Can Multiple Authorship Reduce Scientific Misconduct Sheldon R

Can Multiple Authorship Reduce Scientific Misconduct? Sheldon R. Gelman, Ph. D 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 n n n 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 2000 President Scott D. Miller* Wesley College (DEL) 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 Momiao Xiong University of Texas Health Science Center 2002 * Behavioral scientist Voluntary Exclusion Agreement (3 years) Text Researcher (genetics) Text Participate in course on research on ethics write paper on plagiarism

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) 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) Text, falsification & Fabrication of data Voluntary Exclusion Agreement (3 years) Text 2003 Boston Medical Center 2003 Alvin O. Jackson National City Christian Church Pastor Sermon 2003 * Thonthi Karunakaren Former Research Scientist Brian Van. De. Mark 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 2004 President Richard L. Judge* Central Connecticut State University * Behavioral scientist Text Voluntary Exclusion Agreement (3 years)

Continuation Of Table 3 2005 University of Colorado Ethnic Studies Professor Research Data 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 2006 * Ward Churchill Liu Hui Tsinghua University (China) Dean of Medical School Text 2006 Scott D. Miller Wesley College President Speech 2006 Jiangyu Zhu & Kayoko Kimbara Harvard Medical School Former Postdoctoral Fellows Research 2006 Vaughn Vandegrift Southern Illinois University Chancellor Speech 2006 Kaavya Viswanthan Harvard University Student Text * Behavioral scientist Dismissal Suspension Dismissal from University (? ) Dismissal from University

Table 4: Falsification/Fabrication YEAR INDIVIDUAL PLACE OF EMPLOYMENT POSITION/ DISCIPLINE NATURE OF FALSIFICATION/ FABRICATION PENALTY Dept. of Psychology Data Voluntary Exclusion Agreement (3 years); ethics training 1998 Harry L. June* Indiana University – Perdue 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) Cornell University Associate Professor (Medicine & Microbiology) Data & text Voluntary Exclusion Agreement (3 years); Ethics training 2000 John L. Ho * 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) Violation of material Provisions of previous VEA Voluntary Exclusion Agreement (5 years) (2003) * Behavioral scientist

Continuation Of Table 4 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 (5 years) 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) 2001 * Behavioral scientist

Continuation Of Table 4 2002 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 * James C. Pennington 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) * Behavioral scientist

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 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 Seoul National University (University of Pittsburgh) Science (Embrionic Stem Cells) Research data FIRED/ Withdrew name from paper Columbia University Professor (Chemistry) Research data UMDNJ (NJ Dental School) 20 students Cheating 2006 * 2006 Hwang Woo Suk (Gerald Shatten) Dalibor Sames 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) Barred from Graduation * Behavioral scientist Dismissal

Continuation Of Table 4 2006 Eric T. Poehlman University of Vermont Former Medical Professor Research Data 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 2006 Meira Weiss Hebrew University Professor Research One year in Prison, two years of ‘supervised release’ * Behavioral scientist Resignation

Data Sources for Cases n Chronicle of Higher Education n New York Times n Washington Post n Lexis-Nexis n Pro. Quest n ORI Reports and Publications (Full citations for cases are provided in the formal paper)

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

n n 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.

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)

The emphasis on scholarly productivity has brought with it the concomitant obligation to conduct research. (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, 1999 a; 1999 b; 2000)

Table 5: Trends in Authorship 1973 -77 1983 -87 1993 -97 2001 -05 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 31 16 65 56 64 58 Social Work Education Journal of Social Work Education 143 72 79 68 54 97 52 100 Total 451 181 387 273 390 364 303 362

Benefits of Collaborations and Multiple Authorship: n n n 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