# Presentation: 153410

## Can Multiple Authorship Reduce Scientific Misconduct?

**Sheldon R. Gelman, PhD**
**Yeshiva University**
**Wurzweiler School of Social Work**
**New York, New York**

**2006 ORI Research on Research Integrity Conference**
**December, 2006**
**Tampa, Florida**

## Table 1:  Institutions Reporting Misconduct Activities to ORI (1996-2005) 

| Annual Report | # of Institutions Reporting Activity | # of Institutions –
 New Allegations | # of New Cases Opened  |
| --- | --- | --- | --- |
| 2005 | 85 | 133 | 114 |
| 2004 | 120 | 76 | 107 |
| 2003 | 136 | 82 | 105 |
| 2002 | 99 | 71 | 83 |
| 2001 | 78 | 61 | 72 |
| 2000 | 82 | 60 | 62 |
| 1999 | 72 | 46 | 63 |
| 1998 | 67 | 41 | 54 |
| 1997 | 73 | 48 | 64 |
| 1996 | 88 | 54 | 70 |

## Table 2:  Types of Misconduct Reported to ORI (1996-2005) 

| Annual Report | Fabrication | Falsification | Plagiarism | Other | Total |
| --- | --- | --- | --- | --- | --- |
| 2005 | 31 | 69 | 33 | - | 133 |
| 2004 | 36 | 48 | 22 | 14 | 120 |
| 2003 | 30 | 48 | 34 | 24 | 136 |
| 2002 | 45 | 58 | 27 | 33 | 163 |
| 2001 | 37 | 46 | 17 | 27 | 127 |
| 2000 | 37 | 24 | 19 | 23 | 103 |
| 1999 | 21 | 37 | 13 | 18 | 89 |
| 1998 | 15 | 22 | 10 | 22 | 69 |
| 1997 | 26 | 34 | 8 | 24 | 92 |
| 1996 | 33 | 34 | 19 | 41 | 127 |

## “Scientific Misconduct is ethically unacceptable behavior that undermines the integrity of the research, that is, it calls into question the validity of the research.” 

**(ORI, 2000)**

## Plagiarism Is A Form Of Scientific Misconduct

**Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results, (Definition proposed by White House Office of Science and Technology Policy, 1999).**
**Research misconduct is not: “honest error or honest differences of opinion”.**
**Ryan (1996) offered that scientific misconduct is “significant misbehavior that improperly appropriates intellectual property or contributions of others, that intentionally impedes the progress of research, or that risks corrupting the scientific record by compromising the integrity or scientific practice.**

## Plagiarism:  The appropriation of the language, ideas, or thoughts of another and representing them as one’s own original work

**(ORI, 2000)**

## Fabrication and Falsification are Fiction Not Science

**(ORI, 2004)**

## Falsification of Data:  Ranges from fabrication to deceptive or selective reporting of findings and/or omission of conflicting data, or willful suppression and/or distortion of data

**(ORI, 2000)**

## Falsification and Fabrication may also involve credentials, including degrees and publications.

## One-third of (3000) scientist acknowledged that they had committed some form of research misbehavior.

- (Guterman, 2006 – Chronicle of Higher Education)

## Table 3:  Plagiarism

| YEAR | INDIVIDUAL | PLACE OF EMPLOYMENT | DICIPLINE | NATURE OF PLAGARISM | PENALTY |
| --- | --- | --- | --- | --- | --- |
| 1999 | John J. Schulz* | Boston University (MA) | International communications | Text |  |
| 2000 | Jin Qian | New Dimensions Research and Instrument | Manager of research | Research data, results, text | Voluntary Exclusion Agreement  (3 years) |
| 2000 | President Scott D. Miller* | Wesley College (DEL) |  | Text |  |
| 2001 | David R. Jacoby | Harvard Medical School | Former Instructor, (Dept. of Neurology) | Research data that resulted in publications | Voluntary Exclusion Agreement  (5 years) |
| 2001 | David A. Padgett | Ohio State University | Assistant Professor (Dentistry)  | Research data | Voluntary Exclusion Agreement  (3 years) |
| 2001 | Raghoottama S. Pandurangi | University of Missouri – Columbia | Former Research Assistant Professor  | Text | Voluntary Exclusion Agreement  (1 years) oversight for 3 years |
| 2001 | Dean Winston F. Frost | Trinity International University (CA) | Law | Text |  |
| 2001 | Joseph J. Ellis | Mount Holyoke (MA) | History | Text |  |
| 2002 | Momiao Xiong  | University of Texas Health Science Center | Researcher (genetics) | Text | Participate in course on research on ethics write paper on plagiarism |

*** Behavioral scientist**

## Continuation Of Table 3

| 2002 | Louis Roberts | University of Albany (NY) | Humanities | Text |  |
| --- | --- | --- | --- | --- | --- |
| 2002 | Doris Kearns Goodwin | TV Commentator: Scholar Lecturer | History | Text |  |
| 2002 | Stephen Ambrose | University of New Orleans (LA) | History | Text |  |
| 2002 | President Eugene Tobin* | Hamilton College (NY) |  | Text |  |
| 2002 | David A. Levitsky | Cornell University (NY) | Nutrition | Text, student’s work |  |
| 2003 | Ilya Koltover | California Institute of Technology | Former postdoctoral Fellow | Data and images | Voluntary Exclusion Agreement  (3 years) |
| 2003 | Thonthi Karunakaren | Boston Medical Center | Former Research Scientist | Text, falsification & Fabrication of data | Voluntary Exclusion Agreement  (3 years) |
| 2003 | Alvin O. Jackson | National City Christian Church | Pastor | Sermon |  |
| 2003 | Brian VanDeMark | U.S. Naval Academy (MD) | History | Text |  |
| 2003 | Lindsey S. Hamlin
William T. Ryan | Florida Atlantic Academy | International Business | Text |  |
| 2004 | Tirunelveli S. Ramalingam | California Institute of Technology | For  Post doctoral Fellow (biology) | Text, figures, falsifications & Fabrication of data | Voluntary Exclusion Agreement  (3 years) |
| 2004  | President Richard L. Judge* | Central Connecticut State University  |  | Text |  |

*** Behavioral scientist**

*****

## Continuation Of Table 3

| 2005 | Ward Churchill | University of Colorado | Ethnic Studies Professor | Research Data | Dismissal |
| --- | --- | --- | --- | --- | --- |
| 2005 | Christopher Sawyer-Laucanno | Massachusetts Institute of Technology (MIT) | Lecturer | Text |  |
| 2005 | Kathryn Edin | University of Pennsylvania | Sciologist | Ideas & concepts |  |
| 2006 | Zack Asack | Duke | Student | Text | Suspension |
| 2006 | Liu Hui | Tsinghua University (China) | Dean of Medical School | Text |  |
| 2006 | Scott D. Miller | Wesley College | President | Speech | Dismissal from University (?) |
| 2006 | Jiangyu Zhu & Kayoko Kimbara | Harvard Medical School | Former Postdoctoral Fellows | Research |  |
| 2006 | Vaughn Vandegrift | Southern Illinois University | Chancellor | Speech | Dismissal from University |
| 2006 | Kaavya Viswanthan | Harvard University | Student | Text |  |

**Continuation Of Table 3**

*** Behavioral scientist**

*****

## Table 4:  Falsification/Fabrication 

| YEAR | INDIVIDUAL | PLACE OF EMPLOYMENT | POSITION/ DISCIPLINE | NATURE OF FALSIFICATION/
FABRICATION  | PENALTY |
| --- | --- | --- | --- | --- | --- |
| 1998 | Harry L. June* | Indiana University – Perdue | Dept. of Psychology | Data | Voluntary Exclusion Agreement  (3 years); ethics training |
| 1999 | Karrie Recknor* | University of Washington | Former Graduate Research Assistant (Psychology) | Electronic mail responses | Voluntary Exclusion Agreement (2 years) |
| 1999 | Nellie Briggs-Brown | Rush-Presbyterian – St. Luke’s Medical Center | Former Employee (Neurology) | Monthly screening logs, IRB approval forms | Voluntary Exclusion Agreement  (3 years) |
| 1999 | Deborah Arenburg* | University of Maryland | Former Research Associate (Psychiatric Researcher) | Tests & Records | Voluntary Exclusion Agreement (3 years) |
| 1999 | Christopher Leonhard* | Dartmouth University | Graduate student (Psychology) | Data | Voluntary Exclusion Agreement  (3 years) |
| 1999 | Rocio del Carmen Restrepo* | University of Illinois (Chicago) | Department of Psychology | Data | Voluntary Exclusion Agreement  (3 years) |
| 2000 | Michael K. Hartzer | Oakland University Eye Institute  | Former Associate Professor (Biochemical Sciences | Status of 11 manuscripts | Voluntary Exclusion Agreement  (5 years) |
| 2000 | John L. Ho | Cornell University | Associate Professor (Medicine & Microbiology) | Data & text | Voluntary Exclusion Agreement  (3 years); Ethics training  |

*** Behavioral scientist**

## Continuation Of Table 4

| 2000 | Evan B. Dreyer | Mass Eye and Ear/ Harvard Medical School | Former Associate Professor (Ophthalmology) | Experiments | Voluntary Exclusion Agreement  (10 years) |
| --- | --- | --- | --- | --- | --- |
| 2000 | Randall P. French | Fox Chase Cancer Center | Postdoctoral Associate (Cancer Center) | Research results | Voluntary Exclusion Agreement  (3 years) |
| 2000 | Lingxum Duan | Jefferson Medical College | Former Research Assistant Professor (Infectious Diseases) | Data | Voluntary Exclusion Agreement  (2 years) |
| 2000 | William A. Simmons | University of Texas Southwestern Medical Center | Graduate Student | Data | Voluntary Exclusion Agreement  (5 years) |
| 2000 | Caroline E. Garey | Boston College | Former doctoral student | Data | Voluntary Exclusion Agreement  (5 years) |
| 2001 | Malabika Sarker* | University of Alabama-Birmingham  | Former Doctoral Fellow (Epidemiology) | Questionnaire data | Voluntary Exclusion Agreement  (3 years) |
| 2001 | Ayman Saleh | University of Pittsburgh | Former postdoctoral research associate (Medicine) | Data representation | Voluntary Exclusion Agreement  (3 years) |
| 2001 | David D. Sanchez | Public Health Foundation Enterprises | Former Research Assistant | Data time sheets | Voluntary Exclusion Agreement  (3 years) |
| 2001 | Kuie-Fu Lin | University of South Carolina | Former grad student (Biochemistry) | Data | Voluntary Exclusion Agreement  (3 years) |
| (2003) |  |  |  | Violation of material
Provisions of previous VEA |   Voluntary Exclusion Agreement  (5 years) |

*** Behavioral scientist**

## Continuation Of Table 4

| 2001 | Karen M. Ruggiero* | Harvard University | Assistant Professor (Psychology) | Data | Voluntary Exclusion Agreement  (5 years) |
| --- | --- | --- | --- | --- | --- |
| 2001 | Sherman Smith* | Division of Occupational and Environmental Medicine – university of California at SF | Former research technician | Interviews, data | Voluntary Exclusion Agreement  (5years) |
| 2001 | Steven F. Arnold | Tulane University Medical Center | Research Assistant Professor | Data | Voluntary Exclusion Agreement  (5 years) |
| 2001 | Vilma Valentin* | Boston University | Counselor | Records | Voluntary Exclusion Agreement  (3 years) |
| 2002 | M. Renuka Prasad | University of Kentucky School of Medicine | Former Research Professor of Surgery | Data | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Matthew A. Lipski | Washington University (St. Louis) | Former Research Assistant | Data | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Joao Carlos de Sales* | San Francisco Dept. Public Health | Former study counselor | Data | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Atsushi Handa | National Institutes of Health | Former visiting Fellow | Data | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Michael Shishov | Bingham and Women’s Hospital | Former Laboratory Technician (Physiology) | Data, tests | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Tatsumi Arichi | National Cancer Institute | Former Visiting Fellow | Data | Voluntary Exclusion Agreement  (3 years) |

*** Behavioral scientist**

## Continuation Of Table 4

**Continuation Of Table 4**

| 2002 | James C. Pennington | Brown University | Former Graduate Student (Cognitive & Linguistic Sciences) | Data | Voluntary Exclusion Agreement  (3 years) |
| --- | --- | --- | --- | --- | --- |
| 2002 | Heather J. Muenchen | University of Michigan | Former Post doctoral fellow | Data | Voluntary Exclusion Agreement  (5 years) |
| 2002 | Robert B. Tracey | University of California at Davis
 University of Southern California | Former doctoral student
Former Post Doctoral | Data | Voluntary Exclusion Agreement  (4 years) |
| 2002 | Aaron J. Morrow | Saint Louis University | Former research fellow | Data, experiments | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Shaan F. Mungee | Wake Forest University | Former research fellow | Experiments | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Jason Elster | Saint Louis University | Undergrad research assistant | Data | Voluntary Exclusion Agreement  (3 years) |
| 2002 | Zhenhai Yo | University of North Carolina at Chapel Hill | Associate Professor (Anesthesiology) | Data | Voluntary Exclusion Agreement  (5 years) |
| 2003 | Jianhua Xu | University of Alberta | Former Technician | Data, experiments | Voluntary Exclusion Agreement  (4 years) |
| 2003 | Timothy R. Smith | Michigan State University | Former postdoctoral fellow (Biochemistry & Molecular Biology) | Data | Voluntary Exclusion Agreement  (3 years) |
| 2003 | Lajuane Woodard
Khalilah Creek
Sheila Blackwell | University of Maryland | Former Contractual Employee (Dept of Pediatrics)  | Interview records | Voluntary Exclusion Agreement  (3 years) |

*****

## Continuation Of Table 4

| 2003 | John W. Rooney | Columbia University | Former postdoctoral fellow (Molecular and Cell Biology) | Data | Voluntary Exclusion Agreement  (3 years) |
| --- | --- | --- | --- | --- | --- |
| 2004 | Regina D. Horvat | Northwestern University | Former postdoctoral fellow 
( Molecular Biology) | Data | Voluntary Exclusion Agreement  (3 years) |
| 2004 | Charles N. Rudick | Northwestern University | Graduate Student (Neurobiology & Physiology) | Data | Voluntary Exclusion Agreement  (3 years) |
| 2004 | Nancy J. Strout* | University of Southern Maine | Former Interviewer | Interview data | Voluntary Exclusion Agreement  (3 years) |
| 2004 |  Pat J. Palmer* | University of Iowa | Former Assistant Research Scientist | Credentials,  interviews | Voluntary Exclusion Agreement  (3 years) |
| 2004 | Bernd Hoffman | New Jersey University of Medicine and Dentistry | Former Postdoctoral Fellow (Pharmacology) | Data | Voluntary Exclusion Agreement  (3 years) |
| 2005 | Brad Vice | University of Mississippi | Professor | Text | Short Fiction Award Revoked |
| 2006 | Hwang Woo Suk

(Gerald Shatten) | Seoul National University
(University of Pittsburgh) | Science
(Embrionic Stem Cells) | Research data | FIRED/
Withdrew name from paper |
| 2006 | Dalibor Sames | Columbia University | Professor (Chemistry) | Research data |  |
| 2006 |  | UMDNJ (NJ Dental School) | 20 students | Cheating | Barred from Graduation |
| 2006 | Kazunari Taira | University of Tokyo | Professor (Chemistry) | Research data |  |
| 2006 | Chen Jin | Shanghai Jiaotong University | Former Dean and Professor | Fabrication of Research (on computer chip) | Dismissal |

*** Behavioral scientist**

*****

## Continuation Of Table 4

| 2006 | Eric T. Poehlman | University of Vermont | Former Medical Professor | Research Data | One year in Prison, two years of ‘supervised release’ |
| --- | --- | --- | --- | --- | --- |
| 2006 | Gerald P. Schatten | University of Pittsburgh | Biology | Research Misbehavior |  |
| 2006 | Luk Van Parijs | MIT | Professor (Biology) | Research Misbehavior |  |
| 2006 | Rusi P. Taleyarkhan | Perdue University | Physics | Research Data |  |
| 2006 | Steven Anthony Leadon | University of North Carolina  | Former Professor (radiation oncology) | Research Data | Resignation |
| 2006 | Meira Weiss | Hebrew University | Professor | Research |  |

**Continuation Of Table 4**

*** Behavioral scientist**

## Data Sources for Cases

**Chronicle of Higher Education**
**New York Times**
**Washington Post**
**Lexis-Nexis**
**ProQuest**
**ORI Reports and Publications**
**(Full citations for cases are provided in the formal paper)**

## Possible Explanations

**Psychological Factors**** **
**Predisposition or propensity toward wrongdoing personality characteristics (status, power, entitlement)**
**Environmental**
**Pressure (Competition for funding/publication expectations)**
**Culture**
**Opportunity (ease/lack of oversight)**
**Calculating risk of detection**
**Consequences**

## While there are serious adverse consequences to some individuals who face allegations of FFP which have included loss of position, incarceration and death (suicide), most demonstrate a general lack of remorse.

Being found guilty does not necessarily end ones career.

**Being found guilty does not necessarily end ones career.**

## Longevity in an academic career is directly linked to the tenure system and the granting of tenure, in most institutions of higher education, depends on publishing.
(Berger, 1990)

**(Berger, 1990)**

## The emphasis on scholarly productivity has brought with it the concomitant obligation to conduct research.
(Gibelman & Gelman, 2000)

**(Gibelman & Gelman, 2000)**

## In the United States the emphasis on scholarly production appears to have contributed to an increase in collaboration among faculty members, resulting in an increase in multiple authored publications.
(Gibelman and Gelman, 1999a; 1999b; 2000)

**(Gibelman and Gelman, 1999a; 1999b; 2000)**

## Table 5:  Trends in Authorship

|  | Single author | Multiple authors | Single author | Multiple authors | Single author | Multiple authors | Single author | Multiple authors |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| British Journal of Social Work | 86 | 18 | 109 | 60 | 109 | 77 | 101 | 86 |
| Social Work | 222 | 91 | 168 | 129 | 162 | 134 | 86 | 118 |
| Social Work Education |  |  | 31 | 16 | 65 | 56 | 64 | 58 |
| Journal of Social Work Education | 143 | 72 | 79 | 68 | 54 | 97 | 52 | 100 |
| Total | 451 | 181 | 387 | 273 | 390 | 364 | 303 | 362 |

| 1973-77 | 1983-87 | 1993-97 | 2001-05 |
| --- | --- | --- | --- |

## Benefits of Collaborations and Multiple Authorship:

Creates a system of checks and balances among collaborators that may help ensure research integrity.

The quality of the product may be increased because of complimentary expertise, integration of multiple perspectives, intellectual exchange, cross-editing, and oversight.

Provides an opportunity for the development of a mentoring relationship.

**Creates a system of checks and balances among collaborators that may help ensure research integrity.**
**The quality of the product may be increased because of complimentary expertise, integration of multiple perspectives, intellectual exchange, cross-editing, and oversight.**
**Provides an opportunity for the development of a mentoring relationship.**

## Mentoring can be viewed as an exercise in accountability and contribute to responsible research conduct.  

## Mentoring provides input to and oversight of research activity and creates a process through which responsible research conduct can be modeled.  

## Prevention Strategies

| Mentoring as a mechanism for research oversight

Positive faculty role modeling (“do as I do”)

Encouraging faculty collaboration in research and writing; creates checks and balances

Interdepartmental and institutional education on responsible research conduct

“Whistle blowing” as acceptable behavior without retribution

Enriched curricula on ethical behavior

Open discussion about academic integrity

Honor codes; development of group norms

Enforcement of honor codes and policies and procedures related to academic integrity

Written guidelines of academic behavioral expectations for faculty and students 

Real penalties; zero tolerance |
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