try to separate the practical aspects
of the situation (for example, what work requires Moses Bockarie, Papua New Guinea
one more set of hands, and can you provide some
help without providing your own hands?) from the
emotional ones such as the perception that you needs to fulfill. Whatever your situation, it is prob-
care more about your career and what it gives you ably true that if your family understands what you
than about the people who love you, or that you are doing, why it matters, and how it will improve
have gotten “above yourself,” or that you look the family’s future, things at home will go better
down on those who make your life possible. than if everyone is kept in the dark about things.
In addition to sharing your long-term goals, keep
HOME AND WORK: your family aware of your short-term plans and
projects. Letting them know in advance about an
CAN YOU HAVE IT ALL? impending grant deadline can buy some under-
This question applies to many professionals in standing. Here are some ways to keep your family
high-pressure careers, including both male and informed of your schedule, and keep you involved
female scientists pursuing academic, government, with your family:
institutional, and industrial career tracks.
Post a calendar at home with your travel dates
It helps to start with a supportive partner and and big deadlines.
family. Have clear discussions about career and
Schedule activities with your family and keep
personal goals—yours and those of your family—
those commitments
early on. To avoid the resentments of unspoken
and unmet expectations, be as explicit as possible Turn business travel into a vacation. Have your
about your aspirations with those who are impor- partner or family join you after a scientific meeting
tant to you. Shared goals for work and family make and take a few days together to unwind.
compromises easier. In some families, your career
will be a primary driver of your family’s future.
For others, both spouses may have professional


Having papers and grants that are free of typos,
spelling mistakes, and grammatical errors is so
RESOURCES
important that having “more eyes” on a document Allen, David. Getting Things Done: The Art of
is very valuable. If your spouse is interested in Stress-Free Productivity. E Rutherford, New Jersey:
your work and familiar with your field’s jargon, he Penguin USA, 2003.
or she may be a helpful reader for you. As children Barker, Kathy. At the Helm: A Laboratory Navigator.
advance in their education, those interested in Cold Spring Harbor, NY: Cold Spring Harbor Laboratory
science might also enjoy being given a chance to Press, 2002.
read your work.
Boss, Jeremy M., and Susan H. Eckert. Academic
Scientists at Work: Navigating the Biomedical
BALANCING WORK AND CHILDREN Research Career. New York: Kluwer Academic/Plenum
Publishers, 2003.
Unquestionably, children complicate the equation,
Blanchard, Kenneth H., and Spencer Johnson. The One
but they can also provide the sanity, personal
Minute Manager. 10th ed. New York NY: Berkeley
satisfaction, and motivation to make you a more
Books, 1983.
focused and efficient scientist. Here are some tips
for balancing work and family life: Covey, Stephen R. The Seven Habits of Highly Effective
People: Powerful Lessons in Personal Change. New York:
If they are available to you and affordable, consider Fireside, Simon & Schuster, 1990.
taking advantage of options for assistance in cook-
ing, cleaning, and other domestic chores that take Drucker, Peter. Managing Oneself. Harvard Business
your time and energy, especially if you are having Review, March-April 1999.
trouble personally living up to your own standards Ridley, Matt. The Origin of Virtue. Penguin, New York,
for good meals and cleanliness. NY, 1996.

Seek out the help of family members if they are
nearby.

Teach your children to take appropriate pride in
being “self-starters” at their schoolwork and home
chores.

If you and your spouse both work outside the
home, make the best child care arrangements you
can. If you are away from your family all day, it is
especially important to carve out and protect family
time on evenings or weekends.

Is it possible for ambitious scientists to have it all?
For those who learn to balance competing demands,
the answer is a qualified yes. The key is to identify
what matters most to you and then to apportion
your activities throughout the day and week to
address your true priorities.


CHAPTER 6

PROJECT MANAGEMENT

“WE MUST HAVE PERSEVERANCE AND ABOVE ALL CONFIDENCE IN OURSELVES.
WE MUST BELIEVE THAT WE ARE GIFTED FOR SOMETHING AND THAT THIS THING
MUST BE ATTAINED. ”
MARIE CURIE

To increase the output of your laboratory, you can It can be tempting to over-promise when you plan,
either increase resources by somehow obtaining even if you are only making promises to yourself.
more money, equipment, and supplies and finding Project management’s tools help a manager
a way to bring more people to work with you, or keep track of resources and worker effort, which
make better use of what you already have. Often can help ensure that even if multiple delays
it is not easy or possible to get more resources. and scheduling changes occur, your work will
Project management is a formal approach to still go forward smoothly. In a scientific setting,
better managing the resources that you do have. goals may include publishing a paper, obtaining a
“Project management” is a term that has come to research grant, completing a set of experiments,
mean something beyond simply being in charge or even getting promoted. While keeping creativ-
of a project. It means allocating, using, and track- ity intact, project management can help reduce
ing resources to achieve a goal in a desired time wasted effort or inefficient use of reagents. It can
frame. There is a set of terms and a group of track progress (or lack of it), and respond quickly
planning tools strongly associated with the project to necessary deviations from important aims.
management approach. The approach itself is This chapter highlights some of the techniques of
heavily used in the pharmaceutical industry, as project management and how you can use them.
well as in software, construction, and other Though one may think, “I live in an unpredictable
industries because of its usefulness in helping place!” project management can help overcome
managers coordinate complex operations and some of life’s unpredictability, particularly by laying
bring scarce resources into place exactly when out which tasks can go forward when other tasks
they are needed. have stalled. If you need more detailed informa-
tion, refer to the resources listed at the end of this
chapter.

PROJECT MANAGEMENT 81

WHAT IS PROJECT MANAGEMENT? DECIDING ON A PROJECT
Project management is a series of flexible and You may have an endless number of ideas for
iterative steps that gives you a system for laying projects, but your resources (i.e., research funds,
out what you want to achieve and a reasonable number of students and other people working in
way to achieve it, with specifics as to who will do your lab, time, etc.) are limited. Deciding which
what and when. Formal tools have been developed projects to pursue within the limits of your
for complicated time-sensitive efforts such as resources and considering your laboratory mission
constructing large buildings with all of the site (see chapter 4) will help you get the best use out
preparation, building materials, carpenters, of what you have.
plumbers, electricians, painters and other kinds
of workers moving through at the right times and Finding funding can itself be a complex project.
in the proper order. Though finding money is seldom easy, you may
decide that to accomplish the research or public
The strategies used in project management can be health goals you would like to achieve, you will
useful for anyone in any size project, and the tools need to look for more funding. Imagine that you
(especially software) that have been developed have identified a grant program that seems to fit
to keep track of fluctuating resources and active the work you would like to do. The grant deadline
workers can be useful for managing complicated is in eleven months, but you see that it is a very
projects in the laboratory. Project management competitive program. To have a chance of being
capabilities are increasingly becoming required funded, you will need to have at least one publica-
components of clinical research projects and multi- tion that connects the work you are proposing to
site projects. Formal training in project management do with the new grant money to work you have
may be available to you through your institution, done in the past.
government, or international NGOs.
So you have two complicated but fairly well-
defined tasks in front of you: to get a new paper
accepted for publication and to submit a grant
It should also be borne in mind that biomedical proposal by a given deadline. If you decide to
research in the South, especially in disease- use formal project management tools to organize
endemic communities, relies heavily on field your efforts as you work toward submitting the
surveys involving several people and proposal, you should ask yourself the following:
complicated logistical issues. Personnel and
What experiments do I need to conduct to write a
transport management and financial adminis-
research paper and submit it for publication before
tration are major components of project
the grant deadline?
activities involving field surveys. However,
many emerging science centers in low- and Do I have enough time to obtain the necessary
middle-resource regions do not have sufficient data?
human resources with adequate skills in

”
project management. Are there members of my group who could help
generate these data, or a student or trainee to
whom I might delegate the work?
Moses Bockarie, Papua New Guinea
Once you have defined your overall objectives,
how to get there, and from whom you need buy-in
and participation, you can start the process of
planning your project, working backwards from
your stated objective:


My project is to get a grant funded within a time a project will take and what resources you
year-and-a-half. will need. Even if some back-of-the-envelope
thinking convinces you that a project is worth
Thinking from the goal backwards, you can put
pursuing and that you can generate preliminary
down what steps will make that dream a reality.
data for your grant in five months, you will need
You might say: to plan each step more carefully to answer the
following questions:
I will need to:
Submit the grant with preliminary data How long will the project really take?
(11 months).
Do we really have the people to do this?
Submit a paper for publication (6 months).
Do we really have the funds to do it?
Integrate data and start writing a manuscript
Can we get it done in time?
(5 months).
Think of these questions as tools for your own
Complete the initial set of experiments
use. You are not trying to convince a funder or
(1-5 months).
impress an influential scientist—you are realistically
The sections below outline the tools that can help considering what you will be able to get done,
you plan each step of this multipart effort. One of given other demands on your time and resources,
the most important benefits of project management in the next week, month, year, and beyond.
is that it helps you accurately anticipate how much

QUESTION
q&a
Do the strict definitions you impose when you set up a project management system
limit scientific creativity?

ANSWER
Not necessarily. All projects, including highly innovative ones, rely on defined resources. Project
management helps you take stock of resources before you start working. If a creative idea comes along,
you will have a better idea of how much money, materials, and “spare hands” you have to follow the
idea through, or which sub-projects you might delay to free up the resources you need. Knowing what you
have available helps you bring your best ideas to completion, rather than leaving them foundering when
you run out of some critical resource. Regardless of the scientific goals of a project, project management
helps you determine whether your ideas can be implemented with the resources at hand and how best
to approach these ideas. If you realize ahead of time that you do not have the resources you need, you will
know you need to get them.


QUESTION
q&a
Does project management discourage us from trying high-risk projects?

ANSWER
Scientists must work within the limits of their resources. This does not mean high-risk projects should not
be attempted; it just means that one should know the risks involved before starting the project. Project
management helps deﬁne what the risks will be. For example, you may use up all available funds before
you get an additional grant or you may produce one paper in three years rather than one a year. Once you
know the risks involved, you can plan for them. Project management can also help you conserve some of
your resources to use for high-risk projects. The more information you have at the outset of a project, the
better you will be at allocating resources. The better you are at allocating resources for the work that has to
get done (e.g., the experiments proposed in your funded grant), the more likely it is that you will be able to
save some funds for more speculative projects.

QUESTION
Given the uncertainties in science, is project management feasible?

ANSWER
Project management is not meant to be rigid or blindly restrictive. By reexamining goals and circumstances
in a systematic way, project management encourages you to reconsider which path is best many times
during the course of a given project. When resources are limited—and they almost always are, every-
where—this approach helps you achieve your goals by keeping track of factors that could lead you to
spread a resource too thin.

GETTING STARTED PURPOSE
The statement of work is a written document Background: Why the project was initiated and
that clearly explains what the project is. It should by whom, what happens if it is not done, and what
include the following sections: else relates to it.

Scope of work: What you will do. This is a brief
statement describing the major work to be per-
formed.

Strategy: How you will perform the work, who
will do it, and what funds are available for the work.


OBJECTIVES or a key premise was off-base, or that someone
else has gotten very similar work published before
Objectives are the end results to be achieved by your project has come to a conclusion.
the project. Each objective should include:
See Appendix I, on page 92, to see a real-life example of a statement
Statement: A description of the desired outcome of work.

when the project is completed.

Measures: Indicators to assess how well you DEFINING THE AUDIENCE
have achieved the desired outcome.
Project management also uses the concept of an
Specifications: Target values of the measures “audience.” Any of your audiences—the people
that define successful results. and groups who have an interest in your project,
who are affected by it, or who are needed to
CONSTRAINTS support it—can sink the entire enterprise if their
needs are not considered. Early on, you should
These are the restrictions on the project, which fall make a list of the project’s audiences, both within
into two categories: your institution and outside it. Although you can
Limitations: Constraints set by others, such do this in your head, a written list serves as a
as limited funds for your laboratory, or teaching reminder throughout the project to touch base
responsibilities that will limit your research time. with these stakeholders as you proceed. If you
must maintain the good favor of your department
Needs: Constraints set by the project team, such chair, head of institute, minister of health, or
as wanting to complete a project three weeks another high figure (or if you yourself are that high
early because one of the key people will be leaving figure and must maintain the trust of your audi-
the lab, or finishing a field project early enough to ences), it is useful to think about those who have
avoid problems with seasonal weather. interests in your project and how to keep them
apprised of and supportive of your work.
ASSUMPTIONS Divide your audience list into three categories:
These are statements about uncertain informa- Drivers: People who tell you what to do, defining
tion you will take as fact as you conceive, plan, to some degree what your project will produce
and perform the project. For example, you might and what constitutes success. You are the main
assume that your clinical or teaching loads will not driver for your research. Additional drivers may
increase in the next year, or that no one will leave include competitors and collaborators in your
the project before a certain milestone is reached. field, the editors of scientific journals (if they are
Be aware that as your project progresses, your advising you on what experiments should be done
in order to get a manuscript published), and the
goals, constraints, needs, and assumptions may
scientists or administrators who will be reviewing
change. Build into your planning periodic reviews
your application for funding (if their feedback is
of results against objectives, and then revise the
shaping the course of your research project).
objectives if necessary. If a reagent has been
delayed and a whole project has been stalled as a If possible, keep those people abreast of how
result, you can re-visit the plan and think through the project is going, or consult with them before
how to move forward. Are there later scheduled changing direction or branching out in a different
steps that you could do sooner while you wait for area. For example, if an editor at a scientific journal
the delayed material? Should you change the proj- has requested specific experiments in a revised
ect’s future milestone dates, given the delay? No manuscript but you decide to do different ones
matter how much you have invested in a project, it that you think are more appropriate or easier to do
is never too late to redirect or stop work altogether given the expertise in your lab, contact the editor
if you discover, for example, that another route is to make sure that the proposed experiments will
more promising than the main avenue of research, satisfy his or her requirements.


Supporters: People who will perform the work When you develop a WBS, think in one- to two-
or make the work possible (e.g., the students and week increments. You probably wouldn’t want
other people in your lab, as well as the program to include detailed plans for activities that take
director for the organization funding the project). less time, such as experiments to be done each
Make sure these people are motivated to do the day. However, the level of detail you include in
work and understand how what they are doing your WBS depends in part on who is doing the
relates to achieving the overall scientific goal (see work. Most students just starting in the lab will
chapter 4, “Managing Your Many Roles”). need more detail than an experienced scientist or
Observers: People who have an interest in your technician. It may be useful to teach your trainees
project but are neither drivers nor supporters. They to think in this time- and resource-aware way, per-
are interested in what you are doing, but they are haps quite early in their stay in your lab, by having
not telling you what to do or how to do it (e.g., them write out detailed weekly plans or design
other scientists working in your field, mentors, flow charts for how they intend to work through a
and potential supporters). It can be helpful to your difficult technical issue at the bench.
career to inform as many scientists as possible of To decide whether your understanding of a
what you have accomplished. This can be done by particular part of the project is detailed enough,
giving presentations at meetings and conferences, ask yourself these three questions. Based on the
by asking colleagues to review a manuscript you WBS:
are preparing to submit for publication, or by send-
ing scientists in your field copies of a paper you Can you determine a reasonable estimate of the
have published. resources (including people) required for this
work?
As you work on the project, revise the list as
Can you determine a reasonable estimate of the
necessary. Categorizing audiences is less difficult
time required to do this work?
than it may look, and you do not have to start
from scratch for every activity. Many of the same Can anyone charged with one of these activities
people are likely to be on your audience list over understand it well enough to perform it to your
time for different activities. satisfaction?

If the answer to any of these questions is “no,”
DEFINING WHO DOES WHAT AND WHEN more detail is necessary.
The work breakdown structure (WBS) is an outline In basic science, it is unlikely that you will be able
of all of the work that will have to be performed for to make a detailed plan very far in advance. Much
your project. To develop a WBS, start with broad of the detailed planning will be done “on the fly”
work assignments, break them down into activities, as the project proceeds. Try a rolling approach, in
and divide them into discrete steps (see Appendix which you revise estimates in more detail as you
II, on page 94, for an example). On your timeline, progress through the project.
you will want to list resources and the people
who will carry out the activities, so that you can In addition to planning experiments, you can use
successfully complete some milestone event—for the WBS to set up the lab and divide big tasks into
example, getting a paper accepted, a grant funded, smaller ones—for example, ordering equipment,
or a difficult technique reduced to practice. hiring staff, and dealing with any regulatory issues.

The WBS is one of the most important elements
of project management as it will help you schedule
the project and its parts, estimate resources, assign
tasks and responsibilities, and control the project.


QUESTION
q&a
If I have experiments A, B, C, and D, is it reasonable to do detailed planning only for A
ﬁrst and deal with the others later?

ANSWER
That may be reasonable, but what if B is not entirely dependent on A, and you could have done some work
for B or any of the other experiments without waiting until A was done? Project management tools and
software can help you see where timelines may overlap, so that you can use your time most productively.

TRACKING THE WORK TOOLS FOR DEVELOPING
AND THE RESOURCES SCHEDULES
Complex projects require a series of activities, You may have seen some of the schedules,
some of which will need to be performed in timelines, ﬂow charts, and other tools used in
sequence and others that can, in theory, be done project management before. Here are some
at the same time. Project schedules outline the popular ones:
order in which activities are to be performed,
and include estimates of how long each activity Key events schedule—a table showing events
will take. For each step of the schedule, you will and target dates for reaching them. Remember,
need to assign the necessary resources, including events are milestones signaling the completion of
people, funds, equipment, supplies, facilities, and one or more activities.
information. To effectively schedule your activities Activities plan—a table showing activities and
and resources, you will need to follow these steps: their planned start and end dates (see Appendix III,
1. Identify activities and events (from the WBS). on page 95).

2. Identify constraints (from the statement of work). Gantt chart—a graph consisting of horizontal
bars that depict the start date and duration of each
3. Determine the durations of different activities and, activity (see Appendix IV, on page 96).
if more than one person will be involved, who will
be performing them. Program (or Project) Evaluation and Review
Technique (PERT) chart—a diagram in which
4. Decide on the order of performance. activities are represented by lines and events on
5. Develop an initial schedule. the nodes (typically depicted as circles or bubbles).
The acronym PERT, rather than the full name, is
6. Revise your schedule as necessary. universally used.


The key events schedule and the activities plan in your estimates. When it comes to planning
display dates better; the Gantt chart and the com- bench work, an accurate assessment of the skills,
bined milestone/Gantt chart give a better overview experience, and limitations of your staff will help
of how long activities will take and where they you match the right people to each task. Stretch-
coincide. Regardless of which format you use, if ing to accomplish more than before is good, but
you use these tools, take the time to develop a failing because of overreaching is not. If your team
schedule you have a reasonable chance of meet- lacks the expertise required to complete a specific
ing. Think realistically and estimate how long each goal, you may need to find a suitable and willing
step will take, how many uninterrupted hours collaborator. Collectively, these scheduling tools
you have available during the day, and how other will:
demands on your time will affect what you or your
Provide ways of tracking the work.
lab can get done. If your plan includes mastering
a new subject by reading a vast literature, divide Identify the order of experiments that will define
it up—how many papers do you normally read in how long it will take to complete the project.
a day like today? Just because you can read 15
Show the relationship of experiments to each
papers in a day does not mean that you will (or
other (e.g., do they need to be done sequentially
should) bring yourself to read that much each day
or can they be done in parallel?)
for a month, even if there are 500 papers in a pile
in front of you. Identify bottlenecks.

To determine how long a very complex process As the work progresses, make adjustments to
may take, think about similar things you have done your schedule or the resources needed. For
before. Flip through your notebook or calendar example, time estimates can be replaced with
and try to remember—how many hours did it actual times. In cases of delays in the schedule,
really take you to write, edit, get feedback on, additional resources, more money, or more
make figures for, revise, revise again, and submit helpers may be needed to make up for the time
that last paper or grant? Try to be conservative that has been lost. If you can get those resources,
you may be able to finish within the time frame
you initially planned. But if you cannot get those

q&a
resources, at least you can accurately revise your
estimate of how long it will take to finish the project.
QUESTION
DO I HAVE THE RESOURCES?
It sometimes takes longer than I think
it will to complete new experiments. Once you have made an outline of the activi-
How do I plan accordingly? ties to be done in a given time frame and who
will perform the work, you may want to know
more precisely how much of a given resource
ANSWER the project will use up. For example, how many
The work breakdown structure will help you hours a scientist in your lab will have to work
see where inherent difficulties in experiments each week to complete his or her activities (see
or bottlenecks in the procedures are; you Appendix V, on page 96), or how much money
can then add time and resources to address will be spent. This will help you identify potential
those issues. For example, you might pair bottlenecks that have been created by your
an experienced member of your lab with a starting assumptions. For example, even the best,
new student who is responsible for a step in hardest-working, most committed scientist cannot
the protocol, or give a technician who has to work 37 hours a day!
establish a new technique in the lab time for
several trials and revisions of the procedure.


QUESTION
q&a
I have done some experiments so many times that I already know how long it will take
and the resources I need. Should I add these experiments to my plan?

ANSWER
Not for your benefit, but you should consider whether others need to know what you are doing—the
sequence of steps as well as the materials and time required. If they do, a written work plan can also be
a useful part of the record. Project management is not just a planning tool, it can also be a training and
communication tool.

QUESTION
Despite the best explanations, inexperienced students may focus only on their part of the
work. Are there devices to help them get the big picture?

ANSWER
It is important that they do get the big picture, and project management may be part of the solution.
Although it is true that project management encourages a focus on details, it also encourages you to
consider the big picture. Think of a project’s detailed plan as being like a metabolic map—if students can
see how their work connects to a greater whole, they may be more motivated to think about their own
small projects and to ask bigger questions about the lab’s work and the broader field. Young students may
be reluctant to admit what they do not know. By walking them through the field’s complicated issues and
ongoing controversies, you can convey to them that it is alright not to know everything, and customary to
ask others to explain things. Get them to talk about what they are doing, and paraphrase what they say,
highlighting the places where their work intersects with other work in the lab. Or, you could ask them to
write a statement of work for their part of the project, which will require them to learn the background on
the project as a whole.

PROJECT MANAGEMENT SOFTWARE spot, for example, resource conflicts (such as one
person assigned to three overlapping activities),
As you can see from the figures, many of project and identify which activities can be delayed to
management’s tools can be produced by hand accommodate that problem without jeopardizing
or with a spreadsheet program like Microsoft the schedule. Good software helps you brainstorm
Excel. If you are keeping track of a simple project the organization of activities on screen, create a
involving only one or two individuals, you can WBS, link activities, develop a schedule, identify
probably use a network diagram drawn on a board resources, maintain information on progress,
or in an electronic document. But as the number and generate reports. When you make a change,
of projects and responsibilities you juggle grows, the software reflects the impact of that change
you may want to make use of one of the many throughout the project.
software packages available. They can help you


Microsoft Project, a program that seamlessly inte- engineering or business schools, who would be
grates with Microsoft Office applications including eager to polish their skills (and get a line for their
Outlook and its calendar, is a very popular choice. resume) by doing the work needed to transfer
The software lets you enter any number of tasks already established plans onto the computer.
and schedule them. You can then view the data
using multiple formats (e.g., Gantt charts or
PERT diagrams). You can also enter cost for each CONTROLLING THE PROJECT
resource and the software will automatically
Effective project management demands that the
track the spending of the project. Other popular
components of a project be constantly monitored
choices are the packages Act! (Symantec Corp.)
and revised with new information. The head of a
and Now Up-to-Date (Qualcomm, Inc.). Free Open
laboratory typically plays this role in addition to the
Source packages including Open Workbench and
following tasks:
OpenProj are now available. For information about
other products available, see http://www.project- Championing the project for the project audience
management-software.org. (e.g., through seminars and informal updates to
supporters) and maintaining their support for the
Like other software, project management programs
work being done.
come with bells and whistles you may never need
or use. Remember that software is merely a tool to Clearing away obstacles for the project team, for
help you plan and organize your work. It should not example by minimizing other responsibilities for
become your work, bogging you down in complex the team members and providing a supportive
manipulations or fancy graphs and charts that look and comfortable work environment.
impressive but do not improve on simpler presen-
Providing resources such as funds, access to
tations of the information. essential equipment, and technical skills.
After some short training on these software Communicating the project vision to keep the
packages, it is straightforward to build new plans. team motivated and focused.
Several fields, including construction and some
areas of business management, make extensive Communicating with the head of the institution,
use of this kind of software. If these programs individuals from funding agencies, journal editors,
are in common use in your area, you may be and the external collaborators.
able to find undergraduate students, especially in

QUESTION
q&a
How do I finish projects when key people are recruited away before our work is finished?

ANSWER
Project management can help you anticipate and plan for their departure. Identify who is most likely to
leave and the places in the project when loss of key personnel would be especially damaging. When it
does happen, stop and assess the impact on your project and determine steps you can take to minimize
the effects.


Monitor the project carefully and consistently to
The principles of project management can be promptly identify detours from course.
applied to many day-to-day tasks. I completed
Implement contingency plans and revise your
a course with the University’s Faculty of Engi-
master plan as necessary.
neering in 2004 and since then have used the
principles of project management to complete
As a scientist, you want your work to be worth-

”
many small and large projects successfully.
while, even if it does not proceed the way you
planned or produce the expected outcome. To
get the most out of your investment of project
resources, learn to work through the “what-ifs”
by positing multiple possible outcomes and time-
lines and planning ways to deal with each one.
KEEPING YOUR WORK ON TRACK
It is hard to predict how the course of a project
will run. Flexible planning is needed to help you RESOURCES
deal with the unexpected and still keep your many Barker, Kathy. At The Helm: A Laboratory Navigator.
projects moving. Here is a list to help you stay on Cold Spring Harbor, NY: Cold Spring Harbor Laboratory
track: Press, 2002.

Consider different scenarios to identify what may Burke, R. Project Management, Planning, and Control
not unfold as you anticipate, and identify the range Techniques, 4th Edition. Protomatec International, 2004.
of ramifications and how you would address them. Harmening, Denise M. Laboratory Management:
Select aspects of your project that are most likely Principles and Processes. Upper Saddle River, NJ:
to slow things down, for example, a student Prentice Hall, 2002.
who is not familiar with interpreting experimental Heldman, Kim. Project Management JumpStart. Alameda,
results and thus may slow progress, or a techni- CA: Sybex, 2003.
cian who does not aggressively follow up on
Henry, John B. (Ed.). Clinical Diagnosis and Management
maintaining equipment or placing orders with
by Laboratory Methods. Philadelphia: W.B. Saunders,
supply and reagent companies. Monitor them
2001.
closely to avoid roadblocks.
Hudson, Jane (Ed.). Principles of Clinical Laboratory
Develop strategies to reduce the likelihood of Management: A Study Guide and Workbook. Upper
deviations, as well as contingency plans for any Saddle River, NJ: Prentice Hall, 2003.
that occur.
Kemp, Sid. Project Management Demystified. New York:
Create indicators or defined results (such as a McGraw-Hill, 2004.
completed Western blot or a clearly interpretable
Lewis, James P. Fundamentals of Project Management:
experimental finding) that will help you evaluate
Developing Core Competencies to Help Outperform the
the project against your stated objectives. The
Competition. New York: American Management
indicators should be clear and should directly Association, 2002.
relate to your objectives. Poorly chosen indicators
are worse than none at all, and may cause you to Luecke, Richard. Managing Projects Large and Small:
abandon a project when in fact the objective may The Fundamental Skills to Deliver on Cost and on Time.
Cambridge, MA: Harvard Business School Press, 2003.
be sound.


Martin, Vivien. Managing Projects in Health and Social Billows, Dick. Work Breakdown Structure. 4PM Project
Care. London: Routledge, 2002. Management Certiﬁcation and Training. http://www.4pm.
com/articles/work_breakdown_structure.htm.
Portny, Stanley E. Project Management for Dummies.
Hoboken, NJ: Wiley Publishing, 2000. Portny, Stanley E., and Jim Austin. “Project Management
for Scientists.” ScienceCareers.org (July 12, 2002),
Project Management Institute. Guide to the Project
http://sciencecareers.sciencemag.org/career_development
Management Body of Knowledge. Newtown Square, PA:
/previous_issues/articles/1750/project_management_
Project Management Institute, 2000.
for_scientists.
Sindermann, Carl J. Winning the Games Scientists Play.
Portny, Stanley E. “Project Management in an Uncertain
Cambridge, MA: Perseus Book Group, 2001.
Environment.” ScienceCareers.org (August 23, 2002),
Usherwood, Tim. Introduction to Project Management in http://sciencecareers.sciencemag.org/career_development
Health Research: A Guide for New Researchers. Bristol, /previous_issues/articles/1820/project_management_in_
PA: Open University Press, 1996. an_uncertain_environment.

Online NICEF/ UNDP/ World Bank/ WHO Special Programme
Austin, Jim. “Management in the Lab.” ScienceCareers.org for Research and Training in Tropical Diseases (TDR).
(September 13, 2003), http://sciencecareers.sciencemag. Effective Project Planning and Evaluation in Biomedical
org/career_development/previous_issues/articles/1890__1/ Research (Training Manual). Geneva, Switzerland: World
management_in_the_lab. Health Organization, 2005.

Austin, Rob. “Project Management and Discovery.” Effective project planning and evaluation in
ScienceCareers.org (September 13, 2003), http:// biomedical research, a training manual and step by
sciencecareers.sciencemag.org/career_development/ step guide to project management from WHO/TDR
previous_issues/articles/1890__1/project_manage- http://www.who.int/tdr/svc/publications/training-guideline-
ment_and_discovery. publications/trainers-project-planning-course.

APPENDIX I: Statement of Work: A Real-Life Example

SECTION 1: PURPOSE
Background
Teresa, a scientist training in the laboratory, wants to examine the possible role for alterations in the
gene Sumacan in prostate cancer. She noted that Sumacan, which encodes a growth factor receptor,
maps to a genetic region involved in human prostate cancer. Current studies in the lab focus on the
role of Sumacan in brain tumors. Robert, another scientist training in the laboratory, is screening
drugs that block Sumacan function; Anna, a graduate student, is elucidating the functional pathways
Sumacan is involved in; and David, a graduate student, is performing a mutational analysis of the
Sumacan gene. These same studies can be applied to prostate cancer, thereby opening up new
potential avenues for funding through prostate cancer foundations.


APPENDIX I continued

Scope of Work
Examine whether the functional pathway for Sumacan is present in human prostate cancer cells.
Compare the expression of Sumacan in normal human prostate tissues and prostate cancers, and
correlate expression levels with clinical outcome in prostate cancer.
Identify mutations in Sumacan in patients with prostate cancer.

Strategy
Each person in the lab is already working on different aspects of Sumacan biology in brain tumors. In
each case, the work will be applied to prostate cancer cell lines that we will obtain from Mike, a col-
league in our department. We have identified two additional potential collaborators—Rajiv, a pathologist
who studies human prostate tissues and cancers, and Kathy, a geneticist who studies human prostate
cancer families. We will use funds from our current grant to obtain preliminary findings. We plan to use
these findings to obtain another grant to the laboratory.

SECTION 2: OBJECTIVE
Statement
Investigate the possible role of Sumacan in prostate cancer.

Measures
Measure #1. Our experiments will provide preliminary evidence to either support or deny a role for
Sumacan in prostate cancer.

Specifications
We will receive several requests for information about the research.
We will publish at least two research articles in the scientific literature.
We will present the research results to at least two conferences in one year.

SECTION 3: CONSTRAINTS
Limitations
The grant proposal is due June 1 next year. This means that the first research manuscript must be
submitted for publication by approximately January 1, and accepted by mid-April.
Our lab has limited funds to cover the generation of preliminary data, which means that productivity
must be reviewed monthly.

Needs
Our lab needs to be able to grow prostate cancer cells.
Our lab needs to be able to handle human prostate cancer specimens.

SECTION 4: ASSUMPTIONS
The current research team will be willing and able to perform prostate cancer studies in addition
to their brain tumor studies.
The collaborators we have identified will be willing and able to work with our group or will provide
the name of another person who wants to collaborate.

Based on a real-world example provided by Milton W. Datta, Medical College of Wisconsin.


APPENDIX II: Example of a Work Breakdown Structure

ACTIVITY 1: DETERMINE WHETHER
SUMACAN IS EXPRESSED IN THE PROSTATE
1. Determine where to obtain human prostate cells.

2. Determine how to grow human prostate cells.
the type of medium and serum they require, and
the optimal conditions for growth

3. Determine whether we can isolate RNA and protein from human prostate cells.
try the same technique we use to isolate RNA from brain cells, or
develop a different technique

4. Determine whether we can perform quantitative RT-PCR for Sumacan expression.
primers and positive and negative controls

5. Determine whether we can perform a Western blot for Sumacan expression.
test whether the antibody we use in the brain works in the prostate and determine what size
protein band(s) is identified, and
identify positive or negative controls for protein quality and Sumacan identification

Note: Steps 1 to 3 must be done sequentially, but once step 3 is completed, steps 4 and 5 can be
done at the same time.

ACTIVITY 2: DETERMINE WHETHER
SUMACAN IS EXPRESSED IN PROSTATE CANCER CELLS
1. Determine where to obtain human prostate cancer cells.

2. Determine how to grow human prostate cancer cells.
the type of medium and serum they require, and
the optimal conditions for growth

3. Determine whether we can isolate RNA and protein from human prostate cancer cells.
try the same technique we use to isolate RNA from brain cells, or
develop a different technique

4. Determine whether we can perform quantitative RT-PCR for Sumacan expression.
primers and positive and negative controls

5. Determine whether we can perform a Western blot for Sumacan expression.
test whether the antibody we use in the brain works in prostate cancer cells and determine what
size protein band(s) is identified, and
identify positive or negative controls for protein quality and Sumacan identification

Note: Steps 1 to 3 must be done sequentially, but once step 3 is completed, steps 4 and 5 can be done
at the same time. In addition, activities 1 and 2 can be done at the same time, although this may result
in higher resource costs if both tasks fail.


APPENDIX II continued

ACTIVITY 3: DETERMINE WHETHER THERE IS A DIFFERENCE
IN SUMACAN EXPRESSION BETWEEN NORMAL AND CANCER CELLS
1. Determine the difference in RNA expression.

2. Determine the difference in protein expression.

3. Determine the relationship between RNA and protein expression.

Note: Activity 3 involves analysis of the data collected in activities 1 and 2, and thus cannot be performed
until those two activities are completed.

APPENDIX III: Example of an Activities Plan

ACTIVITY/PERSON(S) RESPONSIBLE/START DATE/END DATE
Identify sources of prostate cells/Teresa/August 1/August 5
Identify sources of prostate cancer cells/Robert/August 1/August 5
Grow prostate cells/Teresa/August 5/August 26
Grow prostate cancer cells/Robert/August 5/August 26
Isolate RNA and protein from prostate cells/Teresa/August 26/September 26
Isolate RNA and protein from prostate cancer cells/Robert/August 26/September 26
Perform RT-PCR from prostate cells/Teresa/September 26/October 26
Perform RT-PCR from prostate cancer cells/Teresa/September 26/October 26
Perform Western blots on prostate cells/Robert/September 26/October 26
Perform Western blots on prostate cancer cells/Robert/September 26/October 26
Compare the levels of Sumacan RNA in the prostate and prostate cancer cells/Teresa and Robert/
October 26/November 5
Compare the levels of Sumacan protein in the prostate and prostate cancer cells/Teresa and
Robert/October 26/November 5
Compare the levels of Sumacan RNA and protein to each other/Teresa and Robert/October 26/
November 5

Note: Each of these activities can be broken down further if more detail is needed. For example, if
the activities are being performed by a new graduate student, you may want to explain the different
protocols to use to perform RT-PCR from prostate cancer cells and what controls should be used, as
well as alternative protocols to use in case the ﬁrst ones do not work.


APPENDIX IV: Example of a Gantt Chart

PROJECT: ROLE FOR SUMACAN IN PROSTATE CANCER
Activity August September October November Person Responsible
Sumacan Expression
in Prostate Cells
Find Cells Teresa
Grow Cells Teresa
Isolate RNA and Teresa
Protein
RT-PCR and Western Teresa and Robert
Blots
Sumacan Expression
Prostate Cancer
Find Cells Robert
Grow Cells Robert
Isolate RNA and Robert
Protein
RT-PCR and Western Teresa and Robert
Blots
Compare Results
Data Analysis Teresa and Robert

APPENDIX V: Example of a Loading Chart

This chart displays Teresa’s workload. She is responsible for the ﬁrst three steps in determining
Sumacan expression in prostate cells. Step 1 (looking for prostate cells) is done in week 1, step 2
(trying to grow the cells) in weeks 2-4, step 3 (isolating RNA and protein) in weeks 5-8, and step 4
(doing RT-PCR on normal and cancer cells) in weeks 9-13. In addition, during the time the project is
being run, she will be teaching a microbiology lab course (5 hours/day with monthly exams).

WEEKS 1 2 3 4 5 6 7 8 9 10 11 12 13

RESEARCH
7 10 10 10 8 8 8 10 25 25 25 25 25
HOURS

MICROBIOLOGY 25 25 25 35 25 25 25 35 25 25 25 35 25
LAB HOURS

TOTAL TIME 32 35 35 45 32 32 32 45 50 50 50 65 50


CHAPTER 7

GETTING FUNDED

“DIVISER C H A C U N E D E S D I F F I C U LT É S Q U E J ’ E X A M I N E R A I E N A U TA N T D E PA R C E L L E S
QU’IL SEPOURRAIT ET QU’IL SERAIT REQUIS POUR LES MIEUX LES RÉSOUDRE. ”
RENÉ DESCARTES

Once you have started your career as an indepen- UNDERSTANDING
dent scientist, have put your laboratory in order,
and perhaps have hired some people, an important THE REVIEW PROCESS
next step if you would like to have an international
career is to ﬁnd international funding for your work. EXAMPLE OF PEER REVIEW: FUNDING A
It is beyond the scope of this book to address U.S. NIH R01 RESEARCH PROJECT GRANT
funding in all of the countries of the South, since Though the U.S. NIH is sometimes an international
the funding situation is different everywhere and funder, it is (as are your own country’s government
in some places can change quite quickly. Instead, agencies focused on health) an organization whose
this chapter will concentrate on international fund- mission primarily focuses on the health of its
ing sources and how best to present your work so country’s citizens. For this reason, its spending on
that you may tap into these sources. This chapter many problems of interest in other parts of the
also uses the U.S. NIH funding process as an world is relatively small.
example of a two-level peer review system. Not
all international funders use the same system—in
fact, each major funding body has a system that is
distinctly its own. But the example used here will There is no grantsmanship that will turn a bad
give you a good idea of the how’s and why’s of peer idea into a good one, but there are many ways

”
review, which we hope will give you insight into how to disguise a good one.
to prepare the strongest grant application you can,
no matter what funding body you are approaching.
This chapter includes advice on how to turn your William Raub, former deputy director, U.S. NIH
concept into a solid research plan, and discusses
what to do if your application is not funded.

The quote above: Descartes, in the second rule of his Method, says to break each difﬁculty down into smaller resolvable component parts.

GETTING FUNDED 97

BEHIND CLOSED DOORS:
WHAT GOES ON IN A PEER REVIEW MEETING

Peer review committees:
Are managed by a scientific review administrator (SRA), a professional NIH employee at the M.D. or
Ph.D. level with a scientific background close to the study section’s area of expertise.
Have 12-24 members recruited from active scientists, generally people who have (or have had) R01s
themselves. Most members are academics. Some have long-term appointments to the study section
and others are temporary members.
Will review as many as 60-100 applications per meeting.
Usually assign three reviewers to very closely review each application, though the whole panel should
read all of the applications.

Study section meetings:
Are closed—the discussions are not made part of the public record and spectators are not allowed.
Include a discussion of general business, provisional approval of the list of applications which are
declared uncompetitive and thus not scored, and discussion of the remaining applications. Reviewers
who have a conflict of interest with a given applicant are asked to leave the room when that
applicant’s grant is discussed.

Discussion of applications includes:
The three reviewers most closely linked to each grant providing discussion of that grant’s strengths,
weaknesses, and their preliminary scores.
Other members discussing scientific and technical merit.
All members stating their scores, which are recorded.
Any recommendations for changes in the budgets of individual grants.

After each meeting, the SRA documents the results in a summary statement, which is forwarded both
to the appropriate institute or center that would support the grant (if budget is available) and to the prin-
cipal investigator. These summary statements, which are often called “pink sheets” because they were
once given back to the applicant as the pink layer from a multi-sheet carbon-paper form, are the key to
understanding what was said about your grant during the review.

Summary statements may vary somewhat depending on the SRA, but all contain:
Overall résumé and summary of review discussion (for applications that were discussed and scored).
Essentially unedited critiques by the assigned reviewers.
Priority score and percentile ranking.
Budget recommendations.
Administrative notes (e.g., comments on human subjects or animal welfare).

The major grant that funds most U.S. health R01 grant applications are usually investigator-
scientists’ work is called an “R01.” There is no initiated—that is, the researcher proposes a topic to
special reason these grants are called R01—it is study rather than the agency indicating what kinds
not an abbreviation for any longer term. The letter of topics it would like to see. Other approaches are
R conveys that it is a Research Project Grant, but also common among large funders. Many funders
there are other types of NIH research grants that (including NIH) use Requests for Proposals (RFPs),
begin with other letters. Requests for Applications (RFAs), or Program


QUESTION
q&a
Where do research funds come from?

ANSWER
National governments, including both that of the country where you will work and those of other
nations that have taken an interest in supporting work in your area of science or your geographical
region.
Non-governmental organizations—a very broad group of national and international organizations.
Multinational organizations such as the United Nations and its agencies (for example, UNICEF), the
World Health Organization, etc.
Public-Private Partnerships such as the Global Fund to Fight AIDS, Tuberculosis, and Malaria, the
International AIDS Vaccine Initiative, etc.
Private foundations such as the Wellcome Trust, the Bill and Melinda Gates Foundation, the Howard
Hughes Medical Institute, etc.
National and multinational corporations such as mining companies, oil companies, etc.

Announcements (PAs) to alert researchers to institute that focuses on infectious diseases, or, if
grant opportunities that will fund research around it is a Fogarty International Research Collaboration
particular topics. Award (FIRCA), it might be funded by the Fogarty
International Center, which is also a section of
Applications to NIH are submitted to the agency
NIH. The Fogarty Center’s work focuses on global
and then immediately sent to a division that
health and international partnerships.
specializes in managing the review of applications
—the Center for Scientific Review (CSR). There At NIH, the level of review that focuses on
the grant is reviewed on two levels: one is a peer scientific and technical merit is carried out by
review level meant to evaluate the proposal’s one of many “study sections,” each of which is
scientific and technical merit, the other is review organized around a general scientific area. Each
by staff members from a few of the agency’s study section has a specific scientific focus. Indi-
many institutes and centers to determine where vidual reviewers who are members of the study
the grant might best fit into the agency’s interests. section review a grant application for scientific
For example, a grant that focuses on atherosclero- merit. Each rates it with a numerical score, and
sis would face peer review by a panel of experts then the whole committee comes to agreement
in heart disease and, after review by the institutes on the proposal’s final score, a three-digit number.
and centers, would likely find its way to the In this system, 100 is the best possible score,
institute that focuses on heart disease. Within the and 500 is the worst. After reviewing the proposal
overarching agency NIH, that is a section called as individuals, proposals that the committee
the National Heart, Lung, and Blood Institute. A members agree are not of high enough quality to
grant you might write with an American collabora- be competitive are often not even discussed at
tor to fund research on Chagas disease (a parasitic the peer review meeting, and will not receive a
infection with considerable impact on the heart) numerical score.
might make its way to that institute, or to the NIH

GETTING FUNDED 99

WHEN POOR SCORES ARE GIVEN
Who might be interested in supporting
Applications may receive poor priority scores for
your work?
any number of reasons, including:
Disease control programs that require
evidence-based information in order to Lack of original ideas.
implement appropriate control measures Absence of an acceptable scientific rationale.
in disease-burdened areas.
Lack of experience in the essential methodology.
Policymakers who require quality research
results for policy formulation, policy guide- Questionable reasoning in experimental approach.
lines and informed decisions in the control
A diffuse, superficial, or unfocused research plan.
of various diseases.
Chemical and pharmaceutical manufacturing Lack of sufficient experimental detail.
companies wanting to know the efficacy of Lack of knowledge of published relevant work.
their products against target vectors and
diseases. An unrealistically large amount of work for the
given time frame or funding level.
Construction companies may require
assessment of the impact of their projects, Uncertainty about future directions.
for example, the construction of an irrigation
scheme in an arid area.
Communities themselves are interested in PREPARING A STRONG
research results so that they can understand GRANT APPLICATION
their population’s health status and the prob-
lems associated with it, as well as where
they may need to improve it. GETTING STARTED
Waterworks and sewerage institutions Successful grant applications begin with a good
constantly need to monitor the quality of idea. See page 102 for the sequence of steps that
water and sewage in order to keep harmful can guide you from your good idea through the
organisms at minimal levels, thus averting submission of an application to the final decision
epidemics of waterborne diseases. about funding. You can send the same application
Research funders who will want to know if to multiple funding sources, but you must disclose
their funds are being used in the manner in your multiple applications to each potential funder.
which they are intended and the outcome of If two or more funders agree to support the same
the research conducted using these funds. application, you must let them know that the work
has already found support. This may cause some
Investors also have an interest in some of
funders to withdraw their support, but others will
the research results produced, because they
only ask you to propose some new work that will
will guide them in what health care systems
go beyond the original proposal. Although it may
to adopt if they do decide to invest in an
area. These health care systems should of be tempting to keep both, you do not want your
course be in sync with the health policies of supporters to find out later to their surprise that

”
that country. they have “bought” the same work as another
funder.
Once you have a good idea, you can get started in
two realms: your own institution and an appropri-
ate funder. Information about potential funders is
contained in the Resources section of this chapter.


Seek input at your own institution. If no one Has this area been studied before? If so, what
at your institution has been successful at getting has been done?
funded, look for others as close to you as possible
What approaches will you use, and why?
who have gotten international grants. In some
places this may mean approaching people who are Why do you think it is feasible?
across the country from you, or even in another
What will you do if your initial approach does
country in your region. Colleagues from farther
not work as planned?
away may be able to give you helpful insight on
scientific issues and the overall logic of the work What resources and expertise are available to
you are proposing, but get as much input as you you from your institution?
can from people who face the same kinds of fund-
ing challenges that you will. Keep in mind that your reviewer may pick up your
proposal after reading tens of others. You need
Keith Yamamoto, a well-known cell biologist, to do a very good job of writing and of arguing for
recommends this to his younger colleagues: ask your ideas, because your reader may be distracted,
three colleagues who have written fundable grants disinterested, grumpy, hungry, or in a bad mood
to serve as a “grant committee” to help you get by the time he or she begins looking at your
your own work funded. If you have found a group grant. Start working on the writing well ahead of
of colleagues who are willing to help you this way, the deadline so that your grant will put your work
set a time to talk with them, as a group if pos- forward well. Prepare your application with care—
sible, about your research goals, aims, and ideas. use your computer’s spell check but also read
Prepare yourself beforehand—you should be able your work over many times and give it to others
to brief them on your specific goals, grant ideas, to get “fresh eyes” looking for simple errors. No
and potential funders in approximately two hours— matter how strong the science, typographical and
not two days. grammatical errors leave a poor impression. Do not
After you have sharpened your thinking by prepar- try to evade the page limit by using small type or
ing for the conversation and talking with your narrow margins. Do not feel you must write up to
grant committee, read the grant solicitations that the full page limit; you get points for strength, not
seem to fit you best and choose one on which to length.
focus. List three to five specific aims, and explain In the specific aims, be specific about reagents
in writing for yourself why each aim is important. and quantify whenever possible. You may be trying
Then discuss this limited group of aims with the to leave your options open, but a reviewer may
same small group of experienced colleagues, and see a lack of detail as a lack of knowledge on your
then refine your aims according to their comments. part. At the same time, be brief—try to keep your
Again, this conversation or group of conversa- specific aims to two or three sentences each.
tions should be short—on the order of two
hours—because you will have focused on what is Use language and formatting to create signposts
important and will not be discussing other topics. for overworked reviewers, for example:
Once you have finished, you are ready to write a The long-term objectives of this project are…
grant. The specific aims are the hardest part and
The general strategy of the proposed research is to…
are the true heart of a grant, and at this point, you
have them well in hand. The specific aims of the present study are to…
In general, a good grant application will answer for Four goals are envisioned:…
a reader:
In these experiments, molecular genetic, biochem-
What do you want to do? ical, and structural approaches will be used to…
Why is it important? Do not put anything that is critical for reviewers
Why do you think you can do it? to read, such as key graphics, in an appendix,
because reviewers are not required to read

GETTING FUNDED 101

CALL YOUR PROGRAM OFFICER

Program officers are generally PhD or MD staff members of funding organizations. Their job involves
connecting researchers with grants. It is always appropriate to call or write to the program officer who
manages a funder’s grants in your area of research interest. A good program officer will tell you more
about a grant program you are considering applying to, can recommend other funding opportunities that
may also fit you or may fit you better, and can give you some sense of whether your planned application
has a good possibility of being supported by the agency.
Before you call, be sure to have an abstract of your research project ready (see box “Tips on Writing an
Abstract”). The program officer will probably ask for a copy. If not, you can offer to send one.
The program officer will not evaluate the quality of the research idea or the science. That job is left to
your institutional colleagues and the study section. But the program officer can be your best advocate
and advisor at a funding agency throughout the application process and beyond. This book was
conceived and helped along by program officers from different agencies, all of whom wanted to provide
you with a resource that will help you become an even more successful researcher.

appendixes. Do include clear tables, figures, and whether you have done everything the application
diagrams (along with legends). Put them in the requires and whether your work matches well with
body of the text, not in pages following it as you any criteria for selection listed.
might when submitting a paper.
If you will be using human subjects, collecting
The particular format of a given grant may vary, human samples, or using animals, make sure to
but just like scientific papers, scientific grants have give yourself time to discuss the project with the
predictable structures. Draft an abstract, research people who will be responsible for approving the
design section, and methods section. Then draft project’s ethics and determining that your use of
the section on your current relevant work, and animals is in accordance with international
the sections on the background and significance standards.
of what you propose to do. Conduct a thorough
If new data become available after you have
literature search and cite all relevant literature
submitted the application, contact the appropriate
(omissions here are often a source of criticism).
program officer to see whether you will be allowed
Be sure to discuss your work in the context of
to submit this additional information, and if so, how
these published results. Conclude each section
to do so.
in the research plan with a few sentences stating
what you will learn and why that information is The Application: From Concept to Submission
important—for example, “These experiments are In the beginning: have a good idea.
important because nothing is known about X, and
Find a home for your research; investigate funding
they will enable us to distinguish between two
agencies that may support the kind of work you
controversial models that are widely discussed in
propose.
the field.”
Seek input at your own institution.
Reviewers will look for your record of getting
related work done, so if you do not yet have Write an abstract describing your proposed work in
published work showing your success with the clear language suitable for an educated layperson.
required methods, do some preliminary work and
Contact program officers at the agencies you
present a short summary of the results in your
would like to approach for support.
grant application. Re-read the funder’s instructions
very carefully, paying particularly close attention to If the conversation is encouraging, send an abstract
to the program officer.


If the conversation is discouraging, and if it is a
large agency, contact another program officer
and have the same kind of conversation with a Components of a Generic
different person. If you are discouraged a second Grant Application
time, your idea is likely not a good fit for the agency.
Abstract
Prepare your application; refer frequently to any
instructions on what will determine which grants Research Plan
are funded. Specific Aims
Background (like a review article)
Draft a one-page cover letter in which you express Significance or Relevance
why you believe your application fits the agency Preliminary Results
or the particular solicitation to which you are
Research Design and Methods
responding. Suggest potential reviewers for your
work, and mention your conversation with a Resources and Facilities
supportive program officer. Including description of your lab and
the equipment in it, as well as shared
equipment and equipment you have
The Application: From Submission through access to at nearby facilities
Funding Decision
Submit your application on time; follow instructions Budget
carefully.

Check by email to make sure the application was
received.

After peer review, carefully read any feedback Reviewers Focus on the Four Cs
given by the review committee. At some agencies,
this feedback may come before funding decisions Clarity. Cross-reference current literature
are made. in laying out your premises.
If revision and resubmission are recommended, Content. Organize your ideas around
consult colleagues at your institution and program associated aims linked to your central
officer for guidance, address all critical comments hypothesis. (The mission statement of
thoroughly, and resubmit your application. Learn each funding institute or review commit-
from the summary statement and the program tee sets forth its areas of emphasis.)
officer: negative comments will contain informa-
Coherence of concepts. Present a coherent
tion that could help you write a stronger proposal
set of ideas predicated on previous work.
in the future.
Cutting edge. Be ready to take legitimate
If appropriate, consult the program officer about
risks, preferably based on preliminary data,
challenging a review you think is flawed, especially
to move the science forward.
if the reviewers’ comments seem to miss the
point of your proposal.

If the application is funded, first, celebrate. Find
out when and how the grant will be paid, and
then wait expectantly—soon, you can begin the
Tips on Writing an Abstract
proposed work!

If the application is not funded, consult your The abstract should convey the big picture
program officer for guidance and either revise and —the general hypothesis and aims, the
resubmit the application, or apply what you have methodological approach, and the signifi-
learned to write a new application. cance of the research. Try to avoid technical
jargon, and write the abstract in language
an educated layperson can understand.

GETTING FUNDED 103

DIRECT COSTS VS. INDIRECT COSTS

Direct costs comprise those expenses that are directly related to conducting a research project.
They include salaries, employee benefits, equipment and scientific instruments, consumable supplies
such as printer paper and pipettes, reagents, laboratory computers, and postage. Indirect costs
(informally termed “overhead”) comprise the expenses that are paid to your institution by the funding
organization to support your research but cannot easily be charged directly to a specific grant. These
include administration, utilities, computer infrastructure, building maintenance, security, and custodial
services. These items can add significantly to the cost of doing research. Generally, an institution’s
administrators, on behalf of the investigator, will negotiate indirect costs with funding organizations that
allow these costs. The organization then provides funds for indirect costs to the institution, along with
funds to cover direct costs charged to the research grants.
Some organizations, especially foundations, do not allow indirect costs, but often will allow many of the
items listed above to be included as direct costs of the grant.

Criteria for Rating. Here are some questions that THINKING ABOUT A GRANT’S BUDGET
reviewers will ask about your proposal:
The budget is a categorical description of the
Significance: Does it address an important proposed costs. Generally, it explains staffing and
problem? Will it advance scientific knowledge? Will supply/service consumption patterns, the methods
it affect concepts or methods in this field? used to estimate/calculate these items, and other
Approach: Are the experimental design and details such as lists of items that make up the total
methods appropriate to the aims? Does it costs for a category. The budget should address
acknowledge problem areas and consider each of the major cost categories, such as:
alternative tactics (in other words, is there a Personnel
thoughtful backup plan)?
Number of positions and level of expertise for
Innovation: Does it employ novel concepts, each position
approaches, or methods? Does it challenge exist-
ing paradigms or develop new methodologies? Percent effort for each position

Investigator: Is the investigator appropriately What each member of the proposed research
trained to carry out the proposed work? Is the team will be doing
work appropriate to the experience of the principal Equipment
investigator and collaborators?
Why you need this piece of equipment
Environment: Does the institutional environment
contribute to the probability of success? Is there What equipment you used to get preliminary data
evidence of institutional support? Why the above equipment is not sufficient to
support R01-level effort


NOT CHOSEN?

Occasionally, mistakes are made during the review process. If you believe that the reviewers criticized
you for information they overlooked in your application, or think the review was flawed for other
reasons, consult the program officer about the possibility of appealing the study section’s decision.
Although this action is sometimes appropriate, it is usually better to address review comments and
resubmit your application. Follow the program officer’s guidance on this matter.
If the reviewers thought your starting hypothesis was seriously flawed, do not waste your time revising
and resubmitting the application. Instead, learn as much as you can from the summary statement and
discussion with the program officer and your colleagues, reconsider your project and approach, and
write a stronger application the next time.
If the program officer thinks it is worthwhile for you to revise the application, keep these points in mind:
Reviewers of amended applications get to see the summary statement from the previous reviews.
Always treat review comments respectfully.
Respond to all suggestions and comments, even if you do not agree with them.
Be explicit about changes. Mark each section of the revised application where you have addressed
reviewer critiques.
Provide any additional data that are now available, and update your publication list if necessary.
Resubmit the revised application by the due date. Your revised application now begins its journey
through the review process all over again, along with the next batch of new submissions from other
applicants.

Cost sharing for new equipment is advisable
The most important challenge for a scientist
Supplies
in my country is that funding for research is
Categorize limited. Although new private foundations
and business companies have started to
Explain large expenses
offer grants for scientific research, there are
Travel fewer sources of funding than in developed
countries. Additionally, salaries at universities
Describe proposed meetings, travelers, and are relatively low. The most important way
estimated cost/trip of facing this challenge is, first, to learn how
to apply for grants as early in one’s career as
Justify any foreign travel
possible. It does not matter if the applications
Other are not successful, but starting to learn the

”
process is very valuable.
Detailed description of animal per diem costs

Categorize other expenses
Gilbert Brenes Comacho, Costa Rica

GETTING FUNDED 105

RESOURCES
Allen, Ernest M. “Why are research grant applications
disapproved?” Science 132:1532-1534, 1960.

Online
Example of a Funded RO1:
Annotated RO1 Research Plan and Summary Statement
(NIAID): http://www.niaid.nih.gov/ncn/grants/app/.

GrantsNet (http://www.grantsnet.org), maintained by the
American Association for the Advancement of Science,
is a well-maintained database of funding opportunities
worldwide.

Other Sources of Funding Information:
FedBizOpps, an evolving database of all U.S. federal
government granting programs of more than $25,000:
http://www.fedbizopps.gov.

Major Sources Of International Funding:
The Fogarty International Center produces and updates its
Directory of Grants and Fellowships in the Global Health
Sciences, which lists international funding opportunities
from all over the world. It can be found at www.ﬁc.nih.gov.


CHAPTER 8

TEACHING AND COURSE DESIGN

“A TEACHER AFFECTS ETERNITY; HE CAN NEVER TELL WHERE HIS INFLUENCE STOPS. ”
HENRY ADAMS

If you are associated with a university, college, or and other professionals. It also offers advice for
medical school, teaching may be an important part revising and designing courses, helping graduate
of your work. You might have mixed feelings about students and other trainees who may someday
taking your place in front of a class. You may find find themselves in charge of a classroom learn
yourself staring out at a sea of faces and thinking, how to teach, creating a “teaching portfolio”
“What am I doing here? I am a scientist, not a —a coherent presentation of your experience
teacher.” If you have done little or no teaching with teaching and your ideas about your work in
before, but now find yourself cast in the role of the classroom—and balancing your teaching and
“The Professor,” you have no choice but to learn research responsibilities.
as you go.
This chapter focuses on some strategies for
becoming a more effective teacher by using a
WHY TEACH WELL?
variety of methods, including “active learning.” Science is about learning—both learning what is
By experimenting with different teaching methods, already known and learning from the questions
continually assessing their effectiveness, and your experiments ask of the natural world. Gaining
modifying them based on feedback from students the varied skills required to become a good teacher
and other teachers, you can become a “scientific will benefit you professionally by enhancing your
teacher” who is as rigorous at teaching as you communication skills, adding a whole new range
are at research. This chapter focuses on teaching of activities to your resume, and making you
undergraduates at large research universities and rethink the most foundational ideas that underlie
students at medical schools, but the methods your field. When you prepare your lectures and
described can easily be adapted to other settings. when students ask you naïve questions, you will
look in new ways at your assumptions about how
The chapter suggests ways to improve your
things work. Thus, teaching can bring new energy
current teaching style by assessing your strengths
to your lab investigations. You will also contribute
and weaknesses and learning from colleagues
to the greater good of society by educating

TEACHING AND COURSE DESIGN 107

the next generation of students (those who careers beyond science, you may influence future
become scientists as well as those who go into policymakers, business leaders, corporate decision-
other fields), and you should take great personal makers and others. Thus you will increase science
satisfaction from giving students the knowledge, literacy and the general perception of science among
insights, and enthusiasm they need to succeed as those who affect how things move forward.
well-educated members of society. These reasons
Science and other Technical Fields Need to
are explored in greater depth below.
Retain Excellent Students. By adopting a teaching
style that engages students, helps them become
excited about the discovery process, and creates
For me, the best thing of being a scientist in their imaginations the possibility of a rewarding
is that one is capable of understanding infor- life in science, you will excite many more students
mation that might seem complex to others, about pursuing scientific careers.
and then one is also capable of translating Intellectual Growth. Ongoing interactions with new
this information to others to spread the
students will prompt you to rethink “the basics” in

”
knowledge.
ways that give you a deeper understanding of your
work. Their questions may push you to acquire new
skills and improve on existing ones, so that you
yourself can extend your experimental reach.
Increased Job Satisfaction. Your scientific
REASONS TO TEACH experiments and other aspects of laboratory work
are not always going to go according to plan, and at
Love of Learning. Teaching completes the times you may become frustrated with the pace of
learning cycle. It is a logical extension of your own research in your lab. Teaching can provide much-
studentship. needed balance that re-energizes you and can give
A Strong Teaching Record Can Help Your you a sense of accomplishment. When you teach,
Research Career. If you are at a university that you build the future, give individual students a
values teaching, the fact that you are knowledge- chance for better lives, and increase the commu-
able about teaching will help you advance in your nity’s knowledge. It is often a much more sociable
environment. Taking on your fair share of the and direct experience than your progress through
institution’s teaching load will help establish your laboratory science.
reputation as a valuable peer and colleague.
Get to Know Potential Students for Your Lab.
Teaching will likely give you access to students who It is important to tell the history of certain
may want to join your lab. Teaching an important experiments and talk about the personal
class extremely well will help spread your reputa- knowledge one has of some of the “actors”
tion among the best and most serious students. who made important contributions to, for
instance, molecular biology. Make the science
Increase Science Literacy. Increasingly, scientists
we teach alive. Foster enthusiasm. I usually
are called upon to communicate effectively with say that I cannot teach any subject that does
the public about complex and practical issues not interest or fascinate me. When I am fasci-
ranging from health policy to the philosophical nated by the subject I am teaching, I manage

”
and real-world quandaries of crop engineering, to get fascination in the audience.
embryonic stem cell research, or preservation of
scarce resources. Delivering class-room instruc-
tion will improve your communication skills. Also, Alberto Kornblihtt, Argentina
by teaching students who will choose many


Giving Back. Teaching allows you to give some- instead give them more time to pose questions
thing important back to your country, as well—you and reflect upon solutions. If you are a less
transmit the knowledge that you have attained to gregarious person, you might find teaching in a
new generations of students who may, in turn, have large lecture to be so intimidating that you retreat
a role in moving science and the country forward. behind your lecture notes and have difficulty
interacting with students. If you are given a choice
of how to organize your course, you can build your
BECOMING AN confidence by starting with a topic you know well
EFFECTIVE TEACHER and feel passionate about.

Teaching the lecture component of a basic science Whether you are bold, shy, or somewhere in
curriculum for medical school students or a course between, after you have established some rapport
for undergraduates can be daunting. You want to with students, stimulating discussion around the
be well-prepared for this new responsibility. How subject matter might become easier for you.
do you become a capable and effective teacher
whose students really learn the material you are OBSERVE AND BE OBSERVED
presenting? There are several steps you should
take before you even set foot in the classroom. Just as you learn to improve your scientific
work based on the critiques that editors give to
your submitted manuscripts or comments that
ASSESS YOUR STRENGTHS reviewers make about your grant applications, you
AND WEAKNESSES can also learn about teaching from peers, senior
colleagues, and others at your institution as well
Research has shown that the best teachers are
as from feedback provided by your students.
not only knowledgeable about their subject matter,
but also show a concern for students and know Ask a Peer for Feedback. You might want to
how to stimulate interest, encourage discussion, consider a reciprocal arrangement with another
explain topics clearly, and show enthusiasm. Think junior professor in which you visit each other’s
back to any previous teaching experiences you classes, staying in the back and just watching the
may have had. Even if they are only presenting at lesson and how students respond to it. When you
lab meetings, nervously giving talks in your own are being observed, ask your colleague to provide
student days, or sharing a new skill with a friend, a frank assessment of your teaching skills. He or
they may give you some insights into what teach- she can give you information and advice informally
ing skills you could improve. or by completing a written checklist that contains
specific categories, such as structure and goals
The type of course you are asked to teach may
of the class, teaching behaviors, rapport with
not mesh with your scientific interests, but you
students, and subject matter and instruction.
should take the time to assess your strengths and
weaknesses and take those into account when Observe a Senior Colleague. Seek out senior
planning your classes. Since good teaching is part colleagues who are reputed to be good teachers,
art, part technique, and part personality, you will and ask them if you can attend their classes to
need to find techniques that will both fit your own see what they do that is effective. If you would
personality and will address your students’ varied like a faculty member to observe your teaching,
learning styles. and possibly serve as a guide for you as you
learn this skill, choose someone who seems
For example, if you are an outgoing person who
enthusiastic and knowledgeable about teaching
takes great joy in sharing what you know, convey-
and who has a reputation among students as a
ing your enthusiasm for science to students should
good teacher (not just as a giver of high marks).
be easy for you. But your enthusiasm may be
Experienced colleagues can offer suggestions
overwhelming. You might need to avoid presenting
for dealing with particular topics and can give you
students with a tidal wave of complex ideas, and
additional ways to clarify and enliven the material.


Seek Feedback through a Formal Peer Review THE PRINCIPLES
Project. As you become a more experienced
teacher, you might want to participate in more OF ACTIVE LEARNING
formal peer review of teaching projects, which Whether you teach at a large research university,
aims to engage faculty in capturing the intellectual a medical school, or a smaller school, you can aim
work of teaching by helping instructors document, to create a classroom that reflects the process of
assess, and reflect upon ways to improve student science and captures the rigor, iterative nature,
learning and performance. and spirit of discovery of science at its best. Even
Ask your Students for Feedback. Student evalu- in courses where you expect to stand at the front
ations of teaching effectiveness can offer valuable of the room and lecture, there are ways to get
clues as to what you are—and are not—doing students thinking and asking questions. (See the
well. However, many standard assessments, which box “Active Learning in Small and Large Settings”)
contain quantitative questions designed to be
analyzed by computer (e.g., “Overall, how would WHAT IS ACTIVE LEARNING?
you rate the quality of the instructor’s teaching?”),
may not provide enough specific information. Active learning uses a variety of problem-solving
You might want to create an informal survey, techniques to help students become active
with plenty of room for comments. The students’ participants in the learning process, giving them
critiques can help you make any necessary course the chance to clarify, question, apply their knowl-
corrections. Bear in mind, though, that student edge and consolidate what they have learned.
ratings for your first course might be low. They The concept was originated by John Dewey, a
should quickly improve as you gain experience philosopher of education who contended that
and confidence as a teacher. Some students may learning must be built upon the experience of the
use an anonymous evaluation as an opportunity learner, who actively integrates new knowledge
to make cruel remarks, but if you emphasize that into an existing conceptual framework. A growing
this is a practical evaluation meant to improve body of research supports that supplementing (or
their classroom experience, there should be useful replacing) lectures with active-learning techniques
feedback on what you are doing wrong, from and engaging students in discovery and scientific
speaking too softly to asking unclear examination process can improve their abilities to understand
questions, as well as some encouraging acclaim concepts, think critically, and retain the knowledge
for the things you are doing right. they have gained in the course.

ACTIVE LEARNING IN SMALL AND LARGE SETTINGS

Active learning presents opportunities and challenges for the teacher. If you have small classes and
frequent, relatively informal contact with the students both in and out of class, that will make some
approaches easier to employ. At a larger or more formal institution, some active learning approaches
may be very difficult to apply, but related ideas, such as students forming small study groups or
frequent quizzes to check student understanding, may be useful.
Upper-level courses and other small-sized classes are excellent opportunities for departures from
straight lectures. In the instances where you teach labs in connection with your science courses, you
can introduce inquiry-based experiments in your lectures from the start. Because undergraduates,
graduate students, and technicians will contribute substantially to your research agenda, the time you
spend training them and helping them organize their projects will present many opportunities for
experimenting with active learning approaches in the lab.


In the classroom, the principal tools of active If you use active learning in your classroom, keep
learning are: the following pointers in mind:
Cooperative learning, in which students work in Do Not Try to Cover Too Many Topics at Once.
groups, helping each other understand the material To make active learning work well, especially
they are grappling with. within the large lecture format, pare down each
lecture to the core concepts you want or are
Inquiry-based learning, in which students ask and
required to introduce, and organize the concepts
answer questions and engage in the process of
in a meaningful sequence.
science, by doing laboratory exercises, for example.
Provide an Appealing Context for the
Assessment, in which the teacher very regularly
assesses what students are learning and what
Concepts you Highlight. While you might find
parts have gone “over their heads.” The teacher
a lecture on metabolic pathways exciting, your
uses the feedback to make revisions as the course students might learn even more if you present an
progresses so that students spend adequate time absorbing case problem to which an understand-
on ideas that are critical for their understanding of ing of the metabolic pathway will hold a key.
the material. Start Gradually and Then Add More. If you are
comfortable with an informal style and it is accept-
IMPLEMENTING ACTIVE LEARNING IN able at your institution, you might try introducing
active learning components slowly, experimenting
THE CLASSROOM with different ways of teaching the material to
Most scientists will have experienced learning as engage students. For example, you could start by
undergraduates or even graduate students via the stopping your lecture for a few moments to ask
“sage on the stage” approach of lecture classes. students questions (which you can formulate in
Delivering a lecture may be the teaching style advance) about the content you are teaching:
that will be most natural for you. Some active
Description: What do you see? What happened?
learning approaches integrate well into lectures
and can make the material more engaging for your Common purpose: What is the purpose or function
students. You might lecture for 10-15 minutes of…?
and then carry out an activity. For example, ask
Procedures: How was this done? What will have
students to work in small groups on a problem or to be done?
equation, and then resume the lecture by solving
the problem at the board in the front of the room. Possibilities: What else could…? How could
You might present the results of a scientific study we…?
and ask students to make a prediction, based Prediction: What will happen next?
on their understanding of the material, of what
the next step would be. Asking the students to Justification: How can you tell? What evidence led
write on a note card the most important concept you to…?
they learned in the day’s lecture and hand it in Rationale: Why? What is the reason?
as they leave can let you quickly gauge whether
the class is struggling with the material. Similarly, Generalization: What is the same about…and…?
asking students to jot down questions, and then What could you generalize from these events?
answering them at the beginning of the next class Definition: What does…mean?
session, can help ensure that most students are
keeping up with the material.


Encouraging Student Questions If home internet use is common for your students,
Do not ask, “Any questions so far?” Rather, consider using web-based resources such as a
answer a question with a question to encourage discussion board to encourage students to ask and
students to define concepts in their own words. answer each other’s questions.
For example, if a student asks, “What is poly-
merase chain reaction (PCR)?” answer the ques- Use Real-World Examples
tion. but then ask a related question that will test Use current newspaper and magazine articles to
the student’s ability to apply the knowledge that show the relevance of the topics students are
you just gave them. “Can anyone think of why a studying. For example, if you are teaching about
researcher would want to use PCR?” DNA sequencing, bring in articles about genomics
and post-genomics or ask students to bring in
Encourage students to question concepts, ideas, relevant articles they may have seen.
and theories by using examples from your own
research or research important in your scientific Involve the class in assessing the biological im-
field to explain how the scientific process is carried plications of a real or planned community project,
out. such as a plan to control communicable diseases
or an animal population. Assign student groups to
One of the problems with asking questions in investigate various aspects of the project, collect
class is that it can become a private conversation data, and present evidence-based recommenda-
with just a few students who volunteer answers. tions to the class.
Instead, you might try asking students to write the
answers individually, or to work on the answers in Use Technology to Enhance Teaching. If you
a group. have access to a computer or to the Internet
during your class, there are ways to use technology
At the end of a class, ask students to write down
to make classes more engaging.
two good questions or test problems related to the
material you presented, and start your next lecture Provide some historical background to key
with a reference to those questions. You can also discoveries in biology by showing films or news
ask a question that can be answered by those who clips of early, groundbreaking experiments.
read the material for the next class, and then ask
any student to present his or her answer at the
beginning of the next session.

QUESTION
q&a
How do I get students to respond to my questions and not be met with silence?

ANSWER
Make it clear that you expect participation, but develop the patience to deal with at least 10-15 seconds
of silence when you ask a question. Even if you feel frustrated when no one speaks up, refrain from
answering the question yourself, or you will set the wrong tone for the rest of the course. If students
are very reticent to ask and answer questions, you might try framing an opening question in the form of
“Choose one of these answers.” Call for a vote by show of hands, then ask one of the students who
knew the answer to explain to the others why that answer was correct.


Integrate new media technology such as anima- to test the hypothesis, collect and analyze the
tions or virtual labs to make the subject more vivid. data, and determine if their hypothesis was
Slides, photos, and film clips will also get your confirmed. The students then present and explain
students’ attention and may open familiar material their findings to the class as a whole. This can
to surprising new questions. be useful even when facilities and resources for
doing experiments are not available. Students can
Use interactive demonstrations and simulations to
illustrate concepts. Or show maps, photographs,
be given mock data from which they can do the
or diagrams and ask students to make their own
relevant analysis and think through results, even
observations and interpretations. if it is impossible to give them a chance to collect
the data themselves.
If you decide to use PowerPoint slides in your class,
learn to make your presentations visually dynamic As students start to understand and apply the
and engaging to students. Reading a lecture aloud scientific method, they can begin to experience
from a series of slides is painfully dull for both the the rewarding pleasure of discovery. From inquiry-
teacher and the students. based labs, students can also develop better
communication and critical thinking skills and learn
Set the Stage for Active Learning to work together as part of a problem-solving team.
Set the pattern for active participation from the very
first day. Remind students of the value of active
learning, ask questions that call for genuine discus-
CASE-BASED LEARNING
sion, and get students talking several times during Case-based learning allows students to learn sci-
the first session or in separate discussions later. ence in a very practical way, by exploring the kinds
of issues they might actually confront as scientists
Learn the names of as many of your students as
or as physicians or engineers in practice. Students
you can. At the first class, tell students to choose
their seats for the semester and then make a seat-
meet in small groups with a faculty member or a
ing chart, which you can study while students are more advanced student, who acts as a facilitator.
working on in-class exercises. They are then assigned roles, such as discussion
leader, reader, scribe, or timekeeper. For each
case, which they will have read and thought about
ACTIVE LEARNING IN THE LAB ahead of time, they receive a list of objectives; a
narrative description of an issue, phenomenon, or
The teaching laboratory associated with a course
scientific advance; and a list of questions to address
is a perfect place for students to actually practice
and problems posed by the narrative. The exercises
science by designing experiments, gathering and
are designed to integrate previously learned class-
analyzing data, and presenting their findings.
room material, so students are expected to refer
If you want your students to experience the thrill to material they have studied before attempting
of science, consider taking a different approach by to answer the questions. In addition, students are
either designing or adapting existing inquiry-based encouraged to pose hypotheses, present any new
experiments. When they are properly designed information they may have, reach conclusions as
as discovery-based learning activities, labs can a group, and evaluate the exercise. The whole
provide rich learning experiences for students and process can be done in an hour.
can help them develop a variety of professional
In this kind of learning, your role is likely to be
and technical skills.
that of a facilitator. Your goal should be to assist
Most inquiry-based labs begin with a question— the student groups to function smoothly so that
either one generated by the teacher or by the students can learn from one another. You should
students—that provides students with a specific not take over and begin lecturing the small
issue or topic to explore. Students research the groups, but you should correct any misinformation
topic, offer a hypothesis, design an experiment that might arise during student discussions.


Here are some ways you can help them learn the type of exam, you should use a variety of
without delivering the material yourself: questions to evaluate what the students have
learned.
Encourage the group to recognize and formulate
problems by asking students to brainstorm and True/False Questions. These questions lend
make a list of possible causes of the problem themselves to written exams. They present a
being discussed. statement and ask the student to decide whether
the statement is true or false. While the tests
Give group members opportunities to demonstrate
are among the easiest to write and score, they
their outside reading by asking them to describe new
are limited in the kinds of student mastery they
information they might consider from other sources.
assess and have a relatively high probability of
Ensure that all group members have a chance students guessing the right answer. “True or
to contribute by preventing the “talkers” from make true” questions, which ask the student to
answering too quickly, while encouraging quieter recognize and correct false statements, can also
students to participate. be useful.
Encourage the groups to critically evaluate ideas Short Answer Questions. These are “constructed
by asking probing questions and suggesting other response” or open-ended questions that ask
avenues to explore. students to create a short answer (one sentence
Provide timely, constructive feedback to help the or several sentences). In a written exam, students
groups analyze what went well and what went fill in a blank or complete a sentence. Although
astray in their discussions, and to make sure that the questions are relatively easy to write, they
at the end the groups have not come to illogical or are harder to score because students are free to
incorrect conclusions. answer the question in any way they choose.

Model respectful and professional behavior by Multiple Choice Questions. These questions are
showing respect and support to all students while used primarily in written exams. These present a
making the rules of small-group discussion very clear. question and ask students to choose from a list
of answers. Questions can be simple statements
(Adapted from Guide to Small Group CBL Exercises, BMS6204: Medical
Biochemistry and Genetics, Florida State University College of Medicine.) or complex cases or scenarios that require careful
consideration on the part of students. The ques-
tions can be more challenging to answer (if they
DEVELOPING require both one correct answer and several false
answers that distract the student by being nearly
EXAMINATION QUESTIONS true or by playing on a common misunderstanding
Remember that writing exam questions takes of the concept), but are easy to score.
time; do not try to “throw it together” at the last Essay Questions. These questions can be
minute. Before you start, make sure you ask if used both in written and oral exams. They allow
your institution has any established formats to students to focus on broad issues, general
which your exam questions must conform. If you concepts, and interrelationships, rather than on
have students or other trainees helping you teach specific facts or details. The advantage is that the
the class, involve them in writing the exam or tests allow you to see the quality and depth of
in reviewing a draft of it to make sure that your each student’s thinking. However, they can be
instructions are clear and that the test can be difficult and very time-consuming to score,
completed in the time allowed. because the answers vary in length and variety,
Your school will have its own customs and require- and you might tend to give students a better
ments for testing students’ knowledge. In some grade if they have strong writing skills.
places oral exams are common; in others written
ones are used nearly exclusively. Regardless of


COURSE DESIGN If the content of the course seems satisfactory
overall, you can focus more on your presentation.
You may be asked to design a new course from But if you think it is necessary to introduce a
scratch, or you may want to redesign an existing substantial amount of new content or make major
course to better suit your teaching style and structural changes, then it may be useful to start
knowledge or advances in your field. Course from the beginning and design a completely new
design is a complex and time-consuming under- course.
taking, so before starting down this path, give
considerable thought to how you will find the time
to build the new course, how many times (if any) DESIGNING A NEW COURSE
you will be able to substantially re-teach the same Creating a new course is more difficult and
course, and whether your new course—especially time-consuming than revising an existing one.
if it is a significant departure from a well-loved Before starting, ask yourself why you want to
predecessor’s course—will generate potentially design a new course. Has your department or
damaging turbulence for you from your teaching school requested that you fill a gap in the existing
and research colleagues. curriculum? Will you earn good will and be viewed
Clarify your department’s expectations for this as a team player if you take it on? Do you have
course. If you are teaching a course for only one a special research interest that is not currently
year and must hand it back to your colleague when represented in the curriculum?
he returns from a sabbatical, you might want to You will face three critical decisions—what to
invest minimal time and effort. If you can get a teach, how to teach it, and how to ensure that
commitment to teach the course for several years, students are learning what is being taught. Ideally,
revising it will make more sense. you should begin planning your course several
Review and evaluate the course syllabus, lecture months ahead of the term to give yourself time
notes, textbooks and other assigned readings, to order textbooks and request other resources
assessment questions, and other materials the and to prepare your course handouts. But even
faculty member who previously taught the course if you are asked to develop a new course at the
will make available to you. last minute, you can still use many of the planning
guidelines described below.
Review students’ final exams to learn where
the course was strong or weak in teaching key Decide what to Teach. Determine how the
concepts. If they are available, skim a few years’ course relates to other courses in the department’s
worth of students’ course evaluations. curriculum by asking these questions:

If possible, ask the faculty member who has been Will the course be required before students can
teaching the course to describe his or her impres- register for higher-level courses? If so, talk to the
sions of what worked and what did not, or observe instructors of the advanced courses to see what
this person teaching a class and jot down your kinds of knowledge and skills they expect from
thoughts about what you would keep or change. students who will have taken your course, and
make sure you are covering that material well.
Determine what Changes to Make. If you do
decide to make changes to the course, figure out Is it an advanced course? If so, talk to the instruc-
tors who are teaching the basic courses that
what and how much you want to change. Are your
students will have taken before yours so that you
predecessor’s lecture notes written in a style that
can better understand what skills and knowledge
is similar to your own way of presenting material?
students will have when entering your course.
If not, spend some time editing the lectures to
make them your own. Is course content basically
good, but is it presented primarily in lecture form
with few activities that press the students to think?


Are there curriculum changes underway that might Do you want to, or are you required to include
affect your course? If, for example, your school other faculty presenters?
is considering new approaches—such as doing
Will any class sessions be filled by field trips,
away with introductory biology and chemistry and
movies, or other non-speaker events?
replacing them with a multidisciplinary life sciences
course—you will want to keep that long-term Select resources. Choose textbooks and journal
plan in mind. Knowing how your course fits into articles. Use letterhead to contact publishers for
the entire structure of the students’ education is review copies (some publishers will send you a
important, and will call for discussions with other free sample of their textbook on request if you are
faculty and perhaps a collaborative or interdisciplin- teaching at an established institution). If you will
ary approach. be able to use a computer in your presentations
to the class, investigate the use of technology
Establish content goals. Identify three to five
enhancements such as animations, videos, simula-
general goals (e.g., “understanding the concept
tions, or virtual labs. Make sure the textbooks
basics of metabolism”) for the course that will
match your idea of the course’s goals and objec-
explain what you want your students to know and
tives, or be prepared to tell students how to make
be able to do when the course is over. If you include
the best use of the reading resources. Think about
non-content goals (such as “work conducted
guest speakers or faculty members who might be
collaboratively with other students”), keep in mind
appropriate and willing to teach several classes.
that they are harder to assess.
Determine what other resources you need, such
Identify major course themes. These principles as students or trainees to help you teach student
or fundamental postulates lend continuity to and labs or grade homework and examinations, teach-
provide perspective on the entire course. For ing laboratory space, supplies, library resources,
example, a year-long course in introductory biology and student textbooks if those are provided by the
might involve three broad themes: information institution. Find out what you must to ensure that
and evolution in living systems, development and all of the needed items, people, and resources are
homeostasis, and energy and resources. in place.

Identify core concepts within your major themes. If you plan to have a Web site for your course,
Try to provide a balance of concrete information familiarize yourself with your institution’s procedures
and abstract concepts, and balance material that for placing material online.
emphasizes practical problem-solving with mate-
Based on the goals of the course, determine how
rial that emphasizes fundamental understanding.
you will assess student learning for each goal.
Define the objectives of individual units or lessons. You can use active assessments, as well as more
For example, one objective might be that students traditional quizzes, in-class or at-home examinations,
will be able to propose tests of evolutionary papers, problem sets, in-class presentations, and
hypotheses or critique arguments pertaining to projects.
evolutionary evidence. Such definitions will help
Divide the course into manageable pieces, perhaps
structure the content of each lesson
punctuated by examinations if having several
Determine How to Teach It. Determine the examinations per course is customary at your
general structure of your course. Ask yourself institution. Divide the larger units into individual
these kinds of questions: class sessions with objectives, methods, and
evaluations for each. Choose activities for each
What combination of lecture and homework
class and create a table or grid for each class
assignments, labs, seminars, and journal club do
to plan those elements. Pay attention to major
you want to use?
holidays: if most students will go home for a few
What will be the balance of faculty lecture and days, think about whether your planned schedule
other teaching methods, including student will lead to poor performance by students who may
presentations, group projects, or laboratory work, be rushing to go home or may return unprepared.
in the course?


Check your college or university’s calendar. Look TEACHING OTHERS TO TEACH
for exam dates, holidays, and other events that
might affect class schedules. Try to avoid having If you are teaching a large course with assistants
sessions that cover related material span major who will handle laboratory instruction or grading,
holidays. do not expect them to be comfortable using
teaching techniques they have never experienced
Look at existing syllabi (course agendas) to get an as students. If they will be presenting lectures or
idea of the appropriate format at your school. They speaking during laboratory sessions, demonstrate
may typically include: the teaching techniques you expect them to use,
Name of the course, number of credits, classroom having your assistants standing in for the students
meeting place and time, and semester and year for the purpose of the demonstration. You may
the course is to be given. spend only an hour running through a few exam-
ples, but it could make the difference between
Name and contact information for you and any
your teaching assistants shying away from your
other faculty involved.
methods and being willing to use them.
Course Web site, if there is one.
Help teaching assistants understand that teaching
A brief course description and statement of overall is an experimental situation, and emphasize that
course goals. they do not have to be perfect teachers. Teachers
can continue to experiment and revise their
A brief statement of objectives.
courses, even after years in the classroom.
A description of course format.
Visit sections led by teaching assistants often, and
A statement of assessment techniques. offer useful feedback in private soon after your
visit.
A schedule of class dates and topics.
Before allowing others to grade papers for you,
A schedule of due dates for papers, tests, and circulate a sample of papers and have each
projects. assistant grade them independently using a rubric
Pertinent information about academic policies and developed in advance. Meet with the graders, all
procedures such as class attendance, make-up together if possible, to discuss the answers and
assignments, late work, group projects, and grading. talk about how to resolve differences in how the
graders may be viewing the questions.
Determine if Students are Learning. Feedback
Tell your assistants to come to you when serious
can be obtained by reviewing student performance,
problems arise, such as encountering students
from student evaluations, from informal consulta-
with obvious behavior or psychological problems.
tions with students, and from evaluations from
your peers. You might also want to have an informal Be sure to brief your teaching assistants on
consultation with a trusted senior teacher who professional standards of behavior, which may vary
you have recruited to help you as you start your from place to place. These often include standards
own teaching career. It might be useful to conduct regarding fairness and conﬁdentiality, as well as
such evaluations periodically during the course, policies regarding acceptable levels of socializing
particularly if it is a new one. between teachers (including assistants) and
(Sources: Hingorani, Manju. “Course Planning and Teaching,” Davis,
students. For example, is dating allowed between
Barbara Gross. “Preparing or Revising a Course,” Tools for Teaching. San students and their graders? It may also be impor-
Francisco: Jossey-Bass, 1993.)
tant to give them some guidance on conducting
meetings with students. For example, in some
Once you have taught your course, you will
places it is common for students and teachers to
probably want to revise it based on your sense of
meet only in ofﬁces with the doors open and other
whether the objectives were met and on feedback
people around, so that there can be no claims of
from students and colleagues. But resist the
inappropriate behavior.
urge to change or correct everything all at once.
Instead, make small adjustments over time.


A RELAXED FORMAT FOR TALKING ABOUT SCIENCE

Start a monthly film club. Invite your laboratory group to watch and discuss a science-related movie.
Though there are many wonderful educational films, this works even better with an entertaining
cinematic movie. The U.S. National Institutes of Health (NIH) has run a “Science in the Cinema” activity
for those who live near its Bethesda, Maryland campus since 1994, and has a long list of movies—
mostly box office hits—and resource materials that will add to a lively discussion. The list can be
found at http://science.education.nih.gov/cinema.
More advice on creating a culture of teaching in your lab can be found in chapter 10, “Expanding Your
Influence: Training the Next Generation of Scientists.”

CREATING A LEARNING TIME MANAGEMENT
ENVIRONMENT IN YOUR LAB WHEN BALANCING TEACHING
In a very real sense, your laboratory is also a class- AND RESEARCH
room—one in which the scientific process often
results in something new, exciting, or unexpected. The amount of time you devote to developing
In the lab, as in the classroom, you will often want or teaching a course will depend in part on the
to avoid lecturing and giving trainees answers priority your institution places on teaching. If your
too quickly, and will instead prefer to emphasize institution considers research its top priority, keep
questions and encourage reflection. You can create in mind that although you will want to be the best
a culture of learning in your lab for all trainees by teacher you can in the time allowed, you should
using some of the teaching strategies described not permit your teaching obligations to undercut
above, and by encouraging members of your lab your commitment to research. Volunteer to teach
group to learn from each other. the courses your department or institute particu-
larly needs but are not as difficult to teach—that
Start a Journal Club. Journal clubs are a great way you can legitimately say, “Sorry, I am already
way to examine current literature and to let those committed” when you are asked to teach a
just starting in the lab know that there are many course that would be more time-consuming to
questions left to be answered. Ask a member of develop or teach.
the lab to select an original peer-reviewed journal
article, distribute it in advance to the group, Even if you cannot reduce the number of hours,
prepare an introduction to the paper, and provide perhaps you could stack your teaching load so
any relevant or background information. If you that you teach all of your classes in one semester
have a large group, lab members can break up into and arrange to have a term with no teaching. You
smaller groups to discuss research-related issues might also ask to teach multiple sections of the
(How good is the data? Should more experiments same course to reduce your preparation time, and
have been done?), then reconvene and share request graduate assistants to help you grade
their thoughts with the group as a whole. While exams. At the very least, you should try to clarify
your students are learning about experimental your teaching load. How many classes will you
design and other research issues, they will also have each term? What are typical enrollments in
be learning to collaborate and communicate. each class? How much time will you be expected
Ideally, journal club should be held on a weekly to spend advising students or supervising theses
basis, but if that is not possible, one good way to or dissertations? Does supervising undergraduate
keep everyone up on current literature is to ask research count as teaching? How much credit
each member of the group to present briefly the do you receive for teaching the lab sections of a
abstract of at least one paper at the beginning of course? Armed with such knowledge, you might
weekly lab meetings. (See chapter 4, page 58.) be able to make trade-offs that help you manage
your teaching load more effectively.


Borrow, Adapt and Recycle.
Teach the same course several times, so that
you are just making adjustments to it rather than Sample Teaching Portfolio
starting from scratch every year.
A teaching portfolio includes these items:
Teach a course previously taught by someone who
is willing to lend you copies of his or her notes, Personal Material: A short statement
exams, and homework assignments. of your teaching philosophy, a broader
statement of your teaching responsibili-
Borrow or adapt high-quality curricula that are
ties, representative course syllabi, and
already available. Curricula and sometimes lectures
steps you have taken to enhance your
from courses from universities worldwide are
teaching skills or background knowledge.
collected at the Open Courseware Consortium’s
Web site, http://www.ocwconsortium.org. Links Materials from Others: Student and
include the more than 1800 courses now online course evaluation data from present
from the Massachusetts Institute of Technology, and former classes, statements from
colleagues who have observed your
the courses of the UK’s Open University, materials
classroom teaching, statements from
from several Spanish, Mexican and Colombian
teaching assistants (TAs) you have
universities, a translation project rendering
supervised, and any honors or other
materials into Portuguese, and technical courses
recognition you received for teaching.
from 11 universities in Paris.
Products of Teaching: Student scores
Know Yourself. on class, departmental, and national
Consider your personal rhythms. If you have any certification exams, samples of student
influence over scheduling, choose a class that does work, and testimonials from alumni or
not completely disrupt your day. For example, you employers of former students.
could teach two back-to-back classes or schedule
days without classes to help you find time for your While the list might seem overwhelming
research. at first and could take years to develop to
the fullest, it is manageable if you take it
Set realistic limits on your own class preparation in steps. The most important thing is to
and do not be a perfectionist. start collecting and organizing information
related to your teaching philosophy and
accomplishments and to start compiling
THE TEACHING PORTFOLIO those materials in a box, a loose-leaf
notebook,or another format that can easily
You want to make sure that your teaching suc-
be updated and supplemented.
cesses are favorably considered as part of your
promotion review. One way to do this is to develop
a teaching portfolio. This document is an important
asset—not only for your career, but also for your
Becoming a good teacher may seem like a lot of
own professional development. Compiling your
work with little reward, but remember that your
portfolio will force you to reflect on your teaching,
research and teaching careers can work hand in
so that you can continue to analyze and improve it.
hand. Your research can inform your teaching,
While there are many ways to compile a teaching and your teaching can inform your research.
portfolio and many items you might include, typical Learning to be an effective teacher is worth the
portfolios include a personal statement about your time and effort. Not only will you be instrumental
teaching philosophy, evidence of your teaching, and in inspiring and educating a new generation of
supporting materials. Unlike your scientific CV, which scientists, but you will also enhance your own
lists all publications you have ever written, the skills, confidence, and creativity. Remember, too,
teaching portfolio is more selective and has been that teaching can be a stabilizing force in your life,
compared to an artist’s portfolio—a sampling of the especially if your research becomes discouraging
breadth and depth of your work. or you lose ground in the laboratory. The time you


spend in preparing an effective course with active- Davis, Barbara Gross. Tools for Teaching. San Francisco:
learning activities can give great personal rewards, Jossey-Bass, 1993. “Quizzes, Tests and Exams” chapter,
as your students demonstrate their knowledge http://teaching.berkeley.edu/bgd/quizzes.html.
on a test or tell you that for the first time they Davis, Barbara Gross. Tools for Teaching. San Francisco:
really understand DNA structure and function. Jossey-Bass, 1993. “Preparing or Revising a Course”
Since teaching is one of the three pillars on which chapter, http://teaching.berkeley.edu/bgd/prepare.html.
decisions about tenure and certain grants are
Davis, Barbara Gross. Tools for Teaching. San Francisco:
made, your success in teaching and course design
Jossey-Bass, 1993. “Preparing to Teach the Large Lecture
will only improve your chances of having a long, Course,” chapter, http://teaching.berkeley.edu/bgd/largelec-
productive, and well-funded career in academia. ture.html.

Drummond, Tom. “A Brief Summary of the Best Practices
in Teaching,” http://webshare.northseattle.edu/ecepro-
gram/bestprac.htm.
Resources for Undergraduate Biology
Harvard Medical School Case Studies. http://brighamrad.
harvard.edu/education/online/tcd/tcd.html.
Go to http://www.hhmi.org/research/
professors/ for an array of courses, high- Howard Hughes Medical Institute. Biointeractive.
tech tools, and other resources developed Virtual labs, animations, and other resources.
by accomplished research scientists (who http://www.biointeractive.org.
are also gifted teachers) through grants Kuther, Tara. “Teaching 101” Science.Careers.org,
from HHMI’s Professors Program. http://sciencecareers.sciencemag.org/career_development/
previous_issues/articles/2240/teaching_101.

National Center for Case Study Teaching in Science.
http://ublib.buffalo.edu/libraries/projects/cases/case.html.
RESOURCES National Science Digital Library, a free online resource
Brinkley, Alan, et al. The Chicago Handbook for Teachers: for education and research in science, technology,
A Practical Guide to the College Classroom. Chicago: mathematics and engineering. http://nsdl.org/resources_
University of Chicago Press, 1999. for/university_faculty/index.php.

Handelsman, Jo, Sarah Miller Lauffer, and Christine Pfund. Reis, Richard M. “How to Get All-Important Teaching Expe-
Scientific Teaching: A Guide to Transforming Undergraduate rience,” Chronicle of Higher Education’s Career Network.
Biology Education. New York, NY: W.H. Freeman, 2006. http://chronicle.com/jobs/2000/07/2000072102c.htm.

McKeachie, Wilbert J., et al. McKeachie’s Teaching Tips: Rodriguez-Farrar, Hannelore B. “The Teaching Portfolio,”
Strategies, Research, and Theory for College and University Harriet W. Sheridan Center, Brown University. www.brown.
Teachers. 11th ed. Boston: Houghton Mifflin, 2002. edu/administration/sheridan_center/docs/teach_port.pdf.

Reis, Richard M. Tomorrow’s Professor: Preparing for The Active Learning Site. A comprehensive bibliography of
Academic Careers in Science and Engineering. Piscataway, articles about active learning. http://www.active-learning-
NJ: IEEE Press, 1997. site.com/bib1.htm.

Hingorani, Manju. “Course Planning and Teaching,” University of Minnesota Center for Teaching and Learning.
Davis, Barbara Gross. “Preparing or Revising a Course,” “Suggestions for Effective Lecture Preparation and Delivery”
Tools for Teaching. San Francisco: Jossey-Bass, 1993. http://www1.umn.edu/ohr/teachlearn/resources/guides/
effective/index.html.
Online
BioQUEST Curriculum Consortium, http://bioquest.org. University of Texas at Austin Center for Teaching Effective-
ness. Preparing a Teaching Portfolio, A Guidebook. http://
Center for Faculty Excellence, University of North Carolina,
www.utexas.edu/academic/cte/teachfolio.html.
http://cfe.unc.edu/about/publications.html

Curran-Everett, Douglas. “Learning How to Teach: How to
Do It and Why You Want To,” ScienceCareers.org, http://
sciencecareers.sciencemag.org/career_magazine/previous_
issues/articles/1999_11_12/noDOI.4933230686003237261.


CHAPTER 9

INCREASING YOUR IMPACT:
GETTING PUBLISHED

“A WORD AFTER A WORD AFTER A WORD IS POWER. ”
MARGARET ATWOOD

Having an internationally recognized role in unfamiliar to those who make decisions about the
advancing science requires that you make your course of science at your own institution or in your
name familiar to people far from your own back- own country, your career progress will likely stall. At
yard. Science is not an exclusive club, but as in the same time, the people you train, the work they
most human activities, people will be more open do with you, and the work they may someday do
to you and your work when they know you. The on their own extend your ideas and your influence
published literature is the major route by which in the scientific community at home and far away.
other scientists will come to have that critical
sense of familiarity that will make you a “known
factor” and a welcomed colleague to other UNDERSTANDING
researchers around the world. PUBLISHING
Your scientific success hinges on several factors. Once you have completed several years of
Your ability to produce a body of publications that graduate school or medical school and postdoc-
your colleagues will notice and respect is the toral research, you should be familiar with writing
key to your success. Granting agencies, other scientific papers and the peer review process for
journals, and your peers around the world look at scientific publishing. But you may not yet have
your publication record as proof of your research been able to publish in the high-impact, mostly
accomplishments. The importance of publishing international journals that will build your reputation.
excellent work in well-regarded international To call a journal “high impact” is a description not
journals cannot be overstated. No other way of only of its prestige and quality, but also of how
becoming well known matters as much. far into the consciousness of scientists around
For your career to really flow well, you must the world ideas published in it go. This chapter
also develop into a recognized local, regional and provides some tips on planning for publication,
national authority. If your work is known in and some tricks of the trade to help you get your
London, Washington, Paris and Geneva, but utterly work out in front of other scientists.

INCREASING YOUR IMPACT: GETTING PUBLISHED 121

THE PUBLISHING PROCESS
The most important advice I would like to
Types of Journals. Within the broad category of
share with researchers just beginning their
peer-reviewed journals, individual journals vary in independent careers is that the phrase ‘publish
the audience they try to reach and the scope of or perish’ is not just an overused cliché. The
coverage they provide. Local journals are often not only way that people will know about your
“indexed”, which means that they are not entered work is to have it published. Publishing
into the searchable mainstream of the scientific first-authored papers in high-impact medical
literature where other researchers can discover journals like Lancet and New England Journal
them. Publishing in un-indexed journals thus does of Medicine contributed tremendously to my
little to advance your career outside your own reputation as an established independent
country. However, there are efforts underway to researcher. In publishing, think more about

”
strengthen the peer review infrastructure of the quality than quantity of publications.
best un-indexed journals—many of them in the
southern hemisphere—so that they can become
indexed.
Within indexed journals, there is a range of types.
Some journals—for example, the top-tier journals
if the magazines have recently run a paper on a
Science and Nature—focus on a broad scientific
similar topic. Getting an excellent review but not
audience. Others are deliberately narrower in
an acceptance from one of these publications is
scope, publishing research within a scientific
good news, not a cause for disappointment. And
specialty. Most journals are published in English
getting an acceptance is even better.
and have a broader readership, but many are
published in other languages and are primarily read Work that can be published in an indexed journal
within a single field or subfield of science. Within should be, because that is the best way for it to be
each group of journals there is a hierarchy in terms read by other scientists. But unindexed local and
of how highly regarded each journal is. One of the regional journals should not necessarily be ignored.
crude measures of a journal’s value is its impact Your work may be important for researchers and
factor—a measure of how frequently papers clinicians in your region to know about, and should
published in that journal are cited in other journals
(see “A Word About Impact Factors,” page 124).
The more prestigious and high-impact the journal,
the more competitive its publication process is.
Free Journals for Developing Countries
Though there is great prestige in Science, Nature,
or other top-tier journals, not every paper belongs The Health InterNetwork Access to
there. Science and Nature are both weekly Research Initiative (HINARI), a partnership
magazines that not only transmit science but also between WHO and scientific publishers,
carry news each week. Their content is meant to makes free access to biomedical literature
be science that is especially interesting to a broad available to low-income countries. More
audience, and throughout the year they often than 2000 journals from more than 70
scientific publishers, including very high
have thematic issues highlighting some particular
impact groups like Elsevier, Springer-Verlag,
scientific topic. Much of any scientist’s work is not
and John Wiley, are available through
broadly interesting as a piece of news, but rather
this program.
represents advancement of an ongoing story, and
is not appropriate for these publications. Even More information is available at
exciting, unexpected results may be turned down www.who.int/hinari


be published in the journals that they read. If your If you have a colleague or collaborator who has
work is published in an indexed journal, you should gotten a foot in the door and established himself
discuss with the editor the possibility of reporting or herself in the literature, you might approach
the results in local journals by re-publishing data that person with the idea of writing a review
from the papers. together should the opportunity arise. This could
benefit both of you. Reviews are extremely labor-
If you get permission to republish the data, you
intensive, so many authors who do get invited
must make clear to local journal editors and read-
to write them are happy to have a willing partner
ers that the data has already appeared in print, or
who wants to do some of the hard work.
you may be viewed as unethical.
To write a good review, you need the breadth and
Communication Formats. In scientific journals,
depth of knowledge that generally come only with
primary research holds center stage, although sig-
long experience and from knowing a lot of scien-
nificant space is often allocated to news, reviews,
tists working in a field who will share unpublished
and commentaries. Depending on how complete
data with you. Partnering with a better-established
the study is and how big a story the work to be
scientist can help you gain connections to those
published tells, original research can be published
other researchers and their unpublished data. It
in a variety of formats, including full-length articles,
can be a great opportunity for becoming better
brief communications, technical comments, or
known to a broad group of the people whose
even letters to the editor.
work is moving science forward. But be careful
As a beginning investigator, you should con- —a review that reveals your lack of expertise or
centrate on getting your research published as shows that your collaborator was not careful in his
peer-reviewed, full-length articles whenever or own review of the field could be embarrassing
possible. Technical comments and letters to the and career-damaging. You should only take on a
editor count for very little in most fields. task like this when you know you have the time
and energy to do it well.
A well-written and useful review may be worth the
investment of your time, particularly if you have As your career progresses, you may want to
already collected all of the relevant literature that consider other opportunities to express your views
should be summarized. However, a review does —in letters, comments, and discussions of sci-
not carry the weight of original research, and is not entific trends. Many readers of the good journals
as valuable to you in the long run as a paper that peruse this “front matter,” and contributing to
reports original research. Generally, a journal editor it gives you quick and wide visibility. In the very
will invite you to submit a review. The invitations highest of the top-tier journals, however, front
are based in large part on the potential author’s matter tends to be commissioned by the editors,
reputation in the relevant field. You may also con- leaving the letters to the editor section the only
tact editors yourself and propose writing a review place where you have a chance to get your
on the strength of your unique perspective on a name in print if you have not yet established a
field. Again, your reputation will be a major selling reputation.
point to the journal’s editor in considering your
The Editors. Some journal editors are professional
proposal of a review. Good reviews tend to get
editors who trained as scientists but no longer
cited frequently by other scientists, which would
work in a lab, or who trained as writers or editors
increase your citation index (a measure of how
and have chosen to become specialists in scientific
many researchers cite your work). It is a “which
publication. Others are scientists who have their
comes first, the chicken or the egg?” situation.
own research programs but also serve as editors
How can you get known if becoming better known
for a period of time. Journals such as Cell, Science,
requires being known?
Nature, and PLoS Biology are staffed by profes-
sional editors. When speaking to a professional


A WORD ABOUT IMPACT FACTORS

The impact factor, which is published in the “Journal Citation Report” issued by Thompson Reuters, is
one of several types of data regarding the communications of scientists. Thompson Reuters publishes
the Science Citation Index, the thick, cross-referenced directories of all of the science published in a
given field in a given year, once commonly found in scientific and technical libraries. The Science
Citation Index is still produced, but is now more likely to be found in electronic form (either as DVDs
or as the online resource SciSearch) than as a row of thick books. The impact factor, which is updated
annually, is a calculated number that reflects how frequently the “average article” in a given journal
gets cited. It is calculated by dividing the number of current year citations by the number of citable
items published in that journal during the previous two years.
Although the impact factor is often used to provide a gross approximation of the prestige and intel-
lectual reach of a journal, many other factors can influence a journal’s impact and ranking. For example,
review articles are generally cited more frequently than research articles, because they often serve
as surrogates for earlier literature, especially in journals that discourage extensive bibliographies.
Therefore, the inclusion of review articles in a journal will increase its impact factor.
There is a strong bias against publications—many of them outside the axis of strong science-producing
countries—that take several years to publish papers. This bias occurs because the window through
which the impact factor looks—a period of two years—can miss the slower evolution of citations in
journals where papers are considerably delayed.
Other methods of measuring citations are used by other indexing efforts, including Google Scholar and
the scholarly publishers group CrossRef. The United Kingdom Serials Group is promoting the “usage
factor” (http://www.uksg.org/usagefactors), and Google has developed its own calculation, the “Y
factor” (http://arxiv.org/abs/cs.DL/0601030), as a rubric for gauging the visibility and influence of a
published work. The “h-index,” which ranks researchers by a combination of number of papers and
how often the papers are cited, was developed by theoretical physicist Jorge Hirsch to rank researchers
in that field and was published in the prestigious journal PNAS, where, perhaps predictably, it has been
highly cited. Though the order of journals in these indexes may vary, they all illustrate that some journals
will show off your work better than others.

editor about your work, be sure to take the time Knowing when to Publish your Research.
to highlight the general interest of your paper and Your institution may have some guidelines about
explain the nuances of the science. An editor who how many papers you are expected to publish
is also an active researcher is more likely to already in a given number of years. Or publication may
know these things, but short introductions to your be a rare event where you work. Make sure you
work and why it matters are always helpful. understand what your institution expects your rate
of publication to be, and also that you understand
what the “goal line” is, and how much publishing
PLANNING FOR PUBLICATION
matters with regard to whether you are judged
Because publishing original research papers is to be successful by your own organization. At a
critical to your career, this section focuses on well-established research institute, the standard
submitting and publishing these types of papers. may be seeing some number of articles in print.
At an ambitious new institute, submitting papers
may be the current benchmark—actually seeing
them in print at some given rate may be the rule


in a few years, but for today, just sending more In the top-tier journals, there are definite fashions,
of them out is what is expected. At an institution and even more modest journals may view a great
that is focused almost entirely on teaching, work paper on an out-of-date topic as being derivative
toward publishing may be valued, or it may be or a footnote to a story that has already passed by.
seen as a distraction that takes you away from
You will need to balance several considerations in
activities that those who will judge your success
deciding when to publish, but if you have a choice,
value more.
it is a good idea to resist the temptation to rush into
If you want to have an internationally respected print. Remember, the quality of your publications
career, you must publish. However, if you are at is what matters most in the long run. A paper that
an institution that does not value publishing or is incomplete or carelessly put together is less likely
does not push researchers to publish, make sure to be accepted for publication, and having written
that you are excelling at doing the things that the it will have been an inefficient use of your time.
institution expects you to do, and then work on Even worse, publishing incorrect results or shoddy
your publishing on top of that. analysis will damage your reputation among your
colleagues, in your institution and elsewhere.
If you have scientists training in your lab who
want to pursue research careers, each of them
is under similar pressure to publish. To obtain CHOOSING A JOURNAL
research positions of their own in the near future,
Most scientific papers published today have
they themselves will need to be working, as you
multiple authors. All authors typically want to
are, to establish a strong publication record. If you
publish in the most prestigious journal that is likely
encourage them and help them toward that goal,
to accept their paper, but views on which journal
it will enhance your own publication record and
is best will differ, especially if there are other
multiply your success.
groups working on the problem and a rejection
Research projects usually have natural points from a high-profile journal would leave you behind
when it makes sense to publish (see “Creating an in the race to get your results into print. You may
Integrated Research and Publication Plan,” page want to take into consideration the suggestions
126). However, you may want to write up your of students and scientists training in your lab,
results before you reach that point. If there is com- but if you are the senior author, you are generally
petition in your field and you wait to publish, you the one who makes the final decision. Decisions
run the risk of being “scooped.” When you are about where to publish may become even more
scooped—when someone else publishes the story complex when two or more laboratories have
before you can—you will at best be able to place contributed to the work, or when one author is
your work in a journal that is not as prestigious as more tolerant of the risk of being scooped than
the one you had initially envisioned; at worst may the others are.
find yourself unable to publish it at all. If you delay
Here are some questions that can help guide your
publishing until you obtain the complete set of
decision:
results needed to dissect an entire phenomenon,
you may get scooped and/or you may publish at a Are my results sufficiently groundbreaking, and do
rate that will disappoint your institution. You want they have enough general appeal, to be considered
to publish good, solid, complete stories, but if you by one of the top-tier scientific journals? Do I have
wait to tell the whole story in a single publication, a larger story that makes my results really exciting?
you risk the rest of science passing you by. A
Even if my results are not earth-shattering, have
topic that is very interesting to much of the world
I taken an interdisciplinary approach, making the
this year may be virtually unpublishable two years
findings interesting to scientists in several fields
from now, simply because the topic has been
and therefore appropriate for a general journal?
“overdone.”


CREATING AN INTEGRATED
RESEARCH AND PUBLICATION PLAN

There is a balance to be struck between trying to produce a “dream paper” that may never get done
and sending out a set of fragmentary observations. One way to find this balance is to integrate your
plans for publication into your research plans. In her book At the Helm: A Laboratory Navigator, Kathy
Barker suggests strategies for doing this. As you decide on the long-term goals of your research and
on the series of experiments or calculations you want to undertake, Barker suggests that you envision
these experiments or calculations as components of a published manuscript or series of manuscripts.
Think graphically; imagine how each set of results will be displayed in a figure, graph, or table. Put your
ideas in writing at the outset, sketching out the hypotheses you want to pursue, the methods you intend
to use, and the results you hope to get. By integrating research planning, the development of graphic
images of your data, and the work of interpretive writing, you force yourself to focus your energy in a
way that will move your project forward. The questions you generate as you analyze and write up the
results of each experiment should suggest additional clarifying experiments, the results of which you
should also express graphically. As you write, you will uncover gaps in information and shaky conclusions
and will be able to do experiments that make the work stronger. Eventually, you should be able to
decide that you have a set of results that warrants publication.

If my results are primarily of interest to my Making Your Pitch. To make sure you write
particular scientific specialty, which journals reach your paper for the right journal, you may want
the members of that specialty? Within this group, to submit an initial query to your target journal
which journal or journals have included articles on to gauge its interest in your work. Most journals
my particular subject area in the past couple of have guidelines for submitting so-called pre-
years? submission inquiries. This information can often
Would any journal be particularly interested in my
be found on the journal’s Web site. If the journal
subject because it fits into a theme it has been
does not provide guidelines, send an email to one
pursuing? Some journals, and some editors, of the editors, who are usually listed near the front
pursue their own special interests over time. of the journal and frequently can be found in the
electronic version of English language journals by
The top-tier journals receive far more submissions searching for the word “masthead” (the name
than they can publish. For example, Nature rejects for the box that contains such information) at the
about 95% of the biomedical papers it receives. journal’s Web site. Try to find out the name of the
Be realistic about your chances. You will lose editor who handles papers in your area of interest.
precious time submitting your paper to the wrong
journal. A pre-submission inquiry usually includes:
An abstract stating the purpose of the project,
It helps to ask trusted colleagues where they think
methods, and main findings and conclusions. This
your paper should appear. If they are frequent
abstract can be slightly longer than the abstract of
reviewers for several journals in your field, they
a typical research paper and may include citations
will have a good idea of what the standards are for
of relevant journal literature. Make sure that the
each journal.
abstract is clear to non-specialists and that they
will be able to understand what the scientific
advance is.


A cover letter briefly describing what questions
led you to your research project, what you did, why
WRITING YOUR PAPER
you think your findings or methodology are signifi- Once you have decided where you want to submit
cant, how your findings advance the field, and why your manuscript, review the journal’s editorial
they are of special interest to that journal’s readers. guidelines (available from the journal’s Web site or
Limit the cover letter to no more than 500 words. directly from the editor) and follow them carefully.
Pick the type of paper that is most appropriate for
If English is not your first language and you are
the story you want to tell. For example, a “note”
pitching your manuscript to an English language
might be described by a journal as a 1000-word
journal, make sure the abstract and cover letter
paper with no more than three figures, while a
are clearly written and that there are no gram-
“report” might be one of 5000 words and up to
matical errors. There are many companies that
twelve figures. Which fits your data more
specialize in editing English manuscripts written
comfortably? You might think of each figure as
by authors who are strongest in other languages.
a distinctive verse in a song. Are you singing a
Their services are expensive, but having the input
quick, light tune, or a lengthy historical ballad?
of people with good command of a language you
Either size of paper is good, but you want to
may not know perfectly can make the difference
choose the right size before you proceed.
between a paper being read or not read by the
editors. If you have a colleague who is a good Once you have decided what kind of paper to write,
writer, has English as a first language, and is print or make copies of a few different examples
willing to help you, take advantage of the offer. of that kind of paper from the journal and analyze
Remember to thank him or her in the acknowl- them. How much room does each devote to the
edgements section of the paper. introduction? Is the methods and materials section
finely detailed or nearly perfunctory? Is the discus-
Pre-submission inquiries are typically considered
sion mixed in with the results or does it stand by
within a few days at the top-tier English language
itself? Summarize your analysis of the examples
journals, but consideration times can vary widely
and use the summary as a guide for outlining your
from journal to journal. When making your
own paper.
submission, it is fine to email the journal’s editor
to ask about the expected time frame for review- The main consideration when writing a paper is to
ing the manuscript and accepting or declining the clearly describe your most important findings and
submission. When that time has elapsed, follow their impact in your field. Do not let your manu-
up with a telephone call or email to the editor. If script look like a compilation of lab data; make
you make this second contact by phone, use the sure the reader can understand how you have
opportunity to make your pitch a second time advanced the field of research. But do not overdo
using the same kind of persuasive arguments you it—claiming that your work is more important than
used in your cover letter. Be sure to allude to the it really is earns little more than contempt from
larger context of your research—the big picture reviewers.
that makes your particular effort meaningful.
If you are the primary scientifically trained person
You can expect a reply of either “we’re not involved in generating the data, write the paper’s
interested” or “send the full manuscript.” A first draft yourself. But if the data has been gener-
positive response to a pre-submission inquiry is ated by a student or scientist working under you,
not a guarantee that the manuscript will be sent you might assign the task of writing the first draft
out for formal peer review. The editor will want to of the paper to the student or scientist in your
see the actual paper before making that decision. lab who did the work. That person should be the
first author and you should take the role of senior
author. In the life sciences, this is usually the last
name among the authors listed. If someone senior
to you at your institution will be senior author, you


may need to take the first author position yourself, Once you have a good first draft, send it to
especially if you are early in your career and colleagues in your field and in your department
building your reputation. Generally, in multi-author for review. Have it proofread by someone in your
papers the first and final names on the list are the lab with access to your data and the documents
ones the reader will remember. you have cited. The last thing you want to do is
to appear careless; doing so will raise suspicions
This is a sticky problem, since often among the
about the quality of all of your work. It is also a
multiple authors there are more than two people
good idea to give the paper to someone outside
who have worked hard to generate the data and
your field to see whether they understand its
the thinking necessary to tell the story, and who
importance. As mentioned in the section above, if
need the benefits that come from taking one of
the journal is not in your first language, it is a good
these positions. It will be important for the people
idea to ask a friend or colleague who is a native
you train to get first authorships themselves.
or near-native speaker of the language for help.
If someone above you at your institute always
If your speaking skills in that language are truly
takes one of the prestige spots and you need
excellent but you struggle with the rules of its
to take the other one, over time it will be very
grammar, reading the paper aloud can make any
hard for your students to advance. But as a
written errors more obvious. This is true for native
young researcher, it may be dangerous for you to
speakers as well.
argue against this situation. As your own career
advances and your reputation becomes solid, you
may be able to move yourself to second-to-last
authorship, so that your trainees can shine. Over The “who writes the manuscript” problem is
time your international colleagues, funders, and not trivial. I personally like to write the draft of
journal editors should come to view you as senior. every graduate student’s first paper. For [the
student’s] second paper, he or she writes the
Compliance with the authorship criteria of the
first draft. Postdocs always write their first
International Committee of Medical Journal
drafts. Sometimes it is more difficult to edit or
Editors and the implementation of a memorandum
change a draft written by someone else than

”
of initiation for each project, in which the roles writing the draft directly oneself.
of participants and the principles for determining
order of authorship are stated, can diminish the
worry, hard feelings, and sense of inequality that Alberto Kornblihtt, Argentina
can come when distributing authorship, which is a
fundamentally important and greatly coveted form
of recognition. (See chapter 4, pages 63-65, for
more discussion of authorship.)
In terms of other principles I would comment
The author who has actually done the hands-on that because thesis research is by definition
work should be the person to prepare the figures, the original research of the student, the
tables, and legends first, because a scientific student should have the opportunity to be the
paper is best written with the final form of the first author of the publication of this work. If
data in front of the writer. Then work with the the student is unable to draft the manuscript
within a reasonable and, ideally, pre-established
author to get the paper into shape. Although this
period of time, then first authorship may
may not be the most efficient way to write a
correspond to the investigator who assumes
paper—there will be times when you could do it

”
the writing of the paper.
yourself much faster—it is important for people
you have trained to gain experience and feedback
on writing papers. Nancy Gore Saravia, Colombia


Three particularly difficult parts of a paper to write SUBMITTING YOUR PAPER
are the title, abstract, and cover letter.
Most major journals now require that manuscripts
Title and Abstract. Create these two elements be submitted electronically through the journal’s
after the manuscript is complete. The title should
Web site. Each journal has its own requirements,
summarize the take-home message of your paper.
such as preferred file formats for text and figures
The abstract should briefly summarize the paper
and the procedures for uploading files. Consult
and should stand on its own. Describe the experi-
the journal’s Web site for specific instructions and
mental question, the methods, the main results,
be sure to follow them. If you have poor internet
and the conclusion. Unless the main point of the
connectivity, it may be a good idea to burn the
paper is description of a new technique, methods
paper to a CD or copy it onto a flash drive and
in the abstract should be limited to a sentence or a
take it to a place where the connection is more
few words. Keep in mind that the abstract will
reliable. If your available internet connections are
announce the existence of your work to people
very unreliable, you should follow up with an email
who may not have time to read your paper. If the
to the editor enquiring whether the attachments
abstract attracts their attention, they could be
arrived intact.
induced to read your article rather than passing on
to the next abstract. Also note that your title and Regardless of whether they receive a paper
abstract will be used as the basic tools for the manuscript or an electronic version, most journal
retrieval of your paper from electronic and paper editors will let you know that they have received
libraries. your manuscript and how long you can expect the
Cover Letter. The cover letter should explain why review process to be.
the paper is significant and why you think it is
appropriate for the journal to which you are submit- NAVIGATING THE REVIEW PROCESS
ting it. The letter should cite a major question in
your field and describe how your work helps answer If you submit your manuscript for publication in
it. You may want to cite other papers the journal a peer-reviewed journal, the reviewers will be
has published in this field, or provide other reasons chosen by the journal’s editor, who will take into
why the journal’s readership would find your work account any names you have suggested, his or
of interest. The letter of introduction is the place to her own knowledge of the field, and a literature
mention whether there is competition in the field search.
that could lead to your being “scooped.” You may Receiving the Reviewers’ Comments. A paper
also include a list of colleagues who have reviewed
is rarely accepted after the first round of review.
the paper and any information necessary to ensure
When you receive the editorial decision and the
a fair review process. Most journals will give you
reviewers’ comments, you will have to decide
an opportunity to suggest people who are qualified
how to proceed. If the paper is rejected, print
to comment on your work and to exclude one or
the rejection notice and set it aside. Rejection is
two particular individuals who may be competitors
never easy. A few hours later, after you have had
and should not be reading about your work before
a chance to adjust your thinking to the inevitable
it is published.
need to clear a new hurdle, read the letter slowly
Many books and articles that explain how to write and carefully to see what it is saying. Ignore for
scientific papers are available in print and online. a moment, if you can, the comments about the
Some are listed in “Resources” at the end of this science and look instead for the editor’s signals
chapter. about what you should do next.


SUBMITTING IMAGE FILES

Today, most images are obtained digitally and programs such as Adobe Photoshop make it very simple
to modify them. But sometimes by adjusting an image you can make inappropriate changes to your
data, which could be classified as scientific misconduct. Since 2002, The Journal of Cell Biology has
been doing simple, routine checks of every image of all accepted manuscripts to look for signs of
manipulation. In some cases, this step has caused editors to withdraw the acceptance of a paper, and
in a few cases, to notify relevant institutions. Other prominent journals, including Science and Nature,
may take similar steps.
Here is what The Journal of Cell Biology says constitutes inappropriate manipulation of images:
“No specific feature within an image may be enhanced, obscured, moved, removed, or introduced.
The grouping of images from different parts of the same gel, or from different gels, fields, or exposures
must be made explicit by the arrangement of the figure (e.g., using dividing lines) and in the text of the
figure legend. Adjustments of brightness, contrast, or color balance are acceptable if they are applied to
the whole image and as long as they do not obscure or eliminate any information present in the original.
Nonlinear adjustments (e.g., changes to gamma settings) must be disclosed in the figure legend.”
For more information, see Rossner, M., and Yamada K. M. “What is in a Picture? The Temptation of
Image Manipulation.” J. Cell Biol. 166(1):11–15, 2004.

Many times you will be clearly and absolutely resubmit your paper or try another journal. In
turned down. In other cases, the editors will say any event, it is important to remain unemotional
that the work is potentially interesting but too during such conversations.
preliminary, or that it has significant flaws that
Responding to Reviews. Do not react defen-
preclude its publication. But other times—quite
sively. Focus instead on the substance of each
often—you will see that the editor is giving you
editorial comment. Value good advice wherever
a short to-do list of experiments based on the
you find it. Read the reviews carefully, and com-
reviewers’ comments, and that the journal will be
municate your responses in writing to the editor. It
glad to consider the revised paper. And still other
is a good idea not to respond as soon as you hear
times—not frequently, but also not rarely—you
from the editor. Let a couple of days go by. A hast-
will see that the editor will accept the paper if you
ily written and emotional response will hurt your
only respond to a few quibbles over language.
chances for resubmission. Do not be sarcastic and
Sometimes the editors will indicate that they would
do not speculate on who the reviewer might be or
like to publish your work, provided you make a few
why he or she might be trying to thwart your work.
minor revisions or do a few additional experiments.
If the reviews include a request for additional
Another possibility is that the reviewers will advise
information that will require a few more experi-
the editors not to publish the work even if it is
ments, carry them out and send your response
revised, because it is either not sufficiently novel
to the editor. You can make the process easier by
or it does not fit the scope of the journal. Most
repeating each comment, stating your response,
editors are happy to talk to you by telephone to
and indicating explicitly where in your paper you
help you assess whether you should revise and
are making a recommended change.


If you think a requested additional experiment is want to check with the editor first to make sure
unreasonable, write a rebuttal letter explaining this is an appropriate course of action.
why the experiment cannot be done or why it
Regardless of how you proceed, keep your
will not help strengthen the conclusions of your
emotions in check. You should never demean the
paper. You may discuss your concerns with the
reviewers. The reality is that reviewers, especially
editor before working on a revised manuscript.
those who manage their own laboratories,
For example, you should ask, “If I do revisions
sometimes work under unrealistic time pressures.
A and B, but instead of doing experiment C, I do
Occasionally, the reviewer selected may not
a different but related experiment, D, will you
have the expertise to judge a paper competently.
still consider a revised manuscript?” Remember
Whatever the case, do not question a reviewer’s
that you are the person best acquainted with the
expertise. If you think a reviewer missed an
details of your work and the limitations of your
important point, politely tell your editor, who has
research tools. If you think a referee’s comments
the option of identifying additional reviewers for
are completely off the mark, write a rebuttal letter
your paper if doing so seems warranted.
explaining your concerns. If all three referees, or
even two out of three, had serious misgivings, In the end, you will have to do a cost-benefit
it may be difficult to convince the editor that the analysis. If you believe that satisfying all the
referees missed the point. reviewers’ concerns would bog down your
research program in unnecessary experiments,
If the main problem is that the manuscript does
you may have no choice but to take your paper
not convey the importance of the work, you may
elsewhere.
want to rewrite it and add more data. You might

IF YOU ARE ASKED TO REVIEW A PAPER

As your relationships with journal editors develop, you may be asked to review manuscripts submitted
by other scientists. Take the task seriously. Do the reviews thoroughly and promptly. If you do not have
time or do not think you have the right expertise, let the editors know right away. If a paper arrives and
upon reading it you see it is beyond your expertise, again, let the editor know quickly. They will not hold
this against you. A late or weak review, however, could hurt your reputation with the editors.
Once you have accepted a paper to be reviewed, do your work on it quickly so as not to delay the
review process. This is good not only for moving the science forward but also for building a good rela-
tionship with the journal. Be a discerning reviewer, but review others as you would like to be reviewed
yourself. Be polite, not demeaning. Be specific about the paper’s shortcomings, and be frank about how
the author might remedy them. Not every paper merits publication, but do not frame your comments so
harshly that the investigator will see no way forward with his or her work.
You will be asked not to reveal the contents of any article reviewed and will be reminded that you
should not use your knowledge of the pre-published results to further your own research. Take this ad-
monition seriously—it is essential that you respect the confidentiality of the review process. If you have
a conflict of interest that precludes you from reviewing an article (e.g., you are directly competing with
the author of the article you are reviewing or the author is one of your former trainees), stop reading the
paper and let the editors know immediately. They will not be pleased if they find out about a conflict of
interest after you have reviewed the paper.
The benefits of serving as a reviewer are potentially great. Not only will you learn about others’ research,
you will improve your own critical skills and confirm your standing as a knowledgeable scientist in the
eyes of the editors. Your own future papers will be taken more seriously if you do good reviews.


Submitting your Paper to Another Journal. PUBLISHING HONESTLY
If you are advised that your paper is not appropriate
for the journal to which you have initially submitted The number of publications is often used as a way
it (e.g., it is not sufficiently novel or does not to keep score, with researchers who publish more
have the right focus), the best course is usually viewed as superior. But publishing papers that
to select another journal. In some cases, you may are too similar, or that show your work moving
not want to inform editors of the second journal only a fraction of a step forward, may lead other
that the manuscript was submitted elsewhere researchers to view you as a weak scientist.
and rejected—it might prejudice the process. For Publishing the same data as more than one paper
example, if your paper was rejected by Nature and is not generally acceptable, except in studies
you resubmit it to Science (or vice versa), do not where the older data is clearly built and expanded
let the editors of the second journal know. These with new work. Even in cases where new work
journals compete for the best papers and do not makes substantial use of old data, the norm in
want to publish each other’s rejects. If, however, research papers is usually to cite an earlier paper,
your paper was reviewed by Nature or Science not to re-publish material from it. Review articles,
and the reviews were generally positive but the which openly gather information from other
editor did not feel the paper had a sufficiently high papers, digest it, and present it as a digested
impact value for a top-tier journal, you may be able whole, are different in this way from research
to use the reviewers’ comments as leverage for publications.
your next submission to a field-specific journal that Substantially re-publishing an entire paper under
is not seen as a competitor to those two broader a new title or in a different language is a form of
publications. Ask the first journal’s editor to sup- scientific misconduct. While the increasing num-
port the resubmission, and tell the second editor ber of publications in the world makes it easier
that your paper has already been reviewed. The to cheat, increased use of electronic formats has
second review process may be expedited. made duplications easier to detect. While cheating
Regardless of your course of action, never send a by republishing is a significant offense, claiming
rejected manuscript without changes to a second the work of others as your own is a moral and
journal. If the same reviewers receive it from the professional disaster which can and should end
second editor, which may well happen if they are one’s career.
especially well-suited to consider the work, they
will be annoyed to see that you have completely
WHAT IF YOU MAKE A MISTAKE?
ignored their comments.
Corrections are a normal and acceptable part of
science. Errata—notes published to alert others to
mistakes in the literature—-cover everything from
small printing errors such as an out-of-place table
to technical errors that skewed results but did not
change the overall message of the paper. Retrac-
tions are more serious: they withdraw a paper
from the literature because of a gross failure that
renders the paper’s contents invalid or seriously
tainted. Retractions are embarrassing, but over
time, an honest, careful researcher can recover
from having had a paper retracted.


PROMOTING YOUR WORK Once you have an invitation, take it seriously.
Prepare and rehearse your talk.
Your patience and persistence have paid off, and
Consider going public. Contact your institution’s
your article has been accepted by a good journal.
public relations office, if there is one, for help
Now you can use your newly minted publication
contacting the media. It is in the university’s
as a tool in a legitimate effort at self-promotion.
interest to have the good work of its scientists
You want to become known to your scientific
publicized.
colleagues nationwide. Here are some things you
can do to promote your work: If your research was supported by an outside funder,
let the appropriate staff at the funding organization
Announce the publication on your personal Web
know about the publication as soon as possible.
site and in email correspondence with your friends.
Consider making it available in PDF format on your If a reporter contacts you, make an effort to speak
Web site, if that is acceptable to the journal. Many with him or her. Your university’s public relations
journals now also allow you to distribute PDF office can help you prepare for the interview. Keep
copies of papers to interested individual readers as in mind that many reporters are not scientists and
you once would have done with paper reprints. you will need to give them sufficient background
to understand the importance of your work. If pos-
Give a workshop at your own institution on the
sible, ask reporters to give you a copy of the story
research described in your article and your future
before it is published so that you can check for
research plans. Doing so is relatively easy and is
accuracy. While some feature writers will respond
good practice.
positively, most news reporters will turn down this
Call your friends at universities around the country request. It never hurts to ask, though.
or region and offer to give a talk on your research
at their institutions or at conferences they are
organizing. However, do not invite yourself to a
meeting by writing to the organizers if you do not
know them. You might come across as arrogant
and put people in the awkward position of having to
turn you down.


RESOURCES Dee, Phil. “Your First ‘First-Author’ Paper: Part One -- The
Writing.” ScienceCareers.org (February 15, 2002), http://
Davis, Martha. Scientific Papers and Presentations. San sciencecareers.sciencemag.org/career_development/
Diego: Academic Press, 1997. previous_issues/articles/1400/your_first_first_author_
paper_part_one_the_writing.
Day, Robert A. How to Write and Publish a Scientific Paper.
5th ed. Phoenix, AZ: Oryx Press, 1998. Dee, Phil. “Your First ‘First-Author’ Paper: Part Two -- The
Act of Submission and Peering at the Review Process.”
Day, Robert A. and Gastel, B. Cómo escribir y publicar
ScienceCareers.org (March 15, 2002), http://sciencecareers.
trabajos cientificos. Organización Panamericana de la Salud,
sciencemag.org/career_development/previous_issues/
4ta. Ed. 2008.
articles/1470/your_first_first_author_paper_part_2_the_act_
Matthews, Janice R., John M. Bowen, and Robert W. of_submission_and_peering_at_the_review_process.
Matthews. Successful Scientific Writing: A Step-By-Step
Hirsch, J. E. (2005). “An index to quantify an individual’s
Guide for the Biological and Medical Sciences. 2nd ed.
scientific research output.” PNAS 102 (46): 16569–16572,
Cambridge: Cambridge University Press, 2000.
http://www.pnas.org/content/102/46/16569.full.
Wells, W. “Me Write Pretty One Day: How to Write a Good
The International Network for the Availability of Scientific
Scientific Paper.” J. Cell Biol. 165:757–758, 2004.
Publications (http://www.inasp.info/) focuses on com-
Online munications for scientists in the developing world. One
Curran-Everett, Douglas. “The Thrill of the Paper, the of their programs, AuthorAID (http://www.authoraid.info/),
Agony of the Review: Part One.” ScienceCareers.org provides connections to resources and senior scientists
(September 10, 1999), http://sciencecareers.sciencemag. who will help researchers in developing countries publish
org/career_development/previous_issues/articles/0210/the_ and otherwise communicate their work.
thrill_of_the_paper_the_agony_of_the_review_part_one.

Curran-Everett, Douglas. “The Thrill of the Paper, the
Agony of the Review: Part Two.” ScienceCareers.org
(September 24, 1999), http://sciencecareers.sciencemag.
org/career_development/previous_issues/articles/0210/the_
thrill_of_the_paper_the_agony_of_the_review_part_two.


CHAPTER 10

EXPANDING YOUR INFLUENCE: TRAINING
THE NEXT GENERATION OF SCIENTISTS

“ALL WHO HAVE MEDITATED ON THE ART OF GOVERNING MANKIND HAVE BEEN
CONVINCED THAT THE FATE OF EMPIRES DEPENDS ON THE EDUCATION OF YOUTH. ”
ARISTOTLE

Teaching someone how to perform a task, or even One need not have just one mentor—there may
teaching a student to understand the fundamentals be several people who take a significant interest
of a field, is one thing. Taking significant responsibil- in developing, accelerating, or advancing a
ity for seeing to that student’s growth, seasoning, researcher’s career. Likewise, everyone in whose
and career advancement is another. training you take an interest will not become a
protégé; many will simply be your students.
The word “mentor” is often sloppily used in place
of verbs such as “teach” or “supervise” or nouns How can you look for relationships that will advance
such as “boss” or “professor.” However, when your own career? And why will taking on this
used properly, it means more than to train or to demanding role to help others help you in both the
be in charge of. A mentor is someone who takes short and the long run? What is expected of you
a singular and particular interest in a protégé and in relation to the students who do not become
helps in many different ways to advance the pro- your own protégés? And how can you help those
tégé’s career. So a mentor, although sometimes students find appropriate mentors of their own?
also a boss or supervisor, is most importantly like Those are the subjects of this chapter.
a good parent or doting uncle or aunt who takes a
serious interest in a protégé’s career and advance-
ment through life. TRAINING OTHERS
Although the word is seemingly everywhere in If you mentor a student or another scientist,
conversations about educating scientists, true whether it is someone training in your lab or
mentorship is rare, and those who are truly someone who grew up in the place where you
mentored are lucky and advantaged over those were raised, you will be helping get their career off
who must go it alone in advancing their careers. the ground. Mentoring and training also helps you

EXPANDING YOUR INFLUENCE: TRAINING THE NEXT GENERATION OF SCIENTISTS 135

increase your impact as a scientist. By helping “trainees,” although not everyone you encourage
those around you succeed, by ensuring that people or educate may be receiving training in your lab,
in your laboratory and in your larger circle feel and not everyone you train will become a protégé.)
competent and included, by motivating them to be
productive, you are ensuring the success of your
WHAT IS MENTORING?
own research program.
Scientific training is most often a personal, one-
As the people you are training and encouraging
on-one relationship between a more experienced
embark upon new projects of their own, you will
scientist and a junior scientist or a scientist-in-
naturally be kept abreast of the latest scientific
the-making. But it can also be between peers,
developments in the areas that interest them. And
one of whom is entering a new field and another
when people in your lab, or others with whom you
who knows that field well. The trainer is exposed
have this special relationship, establish indepen-
to the trainee’s energy, curiosity, and ideas, and
dent careers of their own, their achievements as
the trainee receives the guidance and encourage-
independent scientists will reflect positively on
ment necessary for professional development.
you. Also, the people you train and encourage will
Mentoring and training relationships commonly
become potential collaborators and colleagues
form across broad experience gaps—e.g.,
who may continue to confide in you and bring you
professor to student, but also can be established
into their own growing spheres. That will come
between junior and senior students, or between
about both informally and formally as they invite
peers or near peers. For example, a graduate
you to give talks at their institutions and participate
student whose background is in biology may take
in the conferences they will someday organize.
a mentoring role for a graduate student whose
As the head of a laboratory, you will probably hire background is in mathematics, or a graduate
technicians, perhaps assume responsibility for the student may become a mentor to an undergradu-
direction of graduate students, and take on a few ate who shares his or her scientific interests.
scientists who want to train in your lab. If you are
Mentors sometimes include those who are offi-
at a university where undergraduate students are
cially responsible for the work of junior scientists
expected to do laboratory research, you may have
or students, such as the head of a laboratory or a
a few of them in your lab as well. It is also pos-
formal advisor (in some places such formal heads
sible that young scientists outside your lab may
are referred to as mentors no matter how deep
begin knocking on your door, especially if you have
their commitment to training a given individual).
expertise in an area most people are not familiar
The depth of a senior scientist’s involvement and
with. Within your research community and your
interest in a trainee’s career and work may be
geographic region, you will increasingly be seen as
limited, especially when there are many people
the expert in your area of interest.
being trained or in cultures where there are strict
It is natural that people will come to you for insight limits on personal contact between professors
and advice about their own scientific interests. and those whom they teach.
At the same time, you will continue to be in need
However, it is also important to have mentors,
of guidance for your own continuing professional
advisors, and trainers who are outside the direct
development, and like those who seek your help,
line of authority, or even outside the trainee’s
you will be looking to more experienced people
primary area of interest, because those who are
for insight and advice. This chapter describes the
further removed from the student’s interest may
process of providing the very hands-on training of
ask questions that will help the trainee move
an individual scientist, with a focus on preparing
along better than those who share most of the
the people working in your lab. It also suggests
student’s assumptions. Mentors who have some
desirable personal qualities and plans of action
distance—and therefore good perspective—can
for trainers, mentors and trainees. (Note: In this
be especially helpful in providing guidance when
chapter, the people you train are referred to as


formal advising relationships become strained, with younger scientists who trust your judgment.
or when the personal or professional interests of You should treat all information as confidential.
the trainee differ from those of the formal mentor,
or when a young person’s best interests are not
RESPONSIBILITIES
those of his or her advisor, supervisor, or boss.
Perspective becomes even more important Mentoring entails commitments of time, energy,
as careers advance and ranges of conflicting and good will that can sometimes be substantial.
opportunities come into play. But that is also true for trainees you are not
mentoring. A significant portion of your time must
Traits of a Good Mentor and a Good Teacher.
be allocated to each trainee, and you must be pre-
As you establish yourself as a scientist, you may
pared to obtain the resources the trainee needs.
find that some of the following personal qualities
Your “pull” will accomplish things that a less-
are useful in forming bonds with someone who is
established trainee’s own influence cannot. You
just learning the things you have already learned:
should also use your experience and contacts to
Accessibility: An open door and an approachable help the trainee establish a professional network,
attitude. whether or not you are looking at the trainee in
terms of the special responsibility implicit in the
Consistency: Acting on your stated principles on
mentoring relationship.
a regular basis.
Choosing Whom to Mentor and to Teach. You
Empathy: Personal insight into what the trainee
will have to make case-by-case judgments about
is experiencing.
which training relationships you can afford to
Honesty: Ability to communicate the hard enter into and how intensive each one should be.
truths about the world “out there” and about the There are some people for whom you are clearly
trainee’s chances. responsible as a teacher and advisor, such as the
Open-mindedness: Respect for each trainee’s people working in your lab. The students in your
individuality and for working styles and career courses also have legitimate expectations of you.
goals different from your own. Others, outside your lab or courses, may come
to you for advice. But you will not go the extra
Patience: Awareness that people make mistakes mile for every person who comes into your lab or
and that each person matures at his or her own rate. even for all of the students who take your courses.
Savvy: Attention to the pragmatic aspects of Some people are more promising than others, and
career development. you will want to nurture their talents.
At the same time, you want to be fair—when
Confidentiality in Advising. As a trainer, and
you agree to teach, you are taking on significant
especially as a mentor, you may be privy to a lot
responsibilities. Some students will have interests
of information about your trainees, from their
closely related to yours, and it is natural for you to
past professional accomplishments and failures
want to work closely with them. Others will show
to, sometimes, revelations about their personal
promise, but will be needy in some respect; for
relationships and financial situations. Even in
example, their skills may not be fully developed
places where discussing family matters, emotions,
or they may need help focusing their efforts. Do
or money is just not done, personal obligations
not pick a few favorites and let other trainees fend
and financial realities are frequently major factors
for themselves. With the people in your lab, the
in individuals’ progress through life and science—
important thing is to be fair and avoid anointing
especially for those considering major upheavals
some trainees with your favor while letting others
such as going abroad for further training or job
struggle. With people outside your lab who ask for
opportunities. Your advice can be very helpful if
your help, you need to avoid overextending your-
you can bring yourself to discuss these taboo areas
self or setting up expectations you cannot fulfill.


QUESTION
q&a
How do I communicate the level of my commitment, especially cases where that
commitment is limited?

ANSWER
It is always a good idea to lay out for trainees a clear picture of what they can expect from you. Good
students should be able to expect training from you, support for their work, access to resources necessary
for them to succeed at the work they are doing in your lab, and help with someday moving on to their next
training position or to a job. If you are only able to commit to some of those things, make it clear from the
outset. If you would like to do far more to help a trainee’s prospects in the long term, you do not need to
say so. Actions will speak louder than words.

QUESTION
How do I say no to being someone’s advisor?

ANSWER
Be kind. Imagine yourself in your requestor’s shoes. Listen intently and give reasons related to your own
limitations. However, be clear and firm. Do not invite misunderstanding. Suggest alternative sources of help,
but check first with other potential advisors before your enthusiastically recommend them as potential advisors.

Defining your Role as an Advisor. Generally, a American body concerned with graduate education
research advisor provides whatever is needed to (http://www.cgsnet.org/), suggests that mentors
further a trainee’s professional development, but come from many roles, including:
is not necessarily a friend. You should offer to teach
Advisors: People with career experience willing
technical skills, give advice about the political aspects
to share their knowledge.
of science, and suggest networking opportunities.
You can help clarify what is possible, but you Supporters: People who give emotional and
should probably not offer advice on personal mat- moral encouragement.
ters except in major decisions about career choices
Tutors: People who give specific feedback on
as described above. Often, emotional issues are
one’s performance.
relevant to one’s capacity to do good work, and you
can offer moral support, but a good mentor, like a Masters: Employers to whom one is apprenticed.
good friend, should tread carefully around family
Sponsors: Sources of information about opportu-
matters and emotional conflicts.
nities and aid in obtaining them.
Mentor Versus Advisor. In theory, mentors have
Models of identity: The kind of person one
multiple responsibilities. Being an advisor is one should be to be an academic or a professional
of them. The Council of Graduate Schools, an scientist.


In reality, it is unlikely that any one individual can and networking opportunities you can afford. They
fulfill all possible mentoring roles. For this reason, will be much happier and more productive while
many argue that the term mentor should be used they are with you if they feel you are looking out
broadly to mean an individual who helps another for them and their future well-being.
with one or more aspects of his or her personal
Encourage Strategic Thinking and Creativity.
and/or professional development. In this sense,
Trainees in your lab, especially newcomers, may
trainees are encouraged to seek out various
not have the experience to judge how long to
faculty members who can provide some of those
struggle with an experiment or a project that is
components.
not working. As the person steering the larger
scope of the work, you must decide what projects
are most important, how long a given project
STRATEGIES FOR should be pursued, and what resources can be
EFFECTIVE TRAINING allocated to any particular effort. As the boss, you
Make Everything a Learning Opportunity. It should communicate the basis and significance
helps to think of serving as a trainee’s advisor of your decisions to your trainees. You may feel
as a highly individualized mode of teaching (see that you need not explain yourself to anyone, and
chapter 8 for more information about teaching). that may be true. But when you have made your
Establishing a “culture of teaching” in your lab can decision, informing people why can be educational
help ensure that each individual feels empowered and helpful to morale. It gives your trainees a
to seek whatever information, education, or tech- better understanding that although the decisions
nical advice he or she needs to do good science. are yours, they are not whimsical or unfair. In this
way, you give concrete examples of strategic
Set Specific Goals and Measures of thinking and prepare your trainees for the day
Accomplishment. Work with each individual— when they may be in charge of their own research
when you meet formally to discuss the person’s programs and face similar decisions.
progress, in the course of lab meetings, and on
other occasions when his or her work is under It is also important to give people enough space
review—to set specific goals and measures of to be creative. Do not rush in too quickly with
accomplishment. For example: interpretations of data or solutions to problems.
Let your staff take the first stab. Be thoughtful
For a student, you might want to establish a and ask probing and guiding questions that help
publishing goal. It should include deadlines. them learn to be thinkers. By doing this, you
For a more experienced scientist training in your prepare your trainees to work through projects
lab, job-hunting goals might be important. You independently, while at the same time you will
might say, “By next month, give me your list of benefit from their insights and creativity.
places you want to apply to. Then we can talk Uphold Professional Standards. Those new to
about developing your job talk.” research are still forming their professional stan-
Have technicians identify new skills they need dards and habits. They will be working with you
(e.g., using new equipment or software). Give for months or years and will learn your lab’s way
them time to learn and the opportunity to take of doing things. Set high standards for yourself
courses or seek help from others. Then ask them and your workers, and make sure your lab offers
to demonstrate what they have learned at a staff an encouraging and disciplined environment.
meeting. Experienced lab leaders list these essentials:

In some cases, you may have to push people a bit Encourage good time management techniques.
to set their goals. In other cases, people’s goals At the same time, respect individual patterns of
may be well-defined, but may not exactly fit your work. (See chapter 5, “Managing Your Time.”)
lab’s overall goals. If you can, give them room to Clearly state your expectations. Let people know
explore options, and offer whatever educational when they are not meeting them.


Offer criticism and correction in a way that conveys Allowing trainees to meet with seminar speakers
your message but does not shame or discourage invited to your institution.
people.
When possible, take trainees with you to meetings
Keep abreast of laboratory record-keeping. This and introduce them to your colleagues.
is a key management responsibility and an aspect
Encourage trainees to approach your colleagues
of mentoring. As the person responsible for the
about scientific matters, using your name, as by
work being done, you are also responsible for
emailing “I am a student in Dr. ’s lab,
seeing that your people keep meticulous records
and wonder if I might ask you some questions
documenting their work and meeting regulatory
about your recent work on hemoglobin transport.”
requirements. This habit will serve them well later
on. By reviewing lab notebooks frequently, you Encourage trainees to make presentations at
also guard against falsification of data. meetings when they are ready.

Impart Skills. Do these things to encourage your Provide Moral Support. You can help the people
lab workers to learn new skills: you train and mentor estimate their own potential
and chart their life course. To do so, you must be
Involve everyone in the scientific publishing and
supportive and honest. Try to convey to each of
grant-writing process. Part of your job is to teach
your trainees that you have a commitment to him
your trainees how to write publishable scientific
or her and that when a problem surfaces, you
papers and successful grant proposals. For papers,
have an interest in helping to solve it and will do
have the first author write the first draft, and then
send the paper around the lab for review. For
everything you can to do so.
proposals, have each person write a piece of the
proposal, and then have everyone review succes-
sive drafts of the whole package. By doing this, DIFFERENT NEEDS
everyone will gain invaluable experience and get a AT DIFFERENT STAGES
chance to see the big picture of the lab’s activities.
Each type of individual who may ask you for advice
Impart technical skills. As a manager, you need to —for example, a student, a more experienced
know the skill sets of each member of your lab, and scientist training in your laboratory, a clinician, a
make sure that each important skill is passed on technician, or a cousin who hopes to go to medical
to several people in the laboratory, for their benefit school some day—is on a different professional
and yours. If only one person in the lab can perform trajectory. As you work with them, you need to
a particular technique, you are risking your future keep in mind their path and their location on that
on an assumption that this person will not leave. path.
Teach lab management explicitly. Give the people Educating Undergraduate Students. The seeds
in your lab managerial responsibilities, at least of a scientific career are planted in the undergradu-
within the confines of the lab space. For example, ate years or even earlier. Undergraduate students
have them coordinate among themselves the can be invited to take part in research through
sharing of equipment in the lab, or ask them to an academic program at your institution or at a
draw up a list of routine lab jobs to be rotated nearby university. They may be eager to find paid
among lab members. work during the school year or during school
Provide Networking Opportunities. One of breaks. Take their interests and their work seriously,
the most important benefits you confer upon and set high standards for them. You might place
the people you train is entrée into the network them under the day-to-day guidance of a well-
of scientists in your field. Your reputation opens trained person in your lab, but you should maintain
doors for those associated with you, and the a strong role in overseeing their training and the
connections are not likely to be made without overall flow of their work within the lab. Keep in
your involvement. So take steps to facilitate the mind that these beginning researchers may need
introductions, including: extra encouragement when their experiments are
not going smoothly.


and perhaps more active job-hunting assistance.
One of the best ways of hiring good and If the student wants to go abroad for further train-
dedicated researchers is to screen students in ing, you may need to put some effort into helping
your lab during rotations and thesis dissertations him or her find opportunities, and at least should

”
and retain the best ones. help the student by sending introductory emails
to colleagues abroad who know your work. This
will help keep the student’s inquiries to these labs
Abdoulaye Djimdé, Mali from being overlooked or discarded.

Working with Scientists who are Furthering
Training Graduate Students. In science as in Their Training in your Lab. You may have highly
other fields, graduate education is vastly different trained professional scientists working in your lab
from the undergraduate experience. Perhaps the for a limited time to conduct research within the
most important difference is that undergraduates general parameters of your shared interests. This
are expected to be primarily engaged in absorbing training may be a stepping stone to an academic
knowledge, whereas graduate students are position. Your task as an educator and potential
expected to begin to make their own contributions. mentor of new scientists is complex.
An advisor helps new graduate students make this Keep in mind that the amount of time you can
transition. A graduate student may have several spend helping these scientists will be limited, so
mentors, but the most important person for a use that time efficiently. In addition, find ways to
student’s success is the head of the laboratory have them help one another or obtain assistance
where the student is working. from other sources.
A typical graduate student follows this trajectory: You must strike a delicate balance in directing
First year(s). As the head of the laboratory, your their work. Although the scientist training in
main task is to provide a coherent plan of study for your lab may be working on your projects, it is
the student. The student faces a steep learning appropriate to treat him or her something like a
curve. Basic techniques must be learned, and often collaborator, rather than just as an employee or
comprehensive exams taken, and a thesis topic student who requires close supervision. Encourage
chosen. The principal investigator keeps tabs on the these individuals and give them the help they
student’s progress. The student’s success depends need in setting research and career goals, but give
on your effective communication of expectations them sufficient independence for them to take
and help with clearing certain formal hurdles. considerable responsibility for the progress of
their projects.
Middle year(s). At some time during these years,
the student may be struggling with his or her You do have a protective function when it comes
experimental work. Things often do not work as to the politics of the larger academic world. The
planned, and the uncertainty and slow tempo may scientists training in your laboratory are probably
frustrate even very good students. You may help young, politically inexperienced, and vulnerable.
the student out of a slump by offering moral Be prepared to steer them away from projects
support and suggesting ways to tackle a scientific that might result in conflict with researchers who
problem. By the middle part of training, the student are already working on similar projects and who
will have learned a lot and should be sharing infor- might publish results before them.
mation and techniques with colleagues, younger
If a promising person has come into your lab but is
students, and postdocs. Teaching others is a good
not achieving what you both had hoped, encourage
way to learn.
him or her to make a change, whether to another
Final year. The student is preparing to move on. project or to another lab entirely. You may be able
The thesis should be near completion, and the to help this individual find a more suitable project
search for a more advanced position should be un- or position.
der way. You may be asked for letters of reference


It is important to discuss career goals with your (Adequate ethical permission should be attained
trainees, especially those more advanced in their first.) Clinical work sometimes allows physician-
research careers. Not all will be interested in a scientists to see connections that someone with
long-term competitive career in science. For those a basic science background training may miss. As
who are, help them develop a project that will a researcher, you should take advantage of this
teach them many things and that produces ideas, perspective by making sure that questions about
at least—if not whole projects—that they can use moving research results into the clinic, or bringing
as seeds when they leave your lab and begin to clinical observations back to the bench come up in
establish their own labs. After they have gone, formal and informal discussions in the lab.
keep in touch with them. They will be an increas-
Working with Technicians. A technician is an
ingly important part of your professional network.
employee who has been hired to get work done,
You have a role to play facilitating your trainees’ not to advance his or her career. That being said,
job hunts. Keep alert to job openings, counsel many technicians are a distinct type of professional
them about the process, coach them on their scientist. You should understand and encourage
interview presentations, and give them the best their aspirations. Make it clear to them that they
letters of recommendation you can. Sometimes, are valued contributors to your projects. If they are
when the search does not go smoothly, you may interested, you may want to give them research
need to keep them in your lab a little longer than projects of their own. If their aspirations are purely
you expected to, if you are able. Lack of continued technical, encourage them to gain new skills.
funding for them may make this impossible, but
sometimes their well-trained hands can be of
HELPING THOSE OUTSIDE YOUR LAB
considerable use to you and it may be to your
benefit for them to stay. Keep up the words of When you receive a request for significant career
encouragement during this difficult period. help from a young scientist in another lab, or
even in another university, think carefully before
Advancing the Careers of Physician-Scientists.
you agree. Do not enter into such a relationship
Physician-scientists have an especially complicated
secretly. Insist that the individual inform his or her
balancing act: caring for patients and carrying out
direct supervisor that you two are speaking. On
experiments at the bench. As a result, they may
the one hand, the request says something positive
not be able to spend as much uninterrupted time
about your standing in the research community,
in the lab as their Ph.D. colleagues. However,
and by taking on a new relationship you might
the strength of physician-scientists is that they
open up the possibility of future collaborations and
have a clinical base. As someone involved in
increase the impact of your work. On the other
their training, you should understand the unique
hand, there may be problems you are not aware
challenges physician-scientists face, and you
of. Ask yourself the following questions:
should value the insights their clinical perspective
can bring into the lab. Help physician-scientists Why is this person asking me for help? There may
in your lab to establish priorities and develop be a negative reason. In the case of a postdoc,
effective time management skills. If you are not perhaps he or she is dissatisfied with relationships
a clinician yourself, you might put them in touch in the home lab. If this is the case, make sure you
with someone who can help them with these are not offending the individual’s supervisor. You
competencies as they apply to the clinical side may find, however, that the supervisor welcomes
of their responsibilities. In addition, encourage your help as an extra resource.
physician-scientists in your lab to use their clinical
What are the person’s expectations? You need to
base. For example, they might enroll patients from
be clear about whether you are being asked for
their clinic or practice following a simple protocol. occasional advice or for long-term assistance. If it
They might collect answers to a questionnaire is the latter, determine whether your role as an ad-
with demographics, or obtain data on clinical pre- visor will be formal, involving scheduled contacts
sentation, progression and response to therapy, as and expectations of a particular amount of your
well as collect relevant serum or tissue samples. time, or informal and confined to occasional con-
versations as the trainee’s work moves forward.


Do I really have the time and energy to commit to Seek out informal advisors, usually experienced
this relationship? scientists within your department or elsewhere
who can give you a broader perspective on science
Is this someone who is smart, honest, and capable?
and scientific politics. It is especially important to
Is this someone I want to advise and work with? do this if your institution has not officially given
you any contacts to serve as guides during your
The people in your lab deserve priority. But if the early days.
person fits, and you can extend yourself, do so.
Establish a set of work-based friends and
confidants. These are people with whom you can
HOW TO GET THE openly share information about politically sensitive
issues. Choose them carefully. You may be more
CAREER HELP AND comfortable limiting your confidants to one-on-one
ADVICE THAT YOU NEED relationships. Or you may find a group that puts
you in close touch with colleagues whose situations
Finding people who will be your own advisors,
are similar to yours.
teachers, and mentors is another way of making
your achievements and contributions known at Keep meetings professional. Respect others’ time
your university and other institutions, thus increas- constraints. Be prepared and specific about what
ing your impact and helping you advance in your you need from them and what you are asking
career. Finding help requires knowing whom to ask them to do for you.
for what, knowing how to accept the professional
advice you receive, and maintaining long-term How to be Well-Advised. Here are some qualities
personal and professional relationships. to cultivate in yourself as you seek an informal
education in how to move forward to whatever
These suggestions may be useful: goals you hope to achieve:
Do not let go of those who have taken an interest Foresight: Start early to think about your future.
in your career. Stay in close touch with all of your
past advisors, even those with whom you only Gratitude: Everyone likes to be thanked.
worked for a short time or in a limited way. Humility: Be willing to accept critical feedback so
Although they may not be familiar with your new that you are open to learning new ways of thinking
environment, their distance from it, combined with about and doing science.
their general understanding of the world of science,
can help you put your current environment in Proactiveness: Do not expect to be taken care of.
perspective. Also, you never know when you will You could easily be overlooked in the competitive
need to ask them for a reference or other profes- world of science.
sional help. Even a quick email to let them know Probing: Ask tough questions. Find out about the
that you published a paper or received a research experiences of others with this potential mentor.
grant or an award will help them support your career.
Reciprocation: Repay your mentor indirectly by
Establish a relationship with a set of official advisors, helping others.
especially if your institution assigns you to contacts
with certain senior scientists who are meant to Respect: Be polite. Make and keep appointments.
help you “learn the ropes.” These individuals may Stay focused. Do not overstay your welcome.
also evaluate your job performance, so cultivate
them carefully and treat them with respect.
Generally, you do not want to vent your frustrations
or confide your uncertainties and weaknesses to
such a group. Keep them apprised of your prog-
ress. Do not avoid them if things are going badly—
address the problems directly and unemotionally,
and enlist their help.


WHEN MENTORING, Barker, Kathy. At the Helm: A Laboratory Navigator.
Cold Spring Harbor, NY: Cold Spring Harbor Laboratory Press,
ADVISORY, OR SUPERVISORY 2002.
RELATIONSHIPS ARE NOT Council of Graduate Schools, A Conversation About
WORKING OUT Mentoring: Trends and Models. Washington, DC: Council
of Graduate Schools, 1995.
What you view as a problem may simply be a
matter of personal style or a different understand- Council of Graduate Schools, On the Right Track: A Manual
for Research Mentors, DC: Council of Graduate Schools,
ing of the mentor’s role. Have a conversation
2003.
about getting the advice and help you need. If
that does not help solve the problem, you may Fort, Catherine C., Stephanie J. Bird, and Catherine J.
need to think about finding others to help you as Didion (Eds.). A Hand Up: Women Mentoring Women in
you navigate your career. Within your institution, Science. 2nd ed. Washington, DC: Association for Women
especially if there are formal advising relationships in Science, 2005.
set up, consider finding an additional guide if yours Nettles, M.T. and Millet, C.M. Three Magic Letters: Getting
is clearly and consistently uninterested in you, to Ph.D. Baltimore, MD: Johns Hopkins University Press,
undervalues your abilities, or displays any other 2006.
signs of undermining your work and your career.
Nyquist, Jody D., and Donald H. Wulff. Working Effectively
But think carefully—someone who helps you see with Graduate Assistants. Thousand Oaks, CA: Sage
your shortcomings is actually helping you. Tough Publications, 1996.
criticism or a discouraging word may be exactly
what you need at a given moment. If your feelings Reis, Richard M. Tomorrow’s Professor: Preparing for
Academic Careers in Science and Engineering. New York:
get hurt now and then, it is not necessarily a sign
IEEE Press, 1997.
that your trusted advisor has turned against you.
But find others to advise you if the people from Online
whom you have been taking advice behave American Association for the Advancement of Science.
inappropriately by violating workplace rules or Science’s Science.Careers.org. Feature articles on
failing to fulfill essential responsibilities to you— mentoring, http://sciencecareers.sciencemag.org.
for example, by not sending letters of reference Federation of American Societies for Experimental Biology.
or by not reviewing your grants and papers. Individual Development Plan for Postdoctoral Fellows.
http://opa.faseb.org/pdf/idp.pdf.
Finding additional trusted advisors can always be
helpful. However, be very careful about severing National Academy of Sciences, National Research Council.
old relationships—even ones that were “forced Reports from the Committee on Science, Engineering, and
marriages.” Even if the relationship is not going Public Policy. http://www7.nationalacademies.org/cosepup.
well, you do not want to offend someone unnec- National Academy of Sciences, National Academy of
essarily. If the relationship is official, ending it Engineering, and Institute of Medicine. Committee on
will require explicit action and will most probably Science, Engineering, and Public Policy. Adviser, Teacher,
generate bad feelings. If the relationship is informal, Role Model, Friend: On Being a Mentor to Students
and you can just allow it to fade away, do so. If, in Science and Engineering. Washington DC: National
on the other hand, an un-productive advisor wants Academy Press, 1997. http://www.nap.edu/catalog.
to terminate the relationship, accept the decision php?record_id=5789.
with good grace. It will be better for both of you. National Institutes of Health, Office of the Director. A
Guide to Training and Mentoring in the Intramural Research
Program at NIH. Bethesda, MD: National Institutes of
RESOURCES Health, 2002. http://www1.od.nih.gov/oir/sourcebook/
ethic-conduct/TrainingMentoringGuide_7.3.02.pdf.
Association for Women in Science. Mentoring Means
Future Scientists: A Guide to Developing Mentoring University of Michigan, Horace H. Rackham School of
Programs Based on the AWIS Mentoring Program. Graduate Studies. How to Mentor Graduate Students:
Washington, DC: Association for Women in Science, 1993. A Guide for Faculty at a Diverse University. Ann Arbor, MI:
University of Michigan, http://www.rackham.umich.edu/
downloads/publications/Fmentoring.pdf.


CHAPTER 11

COLLABORATION

“LA P U I S S A N C E N E C O N S I S T E PA S À F R A P P E R F O R T O U S O U V E N T,
MAIS À FRAPPER JUSTE. ”
HONORÉ DE BALZAC

One of the best ways to move your science into THE COLLABORATIVE EFFORT
a higher league is to collaborate. International
collaboration is important and will be the subject Twenty-first century science is often a collabora-
of much of this chapter, but the basic benefits of tive effort. As a beginning investigator, you may
being a good collaborator become apparent as want or need to work with scientists in other labs
soon as you explore shared interests with the who can offer resources or technical expertise
scientist at the next bench, down the hall, in to complement your own. Because a scientific
another department, at another institute, or in a collaboration is a complex exchange, you will
city that is an easy drive away. When someone’s need to sharpen your managerial and political
clever work delights you, or another’s curious skills to be a successful collaborator. Whether you
result seems in line with yours (or utterly con- are working with friends or with people who are
tradicts it in an interesting way), or even when nearly (or completely) strangers, it is important
someone working on a completely different kind that you and your collaborators share the same
of problem has a technique you would like to apply understanding of what is to be done, who is to do
to your own, you have fertile ground for potential it, how “things that come up” will be managed,
collaboration. The scientific world is a very social how any unexpected benefits will be apportioned,
one. Finding ways to be scientifically productive and how, when, and where credit will be shared.
with people you enjoy is one of its great This chapter summarizes some of the questions
pleasures. you should ask yourself before embarking on a col-
laborative project and provides some guidelines to
help ensure that your work and your interactions
with valued colleagues proceed smoothly.

The quote above: Balzac says that power is not in striking hard or often, but in striking well.

COLLABORATION 145

SHOULD YOU COLLABORATE?
For researchers in developing countries,
Collaboration is a major responsibility—one that
collaboration is an important route to establish-
ing an international track record, strengthening should not be taken on lightly. It will take time,
laboratory capacity, through technology transfer effort, and the nurturing of relationships. Before

”
and building human capacity. you start a collaboration, you should know for
sure that you can see it through.
It may seem awkward at first, but if you would
like to set up a collaboration, it is important that
you nail down some details in an early conversation
to make clear on both sides that you are actually
THE VARIETIES OF COLLABORATION planning to accomplish something together and
not exchanging optimistic social pleasantries.
Scientific collaborators are researchers who share
Think of how often good friends will say “We must
an interest in the outcome of a project, not service
get together sometime!” Unless they pause to
providers or customers. Sharing reagents or
schedule a date or time, they often drift away until
materials that have been described in a publication
chance again brings them together. It is better
does not in itself constitute collaboration. Scientists
to be a bit awkward and ask for some particulars
are expected to make published materials available
than to misunderstand and find yourself waiting
to others. Similarly, a service rendered by a scientist
for your potential collaborator to follow through,
in a core service facility within his or her own
or worse, to find out years later that the other
institution—for example, the medical laboratory
person, after a long period of waiting for you to
scientist who regularly processes blood in the
follow through, has concluded that you cannot be
hospital, or the scientist in charge of running an
taken at your word.
institution’s shared DNA sequencing capacity—is
usually not considered a collaboration. Such core The larger the collaboration, the more complicated
service facilities exist to perform specific tasks it may be to fulfill your obligations. Be sure you
for other laboratories. Without added intellectual have the time you will need to be a good collabo-
contributions beyond what is normally required for rator, and that a given opportunity is right for you.
their job, they will have done nothing special that Once you have signed on, you will be expected
would make it reasonable for them to demand to follow through on your commitments, and your
credit as a collaborator. Of course, scientists in scientific reputation will be at stake.
such facilities may interact with you in ways that
If someone simply wants your technical expertise
are truly collaborative, for example, working with
or the opportunity to run his or her experiments
you to invent a new technique or bringing to your
on your equipment, he or she may not consider
attention an unusual phenomenon that you then
you a collaborator at all. The essential ingredient
go on to investigate together.
of collaboration is mutual interest in the research
Collaborations can vary greatly in scope, duration, outcome. If you have this interest, but the other
and degree of formality. A limited collaboration party assumes that you do not, you may not be
might entail only a series of consultations about treated as a collaborator, but rather as a service
a technique or the provision of samples to be provider. This may be acceptable, as long as you
tested. At the other extreme, several scientists understand what you are getting into.
or laboratories might join together to establish a
permanent consortium or center for the pursuit
of a particular line of research. Depending on its
complexity, a collaboration can be launched by an
informal agreement sealed with a handshake or an
email, or may involve complex negotiations and a
legally binding document.


Can I afford the time? How much will it take away
Scientists working in resource-constrained from my other responsibilities? Is the project close
environments should not let the temptation enough to my central interests to warrant the
of allocating large budgets for their laboratory necessary time expenditure?
get them into committing to doing things that
Is this person someone with whom I want to
are not doable. In collaborative grants, only
propose activities that you can independently collaborate? What is his or her track record? Can

”
carry out as a senior investigator. someone I trust tell me whether this potential
collaborator is honest and reliable?

Are our professional and scientific interests
compatible? Does what each of us has to lose if
things go wrong seem comparable?

Will this person be accessible to me and consis-
ASSESSING A COLLABORATIVE tently interested in the project?
OPPORTUNITY
If I will collaborate with a larger group, will there
Whether you are approached by another scientist be a reliable “point person” on my collaborator’s
to collaborate, or are thinking of approaching end who is responsible for handling day-to-day
someone to collaborate with you, here are some issues and small matters?
questions you should ask yourself before embark-
Can I rule out potential conflicts, either personal or
ing on the project:
institutional? For example, it is often a bad idea to
What exactly is being asked of me? collaborate with a rival of the person who signs your
paycheck, and it may be a bad idea to collaborate
Do I need this collaboration to move my own work
with someone who has a major collaboration with
forward? Is there a missing piece—a technique or
an institution that is openly hostile to your own.
resource—that I must have, and which this other
person can provide? There can be other practical challenges to
Even if collaboration is not strictly necessary to my collaborating with people who are not close by,
current work, will interacting with the proposed and you should also take some time to consider
collaborators enable me to contribute something these very frankly. Whether you are considering
significant to science and perhaps generate new collaborating with someone overseas, someone
opportunities? who is relatively near you but beyond easy travel
distance, or someone in a place where border
Do I really have the expertise or other resources
crossings are difficult, finding yourselves unable
being sought by the other collaborator? If not,
to get together or communicate can be a very big
are there funding sources available through this
problem for healthy collaborations. A less famous
collaboration that will allow me to get those things?
person who will give you his attention is a better
Can I afford to be involved? Will my potential collaborator than a more famous one who will not.
partner bring resources (including funding) that Ask yourself these questions:
will make my group’s investment in the project
How much travel will be required? What will be
possible?
the costs of each trip in terms of transportation
Can this collaboration be conducted efficiently, costs, tariffs on materials that must be moved
given such factors as distance, restrictions imposed between sites, accommodations, and time away
by my institution, and, in the case of international from the lab? Are there sources of funding to sup-
collaborations, cultural differences or possible legal port travel?
and political complications?
Is a visa required for travel? If so, how difficult is
Is there funding for the work envisioned? If not, the process of visa application and how long does
can it be obtained? it usually take a visa to come through?

COLLABORATION 147

Is travel safe and convenient, or will each trip and you may grow to resent them for regarding
involve logistical headaches and considerable you as a door! If you are in a large institute with
uncertainty? good access to reagents and equipment and your
collaboration is with a very small, under-funded
How good are the channels of communication?
facility, you may grow to resent your partners for
Will you be able to talk by phone (or internet phone)
taking liberties with your generosity and taking
easily? Is email between you quick and reliable?
more of your resources than they need. Being
Do I know the language of my potential collabo- aware of these imbalances and trying to maintain
rators? Do they know mine? Will we be able to your own sense of good will can be very useful in
communicate effectively both about science and keeping things running smoothly.
about the more subtle human factors that will be
involved in a good collaboration—for example, Two key ingredients should be in place at the
knowing when to “push” and when to let the outset of a long, stable collaboration: a shared
other person have some time to respond? understanding of potential funding so that your
partnership can survive the perhaps inevitable ups
Will scientiﬁc papers be published in a language and downs in support, and at least one individual
in which I am not ﬂuent? If so, how can I vouch in the other lab who is as committed to the
for the translation? How can I be sure my group is project as you are and is willing to help push past
involved properly in the writing and in authorship roadblocks that may arise.
credit? Do my collaborator and I start with the
same assumptions about credit, publishing, and Before making a decision about a collaboration,
authorship? consider all factors. A good collaboration can
take your research in a completely unexpected
Although physical and technical factors are direction. A bad one can waste your energy and
important, it is the human dimension that most demoralize you.
often makes or breaks a collaboration. Be
especially sensitive to emotions that may be in
play under the surface, especially if there is an SETTING UP A
imbalance of resources (e.g., money, reagents, or
access to required sites or populations) brought
COLLABORATION
into the collaboration by each partner. For example, Someone may eventually ask you to collaborate,
if your collaborators depend on you for access to but if you are a beginning investigator, it is more
a population group, your partners may grow to likely that you will need to approach a potential
resent you for how you control this “doorway,” collaborator yourself. A collaboration, like many

QUESTION
q&a
If a powerful person asks me to collaborate but the proposed partnership does not suit me,
how do I politely decline?

ANSWER
Explain that you do not have the resources at the moment to enter a collaborative project. Offer instead to
provide input and suggestions into the research and, if possible, suggest other people with similar expertise
who may be good collaborators.


other types of interpersonal relationships, has no with whom you want to work. If that happens,
fixed rules. However, there are some guidelines following up with a paper letter may encourage
you can follow to ensure that the collaboration your potential collaborator to respond. Remember
starts off on the right foot and proceeds smoothly to include your email address in any paper letters
(see “Personal Qualities of a Good Collaborator,” you may send.
page 153).
Some countries have become so associated
with dishonest money-raising scams that it may
APPROACHING A be difficult to get people to read any email or
POTENTIAL COLLABORATOR paper notes coming from them. If you are in one
of those places, you can enhance your note’s
Once you have identified a potential collaborator chances of being read if you get to the point
and decided that you want to go forward, develop quickly. A letter, printed on university letterhead,
an outline of your proposal for the joint project. that begins…
Define in detail how you think you can comple-
ment each other’s efforts. Dear Dr. Jones,

Send an Email. Make your initial contact with an Your recent papers on the evolution of virulence
inquiry designed to whet the other person’s appe- in African trypanosomes suggest an interesting
tite. Send a short email describing your research parallel with a phenomenon I have observed in my
in general terms and asking for the opportunity laboratory’s work on seasonal occurrences of
for a conversation. Do not call on the telephone leishmaniasis.
first—you do not want to put the person on the …is more likely to be read than one that begins
spot, and you do want to give him or her a chance with elaborate flattery, or comes in a handwritten
to find out more about you through personal envelope, or is typed on lightweight airmail paper.
contacts or your scientific publications. It is a good
idea to use an informative email subject header, Be Informed. To make your pitch effective, you
for example Understanding drug resistance in need to be familiar with your potential collaborator’s
vivax malaria, rather than an empty subject line work. Be sure to read the lab’s published papers.
or one that could be mistaken for a scam, such as You will also need to have a clear idea of what you
Help a young professor. want to do and the respective role each of you will
play.
Many people have set up their spam filters to
delete mail coming from hotmail.com and other Your email should lead to telephone conversations.
popular free web mail services. These filters rarely After that, a trip to your collaborator’s lab for a
give you any notice that your message has not face-to-face meeting is often worthwhile, and you
gone to the intended reader. should both look for opportunities to get together.

In your email, focus on the big picture and convey
your enthusiasm. You must convince your poten- THE COLLABORATION AGREEMENT
tial collaborator that:
Using an Informal Agreement. An exchange of
You have the expertise you claim. emails is usually sufficient to get a project under
way. Before you actually start the work, however,
You believe that he or she is the best possible
it is best to develop and agree on a detailed writ-
collaborator for the project at hand.
ten summary of your joint research plan. The plan
Both of you stand to benefit from the collaboration. should spell out:
The whole is indeed greater than the sum of the The purpose of the collaboration.
parts.
The scope of work.
Sometimes people will not acknowledge unwanted How, when, and in what format raw data will
emails, so you may not hear back from a researcher be shared.

COLLABORATION 149

The expected contribution of each collaborator. Collaborations that involve provision of materials
such as biological samples such as DNA, microbial
Financial responsibilities of each collaborator.
isolates, genetically modified organisms or reagents
Milestones. developed by you or your research team may
include a “Materials Transfer Agreement.” This
Reporting obligations to funders or other
document is to be signed by the recipient, indicat-
stakeholders.
ing the material provided, the purpose for which
Expectations about authorship. the material will be used, the conditions under
which the material was provided and instructions
How and when papers will be written.
for acknowledgement of the contribution and
An explicit plan offers several advantages. It restriction of distribution to others.
prevents misunderstandings and it helps keep If your institution does not have an office that
the project on track. Furthermore, if you expect helps make this kind of agreement, you should
to apply together for funding for the project, this make sure you have the power to promise the
plan can be expanded into a grant proposal. In a things you have promised, or have someone
collaboration between two academic labs, the at your institution who does have the power to
collaboration agreement can simply be emailed promise get involved. In a large institution, this
back and forth until both parties are satisfied. may be a technology transfer office, and their staff
Obtaining signatures could seem overly formal, may also arrange for legal review by the institu-
but it is very important that on both sides all tion’s attorneys. In an institution without such an
key participants explicitly signal that you have office, you should find people with appropriate
concluded these negotiations and have reached authority to review and sign the proposed contract.
a clear agreement. Look for other researchers who have made such
Using a Formal Agreement. A formal, legally agreements, and discuss the restrictions with
binding written agreement is probably necessary legally trained people in your own country. It
if the collaboration involves a commercial entity may be that there are not yet laws within your
such as a pharmaceutical company, or if you are country related to this kind of agreement, but
working toward a commercial application in which someone with legal training can at least help alert
a patent is an expected outcome (Chapter 12 will you to language in the proposed documents that
discuss patents). For collaborations that do not seems to commit you to more than you would
involve a commercial entity, a general Letter of like. Negotiations are expected in these kinds of
Agreement or Letter of Intent spelling out the agreements—the most important thing is that
interest in collaboration between institutions can you know what rights you may be signing away,
provide a framework for a range of collaborative and that you do not release more of your (or your
activities. Written and agreed-upon work plans for institution’s, or your country’s) rights than you
specific activities or projects developed together mean to or have the authority to.
can then provide the explicit terms of the col- Make sure that such documents spell out the time
laboration. Even if it is not intended to be a legally period of the collaboration or provide a mechanism
binding document, you and your collaborator by which you can terminate your involvement.
will want to consult with appropriate offices at
your respective institutions to help you draft this Be aware that if your collaborator has financial
agreement. It can be very useful to have someone support from a company for his or her share of
who has not been part of your discussions read the work, that funding agreement may contain
what you have written down, because you may be restrictions that apply to the collaborative project.
so accustomed to your own assumptions that you For example, the company may have the right to
will have neglected to write them down. delay publication and to license the results of the
collaboration. If the collaboration is an important


THE INGREDIENTS
Learn how to propose and organize collaborative
projects with researchers from both developed OF A SUCCESSFUL
and developing countries. Collaborative projects COLLABORATION
have the advantage of:
Once your agreement is in place and your expec-
tations are clear, you and your collaborator can
of funding,
focus on keeping your lines of communication open
and maintaining attitudes of mutual consideration
by spreading the fixed costs across and respect.
participants, and

KEEPING THE LINES
funding agencies, given that comparative
OF COMMUNICATION OPEN
projects generate more information than

”
single-country projects. An open, trusting relationship is essential if you
want to be able to discuss problems candidly
and give and receive critical feedback. In a good
Gilbert Brenes Comacho, Costa Rica collaboration, participants stay in close touch and
are accessible to one another. Make it a practice
to return your collaborator’s calls and emails as
one for your laboratory, be sure to ask in advance quickly as you can, even if only to set a more
whether your collaborator will use company fund- convenient time for a conversation. Make fulfilling
ing for his or her work on your joint project. If so, your promises to collaborators a significant priority.
you can ask your institution’s technology transfer Having a student from one lab go spend time in
office or a person knowledgeable in law and the other may help build connections between the
contracts to help you determine whether there are two research groups and get the work flowing.
restrictions that apply to your share of the work.
When you are involved in a high-stakes collabora-
It may be possible to negotiate an agreement
tion, you may need to consider what you will do
that limits the effect your collaborator’s funding
with your time if your collaborative work and
arrangements have on you (see chapter 12 on
your regular responsibilities make simultaneous
intellectual property for more information about
demands. If you put off your collaborators’ inter-
company-sponsored research).
ests, you may be seen as unreliable, unserious,
Someone above you at your institution may try or not good at following through. If you put off
to abuse the potential collaboration by pressuring local issues, though, you may be seen as self-
your collaborator to provide resources or make absorbed, untrue to your roots, or as a careless
payments beyond what is needed to do the project, power-seeker. Whichever way you divide your
or may even try to block your collaboration in favor energies, there are risks. Being direct and honest
of pushing you to work with a different researcher. about what is delaying you, why it must be
You do not want to undermine your position at attended to first, and how you plan to fulfill your
your institution, so proceed carefully. It may be obligations is often the best way to negotiate
very useful to be open with trusted collaborators this difficult balance. If you are unable to offer
about the source of the delay. “Office politics” explanations, however, delegating some part of
and over-reaching administrators exist all over the the work to a reliable helper may help you get
world, and understanding the situation may help through an immediate time crunch. But be sure to
keep your potential collaborator from giving up in follow up with personal attention, whether to your
frustration. local colleagues or those at other sites, as soon as
you get a chance.

COLLABORATION 151

Meetings. Set up systems to ensure that regular
communication takes place. A fixed schedule of In simple terms, the collaboration must help
face-to-face meetings or conference calls or times your scientific career and not be a burden. It
when you will be available by email can be very is better for starting scientist to publish three
useful for staying on track. Also consider setting JBC papers as last (corresponding) author than
up occasional videoconferences if your institution ten papers in Science, Nature or Cell, being in

”
and your collaborator’s have that capability and all of them the fifth of the ten authors.
enough internet bandwidth. No matter what type
of interaction you choose, plan the matters to
be covered ahead of time. Send out agendas by
email, take notes during the discussions, and
send out email summaries of the meetings to all
participants afterwards. Include in the summaries developed along the way will be shared. As you
“action items” for each collaborator. It is not a lot advance your own career, it becomes more impor-
of work to follow up in these small ways, and it tant not only to look out for your own authorship
will help prevent misunderstandings later. interests, but to also bear in mind the interests of
the people you will train in your laboratory.
Keeping Up. Once the project is underway, stay
with it. Do not be the “rate-limiting step” that Trainees—graduate students and postdocs—often
holds things up. When unavoidable conflicts feel possessive of work they have been involved
emerge and you cannot meet a deadline, let that in, and may not see their role in proper perspective.
fact be known right away so that the deadline can Part of your role in training them is to keep them
be reset. Remember that obstacles and interrup- from over-reaching or under-reaching when it
tions come up for everyone. Do not hide from your comes to getting credit for their work. Often the
collaborators if your work goes off track, and do person who writes the first draft of a paper will
not be quick to abandon a partnership if circum- become firmly attached to the idea that the paper
stances change and you have trouble keeping up is “his.” This can create hard feelings and misun-
with the originally intended pace of the work. Try derstandings, especially in cases where a student
to negotiate a new strategy with your partners for with especially good writing skills helpfully
accomplishing the collaboration’s goals, and look becomes involved in writing up another student’s
for better ways to get the planned work done, data. There are cases where a writer who synthe-
even if the time frame or scope of the work must sizes others’ work deserves credit for a significant
be changed. intellectual contribution, but it is generally out of
bounds to claim priority for the writer over the
researcher who drove the intellectual development
DEALING WITH AUTHORSHIP of the data.
AND INTELLECTUAL You and other senior people involved in the collab-
PROPERTY ISSUES oration should openly discuss the practical needs
of all of the trainees involved in the work, across
Expectations for Authorship. Because credit for all of the involved laboratories. Graduate students
your work, expressed as authorship of publications, and postdocs need first author papers, and as
is crucial to your scientific career, you need to good trainers you and your colleagues should help
pay attention to how credit will be distributed in them work toward publication, progress on their
a collaboration. It is best to discuss expectations degrees, and scientific independence, not just
for authorship before a collaboration begins, toward achieving the project’s goals.
including who will be first author and last author
(or other author positions that may indicate relative This is especially important for any trainees in
importance in some fields) on major publications your laboratory whose career progress depends
and how authorship and ownership of new work on producing work that gives them clearly high


priority among a paper’s authors. However, agree Who will take responsibility for and incur the
to revisit authorship as publication nears. The expense of filing joint patent applications?
relative contributions of different participants often
Who will maintain the patents once received?
changes from what was originally envisioned.
Once you have a sense of whether the data from See chapter 12 for more information about the
your experiments can be published, discuss plans patent process, including the effect disclosures
for publication immediately; do not wait until a can have on the ability to obtain patent rights.
manuscript draft is prepared.
Pursuing Patents. If patents are sought, applica-
tions should be filed before the work is presented
publicly or published; otherwise, rights will be lost. Personal Qualities
Do not jeopardize your own or the other party’s of a Good Collaborator
intellectual property rights by disclosing your
results prematurely. Fairness
If your collaboration produces patentable discover- Be sure to give credit where it is due.
ies, you will undoubtedly need to deal with the Honesty
legal concept of “joint intellectual property.” Disclose anything that might affect
Joint intellectual property is that created jointly by someone’s decision to collaborate.
collaborating researchers. Generally, you will have Once the collaboration is underway, be
to assign your ownership in intellectual property willing to “cut through the nonsense”
to your institution or employer, and your collabora- and offer constructive criticism.
tor must do the same at his or her institution. Be clear and open about other relation-
Each party in the collaboration will retain its own ships, which may include some with
“background” intellectual property, that is, the people who are in conflict with one
intellectual property it owned before undertaking another.
the project. Each party will also retain the intel- Effort
lectual property rights to discoveries created solely Put your full effort into the project.
by its own researchers in the course of the project. Carry your fair share of the labor and
The collaborators’ institutions may file a joint pat- financial outlays.
ent application that names inventors from both
Openness
institutions, and the institutions will hold the
Stay in touch with your collaborator
patent jointly. Often, the institutions will need to
throughout the project, especially
reach an agreement on management and licensing
when there are problems or delays.
of the intellectual property, so that any royalties
Try to resolve problems with your
can be shared according to an agreed-upon formula. collaborator directly.
If you think a joint patent application is a likely Reliability
outcome of your collaboration, ask yourself these Deliver what you have promised,
questions before you begin the collaboration: on time.
What aspects of the proposed project are so Respect
interactive that any potential discoveries will be Appreciate your collaborator’s
owned jointly? contributions.
Never assume that your contributions
What aspects of shared work are the property
are more important than those of your
of one laboratory?
collaborator.
When and how will you discuss patents and
publications with workers in your laboratories?

COLLABORATION 153

SPECIAL CHALLENGES The larger the collaborator’s lab and the more
complex the collaboration, the harder it will be to
FOR THE BEGINNING negotiate first or last authorship. Smaller projects
INVESTIGATOR may offer a better chance of getting credit.

In the early stages of your career, collaboration If you have special technical expertise or access to
can present particular challenges. You are under a limited resource that is in demand, you may be
pressure to get your own research program up inundated by requests to collaborate from nearby
and running. You cannot afford to let your advance- researchers and people around the world. Do not
ment be impeded by collaborations that do not allow your time to become so fragmented that
yield good results and appropriate credit. You need your central research projects are neglected. Learn
to keep the following facts of scientific life firmly to say no gracefully and, if necessary, ask those
in mind as you decide about specific collaborations: above you to offer you some protection for your
time. Even if you are the head of the institute, it
If you collaborate with established, well-known can be easier to turn things down by saying “I am
scientists, researchers not familiar with your work sorry, the Minister of Health has asked me to
may undervalue your role in the effort and view reserve my time for another project” than by saying
you as being under the wing of your more famous “I do not have time to work with you.”
colleague, rather than as an emerging scientific
force in your own right. People may assume that
you played a minor role, even if you are first author
on a paper. There are benefits and drawbacks to I would classify collaborations in two groups:
this—if others see you as your colleague’s protégé, those established with scientists in the North
they may open doors for you. On the other hand, (well-known or not-so-well-known scientists)
they may conclude you are subservient and never and those established with scientists in your
think to open doors for you! Understanding how own country or region or other scientifically
the two sides of the coin may be seen, especially lagging regions. In the first case, one has to be
by colleagues at your own institution, is important. very careful in order to make clear to your local
Collaborating with someone close to your own colleagues and evaluators that it is a real col-
career level avoids this problem, but your local laboration. For example, if your name is diluted
colleagues may not view your collaboration as in the middle of the author’s list of the publica-
important compared to a collaboration with some- tions resulting from the collaboration, the local
one more famous. evaluator will certainly realize that your role is
completely secondary.
If you do collaborate with established scientists
or with researchers involved in your own training, I would tend to establish collaborations with
“big shots” in the North only if I am really inter-
make sure you arrange the collaboration so that
ested in the subject, and if I can contribute with
the relative contributions of each scientist are
original ideas and work that guarantee that I will
made clear in publications and other communica-
be the corresponding author of at least 50% of
tions. It will not always be the case that a collabo-
the papers resulting from the collaboration. On
rator will be interested in advancing your career,
the other hand, I can establish collaborations
especially your career at home. If you collaborate
with people in the North on subjects that are
with a senior scientist and he does not propose not my main subject, that will not end in the
that you speak for the team at international meet- only publications I will have in the period, whose
ings or take the lead on some publications, for efforts and work do not put at risk the success
example, you should not be shy about pressing for of the main subject in my group. In that case I
these opportunities, which are important to moving would not mind appearing in the middle of the
your career forward and gaining international author’s list. In simple terms, the collaboration
visibility for you. must help your scientific career and not to be a

”
burden.



If you engage in multiple collaborations, the prob-
ability increases that you will find yourself with a
WHEN A COLLABORATION
conflict of interest at some point in your career. IS NOT WORKING
Especially in these early years, it is better to keep Collaborations can fail for various reasons.
things simple so that you know all of the actors Possible scenarios include:
and can identify potential conflicts. Often people
or institutions in conflict with one another may One party loses interest or develops other priorities,
approach you to collaborate. Both are surely aware and intentionally or inadvertently puts the project
that your work is of interest to the other. Again, on the back burner. There is no intent to renege,
proceed carefully and honestly. Keep in mind that but deadlines are allowed to slip.
just as you can have friends who do not get along, Illness or family problems hinder someone’s
you can also have collaborators whose interests progress.
collide. Just think carefully before getting between
them. Key personnel move on or become uninvolved.

Scientific results are not forthcoming, and the
WHEN YOUR TRAINEES COLLABORATE project simply stalls.

Your graduate students and postdocs need to Honest disagreements arise about the plan,
learn to collaborate, as well. You can start them finances, or authorship.
off by assigning them joint projects within your One or both parties behave badly (e.g., they do not
lab and by guiding them in establishing their honor some aspect of the agreement, steal credit,
expectations of each other and in monitoring the or disparage the other collaborator to others).
fulfillment of promises. However, you should be
prepared to referee, especially when it is neces- Geopolitics throws up new roadblocks, or existing
sary to contain the ambitions of inappropriately roadblocks prove more problematic than anticipated.
aggressive members of your group.
When such situations arise, you will have to
It is quite another matter when your students and decide how to protect yourself. The worst thing
postdocs approach scientists outside your lab or you can do is to allow a bad situation to fester. If
are themselves approached as potential collabor- you decide that your colleague is failing to fulfill
ators. They may have no idea of the politics involved the original agreements, get on the phone and
or the extent of the commitments they are making. have a straightforward discussion. Phoning or
Encourage your trainees to look broadly for help meeting face to face is better than emailing in
and resources, but insist on your prerogative to such cases, since it is very easy to misread the
approve all trainees’ outside commitments in tone of an email, especially if one correspondent
advance. is expecting a fight and the other does not realize
that anything is wrong at all.
It is worth your while to try to fix a situation
Some strong collaborators may use a junior that looks like it could derail your collaboration,
scientist to involve your institute in a collabora- especially if you have invested significant time
tion and get them to sign a Memorandum Of and resources in the project. If, however, the
Understanding (MOU). It is thus important to other party has lost all interest or you really do
impress upon junior scientists that they need not get along, the best thing might be to back
to make sure that this MOU benefits both out. Although you may be tempted to let your
collaborators in terms of capacity strengthening colleagues know about the failure, remember that
(human and institutional), funding, authorship such a retaliation can harm your own reputation

”
and other aspects of the collaboration. as much as that of your collaborator. Do not burn
bridges, and especially if you are just beginning
your career. Do what you can to leave your former
collaborator thinking well of you—he or she may

COLLABORATION 155

be an important connection to future collaborators. RESOURCES
It is better to leave a collaboration with all parties
thinking that it was the situation—not the people Online
involved—that was “not right.” Adams, Michael J. “Mutual Beneﬁt: Building a Successful
Collaboration.” ScienceCareers.org (October 6, 2000),
If a collaboration does not succeed, try not to http://sciencecareers.sciencemag.org/career_development/
become discouraged. Although collaborations previous_issues/articles/0630/mutual_beneﬁt_building_a_
can be a lot of work and at times frustrating, you successful_collaboration.
will gain much from working with others. Your Dee, Phil. “Yours Transferably: Going Global 2—Making
research can take unexpected turns and expand Contact.” ScienceCareers.org (February 16, 2001),
into new and exciting areas. You will form profes- http://sciencecareers.sciencemag.org/career_development/
sional relationships with scientists outside your previous_issues/articles/0840/yours_transferably_going_
department who may be willing to write letters global_2_making_contact.
of recommendation when it is time to apply for
De Pass, Anthony. “Underrepresented Minorities in
tenure. Your collaborators can help increase your Science: Collaborations -- Critical to Research Success
visibility by inviting you to give seminars at their at Minority Institutions.” ScienceCareers.org (March 2,
institutes, and they might send graduate students 2001), http://sciencecareers.sciencemag.org/career_
or postdocs to work in your lab. development/previous_issues/articles/0840/
underrepresented_minorities_in_science_collaborations_
critical_to_research_success_at_minority_institutions.


CHAPTER 12

INTELLECTUAL PROPERTY

“LAS GRANDES IDEAS SON AQUELLAS DE LAS QUE LO ÚNICO QUE NOS SORPRENDE
ES QUE NO SE NOS HAYAN OCURRIDO ANTES. ”
NOEL CLARASÓ SERRAT

UNDERSTANDING Because discovering and developing new things
is more difficult and expensive than copying
INTELLECTUAL others’ work, profit and the right to determine
PROPERTY RIGHTS how inventions are used are major driving forces
behind commercialization of ideas and products
Intellectual property rights protect the interests of
created by scientists. Without protection, imitators
creators by giving them property rights over their
can quickly erode the profit available to the inventor,
creations, whether those creations are the result
and investors will be discouraged from spending
of a Eureka! moment in the bath, the traditional
the money needed for more research and
knowledge of a community, or the collective
development.
efforts of hundreds of scientists in a university,
government or company. A patent is a right given to inventors of intellectual
property, allowing them to protect their owner-
Intellectual property (IP) rights include patents
ship of an invention by excluding other people,
and copyrights (which protect authored works,
companies, governments, etc., from commercially
including scientific papers, novels, music, art, and
exploiting (making, using or selling) their innova-
other things), trade secrets (things only the maker
tion for a set period of time, usually 20 years,
of a product knows—information not available to
within the country where the patent is granted.
the public), trademarks and brands (unique identi-
Inventions are, in essence, ideas. The protection
fiers of products and services), industrial design
of an invention under patent law does not require
(the visual designs of objects with aesthetic or
that it be a physical thing. But it is customary to
commercial value), and geographical indication
distinguish between inventions that are products
(marking products with their place of origin, for
and those that are processes. The creation of a
example, “Made in Brazil”).
new cell line is an example of a product invention.

The quote above: Serrat says that big ideas are the ones where the only thing that surprises us about them is that no one has thought of them before.

INTELLECTUAL PROPERTY 157

The invention of a new method or process of
making the cell line is a process invention. It is also extremely important to know the
policies governing intellectual, biological and cul-
Patents are based on a trade-off between the tural property rights. Decisions about patenting
rights granted to inventors to exclude others from must be based on local laws and policies. Issues
making, using or selling their invention and rules relating to informed consent and intellectual

”
that require them to reveal the method behind property rights can easily result in controversy.
the invention so others may understand and learn
from it. They must also explain why this particular
invention is different from others like it. That is Moses Bockarie, Papua New Guinea
not so for trade secrets—for example, Coca-Cola
jealously guards the recipes for its soft drinks.
In order to receive a patent, an inventor must go THE PATENT EXAMINATION
through a long application process, and patent
At its core, a patent examination is an orderly
protection does not start until the patent is actually
argument between an inventor and a country’s
issued. Patent applications are prepared by patent
patent examiners, the officials who determine
lawyers, but require input from the inventor.
whether the invention is truly something new and
Jurisdictions vary in the rules for an application,
deserving of protection. Patent examiners are
but in general the patent application document, or
subject matter experts who rule on how broad or
specification, will include:
narrow the inventor’s claims to property rights will
1. Title and abstract. For ease in cataloguing and be. In order to be patentable, examiners put the
searching in databases. application through a battery of tests.
2. A brief description of the area to which the inven- 1. Novelty. The invention must be the inventor’s
tion pertains, also called the field of the invention. own work. Novelty also has much to do with
timing. If an invention was known before the date
3. A thorough disclosure and description of past work
a patent application was filed or the priority date
done by others in the field, and what prompted the
claimed on the patent application (see “Timing
invention. This description is commonly called prior
is Everything” on page 159), then it cannot be
art. Sources of prior art can include publications,
claimed as new.
conference abstracts, issued patents or other
printed materials. 2. Non-obviousness and Inventive Step. These
terms reflect the “Aha!” of an invention and the
4. A progression of steps leading to the invention,
surprise of an unexpected result. A non-obvious
along with the shortcomings of the prior art. The
invention will identify a problem and provide a
differences between prior art and the invention
solution. If others tried and failed to develop the
highlight its advantages. Required descriptions of
invention, or if it is not apparent to someone
the ways the invention is practiced or implement-
skilled in the art, then non-obviousness prevails.
ed, called embodiments, must be detailed enough
to allow someone skilled in the art to reconstruct 3. Utility and Industrial Application. In the US,
and use the invention. the patent application must express some credible
usefulness or benefit. In contrast, European patent
5. Clearly labeled graphs, tables, figures, pictures and
law asks if the invention shows an industrial
drawings to aid the descriptions.
application.
6. The claims draw the boundaries of the invention
The examination process, which is called prosecu-
using legal terms. The claims describe the essence
tion, may take months or years to complete.
of an invention, first as broadly as possible, and
Often some of the application’s claims, or indi-
later, more narrowly. Claims are essential for
vidual written statements about the invention that
patent protection—making or using the invention
are presented one after another in the application,
or its equivalent under its claims and without the
will be rejected. A patent application will usually
inventor’s permission is considered infringement.


TIMING IS EVERYTHING

In some countries, once an idea or invention is made public, by being published in the scientific
literature for example, it cannot be patented. In others, including the US, there is a grace period during
which an inventor can file a patent application.
In countries without this grace period, an inventor is out of luck if the invention was known publicly or
published in a journal even one day before the filing date. To complicate matters, patent law defines
the word “publication” very broadly. Even an abstract, oral presentation or poster session can qualify
as publication, and advertising brochures, grant applications, catalogues and magazine articles are fair
game too. Each situation is different, and anyone planning to file a domestic or foreign patent must be
aware of the kinds of information generated by their organization. Finally, be aware that publication of
the application by the patent office for all to see will occur some months after the filing—irrespective
of whether the patent is ever issued.
Patent laws that grant rights to the first inventor to file a patent use a simple, objective measure to
determine priority, but critics say it favors big corporations who can pay for each filing. On the other
hand, laws that grant rights to the first to make an invention favor the individual with few resources.
Once a patent has been awarded in one country, an international Patent Cooperation Treaty gives the
inventor up to 18 months to file for patents in other individual countries beyond his or her own.

begin by making very broad claims, and then will Who benefits from these arrangements? An
narrow successive claims until it is extremely invention that you make as part of your scientific
specific. So an application relating to, for example, work may belong to your institution, or to the
a new bicycle gearing system, might have some funder of the work, or to the government, or to
very broad claims related to the general function you, depending on the policies and customs of
of gears rejected, while other claims, such as the place where you are working. Whether your
the narrower claim describing the new gearing thoughts and the work you do with your hands
system itself, may be accepted. The applicant may belong to you or someone else varies considerably
respond to the objections by arguing in support of from institution to institution, funder to funder,
or making amendments to any rejected claims. If and country to country. Asking others at your
the examiner’s objections cannot be overcome, institution or in your area who have patented work
the application may eventually be abandoned. will help you understand what will become of any
intellectual property associated with your work.
If you believe that you will generate patentable
BENEFITING FROM
inventions, talk with your institution, your major
INTELLECTUAL PROPERTY funders, or your government early so that you can
Intellectual property, including patents, trade secrets understand the ideas behind the process before
or other “intangible assets,” can be converted any real invention is at stake.
into monetary value—hence the term “intellectual Once an invention is patented, you do not have to
capital.” Intellectual capital is quite worthless be the one who uses your rights to it. A license,
unless there is someone, somewhere, willing to a legally binding contract that allows someone
buy it. Therefore, a patent is merely the starting else to make, use and/or sell an invention, can be
point for a financial arrangement between parties. sold or lent to someone else, often in return for
The trick becomes how to efficiently transfer the fees and royalties, which are returns on future
technology from the inventor to the marketplace. profits. An “exclusive license” is given to only one


licensee, who can charge others for use of the nations are in different stages of economic
licensed technology, generating more fees and and scientific development, each has a unique
more royalties. A non-exclusive license can be approach to IP law.
granted to more than one entity. When know-how
The effort to speed the transfer of intellectual
—the idea of how to do something—is patented
property across borders has led to a profusion of
by scientists, it is usually made non-exclusive so
organizations, treaties and laws through which to
that those in the know may freely talk about the
navigate. Described below are the important ones,
idea with other scientists.
how they came to be, and how they figure in the
A license also can be granted exclusively to one global scheme of things.
licensee for a specific application, or “field of
use,” maintaining the owner’s option to issue
THE WORLD INTELLECTUAL
licenses for other fields of use.
PROPERTY ORGANIZATION (WIPO)
Established in Stockholm and launched in 1970,
INTELLECTUAL PROPERTY IN WIPO is an agency of the United Nations. Its
A GLOBAL ENVIRONMENT mission is “To promote through international
cooperation the creation, dissemination, use
Nations protect intellectual property (IP) through
and protection of works of the human mind for
their laws. IP law enables individuals and organiza-
the economic, cultural and social progress of all
tions to harvest the rewards of inventiveness.
mankind…to contribute to a balance between the
Yet these assets are products of the communities
stimulation of creativity worldwide, by sufficiently
who make them. There is a tension between the
protecting the moral and material interests of
protection of individual interests and the need to
creators on the one hand, and providing access to
provide broad access to the societies who need
the socio-economic and cultural benefits of such
them. As scientists in more and more countries
creativity worldwide on the other.”
generate more IP and become more collaborative,
their nations must sort out the best ways to WIPO creates and manages multilateral treaties
handle their new inventions. Because different among nations, including:

THE LIFECYCLE OF AN IDEA

Royalties Back to Grant or
Inventor and Institution Idea Contract Proposal

Sales $$ to Scientist

Product Scientific Discovery

Commercial Invention Disclosure to
Development Technology Transfer Office

License Agreement Publication
with Company Grant of Patent
Patent Application


The Paris Convention. Signed in 1883, every The World’s Most Active Patent Offices
member country must grant to nationals of other
countries the same IP protection it grants to its own Country/Region # of Examiners # of Applications
citizens. More practically, it allows inventors in one United States 3,400 400,000
nation to use the patent filing date in that nation as (USPTO)
the effective date in another nation, provided that Europe (EPO) 3,500 208,000
they apply within 12 months of the first filing.
Japan (JPO) 1,358 400,000
Patent Cooperation Treaty (PCT). Filing a patent China (SIPO) 2,000 175,000
in all countries would be extremely costly. The South Korea 728 160,000
PCT coordinates the filing of international patent (KIPO)
applications among nearly 140 countries. A PCT India 135 14,500
filing contains the nuts and bolts for an examina-
tion, such as a search of prior art and a description Data assembled from national sources between 2004 and 2006.

of claims. A preliminary examination rules on its
patentability. Finally, each contracting national or
regional patent office (see the European Patent BUILDING A MORE UNIFIED SYSTEM
Office (EPO), below) is free to carry out a formal At the end of the General Agreement on Tariffs
examination and decide whether to issue a patent. and Trade (GATT) treaty, which created the World
Aside from the unified procedure, the advantages Trade Organization (WTO), the discussion turns to
to filing a PCT are streamlining and buying time
the wide variation of protection and enforcement
before the national examinations commence. But
of intellectual property rights. As IP rights became
local jurisdictions charge fees for filing, issuing and
more important in global trade, these differences
maintaining the patent.
became a source of tension in international
relations. New trade rules were seen as a way to
THE BIG THREE introduce more order and predictability, and for
disputes to be settled more systematically. At the
Among the world’s patent offices, the biggest are turn of the century, “harmonization” became the
the European Patent Office (EPO), the United States catchword. In mid-2000, the big three signed the
Patent and Trademark Office (USPTO) and the Japan Patent Law Treaty, which charts a path towards
Patent Office (JPO). Together, the USPTO and the international normalization by 2010.
EPO review the largest number of the world’s
patent applications, but Japan’s patent office The WTO oversees the Agreement on Trade-Related
activities are growing fast. Aspects of Intellectual Property Rights (TRIPS), a
1995 agreement that attempts to “narrow the gaps
China is also fast becoming a world leader in in the way that these [intellectual property] rights
intellectual property, and Western countries are are treated around the world, and to bring them
scrambling to establish trade agreements to under common international rules.” The TRIPS
harmonize patent information (see “The World’s Agreement is expected to do a number of things,
Most Active Patent Offices”). The differences including increasing royalty and license fees to
among the big three are first-to-invent and first-to- developing nations and increasing foreign direct
file, and that the U.S. permits patents on software investment in the developing world.
and business methods. While the EPO grants only
one patent for any given inventive system, the Ratification of the TRIPS Agreement became a
same invention in Japan could constitute up to 10 mandatory requirement for membership in the WTO.
different patents, with every aspect of the inven- The agreement attempts to gather and normalize
tion filed separately. all aspects of IP rights and their enforcement,
including protecting trade secrets, establishing
Like WIPO, the EPO does not issue patents, but transparency, and clarifying copyrights. The
carries out formal examinations on behalf of 37 agreement attempts to crack down on reverse
European countries, along with examining opposi- engineering of biotechnology products, and requires
tions to patents already granted. companies in developing countries to adhere to
Good Manufacturing Practice (GMP) standards.


Most profound for developing countries were protected, but developing countries want wide
changes related to patents. They include: distribution of the health benefits of drugs and
agricultural advances at low or no cost to their
1. Broad definition of what can be patentable. This
citizens. A sick or suffering working class does little
requires many countries to extend protection to
to put the country on a road to economic prosperity.
areas such as chemical and pharmaceutical
products and processes, food products, micro- In 1997, a South African law called the Medicines
organisms, microbiological processes and new and Related Substances Control Act was put in
varieties of plants. place to reduce the price of drugs, especially those
used against AIDS. The law encouraged use of
2. Harmonized patent length at 20 years from the
date of filing.
generic drugs and allowed the government to
purchase brand-name drugs abroad if it could get
3. Mandated that intellectual property laws not offer them at a lower price. A consortium of 39 pharma-
any benefits to local citizens that are not available ceutical companies sued to prevent the import of
to citizens of other TRIPS states while they are in cheap generic antiretrovirals into South Africa. The
that country (see Indigenous Knowledge, page 165). move was a public relations fiasco for the industry,
4. Flexibility for developing countries to allow some-
one else to produce a product without the consent
of the patent owner. This “compulsory licensing”
Open Access
can be used in circumstances of extreme “national
urgency” such as domestic health crises. Another important issue regarding scientific
research is the availability of software for
data analysis. Given that I work with popula-
HIV/AIDS AND THE TRIPS DEBATE tion health issues, part of my job is to analyze
The GATT treaty had a rough start and remains large data sets. Statistical software—like SAS,
controversial. The European Union, the United SPSS, JMP, etc.—might seem inexpensive for
large research projects in industrialized coun-
States and large pharmaceutical companies played
tries, but they tend to be quite expensive for
a major role in adopting the TRIPS Agreement.
scientists in developing countries. Some soft-
The fact that corporations with an interest in favor-
ware developers charge for every statistical
able international rules on intellectual property
module and yearly license renewal, and these
were themselves part of developing policy was practices make the software very expensive.
a focus of intense debate. Developing countries
complained that they were left out of critical nego- However, there is a new “movement” of
tiations. The provision that requires poor countries Open Access software developers. Open
to extend patent rights on pharmaceutical products Access software is free software developed
by a community of scientists, usually spread
made in the developing world has also provoked
all over the world. There is freeware for differ-
criticism.
ent tasks. The package or language called R is
New patents promise benefits and incur costs the most widely used Open Access statistical
that differ by disease, and some diseases primarily software in the world, and includes “cutting-
affect poor countries. For those disorders, patents edge” routines that very few statistical pack-
are not attractive to private investment because ages have. Open Access software appears to
the purchasing power of developing countries is become a very valuable tool for scientists in
low. Widely available patent rights could increase developing countries that have very limited

”
money resources for purchasing equipment.
the benefits derived from greater public financing
of biomedical research for the underdeveloped
world.
The high profile of public health emergencies such
The statistical analysis software R, instructions for use, and information
as the sub-Saharan Africa AIDS crisis spotlights about working to improve it are available at www.r-project.org.
the tension between public health and global IP
protection. Developed nations want their inventions


and the consortium settled the suit in 2001. Shortly
thereafter, Brazil and a group of African countries,
working with the NGOs, brought the problem of Broad Claims:
drug access to the global stage at a meeting of the Embryonic Stem Cell Patents
world’s trade ministers in Doha, Qatar.
“We claim: 1. a purified preparation of
The declarations of the Doha group affirmed mem- primate embryonic stem cells which
bers’ right to protect public health and to promote
access to medicines for all. Most importantly, it (i) is capable of proliferation in an in vitro
clarified the right to use compulsory licensing to culture for over one year,
meet public health concerns, stating that “public (ii) maintains a karyotype in which all the
health crises, including those related to HIV/AIDS, chromosomes characteristic of the primate
tuberculosis, malaria and other epidemics, can species are present and not noticeably
represent a national emergency.” altered through prolonged culture,

Though the TRIPS Agreement is designed to level (iii) maintains the potential to differentiate
the IP playing field and is necessary to spur devel- into derivatives of endoderm, mesoderm,
opment in developing countries, major challenges and ectoderm tissues throughout culture,
remain. They include the cost of providing therapy
(iv) will not differentiate when cultured on
broadly across the world, the limited capacity of
a fibroblast feeder layer.”
most developing countries to make generic drugs,
the potential impact on countries such as Brazil
and India, which may be required to stop their own
manufacture of inexpensive generic drugs, and
Since embryonic stem cells could eventually
the impact of requiring companies to license their
lead to treatments or cures for maladies such as
existing drugs on those companies’ future invest-
heart disease, diabetes, and cancer, the patents
ments in drugs of benefit to low-income countries.
have generated a debate with ethical, social and
legal implications. Because of broad claims and
the aggressive negotiating position the institute
CASE STUDIES who owns the patents has taken with those
who want to use the lines, scholars fear that the
EMBRYONIC STEM CELLS monopolistic practices could squelch innovation
and competition and result in treatments being
An American scientist, James Thomson, was distributed only to those who can afford them. If
awarded three patents by the USPTO for his path- the keys to use the inventions are given to just
breaking work with human embryonic stem cells. a few, there will be little incentive to develop
The patents, which cover cell lines, are unusual for cheaper and better products.
two reasons. First, they were issued based on
research using a morally controversial source of The controversies have meant a rocky road for
material—leftover but viable two-day-old human both the patent holder and its exclusive licensees.
embryos obtained through in vitro fertilization The European Patent Office (EPO) rejected the
(IVF) clinics. patents on moral grounds. Because they involve
the use of “human embryos for industrial or
The second unusual feature is the patent claims commercial purposes,” they consider them an
themselves. Not only do they assert a right to immoral violation of public order. Though the
charge anyone to use the cell lines Thomson decision can be appealed, a confirmatory ruling
created, they also prevent anyone else from using would mean that no such patents would be issued
any human embryonic stem cell lines, made by by the EPO. Yet a grant of a patent does not
any method, in any laboratory, anywhere in the automatically confer rights in EU (European Union
US. These patent claims are among the broadest CEU) member states. Each country is free to
ever granted in the life sciences. interpret the morality clause in its own fashion and
decide whether to issue a patent.


Finally, the patents have been challenged on group of public and private sector entities led to
technical grounds. In 2007, the USPTO ruled that additional patent applications. The agency proposed
the patents failed the non-obviousness require- a patent pool strategy that would avoid potential
ment. The challenge referenced multiple cases SARS-related intellectual property conflicts
of prior art (the teachings of two patents and four and speed the development of vaccines. If the
articles published prior to the filing of Thomson’s negotiations among the parties succeed, the first
first patent in 1996), assuming that a “person pool will be set up in the U.S., followed by other
having ordinary skill in the art” would be able to jurisdictions.
accomplish what Thomson and his laboratory did.
Patent pools attempt to speed development by
Both the challengers and the research institute
sharing risk and reward, but one intriguing model
will battle back and forth for years before the issue
abandons the concept of intellectual property
is finally resolved. During that time, the patents
altogether. For example, a non-governmental
remain fully in force.
organization, the Drugs for Neglected Diseases
initiative (DNDi), and the French pharmaceutical
EVERYBODY INTO THE POOL company Sanofi-Aventis have developed a new
anti-malarial therapy—fixed-dose combination
The development of new drugs, devices and tools
(FDC) of artesunate and amodiaquine (AS/AQ),
comes at an astonishing price. A Tufts University
which will be available in Sub-Saharan Africa and
study estimates the 2006 cost of bringing a drug
elsewhere for less than $1 per dose. Because
to market at $1.2 billion. Those costs are passed
there are no patents, other companies are free to
on to patients and health care systems. The higher
make cheaper versions of the therapy, also called
the development cost, the more difficult it is to
generics. The patent-free model could become
bring new biomedical products to underserved
one way to treat the world’s neglected diseases.
markets.
One of the problems associated with the increased
SHARED RESOURCES
time and cost are “patent thickets,” when com-
panies need to license many bits and pieces of a At the prompting of Icelandic corporation deCODE
complex chain of technology in order to success- genetics, Iceland’s parliament passed the Health
fully implement their own intellectual property. Sector Database Act in 1998. It authorized a
Nowhere is this more apparent than in vaccine 12-year, exclusive license to deCODE to create
development, where separate licenses may be a database of the medical records of all Icelandic
required for specific genes, animal models, biopro- citizens. Iceland’s advantage was its small, isolated
cessing, and delivery systems. “Stacking” royalty population and its fastidious practice of medical
payments in this fashion becomes very expensive. record-keeping. The country has kept medical and
genealogical data on all of its citizens for more than
One of the mechanisms put forward to deal with
a century. The act stated that while the government
patent thickets is patent pools. A “patent pool”
has access to the database, deCode could use it
is an agreement between two or more patent
for commercial purposes, such as diagnostics or
owners to license patents to one another or to
drug discovery.
outsiders. Most are voluntary, devised when com-
panies or organizations find their ability to innovate The Icelandic government has concluded that
stifled by key technical patents owned by others. genetic information is a national resource, and
Members of the pool share royalties paid by third that citizens have no individual rights to it. Others
parties. Proponents argue that such arrangements worried whether the government and deCODE
can help stimulate innovation. could be relied on to properly protect genetic
information. Though confidentiality was promised,
In response to the SARS outbreak, the WHO
improper release of information could have dev-
funded a network of laboratories to develop a
astating consequences, such as denial of health
vaccine. Several of the researchers filed patent
insurance or employment discrimination. Granting
applications on inventions related to the viral
a proprietary right to one’s own genetic information,
genomic sequence. Further research by large


some said, would help individuals control its use. plant cultivars. The herbs are brought back to the
Others responded that the information belonged laboratory, where the active ingredient is isolated
to all Icelanders, and as such decisions about its and purified. The company receives a patent on
use should have come from the community. the product and manufactures it to industrial scale,
making a blockbuster drug with a billion dollar profit.
Another worry concerned the delay of publications.
Kari Stephansson, deCODE’s CEO, wrote in the Some critics say abuse of traditional systems of
New England Journal of Medicine, “The primary IP rights devalues indigenous cultures, reduces
goal is to use medical discoveries to develop better biodiversity and steals the “pharmacy from
methods to diagnose, prevent, and cure diseases. the poor.” Called biopiracy, the practice uses
Today, this often requires that an intellectual intellectual property to legitimize the ownership
property be secured, which may delay publication and control of biological resources used by
of a discovery. The choice between early publica- developing countries. The 1992 Rio Convention on
tion and the development of a product for the Biodiversity (CBD), ratified by 187 countries and
benefit of patients with a particular disease is, in the European Union, recognized that indigenous
our minds, an easy one.” The biotech industry cultures have long contributed to global wealth
argued that without exclusive rights there would generated by the commercialization of their native
be no incentive to invest, and granting individual plants and animals.
ownership might cause hundreds or thousands of
Under the rules of the CBD and other international
people to demand royalties from companies using
guidelines:
the data to develop products.
1. New intellectual policies and laws must involve
The textbook example of genetic property rights is
community participation.
found in the case of Moore v. Regents of California
(the Regents of California is the governing body 2. Access to traditional knowledge and resources
of the University of California at all of its multiple (especially genetic resources) may only be
campuses.) Moore claimed that his property rights obtained by informed consent.
had been violated when inventors did not share
3. Communities have the right to share the benefits
the commercial gains made from the commercial
of commercialization, and use by others can only
use of his cancerous spleen cells. The court
proceed on the basis of mutually agreeable terms.
concluded—as the Icelandic Government did with
its citizens—that Moore did not have a valid It hasn’t always worked that way. The textbook
ownership claim, and that giving him one would case is neem, a common Indian tree whose seeds
hinder biomedical research. have been long used for medicines, cosmetics
What lies ahead for Iceland? Some call for better and pesticides. Because agricultural products are
balance between financial incentives and greater not patentable in India, a foreign company patented
access to the information, such as compulsory a neem extract and began manufacturing a pesticide
licensing to certified genetic researchers. Private in India in the late 1980s. The company’s demand
sector advocates say that any future financial return for seeds drove the price beyond the reach of
negotiated on behalf of the country’s 280,000 ordinary Indians, including farmers who enjoyed
citizens will be vanishingly small. As the debate free access to stocks. Thus there were social,
continues, scientists at deCODE have recently economic and ethical factors driving an EPO action
discovered genes associated with cancer, sleep in 2000, which revoked the patent based on lack
disorders and heart disease. of novelty, inventive step and theft of prior art.
The neem case has been characterized as plunder
INDIGENOUS KNOWLEDGE by many, but others say nothing prevented Indian
companies from manufacturing the pesticide and
A team of Western researchers learns of an herbal exporting it, and there was little evidence that the
remedy used by a remote tribe of Amazon villagers. transnational conglomerate had asserted its rights
The group travels to Ecuador, where they work in India to prevent local companies from competing.
with local shamans and elders to identify the right


And, India benefited as a supplier of seed and local Development Working Paper Number 5, April 2002.
technical talent. Lesser, W. “The effects of TRIPs-mandated intellectual
How best to protect traditional knowledge? property rights on economic activities in developing
Preventing others from patenting is one strategy. countries.” 2001 monograph.
Recording and storing knowledge establishes it as Lee, Martha Isabel Gomez: Las patentes sobre biodiversidad
prior art and makes it more difficult to appropriate. en el TLC:negocio inconsulto. Oasis 11:103-133, 2005.
The downside of this “defensive” approach is that
Making the Right Moves: A practical guide to scientific
it makes public community knowledge that may management for postdocs and new faculty. HHMI-
be held by custom to be private and sacrosanct. Burroughs Wellcome guide, second edition, 2006.
Positive measures could use laws to enact special
unique-to-the-situation (sui generis) rights to Maskus, Keith. Intellectual Property Rights in the Global
Economy. Washington DC, Institute for International
protect traditional knowledge. Under sui generis,
Economics, 2000.
indigenous peoples can argue that controlling use
of their knowledge is a self-determining right, Mayne, Ruth. “Regionalism, Bilateralism and ‘Trip-Plus’
and that modern laws can never overrule ancient Agreements: The threat to developing countries.” United
systems of beliefs and traditions. Nations Human Development Report 2005.

McCalman, Phillip. “The Doha Agenda and intellectual
property rights.” Working paper cite TBA 2002.
RESOURCES
Moschini, GianCarlo. “Intellectual property rights and the
Attaran, Amir. “How do patents and economic policies affect World Trade Organization: Retrospect and Prospect.” Work-
access to essential medicines in developing countries?” ing paper published by the Center for Agricultural and Rural
Human Affairs 23(3):155-168, 2004. Development, Iowa State University, 2003.
Dasgupta P. & P. David. “Toward a New Economics of Shiva, Vandana. Protect or Plunder: Understanding
Science” Research Policy 23: 487-521, 1994. Intellectual Property Rights. Zed Books, 2002.
Daza, German Sanchez. Los derechos de propiedad Online
intelectual en el alca. Aportes 8:35-54, 2003. Biotechnology Industry Organization (BIO) Intellectual
Property Primer: http://www.bio.org/ip/primer/
Drahos, Peter and Mayne, Ruth, eds. Global Intellectual
Property Rights: Knowledge, Access and Development. Dirección de Vinculación Tecnológica from CONICET lays
Palgrave McMillian, 2002. out some of the principles for linking technologies to
applications http://www.conicet.gov.ar/VINCULACION/
Eisenberg, Rebecca S., Heller, Michael A. Can Patents
principal.php
Deter Innovation? The Anticommons in Biomedical
Research Science 280 (5364), 698 (1 May 1998). European Patent Office (EPO): http://www.epo.org
Garabedian, Todd. “Nontraditional publications and their WIPO Intellectual Property Handbook: http://www.wipo.int/
effect on patentable inventions.” Nature Biotechnology, about-ip/en/iprm/index.html
(20) April 2002, 401-402.
WIPO Guide to Intellectual Property Worldwide:
Finger, M and Schuler, P. eds. Poor People’s Knowledge: http://www.wipo.int/about-ip/en/ipworldwide/
Promoting Intellectual Property in Developing Countries.
World Bank Trade and Development Series, 2004. World Trade Organization (WTO): http://www.wto.org

Fink, Carsten and Maskus, Keith eds. Intellectual Property WIPO What Is Intellectual Property?: http://www.wipo.int/
and Development: Lessons from Recent Economic about-ip/en/
Research. World Bank Trade and Development Series, 2005.

Krattiger, Anatole. “Financing the bioindustry and facilitating
biotechnology transfer.” IP Strategy Today, 8-2004.

Lanjouw, Jean. “Intellectual property and the availability
of pharmaceuticals in poor countries.” Center for Global


CHAPTER 13

MOVING MATERIALS AND EQUIPMENT

“ PATIENCE AND PERSEVERANCE HAVE A MAGICAL EFFECT BEFORE WHICH
D I F F I C U LT I E S D I S A P P E A R A N D O B S TA C L E S VA N I S H . ”
JOHN QUINCY ADAMS

Transferring research-related materials internationally Furthermore, in some countries the import
presents challenges, particularly if the shipments regulations are not only complex, but intrinsically
are to or from the developing world. Depending ambiguous, to the extent that many of the officials
on your exact area of research, you may need to who deal directly with importing goods may not
receive (or send) materials including large, multi-use understand the rules themselves. There may
equipment; laboratory glassware and disposables; also be corruption at certain stages of the import
books; reagents; infectious agents and vectors process, further complicating matters. Finally,
of infectious agents; human products; biological purely practical problems such as the need to keep
specimens; and/or a variety of living organisms. certain temperature-sensitive materials cold, or
living material alive, can make shipping materials
Different rules and regulations come into play
long distances difficult. This chapter gives an
depending on the type of material being shipped.
overview of the types of regulatory and practical
Such regulations have been designed for a number
issues you might face when shipping materials
of important reasons, including the need to ensure
internationally, and provides suggestions for how
the safety of those handling the materials, to
best to navigate those challenges.
reduce biosecurity risks, to safeguard national
security and to protect the wellbeing of a country’s The material in this chapter was derived from a
citizens, to protect commercial interests, and to variety of sources. Information came from refer-
provide for the health and comfort of animals. But ence books and governmental and regulatory
they can also, at times, result in long shipping agency Web sites, as well as interviews with
delays or be incorrectly interpreted, resulting in international shipping specialists (specifically,
problems at customs or elsewhere. those who focus on shipping pharmaceuticals and
biological reagents), individuals at international

MOVING MATERIALS AND EQUIPMENT 167

PAPERWORK INVOLVED IN PURCHASING

1. Pro forma invoice/price quote: a quotation on the price (FOB, CIF, or in place) for a product or a
series of products. Normally it is valid for a limited time. This document does not certify any real
transaction, but for a time period it establishes the value of a trade.
2. Invoice: the document that reflects that the real transaction has been formally arranged and will
certainly occur or has occurred.
3. Receipt: the document certifying that the payment for the transaction stated in the invoice has been
done. A receipt has no value without the invoice. On the contrary, certain kinds of invoices have value
without the corresponding receipts. Granting agencies may require the original invoices of your
purchases as proof that the transactions have taken place. In some cases, they might also request
the receipts or other proofs of payment, such as credit card balances, copies of wire transfers, etc.
4. Packing slip/remito: the document that is signed when the delivery is received at the purchaser’s lab.

bioresource centers and at biotechnology compa- harmonious regulations on transporting hazardous
nies that support science in the developing world, materials. These regulations are developed by
and scientists who work in developing countries. committees made up of representatives from
Perhaps the most important single piece of advice many countries. They address a wide variety of
is that there is no fixed set of rules to learn that hazards, including toxicity, radioactivity, infectious
will allow you to handle shipping yourself—instead, substance hazards, flammability, explosiveness,
you should identify experts with local knowledge and corrosiveness.
and experience and enlist those people to handle
UN identification numbers are given to specific
such matters. That being said, it will be useful to
materials ranging from infectious substances
have some background knowledge about relevant
that affect humans to genetically modified
regulations and organizations. Additional practical
microorganisms to dry ice. The Model Regulations
advice will be covered in later sections of the chapter.
prescribe standards for packaging, labeling, and
marking for each category of material in transit.
They describe the documentation and emergency
REGULATIONS AND contact information required for each shipment.
RELEVANT ORGANIZATIONS The use of consistent regulations internationally
The regulations that govern international shipping has obvious benefits, among them obviating the
are complicated and in flux, affected by politics need to reclassify, re-label, or repackage materials
and world events. A complete description of all during transport.
applicable organizations and laws affecting the International Civil Aviation Organization
transfer of materials is well beyond the scope (ICAO). The ICAO (http://www.icao.int/), an agency
of this chapter. The material presented here is of the UN, publishes “Technical Instructions on the
intended to be a general overview. Safe Transport of Dangerous Goods by Air” (ICAO
TI) biannually. These instructions are in part based
HAZARDOUS MATERIALS on the UN Recommendations described above.

United Nations (UN) Model Regulations on the International Air Transport Association (IATA)
Transport of Dangerous Goods. The UN Model The IATA (http://www.iata.org) is a global trade
Regulations, although not legally binding, provide organization that was formed over 60 years
a foundation for the development of globally ago and now represents 250 airlines. The IATA


publishes the “Dangerous Goods Regulations Office International des Épizooties/World
Manual” (DGR Manual), which provides information Animal Health Organization. The goal of this
on classifying, marking, packing, labeling, and organization, also known as the Office Interna-
documenting shipments containing dangerous tional des Épizooties (OIE; http://www.oie.int), is
goods. IATA regulations cover materials carried to prevent zoonoses, infectious diseases that can
on board by passengers or checked in luggage as be transmitted from animals to humans and vice
well as those shipped commercially. IATA DGRs versa. It has developed the “Terrestrial Animal
are similar to the ICAO TI, but contain additional Health Code” and the “Aquatic Animal Health
requirements and are more restrictive. Code,” which provide recommendations for mem-
ber countries as they set up or revise regulations
International Maritime Organization (IMO).
about importing animals and animal products.
IMO (http://www.imo.org) has developed a uniform
international dangerous goods (DG) code for IATA Live Animal Regulations (LAR). The IATA
transporting materials by sea. The code covers LAR is a global standard for transporting animals
packing and stowage, and pays particular attention by air. These regulations cover animal containers
to the separation of incompatible substances. and methods to ensure the welfare of animals
being shipped by air, among other topics. Both
CITES and OIE recognize these regulations.
APPROPRIATE PACKAGING
Packaging materials incorrectly can have severe LABELING, PACKAGING, PAPERWORK,
safety and legal consequences. For example, dry LICENSES, AND PERMITS
ice placed in an airtight container will cause an
increase in pressure in the container, potentially Complying with regulations governing the
leading to an explosion. A lack of proper orienta- international transport of hazardous materials or
tion markings on chemical packaging can lead to living organisms and their derivatives requires
leaks and chemical mixing, possibly causing fires the use of proper labels. These include labels
or explosions. Planes have crashed because safety describing the substance (for example, “Infectious
regulations on shipping dangerous goods were not Substance” or “Biological Substance, Category B”
followed. Fines for not following dangerous goods or “Dry Ice”), as well as those stating the proper
shipping regulations can be severe, even if no shipping name, the UN identification number, and
harm results. the correct orientation of the shipping container.
Potentially hazardous biological substances,
TRANSPORTATION OF RESEARCH including infectious substances and geneti-
cally modified microorganisms, must be triple
ANIMALS AND PLANTS
packaged, with a leak-proof primary container,
Convention on International Trade in a secondary container that contains enough
Endangered Species of Wild Fauna and Flora absorbent material to absorb all of the liquid in the
(CITES). Because most countries have specific sample, and an outer container large enough to
rules about importing animals, regulations in this contain the required labels. The two outer pack-
area are very complicated. CITES (also known as ages must meet UN performance standards and
the Washington Convention; http://www.cites. are available from commercial suppliers. Packaging
org/), which represents an agreement among must meet additional requirements if ice, dry ice,
governments to regulate the movement of endan- or liquid nitrogen is included in the shipment.
gered plants and animals and their derivatives
Shipments must be accompanied by a Declaration
across international borders, is currently enforced
for Dangerous Goods form if hazardous materials
in 172 countries. These regulations cover both
are being sent. Other documents that might be
commercial and noncommercial trade.
required include export permits and/or licenses,


LABELING MATTERS

A case in point: In Thailand, items labeled “plastic goods” can have an import tax of 40%, whereas
plastic laboratory ware labeled “laboratory equipment” has a tax of 10%. So knowledge of this particular
piece of information could save a substantial sum of money. A good agent from a Thai forwarding
company who is familiar with movement of scientific materials will be familiar with import taxes and
with proper labeling, and communicate such information to the original company if necessary. Such
an agent does not want a 40% tax if 10% is possible instead, because of the increased cost that will
be passed on to the scientist. As another example, anecdotal evidence suggests that in some regions
of the world, products labeled “research reagents” will be cleared through customs relatively easily,
whereas those labeled “medical products” will not be cleared; the reverse is reported to be true in
other regions of the world. Again, a good agent should be aware of these subtleties.

import permits and/or licenses, a shipper’s export You might wonder if hiring a knowledgeable
declarations, a commercial invoice, a certificate of customs broker, for instance, is worth the cost.
origin, a bill of lading, an insurance certificate, an Customs regulations are extremely complex—
export packing list, a consular invoice, an airway they vary from country to country, and can be
bill, and inspection certificates. influenced by changing politics. Because the rules
are so complicated and often unclear, identifying
and appointing a local agent to handle tasks such
IMPORTANT ISSUES as clearing equipment or goods through customs
AND PRACTICAL ADVICE can be far less expensive than attempting to
manage the task yourself. Because the particular
rules change frequently, and are often flexible
EXPERT ASSISTANCE or ambiguous, it is not generally possible for
Because of the complexities of international ship- scientists to be aware of what rules are in place
ping, one of the most important pieces of advice is at a given time. For example, proper labeling is
to identify experts who can handle the associated critically important for cost-effective and timely
issues for you. There are many advantages to passage through customs. Improper labeling,
working with a trusted local distributor of reagents even if accurate, can have severe or expensive
and equipment (who represents one or more consequences.
well-known life sciences companies), a freight
forwarder, and/or a customs broker.
A forwarder is an agent who facilitates international In addition, in some circumstances, the scientist
shipments. These agents are familiar with both has to take some time to train a local agent in
import and export regulations, as well as with handling research material. Although this
packing, labeling, insurance, documentation, and appears to be outside your role, in the long run
shipping options and requirements. A customs it is time well invested. Otherwise, you will end
broker will undertake transactions associated with up wasting much more time in sorting out all
customs on your behalf, such as classification and kinds of issues whenever you have to ship or

”
receive research materials.
valuation of products and payment of taxes and
duties. Such individuals should also have familiarity
with local customs and a track record of experience
in the country or region.


IDENTIFYING DISTRIBUTORS local traditions is sometimes hard to distinguish.
AND AGENTS A good knowledge of local conventions and
practices can smooth the way for the efficient
How does one go about identifying appropriate passage of a shipment through customs. A
distributors and agents? The aim is to single out high-quality distributor or customs agent will know
those with long track records, who have worked these routines; buying an official lunch or bring-
in the region for a lengthy period of time and ing someone a special snack might be all that is
have been found to be trustworthy, and, in the needed to bring a $100,000 piece of equipment
case of distributors, to recognize those with local through customs. Such practices appear less
agents that have legitimate connections with like bribery and more like politeness within the
well-known biotechnology companies. The best context of a given culture.
way to discover which people and companies
meet those criteria is to ask established scientists
who have worked in the region for substantial EXPORT CONTROLS
periods of time. To find a specialist for a particular Federal export control regulations in the country
transaction, you might first search for another local where your materials originate can have large
scientist who has previously hired a specialist for effects on how quickly you receive a given
that kind of transaction and had good results. You shipment. These regulations prohibit the export of
might also contact well-known companies and ask certain materials without an export license issued
them if they have a local partner in your region, by the government, and obtaining such a license
and if so, how experienced that partner is. can take considerable time. Such requirements
were put into place many years ago for reasons
CORRUPTION that included national security, but they have been
more strictly interpreted and enforced since the
In some places, corruption is common and has terrorist attacks on the United States in 2001.
large effects on the importation of goods. Govern- License requirements and restrictions also vary
ment officials can interpret rules as they wish in depending on the destination of the goods. In the
certain countries, and several of the distributors United States, for example, some items can be
and exporters interviewed for this chapter said exported to Canada without a license, but require
that they assumed that money changes hands a license for shipment elsewhere. Licenses
“under the table” when goods move across cannot be obtained in the United States for export
borders, particularly large pieces of equipment, but to embargoed countries (presently Cuba, Iran,
also reagents, kits, and other supplies. Though it Myanmar (Burma), North Korea, Sudan, and Syria).
is clearly illegal for the exporting company to be Penalties for breaking these regulations can be
involved in such transactions, once the shipment severe—in the United States, noncompliance can
is within the borders of another country, it may result in fees of up to $1,000,000 (or up to five times
be impossible to control what happens. Exporters the value of the export, whichever is greater) per
mentioned that they preferred not to know about violation and imprisonment for up to 10 years.
these operations, leaving them in the hands of Thus, there is a strong impetus for companies to
local distributors, agents, and importers. The comply with export licensing requirements.
general advice for scientists is similar: Follow the
laws personally, and do not attempt to handle These regulations are meant to stop “dual-use”
transactions yourself. equipment or technologies—that is, items that
could potentially be used for both basic research
The level of corruption varies by region. Whereas and for military or terrorism purposes—from
in some cases the import “fees” clearly serve getting into the hands of terrorists or unfriendly
only to supplement the income of certain officials, governments. A large variety of equipment and
many import fees in other countries are legitimate, technologies can be covered by these regulations,
even if the rules describing them are ambiguous. including computers and software, centrifuges,
Furthermore, the line between corruption and autoclaves, fermenters, cross flow filtration


equipment, freeze-drying equipment, and radiation SERVICE AND MAINTENANCE
detectors, as well as a variety of chemicals,
radiochemicals, medical or biological reagents, Just as there are upfront costs associated with
and toxins. Equipment or components used in using a forwarding agent or customs broker that
processing (such as large-scale purification) are can in the end save money, there can be costs
potentially problematic, because similar process- associated with using an established local dis-
ing steps can be used both in legitimate scientific tributor associated with well-known companies,
experiments and in the production of biological or rather than a foreign distributor or an unknown
chemical weapons. These items can include such distributor without a track record, that ultimately
common equipment as pumps and valves. represent money well spent. Such a decision can
have consequences beyond simply having the
In some cases, obtaining an export license can equipment arrive safely.
add substantially to the time required to receive
your shipment. For example, filtration cartridges, Both large and small pieces of equipment often
which have a legitimate use in protein purification, require technical support in the initial setup phase,
can also be used in bioweapons manufacturing, as well as ongoing service and maintenance. An
and in one recent instance, obtaining an export overseas company without a local agent might
license for these items took about seven months. well offer a given piece of equipment at a lower
There is no way around the potentially long delays cost than a company with a local presence. This
in these instances; the best you can do is to try to situation might arise because the quote from the
plan your orders well in advance of when you will overseas company is based on the cost of support
need the equipment or supplies. Most companies in Europe or North America, for example, rather
will provide information to you about exactly what than in the country where you are. If you were to
types of equipment will require an export license. select the company based on the cheapest quote
in this situation, you would not have a local agent
Despite these warnings, it is important to note to rely on if the equipment requires servicing.
that most standard laboratory equipment and
reagents do not require export licenses. Even In general, this is a problem in countries with a
orders for radiochemicals, which could be imagined low volume of scientific equipment sold. On a
to cause difficulties, generally do not result in long per-unit basis, it is more expensive to support one
delays. This is because research scale quantities DNA sequencer or synthesizer in a country like
are small, and the types of radiochemicals used in Laos than it is to support the far greater number
biological experiments are not those used in the of these units in a country like France. In low-
manufacture of weapons. volume countries, education levels are generally
lower, and local people must be sent overseas to
An experienced company representative will know be trained or a service agent must be brought in
the difference between equipment and reagents from another country, all contributing to the cost
that could legitimately be used in laboratory of supplying service.
experiments and those that are not legitimate.
A local representative also gains a sense of the This issue is further complicated by the fact
types of work going on in individual laboratories. that funding organizations sometimes require
Particularly since 2001, big companies without scientists to obtain bids for large equipment and
local representatives have become less willing to accept the lowest bid. As just described, that
to provide a quote for dual-use equipment or requirement might well leave you without
reagents unless they know who the end user will equipment support.
be. Instead, they will sometimes turn a request for What strategies could you use to avoid finding
a quote over to a company with a local representa- yourself in this situation? One approach is to
tive who does know the individuals in a particular work with a trusted local distributing agent from
region. In this regard, scientists may come out an early stage, during the grant-writing process.
ahead in that they will receive a quote from a The agent can work with you to put the required
company able to supply local support. specifications for a piece of equipment and its


associated service and maintenance contract
into your grant proposal, so that companies that Installing fancy equipment in labs in the South
will not ultimately provide support are eliminated should be done with great caution, even in set-
from consideration. Such specifications might tings that appear suitable. Papua New Guinea
include conditions such as: “Company supplying is a middle-income country with fewer energy
equipment must have a local engineer trained in problems compared to many West African
product,” “Company must have onsite technical countries. My present laboratory in PNG is
support,” or “Company must have skilled technical well-equipped with air conditioning and facilities
for performing DNA-based assays. I recently
support in the local time zone.”
bought a $60,000 Bioplex instrument for per-
Attention to this issue might also save you from forming mosquito diagnostic assays and put it
dealing with companies with no scientific creden- in a lab with window air conditioning. A few
tials at all, as the following example illustrates. weeks later, this very expensive equipment mal-
A scientist working at the Pasteur Institute in functioned because the window air conditioner
Cambodia received funding from the World Health caused vibrations in the walls that made the
Organization (WHO) office in Manila, Philippines. laser readers alter the alignment. We had to fly
WHO required that the scientist obtain bids for the in a technician from Australia to fix the problem.
Luckily for us we had a good service agreement.
requested equipment, which he did. One of the
Remember to budget for equipment service by
bids came from an established local distributor.

”
technicians from more developed countries.
The agent for that distributor received an email
from another company asking for a quote for the
piece of equipment with the exact specifications Moses Bockarie, Papua New Guinea
originally given to him by the scientist. This
company was a local trading company and had no
experience with scientific equipment whatsoever.
After the details of this situation were sorted out,
ESTABLISHING A LABORATORY
it turned out that a person working in the WHO AFTER TRAINING ABROAD
office in Manila gave unauthorized information to If you have done most of your training in a rich
a cousin in Cambodia who worked for the local country, the complications of materials transfer
trading company. That cousin then attempted to faced by any scientist in that region may be
undermine the tender of the established distributor magnified for you because of a lack of recent
by underbidding slightly. The local trading company knowledge of local customs and specific conditions.
might have supplied the equipment, but certainly In this situation, it can be very useful to spend a
could do nothing further, and the scientist would month or two at your new job before starting to
have been out of luck if any sort of local support set up your laboratory. Ask your new colleagues
was needed. However, because this scientist had about issues related to the infrastructure that
provided very specific requirements about support might cause problems with your equipment or
in the grant application, he was able to purchase experiments. For example, in some places, the
the equipment from the established distributor. air conditioning is turned off at 6:00 PM. A period
of re-familiarizing yourself may also allow you to
LOCAL CONDITIONS re-adapt to differences in communications which
can be quite striking between different countries.
Knowledgeable local distributors and service per- There are places, for example, where it is not
sonnel will also be familiar with specific problems uncommon for a person saying that he or she will
in the local infrastructure that can affect equipment do a certain task to have no intention of actually
performance. For example, in some regions, volt- doing that task. Learning or re-learning to
age fluctuations can be extremely large, meaning distinguish when “yes” means “yes” would
that equipment needs to be supplied with the obviously be useful.
correct grounding devices. Working with the right
local distributor can potentially prevent damage to
your equipment or experiments.


RESPONSIBILITY Certificates for animal-derived materials and Phyto-
sanitary Certificates for plant-derived materials.
FOR MATERIALS The requirements of the importing country may
If an order goes astray and never arrives, who is vary depending on the identity of the exporting
responsible? Materials can be sent “FOB origin” or country. For example, animal-derived products from
“FOB destination.” “FOB” means “Free on Board” one country might be of greater concern than the
or “Freight on Board” and is used to indicate when same products from another country.
responsibility for the shipment transfers to the
recipient. If an item is “FOB Miami,” the shipper
is responsible for getting it to Miami and the recipi-
ent is responsible for getting it from there to his or Sending materials that are not properly packed,
because the regulations don’t exist in your
her own country. When businesses send materials
country, may result in them being impounded
“FOB destination,” the supplier is responsible until
in other ports where strict rules apply. Always
the scientist receives and accepts the material by
pack your samples following international
signing off when a shipment arrives.

”
shipping rules.
Most materials are under warranty, and reputable
companies will replace missing or broken items for
free if you can show that the damage happened Moses Bockarie, Papua New Guinea

while the materials were the seller’s responsibility
or in the hands of the seller’s agent (for example,
the seller’s shipping contractor). Some variations PHYSICAL CHALLENGES
on this theme are possible, however, depending
on the terms agreed upon for shipping. If the TO SHIPPING MATERIALS
recipient has made arrangements for clearing LONG DISTANCES
materials through customs, for example, he or she
might become responsible for the shipment when
TEMPERATURE
it reaches customs. In this situation, materials
damaged because of delays in customs would not Many biological materials and reagents, ranging
be replaced by the shipper. This type of circum- from frozen tissue culture cells to enzymes and
stance provides another reason to rely on experts vaccines, need to be kept cold during shipment
for handling passage through customs. to retain viability or performance. The American
Type Culture Collection (ATCC; http://www.atcc.
org/) is a bioresource center that ships biological
ANIMALS AND PLANTS materials such as bacteria, fungi, protozoa, plant
seeds, cell lines, viruses, and antisera throughout
Importing animals or plants can present particular
the world, except to countries restricted by the
challenges, because the regulations can vary a
United States government. If possible, techniques
great deal depending on the country. Information
for shipping that bypass the need to keep materi-
about which treaties the country enforces and
als cold are used. Obviously, shipping delays are
the local laws can be obtained from the country’s
not as deleterious, and shipping is less expensive,
consulate or its Web site. Professional assistance
if materials are stable at ambient temperatures.
might be required if there are incompatibilities
Sometimes biological samples can be shipped
between the laws of the country exporting the
spotted on filter paper.
animals and those of the country importing them.
Again, a broker familiar with these regulations can For example, the Malaria Research and Reference
provide invaluable assistance. There may be quar- Reagent Resource Center (MR4; www.malaria.
antine requirements depending on the species and mr4.org), a central source of malaria-related
country involved. Some countries require Veterinary organisms and reagents managed by the ATCC,
ships monkey blood infected with Plasmodium


falciparum, one of the parasites that causes (considering, for example, the expected temper-
malaria, in this manner. Diagnostic antigens and ature at both the sending and receiving ends)
small quantities of DNA can be extracted from and the length of time the shipment should take.
these samples. Freeze-drying is sometimes used “Qualified” (or tested) packaging systems are
to stabilize certain microorganisms (bacteria and available from packaging vendors with a focus on
fungi) and some products such as enzymes, but the pharmaceutical and biotechnology communi-
cannot be used for other types of materials such ties. Finally, customs paperwork should be ready
as tissue culture cells, which must be shipped before the item is shipped. You should establish
frozen. Additionally, freeze-drying is both expen- what documentation is needed for both import and
sive and time-consuming, and is not an alternative export before shipping. Furthermore, you should
that would necessarily be available to individual know who will pay the duty and value-added tax
scientists. If materials must be kept frozen, it is when an item is imported, and make sure that
essential that good “cold chain management” is funds will be on hand for payment of those taxes.
used (discussed in more detail below). To move
materials as quickly and efficiently as possible,
ATCC uses freight forwarders who accompany
materials through customs. One important challenge that we have faced is
that once or twice shipment of reagents was
You may or may not be involved in cold chain delayed en route to us, and this delay was not
management if you are on the receiving end of a communicated to us and shipment arrived at the
shipment. If you are sending heat-sensitive items weekend or over the holidays. The cold chain
to distant colleagues, it is important to consider was broken, thus resulting in the loss of these
the issues carefully. An excellent article about this expensive reagents. It is very important to keep
topic is listed in this chapter’s Resources track of the reagents during their transportation
section (page 176). It stresses that many failures to their destination so that appropriate arrange-
to maintain the desired temperature come about ments can be made to collect them as soon as
because of insufficient planning. In brief, important possible after their arrival in an effort to avert

”
points to consider are (i) packaging, (ii) choice of their loss.
shipping company, (iii) communications with that
company, and (iv) necessary documentation.
Specialized couriers that deal with pharmaceutical
products and reagents for the life sciences can
provide door-to-door service to most countries, and
VIABILITY
might represent a good choice for sending important,
heat-sensitive materials [see, for example, Quick The requirements for keeping organisms viable
International Courier (http://www.quickintl.com/) during shipping vary enormously depending on
or World Courier (www.worldcourier.com). Some the species. Microbial cultures are often sent as
airline networks have procedures to handle such stab cultures in microtubes (which are small and
shipments, and such couriers will use those hard to break) at ambient temperatures. MR4,
airlines. That option is not inexpensive, however. discussed above, transfers mosquito vectors of
human malaria as eggs on damp filter paper. The
It is important to communicate with the courier
Jackson Laboratory (http://www.jax.org/index.
early to work through important steps of the
html), which ships mouse strains for biomedical
process. They should know, for example, who
research to countries throughout the world, uses
the customs broker is, who to contact if there
specialized plastic containers for shipping. Water
is a delay, and the hours when packages can be
is provided for mice in prepackaged, sterile, gela-
received by the recipient. Packaging must be
tinized water packets (Napa Nectar TM) instead of
determined after you establish the extremes in
in bottles or through other moisture sources.
temperature the shipment will likely encounter


RECENT IMPROVEMENTS A number of international shippers are now very
IN MATERIALS TRANSFER well established in many locations, also leading to
improvements in materials transfer. For example,
This chapter has emphasized some of the difficulties Federal Express (FedEx; www.fedex.com) and
associated with shipping laboratory equipment and DHL (http://www.dhl.com) have local offices and
reagents to countries in the developing world. It couriers in many locations, providing improved
is important to realize, however, that the situation infrastructure for shipping. World Courier
has undergone dramatic improvement in the recent (http://www.worldcourier.com), another major
past. The biggest change is in communications, international courier company, is particularly good
which are strikingly enhanced in Southeast Asia, with cold chain preservation and clinical materials.
North Africa, Eastern Europe, and Latin America
as compared to the situation just ten years ago. Despite these improvements, barriers remain for
Cell phones are now almost ubiquitous among transfer of materials to and from the developing
scientists and those who work in materials world.
transfer. Broadband internet connections are very
good in many regions of the world now, allowing
easy communication by email. Skype (http://www. RESOURCES
skype.com), which routes voice conversations D. Catizone, Planning for Your Cold Chain Shipment: The
over the Internet, is now available in a broad range Forgotten Science of Clinical Research and Development.
of countries; its use can dramatically reduce the BioProcessing Journal, September/October 2005, pp. 2-4.
cost of direct international communications. This article is available at the Quick International Courier
These changes mean that limitations to commu- site: http://www.quickintl.com/.
nications—both technical and financial—among For researchers collaborating with colleagues in the
scientists, distributors, support staff, and other United States, the application for the U.S. Public Health
key agents generally no longer represent a bottle- Service permit to import or transport etiologic agents,
neck in the materials transfer process. hosts, or vectors of human disease can be found at:
http://www.cdc.gov/od/eaipp/forms/Permit_to_Import_or_
Improved communications have also resulted in Transport_Etiologic_Agents_Hosts_or_Vectors_of_Human_
much greater availability of product information for Diseases_fillable1-17.pdf.
scientists, with catalogs, product specifications,
and sometimes prices available online. Access Guidelines for the Humane Transportation of Research
Animals (2006), Institute for Laboratory Animal Research,
to such information allows scientists to compare
is available from this site: http://books.nap.edu/openbook.
prices. This ability can lead to surprises or mis-
php?isbn=0309101107.
understandings, because costs of equipment and
other materials can be significantly higher in devel- Sources for a number of publications about international
oping versus developed regions of the world. One requirements for shipping dangerous goods, some of
key reason for these differences is the increased which are discussed above, are described on this site:
http://www.phmsa.dot.gov/hazmat/regs/international#icao.
support costs in the latter, as discussed above.
The IATA Dangerous Goods Regulations Manual is available
from this site: http://www.iata.org/ps/publications/dgr.htm.

The IATA Live Animal Regulations manual is available from
Courier companies are familiar with the required
this site: http://www.iata.org/ps/publications/lar.
international guidelines for packaging biohazard-
ous material and generally advise the research-
ers about the correct procedures. In addition,
they tend to assist us to obtain the necessary

”
export licenses.



APPENDIX

QUOTATIONS “A great secret of success is to go through life as a
man who never gets used up.” —Albert Schweitzer
In the course of putting this book together, we
asked researchers to submit quotes for potential “A man of ability and desire to accomplish something
inclusion at the beginnings of chapters. Many of can do anything.” —Donald Kircher
them were wonderful, and we have included a
selection of those not used to head chapters here “Action is the antidote to despair.” —Joan Baez
so that readers may enjoy them.
“All progress is precarious, and the solution of one
“La science n’a pas de patrie. Elle est en effet le pat- problem brings us face to face with another
rimoine commun de l’humanité. La connaissance problem.” —Martin Luther King, Jr.
est une, par -delà les frontières, qui sont souvent
“All the technology in the world will never replace a
des cicatrices de l’histoire.” —Louis Pasteur
positive attitude.” —Harvey Mackay
“One never notices what has been done; one can
“Alone we can do so little; together we can do so
only see what remains to be done.” —Marie Curie
much.” —Helen Keller
“No hay riqueza tan segura como un amigo
“An investment in knowledge always pays the best
seguro.” —Juan Luis Vives
interest.” —Benjamin Franklin
“Ciencia es una manera de interpretar la realidad que
“Anger is never without reason, but seldom with a
desecha dogmas, milagros y el principio de
good one.” —Benjamin Franklin
autoridad.” —Marcelino Cereijido, about training
with Bernardo Houssay “Employ thy time well, if thou meanest to get
leisure.” —Benjamin Franklin
“In nature there is nothing superﬂuous.” —Averroes
“Encouragement is oxygen to the soul.”
“There is no shortcut to any place worth going.”
—Harvey Mackay
“Success leaves clues, so does failure.”
“Failure is just part of the culture of innovation.
“If there is no wind, row.” Accept it and become stronger.” —Albert Yu

“You miss 100% of the shots you do not take.” “He who is well prepared has half won the battle.”
—Portuguese proverb
“Positive attitudes…come in unlimited quantities.
Everybody can have one free.” —Harvey Mackay “Hold faithfulness and sincerity as ﬁrst principles.”
—Confucius
“When you lose, don’t lose the lesson.” —Dalai Lama
“If you want happiness for a lifetime – help the next
“A discovery is said to be an accident meeting a generation.” —Chinese proverb
prepared mind.” —Albert von Szent-Gyorgyi
“It is better to build bridges than walls.”
—Swahili Proverb

APPENDIX 177

“Knowledge is power.” —Sir Francis Bacon “It is not the strongest of the species that survive,
nor the most intelligent, but the one most
“Nothing succeeds like the appearance of success.” responsive to change.” —Charles Darwin
—Christopher Lasch
”Coming together is a beginning. Keeping together
“One sure-fire way to stay creative: force yourself to is progress. Working together is success.”
learn something new.” —Harvey Mackay —Henry Ford

“Reading maketh a full man, conference a ready man, “Management is doing things right; leadership is
and writing an exact man.” —Sir Francis Bacon doing the right things.” —Peter Drucker
“Real success is finding your lifework in the work that “Hire people who are better than you are, then leave
you love.” —David McCullough them to get on with it...Look for people who will
aim for the remarkable, who will not settle for the
“Success is the ability to go from one failure to
routine.” —David Ogilvy
another with no loss of enthusiasm.”
—Sir Winston Churchill “No hay riqueza tan seguar como un amigo seguro”
—Juan Luis Vives
“The only thing to do with good advice is to pass it
on. It is never any use to oneself.” —Oscar Wilde “…the way in which scientific endeavors are pursued
around the world is marked by clear inequalities.
“To know how to wonder is the first step of the mind
Developing countries, for example, generally
toward discovery.” —Louis Pasteur
spend much less than 1 percent of their gross
“Understand that the right to choose your own path domestic product on scientific research, whereas
is a sacred privilege. Use it. Dwell in possibility.” rich countries devote between 2 and 3 percent.
—Oprah Winfrey The number of scientists in proportion to popula-
tion in the developing countries is 10 to 30 times
“You always pass failure on the way to success.” smaller than in developed countries. Ninety-five
—Mickey Rooney percent of the new science in the world is created
in the countries comprising only one-fifth of the
“All who have meditated on the art of governing man-
world’s population. And much of that science—in
kind have been convinced that the fate of empires
the realm of health, for example—neglects the
depends on the education of youth.” —Aristotle
problems that afflict most of the world’s people.”
“What you always do before you make a decision —Kofi Annan
is consult. The best public policy is made when
“Starting your own lab is a lot like getting your
you are listening to people who are going to be
driver’s license: it’s an exhilarating time. Now you
impacted. Then, once policy is determined, you
have the freedom to go where you want to go and
call on them to help you sell it.” —Elizabeth Dole
go as fast as you want to go. On the other hand,
“Divide and rule, a sound motto. Unite and lead, a you have to pay for the gas. You’re not just a
better one.” —Johann Wolfgang von Goethe passenger anymore—you have responsibilities.”
—Tom Cech
“Happiness belongs to the self-sufficient.” —Aristotle

“Success is not the key to happiness. Happiness is
the key to success. If you love what you are doing,
you will be successful.” —Albert Schweitzer

“Time is neutral and does not change things. With
courage and initiative, leaders change things.”
—Jesse Jackson


ACRONYMS GLP Good Laboratory Practice

AC/AQ Artesunate/amodiaquine GMP Good Manufacturing Practice

ATCC American Type Culture Collection GRIP NIH Fogarty International Center Global
Research Initiative Program
BIO Biotechnology Industry Organization
HINARI WHO Health InterNetwork Access to
CAS Chinese Academy of Science Research Initiative
CBD Convention on Biodiversity IATA International Air Transport Association
CIIT Collaborative Institutional Training IATA LAR Live Animal Regulations
Institute
ICAO International Civil Aviation Organization
CIOMS Council for International Organizations
of Medical Sciences ICAOTI ICAO Technical Instructions

CITES Convention on International Trade ICGEB International Centre for Genetic
in Endangered Species of Wild Engineering and Biotechnology
Fauna and Flora
ICH International Conference on
CITI Collaborative Institutional Training Harmonization of Technical
Initiative Requirements for Registration of
Pharmaceuticals for Human Use
CONICET Consejo Nacional de Investigaciones
Científicas y Técnicas, the Argentinian ICMJE International Committee of Medical
national research agency Journal Editors

CSR NIH Center for Scientific Review IEC Independent Ethics Committee

CV Curriculum vitae IMO International Maritime Organization

DG Dangerous Goods INSERM Institut national de la santé et de la
recherche médicale, the French
DHL A German-owned international shipping national agency dedicated to biological,
company. The initials DHL originally medical, and public health research
stood for “Dalsey, Hillblom and Lynn”
but now stand alone IP Intellectual Property

DNDi Drugs for Neglected Diseases initiative IRB Institutional Review Board (IRB) or
Independent Ethics Committee
EPO European Patent Office
IRID NIH International Research in Infectious
FDC Fixed dose combination Diseases Program
FIC NIH Fogarty International Center IVF In vitro fertilization
FIRCA NIH Fogarty International Research JPO Japan Patent Office
Collaboration Award
KIPO Korea Patent Office
GATT General Agreement on Tariffs and Trade
LAR (IATA-LAR) Live Animal Regulations
GCP Good Clinical Practice of the IATA
GHRI Global Health Research Institute MIM Multilateral Initiative on Malaria

APPENDIX 179

MOU Memorandum of Understanding RFP Request for Proposals

MR4 Malaria Research and Reference RFA Request for Applications
Reagent Resource Center
SIPO China Patent Office
NGO Non-governmental organization
SRA NIH Scientific Review Administrator
NIAID NIH National Institute of Allergy and
Infectious Diseases TA Teaching Assistant

NIH U.S. National Institutes of Health TDR (WHO-TDR) WHO Tropical Disease
Research program
OIE Office International des Épizooties
(World Organization for Animal Health) TRIPs Trade-Related Aspects of Intellectual
Property Rights
PA Program Announcement
UNICEF United Nations Children’s Fund
PCR Polymerase Chain Reaction
USPTO United States Patent and Trademark
PCT Patent Cooperation Treaty Office

PERT Program (or Project) Evaluation and WBS Work Breakdown Structure
Review Technique
WHO The World Health Organization
PI Principal Investigator
WIPO World Intellectual Property Organization
PPP Public/Private Partnership
WMA World Medical Association
QANGO Quasi-autonomous non-governmental
organization WTO World Trade Organization


NOTES CONTINUED


NOTES CONTINUED

NOTES 183

NOTES CONTINUED


E X C E L L E N C E E V E R Y W H E R E
A RESOURCE FOR SCIENTISTS LAUNCHING RESEARCH CAREERS IN EMERGING SCIENCE CENTERS

Science is an international endeavor. Wherever it is from being a good team player to being an independent
done, it connects us to the scientists, scholars, and thinker and driver of your own work; from bringing out
philosophers of the past and the future. Our work as a the best in the people with whom you work to being
scientiﬁc community can make human lives better, an accurate and respected authority whose fairness
healthier, and longer, and can improve the economies of and good ideas are known to other researchers,
nations, regions, and the world. To be a scientist is both organizations, and perhaps governments. We hope the
a privilege and a passion, but launching a career in insights in this book will help you build a career where
science is difﬁcult. Success as a scientist will depend you aim higher, reach farther, and perform better than
on many things—from intelligence and creativity to luck; what you may have thought would be your best.

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