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
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
Thonthi Karunakaren
Boston Medical Center
Former
Research
Scientist
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
2004
President Richard L.
Judge*
Central Connecticut State
University
* Behavioral scientist
Text
Voluntary Exclusion
Agreement (3
years)
Continuation Of Table 3
*
2005
Ward Churchill
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
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 BriggsBrown
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 AlabamaBirmingham
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 (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)
2001
* Behavioral scientist
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)
* 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 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
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
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)
* Behavioral scientist
Barred from Graduation
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
* Behavioral scientist
One year in Prison,
two years of
‘supervised release’
Resignation
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.
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, 1999a; 1999b; 2000)
Table 5: Trends in Authorship
1973-77
1983-87
1993-97
2001-05
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
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:



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