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O n scient ific misconduct Má c o nd uta e m c iê nc ia
Birgit ta Fo r s m a n
De p a rt m en t of Med ical Et h i c s , Lu n d Un i ve r s i t y. St o ra Gråbrö d ersgatan 16, S-222 22, Lu n d , Sw e d e n . b i r g i t t a . f o r s m a n @ m e d e t i k . l u . s e
It wa s w it h gre a t sa t is fa ct io n t h a t I re a d t h e le a d in g a r t ic le ”Pl a g i a ris m in Scie n ce” b y Ca rlo s E.A. Co i m -b r a Jr. in Ca d ern os d e Sau d e Pu b l i c a. I m ys e lf h a ve w ritt e n a b ou t t h e p r ob le m a n d fou n d it ve r y co m p lic a t e d (Fo r sm a n , 1996). Slicie n t ifilic in t e gr it y a n d m is c o n d u c t is a n im p o rt a n t is su e t o h a n d le . Th e p ro b -le m w a s firs t n o t ic e d o fficia lly in t h e Un it e d St a t e s. D u r in g t h e 1980s s e ve r a l o r ga n iza t io n s we r e e st a b -lis h e d t o d e a l w it h a lle ga tio n s o f m is co n d u c t . T h e m o st we l l - k n o wn is th e Offic e o f Re s e a r ch In t e g ri t y (ORI) u n d e r t h e De p a r t m e n t o f He a lth a n d Hu m a n Se rv i c e s. Oth e r co u n t ries h a ve also e st a b lish e d o rg a-n iza t io a-n s t o h a a-n d le t h e p r ob le m , a s ia-n Sca a-n d ia-n a via . Swe d e n wa s t h e last o f t h e Sca n d in a via n cou n tr ie s to f o rm a n “e x p e rt gro u p” fo r trea tin g a lle ga tion s o f m isco n du ct in m e dica l re s e a rch . Th is gro u p h a s 11 m em -b e r s, m o st o f wh o m a re m e dica l p ro f e s s o r s. Howe ve r, th e ch airm a n is a p ro m in en t ju rist, an d th e re are a lso la y p eo p le (p olit ician s) in t h e gro u p.
Som e o f t h e m o st we l l - k n own ca se s d iscu sse d in t h is co n t e xt are co n n e cte d w it h ra t h e r fam o u s se n io r s c ie n t ist s in Gre a t Br it a in , Un it e d St a t e s, a n d Au s t r a lia . Mo s t o f t h e ca s e s h a ve t o d o wit h m e d ica l re -search . A b ook b y Step h en Lock an d Fran k Wells,Frau d a n d M iscon d u ct i n M ed ical Re s e a rc h ,g i ve s a n in t e r-est in g su rve y o f t h e p roble m a rea (Lo ck & We l l s, 1996).
Of c ou rse , t h e fact t h at m o st ca se s h ave b e e n d e te ct e d in m e d ical re s e a rch in En glish sp e a kin g cou n -t r ies doe s n o-t m ean -t h a -t -t h is is -t h e on ly a re a in wh ich p r o ble m s e xist. It ju st h ap p e n s t h at t h is are a h a s be en m o st t h o ro u gh ly in vest iga t e d . In t h e b o o k by Lo ck & We lls (1996) t h e re a re in d ic a t io n s t h a t sc ie n t ist s in so m e co u n t rie s a re m ore e a ger t o h id e p o ss ib le m isc o n d u isc t . Tw o Fre n isc h a u t h o r s , La ga rd e & M a i s o n -n e u ve (1996), cla im th a t i-n Fra -n ce t h e re is -n o t m u ch i n t e res t in re ve a lin g su ch n e ga tive n e ws. An d a Ge r -m a n a u t h o r, St e g e -m a n n - Bo e h l (1996), re p o r t s t h a t ” t h e re is a fairly h igh p e rce n t a ge o f u n d e te ct ed ca se s in Ge rm a n y. Alm o st e ve r yo n e kn o w s o f m o re o r le ss s e r io u s ca se s fr o m t h e ir im m e d ia t e e n vi ro n m e n t – c a ses th at h a ve n eve r b e e n sys te m a tically cle a re d u p o r m a d e p u b lic”.
Th e iss u e o f s cie n t ific m is co n d u ct is, o f c o u r se , e x t re m e ly im p o rt a n t , sin ce we sh ou ld b e a ble to t ru s t r e s e a rc h re s u l t s. How e ve r, t h e re a re a gre a t d e a l o f p r o b le m s in t h e a re a . D e fin it io n s o f m is co n d u ct t h e m s e l ve s in vo l ve m a n y in t r ica t e p ro b l e m s. T h e O R I ’s d efin ition re a d s like th is:
Fa b rica t io n , fa ls ific a t io n , p la g ia r ism , o r o t h e r p r a c t ice s t h a t se r io u sly d e via t e fr o m t h o se t h a t a re
co m m o n ly a cc ep t ed with in t h e scie n tific co m m u n ity for p ro p os in g, c o n d u ct in g, o r re p o r t in g re s e a r ch . It d o e s n o t in c lu d e h o n e s t e rr o r o r h o n e s t d iffe r e n c e s in in t e rp ret a t io n s or ju d gm e n t s o f d a t a . (ORI, 1993)
In la t e 1995 a n Am e r ica n c o m m is sio n le d b y D r Ke n n e t h Rya n o f t h e Ha r va rd Me d ic a l Sch o o l p u b lish e d a re p o rt in wh ich a n e w an d m u ch m o re exte n -s i ve d e fin it io n wa -s -su gge -st ed . Th e m ain p o in t -s in th i-s d efin it ion a re th e fo llow in g: ”Mi s a p p ro p ri a t i o n”, ”In -t e rf e re n c e”, a n d ”Mi s re p re s e n -t a -t i o n”(CRI, 1995.) Mi s-a p p ro p r is-at io n m es-a n s p ls-agis-a rism s-a n d u se of m s-a t e ri s-a l o n e d o e s n o t h a ve th e righ t t o u se . In t e rf e re n c e m e a n s, a m o n g ot h e r t h in gs, d e st ro yin g t h e m a t e ri a l a n d / o r p r o p e rt y o f o t h er s. Mi s re p res e n t a t io n is, for e x a m p l e, fa lse ly e s ta b lish in g s o m e t h in g a s a fa ct o r e xclu d in g fac ts in o rd e r to give a favo ra b le ve rsio n .
Th ese su ggest io n s h a ve st ill n o t be e n im p lem en t-ed , a n d I a m n ot ce rt ain wh e th e r t h e y e ver will b e.
T h e re h a s b e e n m u c h d is cu s sio n o ve r a p r o p e r d e fin it io n o f sc ie n t ific m isc o n d u ct a n d w h e re t h e b o rd er s sh ou ld b e d ra wn . On e of t h e m ost a ctive p a r-t icip a n r-t s in r-th is de ba r-te is Do n a ld Bu z zelli, h e a d o f r-th e Offic e o f In sp e c to r Ge n e r a l a t t h e N a t io n a l Sc ie n ce Fou n da t io n in Wash in gto n , D.C. (Bu z zelli, 1992; 1993). Ho w e ve r, e ve n if t h e re is a n a c ce p te d d e fin it io n o f m isco n d u ct , it is ve ry h a rd t o d et e rm in e if a sin gle ca se is a p p lica b le t o th is d e fin ition . Of co u rse, th e re a re clea rcu t ca se s, su ch as t h at o f Willia m Su m m e r l i n , wh o p a in t e d p a rt s o f wh ite m ou se skin b la ck an d p re-te n d e d t o h a ve t r a n sp la n t e d b la ck s kin o n t o w h ire-te m i c e. Bu t m a n y ca se s in vo l ve a m u ch m o re su b je c -t i ve ju d gm e n -t . How m u c h ca n on e u se fro m a n o -th e r p e r s o n’s in t e lle ctu a l p ro p e r ty b efore it ca n b e re g a rd -e d a s p la gia ris m ? Ho w im p o r t a n t m u s t a fa b r i c a t -e d de t ail be b e fo re it is ju d ge d a s scie n t ific m isco n d u ct ? T h e we l l - k n ow n T h e re za Im a n i s h i - Ka ri ca se in th e Un it ed St a t es illu st ra t e s th e p ro b l e m s. In 1986 a n a r t icle wa s p u b lish e d in Ce l la b o u t t h e im m u n e syste m of a c er tain st ra in of t ra n sge n ic m ic e. A ju n io r re -s e a rch e r a t t h e -sa m e la b o ra t o r y, Dr Ma r got O’To o l e , re p o rt e d t h a t T h e reza Im a n i s h i - Ka r i h ad in t e rf e red in t h e la b o r a t o r y d a t a . T h e re we re m a n y t u r n s in t h is c a s e, b efo re th e ORI fo u n d h e r gu ilt y o f scie n t ific m isco n d u ct o n 19 isco u n t s in 1994. Im a n i s h i Ka r i a p -p e a le d t h is ju d gm e n t t o t h e De -p a r t m e n ta l A-p -p e a l s Bo a rd (DAB) a n d u s e d a ve r y p r o m in e n t la w ye r, Jose p h On e k. DAB fo u n d Im a n i s h i - Ka r i n ot gu ilt y an d sa id t h a t t h e ch a lle n ge d d a t a we r e n o t u se d in t h e Ce l l a r t icle o r we r e u n im p o r t a n t a n d p e r i p h e ra l ( Ka ise r & Ma rsh all, 1996).
T h e re a re a ls o gre a t p ro b le m s in d e t e ct in g m is-c o n d u is-ct . It h a s o fte n b e e n sa id t h a t p e e r re vie w in j o u r n a ls o r fu n d in g a u t h o r it ie s w ill so r t o u t e ve r yt h in g yt h a yt is n o yt r e l i a b l e. Ho we ve r, m a n y we l l i n -f o rm e d p e r so n s d o u b t t h is, -fo r e xa m p le Fra n k We l l s ( We l l s, 1994).
5 6 5
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issu e t o b e re s o l ve d in a m isco n d u ct ca se is wh et h e r a n in d ividu al h as b e e n t ru th fu l, a syste m like p e e r re vie w is in a p p ro p r ia t e b e ca u se it la cks t h e in ve s t i g a -t i ve, a d ju d ica -t o r y, a n d d u e p ro c e ss m e ch a n is m s -t o e va lu a t e t h a t iss u e a c cu ra t e ly a n d fa i rly (Go l d m a n He r m an e t a l., 1994).
On e o f th e m o st p ro m in en t Da n ish p la yers in th is d e b a t e, Povl Riis, wr it es: “Ed itors h ave few opp ort u n i-ties both in th eory an d in p ractice to detect an d to pre-ven t sci en ti fi c f ra u d . [… ] Read ers often cred it ed it ors w ith far m ore p ow er an d com p eten ce for detecti n g sci-en t i fi c d i sh on esty t h a n th ey can ever ex e rt.” (Ri is , 1994)
On t h e wh o le, t h e re is n o t m u ch e vid e n ce t h at t h e s e lf- p o licin g s yst e m s o f t h e sc ie n t ific c o m m u n it y w o rk. Ra t h e r, m o st re p o r t e d ca se s c o m e fro m w h i s t l e b l o we r s. An d t h e se p e o p le live d a n ge ro u s l y. ( See for e xam p le D evin e & Ap lin , 1988; St e w a rt e t a l., 1 9 8 9 . )
I h a ve give n s o m e glim p s e s o f t h e p ro b le m s in c o n n e ct io n wit h s cie n t ific m isco n d u c t . Wh a t I h a ve sa id give s a n in d ica t io n t h a t it is fa r fro m e as y t o d e -t e rm in e h ow co m m o n -t h e p r ob le m is. T h e re a re a lso ch a lle n g es in d e c id in g w h a t t o d o a b o u t it . Bu z ze l l i a n d Ryan h a ve bo th said t h a t u n ive rsit ie s m u st p la y a m o re a c t ive p a rt i n figh t in g m is co n d u ct . Ho we ve r, t h e y a lso say t h a t u n ive rsit ie s h a ve n o t do n e ve r y we l l s o fa r. T h e re h a ve b e e n m a n y h e a t e d a r t ic le s a b o u t wh o sh o u ld d e al wit h a llega t io n s. In t e rn a lists sa y th a t t h is m u st b e d o n e by t h e sc ie n t ists th e m se lve s, wh ile e x t e rn a lis t s sa y t h a t sc ie n t is t s c a n n o t b e t r u s t e d . T h e re m u st b e a t ra n sp a ren cy t o ou t sid e soc ie t y.
Howe ve r, th e u n d e n ia b le fact th at t h e p ro b lem o f s cie n t ific m is co n d u ct is h igh ly c o m p le x sh o u ld n o t p re ve n t u s fro m t ryin g to h a n d le it.
Th e followin g co u ld be a worth wh ile stra t e g y: • Id e n ti fy w h a t sh o u ld b e re g a r d e d a s sc ie n t ific m isc o n d u ct , b o t h w it h t h e o r e t ica l co n sid e ra t i o n s a n d e m p ir ic a l in ve s t i g a t i o n s , fo r e xa m p le b y a skin g a c t i ve re s e a rch e rs o f d iffe re n t a ge s, se xe s, a n d p os i-t io n s h ow i-t h e y wo u ld ju d ge ce ri-ta in ca ses.
• Ma ke a n a n o n ym o u s q u e s t io n n a ire to fin d o u t h ow co m m o n scie n t ific m isco n d u ct is in t h e cou n tr y ( a c c o rd in g to t h e c h o se n de fin it io n ).
• O rg a n i ze co u rse s in re s e a rch e th ics. I m yself h a ve s t a r t e d su c h c o u rs e s in t h e m e d ic a l sc h o o l a t Lu n d Un i ve r sit y in Sw e d e n , a n d I fin d t h is w o rk ve r y p ro m i s i n g .
• O rg a n i ze a n a t io n al b o d y t o h an d le a lle ga tion s o f s cie n t ific m isc o n d u c t . T h e re is m u c h w is d o m t o b e l e a r n ed , n o t th e le a st fro m D e n m a r k a n d t h e Un i t e d St a t e s.
BUZZELLI, D. E., 1992. Me a s u re m e n t o f m isco n d u ct . Kn ow l e d g e, 14:205–211.
BU ZZELLI, D. E., 1993. Th e d e fin it io n o f m isco n d u ct in scie n ce : a vie w fro m NSF. S c i e n c e, 259:584-585, 647-648.
CRI (Co m m is sio n o n Re s e a rc h In t e g r it y), 1995. In -tegrity a n d M iscon du ct in Re s e a rc h : Re p o rt of t h e Com m ission on Re s e a rch In t e g r i t y. Ro c k v i l l e : De p t . o f Hea lt h a n d Hu m a n Se rv i c e s.
D EVIN E, T. M ., & APLIN , D. G., 1988. W h i s t l e b l owe r p r ot e ct io n : t h e ga p b e t we e n t h e la w a n d re a l i t y. How a rd Law Jo u r n a l, 31:223-239.
FORSM AN, B., 1996. Forskn in gsfu sk Och Ve t e n s k a p l i g Ore d l i g h e t : Forsk arn as An s va r Och Sa m h òLl e t s In s y n. Lu n d : Lu n d Un i ve r s i t y, D e p t . o f Me d i c a l Et h i c s.
GOLD MAN -H ERMAN , K.; SUN SHINE, P. L.; FISH ER, M . K.; ZWOLEN IK, J. J. & H ERZ, C. H ., 1994 . In -ve st iga t in g m is co n d u ct in scie n ce : Th e Na t i o n a l Scie n ce Fo u n d a tio n m o d e l. Jou rn al of Hi gh er Ed -u c a t i o n, 65:384-400.
KAISER, J. & M ARSHALL, E., 1996. Im a n i s h i - Ka r i ru l-in g sla m s ORI. S c i e n c e, 272:1864-1865.
LAGARDE, D. & M AISON N EU VE, H ., 1996. Fra u d in clin ic a l re s e a rch fro m t h e or igin a l id e a t o p u b li-ca t io n : t h e Fre n ch s ce n e . In : Fra u d a n d M i s c o n -d u ct in Me-d ical Re s e a rc h. (S. Lo ck & F. We l l s, ed s. ) p p. 180-188. Lo n d o n : BM J Pu b lish in g Gro u p. LOCK, S. & WELLS, F., 1996. Frau d an d Mi scon d u ct in
Med ical Re s e a rc h. Lon d o n : BM J Pu b lish in g Gro u p. ORI (Office o f Re s e a rch In t e g rit y), 1993. Office of Re-s e a rch In t e g r i t y : An In t ro d u c t i o n. Ro ckville: ORI. RIIS, P., 1994. Pre ven tion an d m a n agem en t of fra u d - i n
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