Scientific misconduct

Scientific misconduct is the violation of the standard codes of scholarly conduct and ethical behavior in the publication of professional scientific research. It is violation of scientific integrity: violation of the scientific method and of research ethics in science, including in the design, conduct, and reporting of research.

A Lancet review on Handling of Scientific Misconduct in Scandinavian countries provides the following sample definitions,^[1] reproduced in The COPE report 1999:^[2]

• Danish definition: "Intention or gross negligence leading to fabrication of the scientific message or a false credit or emphasis given to a scientist"
• Swedish definition: "Intention[al] distortion of the research process by fabrication of data, text, hypothesis, or methods from another researcher's manuscript form or publication; or distortion of the research process in other ways."

The consequences of scientific misconduct can be damaging for perpetrators and journal audience^[3][4] and for any individual who exposes it.^[5] In addition there are public health implications attached to the promotion of medical or other interventions based on false or fabricated research findings.

Three percent of the 3,475 research institutions that report to the

Career pressure

Science is still a very strongly career-driven discipline. Scientists depend on a good reputation to receive ongoing support and funding, and a good reputation relies largely on the publication of high-profile scientific papers. Hence, there is a strong imperative to "publish or perish". Clearly, this may motivate desperate (or fame-hungry) scientists to fabricate results.

Ease of fabrication

In many scientific fields, results are often difficult to reproduce accurately, being obscured by

artifacts, and other extraneous data. That means that even if a scientist does falsify data, they can expect to get away with it – or at least claim innocence if their results conflict with others in the same field. There are few strongly backed systems to investigate possible violations, attempt to press charges, or punish deliberate misconduct. It is relatively easy to cheat although difficult to know exactly how many scientists fabricate data.^[9]

Monetary Gain

In many scientific fields, the most lucrative options for professionals are often selling opinions. Corporations can pay experts to support products directly or indirectly via conferences. Psychologists can make money by repeatedly acting as an expert witness in custody proceedings for the same law firms.

• Fabrication is making up results and recording or reporting them. This is sometimes referred to as "drylabbing".[12] A more minor form of fabrication is where references are included to give arguments the appearance of widespread acceptance, but are actually fake, or do not support the argument.^[13]
• Falsification is manipulating research materials, equipment, or processes or changing or omitting data or results such that the research is not accurately represented in the research record.
• Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. One form is the appropriation of the ideas and results of others, and publishing as to make it appear the author had performed all the work under which the data was obtained. A subset is citation plagiarism – willful or negligent failure to appropriately credit other or prior discoverers, so as to give an improper impression of priority. This is also known as, "citation amnesia", the "disregard syndrome" and "bibliographic negligence".
  Matthew effect.^[15]
  • Plagiarism-fabrication – the act of taking an unrelated figure from an unrelated publication and reproducing it exactly in a new publication, claiming that it represents new data.
  • Self-plagiarism – or
    multiple publication of the same content with different titles or in different journals is sometimes also considered misconduct; scientific journals explicitly ask authors not to do this. It is referred to as "salami" (i.e. many identical slices) in the jargon of medical journal editors. According to some editors this includes publishing the same article in a different language.^[16]

• Ghostwriting – the phenomenon where someone other than the named author(s) makes a major contribution. Typically, this is done to mask contributions from authors with a conflict of interest.
• Conversely, research misconduct is not limited to not listing authorship, but also includes the act of conferring authorship on those who have not made substantial contributions to the research.^[17][18] This is done by senior researchers who muscle their way onto the papers of inexperienced junior researchers^[19] as well as others that stack authorship in an effort to guarantee publication. This is much harder to prove due to a lack of consistency in defining "authorship" or "substantial contribution".^[20][21][22]
• Scientific misconduct can also occur during the peer-review process by a reviewer or editor with a conflict of interest. Reviewer-coerced citation can also inflate the perceived citation impact of a researcher's work and their reputation in the scientific community,^[23] similar to excessive self-citation. Reviewers are expected to be impartial and assess the quality of their work. They are expected to declare a conflict of interest to the editors if they are colleagues or competitors of the authors. A rarer case of scientific misconduct is editorial misconduct,^[24] where an editor does not declare conflicts of interest, creates pseudonyms to review papers, gives strongly worded editorial decisions to support reviews suggesting to add excessive citations to their own unrelated works or to add themselves as a co-author or their name to the title of the manuscript.
• Publishing in a
  predatory journal, knowingly or unknowingly, was discussed as a form of potential scientific misconduct.^[25][26]
• The peer-review process can have limitations when considering research outside the conventional scientific paradigm: social factors such as "groupthink" can interfere with open and fair deliberation of new research.^[27]

Photo manipulation

Compared to other forms of scientific misconduct, image fraud (manipulation of images to distort their meaning) is of particular interest since it can frequently be detected by external parties. In 2006, the Journal of Cell Biology gained publicity for instituting tests to detect

Although the type of manipulation that is allowed can depend greatly on the type of experiment that is presented and also differ from one journal to another, in general the following manipulations are not allowed:^[citation needed]

• splicing together different images to represent a single experiment
• changing brightness and contrast of only a part of the image
• any change that conceals information, even when it is considered to be aspecific, which includes:
  • changing brightness and contrast to leave only the most intense signal
  • using clone tools to hide information
• showing only a very small part of the photograph so that additional information is not visible

Image manipulations are typically done on visually repetitive images such as those of blots and microscope images.^[31]

Helicopter research

Authors are expected to keep all study data for later examination even after publication. The failure to keep data may be regarded as misconduct. Some scientific journals require that authors provide information to allow readers to determine whether the authors might have commercial or non-commercial conflicts of interest. Authors are also commonly required to provide information about ethical aspects of research, particularly where research involves human or animal participants or use of biological material. Provision of incorrect information to journals may be regarded as misconduct. Financial pressures on universities have encouraged this type of misconduct. The majority of recent cases of alleged misconduct involving undisclosed conflicts of interest or failure of the authors to have seen scientific data involve collaborative research between scientists and biotechnology companies.[46]^[48]

Research institution responsibility

In general, defining whether an individual is guilty of misconduct requires a detailed investigation by the individual's employing academic institution. Such investigations require detailed and rigorous processes and can be extremely costly. Furthermore, the more senior the individual under suspicion, the more likely it is that conflicts of interest will compromise the investigation. In many countries (with the notable exception of the United States) acquisition of funds on the basis of fraudulent data is not a legal offence and there is consequently no regulator to oversee investigations into alleged research misconduct. Universities therefore have few incentives to investigate allegations in a robust manner, or act on the findings of such investigations if they vindicate the allegation.

Well publicised cases illustrate the potential role that senior academics in research institutions play in concealing scientific misconduct. A King's College (London) internal investigation showed research findings from one of their researchers to be 'at best unreliable, and in many cases spurious'^[49] but the college took no action, such as retracting relevant published research or preventing further episodes from occurring.

In a more recent case^[50] an internal investigation at the National Centre for Cell Science (NCCS), Pune determined that there was evidence of misconduct by Gopal Kundu, but an external committee was then organised which dismissed the allegation, and the NCCS issued a memorandum exonerating the authors of all charges of misconduct. Undeterred by the NCCS exoneration, the relevant journal (Journal of Biological Chemistry) withdrew the paper based on its own analysis.

Scientific peer responsibility

Some academics believe that scientific colleagues who suspect scientific misconduct should consider taking informal action themselves, or reporting their concerns.^[51] This question is of great importance since much research suggests that it is very difficult for people to act or come forward when they see unacceptable behavior, unless they have help from their organizations. A "User-friendly Guide," and the existence of a confidential organizational ombudsman may help people who are uncertain about what to do, or afraid of bad consequences for their speaking up.^[52]

Responsibility of journals

Journals are responsible for safeguarding the research record and hence have a critical role in dealing with suspected misconduct. This is recognised by the Committee on Publication Ethics (COPE) which has issued clear guidelines^[53] on the form (e.g. retraction) that concerns over the research record should take.

• The COPE guidelines state that journal editors should consider retracting a publication if they have clear evidence that the findings are unreliable, either as a result of misconduct (e.g. data fabrication) or honest error (e.g. miscalculation or experimental error). Retraction is also appropriate in cases of redundant publication, plagiarism and unethical research.
• Journal editors should consider issuing an expression of concern if they receive inconclusive evidence of research or publication misconduct by the authors, there is evidence that the findings are unreliable but the authors' institution will not investigate the case, they believe that an investigation into alleged misconduct related to the publication either has not been, or would not be, fair and impartial or conclusive, or an investigation is underway but a judgement will not be available for a considerable time.
• Journal editors should consider issuing a correction if a small portion of an otherwise reliable publication proves to be misleading (especially because of honest error), or the author / contributor list is incorrect (i.e. a deserving author has been omitted or somebody who does not meet authorship criteria has been included).

Evidence emerged in 2012 that journals learning of cases where there is strong evidence of possible misconduct, with issues potentially affecting a large portion of the findings, frequently fail to issue an expression of concern or correspond with the host institution so that an investigation can be undertaken. In one case the Journal of Clinical Oncology issued a correction despite strong evidence that the original paper was invalid.^{[54][failed verification]} In another case,^[29] Nature allowed a corrigendum to be published despite clear evidence of image fraud. Subsequent retraction of the paper required the actions of an independent whistleblower.^[55]

The cases of

The consequences of scientific fraud vary based on the severity of the fraud, the level of notice it receives, and how long it goes undetected. For cases of fabricated evidence, the consequences can be wide-ranging, with others working to confirm (or refute) the false finding, or with research agendas being distorted to address the fraudulent evidence. The Piltdown Man fraud is a case in point: The significance of the bona-fide fossils that were being found was muted for decades because they disagreed with Piltdown Man and the preconceived notions that those faked fossils supported. In addition, the prominent paleontologist Arthur Smith Woodward spent time at Piltdown each year until he died, trying to find more Piltdown Man remains. The misdirection of resources kept others from taking the real fossils more seriously and delayed the reaching of a correct understanding of human evolution. (The Taung Child, which should have been the death knell for the view that the human brain evolved first, was instead treated very critically because of its disagreement with the Piltdown Man evidence.)

In the case of Prof Don Poldermans, the misconduct occurred in reports of trials of treatment to prevent death and myocardial infarction in patients undergoing operations.^[60] The trial reports were relied upon to issue guidelines that applied for many years across North America and Europe.^[61]

In the case of Dr Alfred Steinschneider, two decades and tens of millions of research dollars were lost trying to find the elusive link between infant sleep apnea, which Steinschneider said he had observed and recorded in his laboratory, and

Title 10 Code of Federal Regulation (CFR) Part 50.5, Deliberate Misconduct of the

Violation of any of these rules can lead to severe penalties, including

Other tools which may be used to detect fraudulent data include error analysis. Measurements generally have a small amount of error, and repeated measurements of the same item will generally result in slight differences in readings. These differences can be analyzed, and follow certain known mathematical and statistical properties. Should a set of data appear to be too faithful to the hypothesis, i.e., the amount of error that would normally be in such measurements does not appear, a conclusion can be drawn that the data may have been forged. Error analysis alone is typically not sufficient to prove that data have been falsified or fabricated, but it may provide the supporting evidence necessary to confirm suspicions of misconduct.

Data sharing

Kirby Lee and Lisa Bero suggest, "Although reviewing raw data can be difficult, time-consuming and expensive, having such a policy would hold authors more accountable for the accuracy of their data and potentially reduce scientific fraud or misconduct."^[69]

Underreporting

The vast majority of cases of scientific misconduct may not be reported. The number of

In 2020 Sapan Desai and his coauthors published two papers, in the prestigious medical journals The Lancet and the The New England Journal of Medicine, early in the COVID-19 pandemic. The papers were based on a very large dataset published by Surgisphere, a company owned by Desai. The dataset was exposed as a fabrication, and the papers were soon retracted.^[75][76]

Solutions

Changing research assessment

Since 2012, the

References