Hostname: page-component-586b7cd67f-t7czq Total loading time: 0 Render date: 2024-11-28T22:41:50.485Z Has data issue: false hasContentIssue false
  • English
  • Français

Falsification of Credentials in the Research Setting; Scientific Misconduct?

Published online by Cambridge University Press:  01 January 2021

Debra M. Parrish
Get access Rights & Permissions [Opens in a new window]

Extract

The debate about the definition of scientific miscon duct is being revisited by the scientific community in response to the Commission on Research Integrity's (CRI) recommendation for a new definition. Scientists and lawyers are debating whether scientific misconduct should include acts that are not unique to the scientific community and do not affect the research. Falsification of credentials is one form of such misconduct.

The Office of Research Integrity (ORI) and the National Science Foundation (NSF), the two federal agencies primarily responsible for developing policies on scientific misconduct, have struggled to define scientific rnisconduct and to decide which forms of professional misconduct do and do not fall within the definition. Although falsification of credentials is not unique to the scientific community, OR1 and NSF have determined that when researchers lie about their credentials, such conduct may constitute scientific misconduct. The question is why this form of professional misconduct has been labeled scientific misconduct when it occurs in a research setting, and whether any distinction exists between this white coat crime and white collar crime.

Type
Article
Information
Journal of Law, Medicine & Ethics , Volume 24 , Issue 3 , Fall 1996 , pp. 260 - 266
Copyright
Copyright © American Society of Law, Medicine and Ethics 1996

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

References

Commission on Research Integrity, Integrity and Misconduct in Research, Report to the Secretary of Health and Human Services, the House Committee on Commerce and the Senate Committee on Labor and Human Resources (Washington, D.C.: U.S. Dept. of Health and Human Services, Public Health Service, 1995).Google Scholar
ORI is part of the Department of Health and Human Services and is concerned with scientific misconduct in Public Health Service applications.Google Scholar
Compare cases in note 25 in which ORI has found scientific misconduct premised on a finding of falsification of credentials with ORI's decision not to find scientific misconduct in the case of Thereza Imanishi-Kari. Imanishi-Kari indicated in grant applications and on curriculum vitae that she held a master's degree from Kyoto University. She did not possess this degree nor was she listed with the university registrar as having attended that school. See, for example, Transcript of the Hearing Before the Departmental Appeals Board, Sept. 1, 1995.Google Scholar
Other forms of conduct, not unique to the scientific community, have been deemed scientific misconduct when they occur in the research setting. For example, NSF has deemed sexual harassment scientific misconduct.Google Scholar
Flinn, J., “Career Objective: To Obtain Job by Using Bogus Resume,” St. Petersburg Times, Mar. 5, 1992, at E1; and Conway, J.A., “So What Else is New?,” Forbes, June 3, 1985, at 10.Google Scholar
Toomey, P.J., “Truth or Consequences; How Companies Check the Facts on Resumes,” The Record, Aug. 29, 1994, at C1. See also Veich, M., “Uncover the Resume Ruse,” Security Management, 38, no. 10 (1994): At 75 (estimating that 30 percent of all employment applications have a significant misrepresentation); and Bachler, C., “Resume Fraud: Lies, Omissions and Exaggerations,” Personnel Journal, 74, no. 6 (1995): At 50 (estimating that 33 percent of all resumes are fraudulent).Google Scholar
A dean at the College of William and Mary resigned after he admitted he did not have a doctorate of science from the University of Wales. See Petkofsky, A., “Too Long Ago, Says W&M Teacher, Can't Recall Events Leading to Degree Flap,” Richmond Times-Dispatch, May 20, 1995, at B1; and Petkofsky, A., “W&M Dean Quits Over False Degree; He Also Directed Science Institute,” Richmond Times-Dispatch, May 16, 1995, at A1.Google Scholar
Sekas, G. Hutson, W.R., “Misrepresentation of Academic Accomplishments by Applicants for Gastroenterology Fellowships,” Annals of Internal Medicine, 123 (1995): 38–41; “Not Everything from the Mill is Good for Your Health; National Council Against Health Fraud's Task Force for Nutrition Diploma Mills Investigates Phony Credentials in the Nutrition Field,” Medical Update, 18, no. 3 (1994): 3; and Shaffer, W.A. Rollo, F.P. Holt, C.A., “Falsification of Clinical Credentials by Physicians Applying for Ambulatory-Staff Privileges,” N. Engl. J. Med., 318 (1988): 356.CrossRefGoogle Scholar
See Fraudulent Medical Degrees: Hearings before the Subcomm. on Health and Long-Term Care of the Select Comm. on Aging, 98th Cong., 1st Sess. 1–199 (1985); Chairmen of the Subcomm. on Health and Long-Term Care and the Subcomm. on Housing and Consumer Interests of the Select Comm. on Aging: A Report on Fraudulent Credentials, 99th Cong., 2d Sess. 1–71 (1986); and Chairman of the Subcomm. on Health and Long-Term Care of the Select Comm. on Aging: A Report on Fraudulent Credentials: Federal Employees, 99th Cong., 2d Sess. 1–13 (1986). Furthermore, in 1980, the federal government began an investigation called “Dipscam” that resulted in the closing of fifty unaccredited institutions. See Emshwiller, J.R., “An MBA Mangles the Books,” Wall Street Journal, Apr. 2, 1987, at 1.Google Scholar
See supra note 9.Google Scholar
See Shaffer, Rollo, Holt, , supra note 8.Google Scholar
See “Not Everything from the Mill Is Good for Your Health,” supra note 8.Google Scholar
See Sekas, Hutson, , supra note 8.Google Scholar
Kahn, J., “Fellowship Seekers Caught Doctoring Their Resumes,” Baltimore Sun, July 4, 1995, at D6. See also Gurudevan, S.V. Mower, W.R., “Misrepresentation of Research Publications Among Emergency Medicine Residency Applicants,” Annals of Emergency Medicine, 27 (1996): 327–30, which reports that one in five applicants to University of California/Los Angeles's emergency medicine residency program who listed publications had misrepresented the authorship.CrossRefGoogle Scholar
National Academy of Sciences, Institute of Medicine, National Research Council, Panel on Scientific Responsibility and the Conduct of Research, Responsible Science; Ensuring the Integrity of the Research Process (Washington, D.C.: National Academy Press, vol. 1, 1992): At 29.Google Scholar
For example, many scientific organizations took exception to NSF's labelling sexual harassment as scientific misconduct.Google Scholar
42 C.F.R. § 50.102 (1993).Google Scholar
45 C.F.R. § 689.1 (1991).Google Scholar
NSF has stated that if an applicant misrepresents his/her qualifications or an institution's qualifications or programs, such practice could constitute a serious deviation. See Buzzelli, D.E., “The Definition of Misconduct in Science: A View from NSF,” Science, 259 (1993): 584–85, 647–48.CrossRefGoogle Scholar
See Surprenant, 59 Fed. Reg. 39,366 (1994); and ORI 92–29. In this article, if ORI found that an individual had committed scientific misconduct, that individual's name will be used to identify the case. If ORI did not find misconduct, the case number will be used. Because NSF does not report individuals' names, all NSF cases will be referred to herein by number.Google Scholar
See Commission on Research Integrity, supra note 1, at 13–14.Google Scholar
Id. at 13.Google Scholar
Id.Google Scholar
Cases in which ORI found misconduct based on falsified credentials include: Chagnon, 59 Fed. Reg. 38,979 (ORI 1994) (claiming bachelor of science from and graduate work at Massachusetts Institute of Technology (MIT), Lowell University, and Northeastern; claiming master of science in organic chemistry from MIT); Surprenant, 59 Fed. Reg. 39,366 (ORI 1994) (claiming additional doctorate of medicine from University of Illinois and discovery of additional claims of doctorate of medicine made during investigation); Constantoulakis, 59 Fed. Reg. 45,679 (ORI 1994) (misrepresenting academic credentials at company); Leisman, 59 Fed. Reg. 64,667 (ORI 1994) (misrepresenting academic credentials and experience in application—claimed doctorate of medicine, professorship at Harvard University, and thirteen patents); Tomasula, 60 Fed. Reg. 38,352-3 (ORI 1995) (claiming doctorate from Northwestern University); June, 60 Fed. Reg. 64,444 (ORI 1995) (falsifying three letters of recommendation); and Lupu, 60 Fed. Reg. 66,276 (ORI 1995) (falsifying letter of collaboration).Google Scholar
See, for example, 12 Office of Inspector General, National Science Foundation, Semiannual Report to the Congress 32 (1995) (principal investigator claiming bachelor of science degree); NSF 93–61, n.13, at 37 (claiming master's degree); NSF 91–18 (claiming doctorate); and ORI 92–29 (claiming doctorate from Northwestern University).Google Scholar
See, for example, Bandyopadhyay, a case handled by ORI's predecessor.Google Scholar
See June, 60 Fed. Reg. 64,444 (ORI 1995).CrossRefGoogle Scholar
See Lupu, 60 Fed. Reg. 66,276 (ORI 1995).CrossRefGoogle Scholar
See, for example, NSF 93–17 (claiming that publications had been submitted); and NSF 91–13 (no finding of misconduct when respondent claimed to be co-author of papers). Two cases handled by ORI's predecessor found misconduct based on publication existence and status. See Bandyopadhyay (claiming publications that could not be found); and Nelson (exaggerating status of publications and failing to delete rejected manuscripts).Google Scholar
See, for example, NSF 93–35; and NSF 93–20.Google Scholar
See NSF 93–35 (no finding of misconduct although applicant formerly identified himself as Caucasian and later Hispanic); and NSF 93–20 (no finding of misconduct found when birth certificate showed both Caucasian and Hispanic descent).Google Scholar
ORI and NSF have declined to assert jurisdiction over cases when the falsified credential did not appear in a PHS or NSF application or publication indicating support by PHS or NSF. See NSF 93–11 (conflicting accounts of doctoral mentor); and NSF 92–34 (falsely claiming authorship on a university merit pay application).Google Scholar
In a nine-month period, the University of Kansas reported over sixty-eight telephone requests to verify degrees of persons who did not have such degrees from the institution. See Marino, R.; e-mail, Aug. 11, 1995. Similarly, Princeton University reported approximately six calls per month from people claiming to have degrees they do not possess. See Toomey, , supra note 6.Google Scholar
Diploma mills issue “degrees” for “life experience” or on tuition payment, with or without additional academic work required by the recipient. Furthermore, they often have names that sound like those of prestigious universities, for example, Northwestern College of Allied Sciences instead of Northwestern University or Cormell instead of Cornell. See Van Tol, J., “Detecting, Deterring and Punishing the Use of Fraudulent Academic Credentials: A Play in Two Acts,” Santa Clara Law Review, 30 (1990): 791–827.Google Scholar
42 C.F.R. § 50.104(a) (1993); and 45 C.F.R. §§ 689.4, 689.5 (1991).Google Scholar
See, for example, NSF 92–25 (NSF finding of no misconduct).Google Scholar
Compare no findings of misconduct in NSF 91–18 (respondent claiming a secretary had made error and there was no attempt to defraud NSF) and ORI 92–29 (respondent claiming that departmental officials wrote biographical sketches) with Chagnon, 59 Fed. Reg. 38,979 (ORI 1994) (ORI finding of misconduct although the respondent claimed a secretary had misinterpreted notes and he was unaware of the falsified credential).Google Scholar
Some people will claim that misrepresentation of ethnic origin is an error. These cases typically result in a finding of no misconduct. See, for example, NSF 92–25 (respondent checking White on some applications and American Indian on others); and NSF 91–47 (checking Black on one application and Asian on another, claiming Egyptian descent, and substantiating ethnic claims by stating he had been told that his grandmother he was probably from that country). See also NSF 90–46 (misrepresenting number of advisees and advising capacity. Based on the respondent's claim that he had been loose in his definition of advising and had failed to update his list of advisees, NSF found no misconduct.).Google Scholar
See, for example, NSF 93–17. See also Office of Inspector General, Semiannual Report, supra note 25, at 31–32.Google Scholar
Id.Google Scholar
See Tomasula, 60 Fed. Reg. 38,352–3 (ORI 1995).Google Scholar
See, for example, 1994 Office of Research Integrity, Annual Report at 12–13.Google Scholar
See, for example, NSF 93–17.Google Scholar
ORI has stated that “reviewers must rely on the truthfulness of applicants when reviewing their educational credentials…. Thus, the misrepresentation of academic credentials in a grant application is material to the funding decision.” See Chagnon, 59 Fed. Reg. 38,979 (ORI 1994). NSF has stated explicitly that falsified credentials need not be material to NSF's decision about a principal investigator's competence to be considered misconduct. See, for example, Office of Inspector General, Semiannual Report, supra note 25, at 32.Google Scholar
See Chagnon, 59 Fed. Reg. 38,979 (ORI 1994); Surprenant, 59 Fed. Reg. 39,366 (ORI 1994); Constantoulakis, 59 Fed. Reg. 45,679 (ORI 1994); Leisman, 59 Fed. Reg. 64,667 (ORI 1994); Tomasula, 60 Fed. Reg. 38,352-3 (ORI 1995); June, 60 Fed. Reg. 64,444 (ORI 1995); and Lupu, 60 Fed. Reg. 66,276 (ORI 1995).Google Scholar
See Constantoulakis, id. (imposing a five-year exclusion).Google Scholar
See Leisman, 59 Fed. Reg. 64,667 (ORI 1994).Google Scholar
The case was handled by the institutional liaison office of the National Institutes of Health.Google Scholar
NSF 94–27 (discussing three-year voluntary exclusion agreement for a person who falsely stated he had completed his undergraduate and graduate work in chemistry, who falsely identified two institutions of higher learning where he accomplished such work, and who falsely claimed he held the position of director of research at a corporation).Google Scholar
Typically, the period is three years, although in NSF 93–17 it was five years. In other NSF cases, the debarment was for one year. See, for example, 13 Office of Inspector General, National Science Foundation, Semiannual Report to the Congress 37 (1995) (same case, 14 Office of Inspector General, National Science Foundation, Semiannual Report to the Congress 54 (1996)); and Office of Inspector General, Semiannual Report, supra note 25, at 32.Google Scholar
See, for example, NSF 93–61.Google Scholar
See 1994 Office of Research Integrity, Annual Report at 13 (reporting that excess personnel costs of $219,686 charged to the grants employing the respondent were repaid to the National Institutes of Health).Google Scholar
See Emshwiller, , supra note 9 (Using a phony transcript, someone who claimed to have a doctorate in psychology served as a psychologist for a mental hospital. On discovery of the bogus degree, the person pled guilty to theft by deception for $380,000 in accumulated salary.).Google Scholar
See “Impersonator Sentenced,” Chicago Sun Times, Feb. 18, 1995, at 4 (woman convicted of impersonating a physician). Against people who claim to have a degree from an institution or who have fabricated or altered their transcripts from the institutions they attended, the institutions have used a variety of actions, including actions premised on theft of services or forgery. Although states may have false writing statutes, local prosecutors are reluctant to take such cases. Offenders are usually not current students of the institution, but if they are, institutions may discipline them under student codes. Furthermore, the cases present jurisdictional problems because individuals may reside in a different state. With altered transcripts, it may be possible to bring an action based on state or federal trademark or service mark law.Google Scholar
See, for example, Ala. Code § 43-22-6 (1996); Ark. Code Ann. § 5-37-225 (Michie 1995); Cal. Educ. Code §§ 44360, 44361 (West 1995); Kan. Stat. Ann. § 65–1441 (1995); Md. Code Ann., Educ. § 26–301 (1995); Mich. Stat. Ann. § 15.41809 (1996); Nev. Rev. Stat. Ann. § 205.420 (Michie 1995); N.J. Stat. § 18A:3–15.2 (1989); N.Y. Educ. Law § 224 (Consol. 1996); and Utah Code Ann. § 53B-5-201 (1995).Google Scholar
See generally, for example, Alaska Stat. § 11.56.820 (Michie 1995); Colo. Rev. Stat. § 18-8-114 (1995); Mich. Stat. Ann. § 28.445 (1995); Or. Rev. Stat. § 162.305 (1995); and S.D. Codified Laws § 22-11-23 (Michie 1996).Google Scholar
Doctors and nurses have been forced to surrender licenses on discovery. See, for example, Schoch, E.B., “State Board Suspends License of Richmond Doctor,” Indianapolis Star, May 26, 1995, at E4; Whiting, B., “Imposter Arrested in Medical Scheme,” Arizona Republic, Jan. 5, 1995, at B1; and “Policing the Professionals,” Salt Lake Tribune, Feb. 19, 1995, at F8 (nurse surrenders license).Google Scholar
See Lupu, 60 Fed. Reg. 66,276 (ORI 1995) (letter of reprimand put in personnel file for two years); ORI 92–29 (letter of reprimand put in personnel file and personnel records modified to show he did not have a doctorate); and In Re Hadzi-Antich, 497 A.2d 1062 (Dist. Ct. App. 1985) (public censure for law professor who falsified his credentials).Google Scholar
See Lupu, 60 Fed. Reg. 66,276 (ORI 1995).CrossRefGoogle Scholar
See, for example, NSF 93–61 (terminated after twenty-three years); and ORI 92–29 (accepted resignation). Many companies have also terminated employees who falsify credentials. See Nabors v. Maryland-National Capital Park & Planning Commission, 861 F. Supp. 392 (D. Md. 1994). See also Office of Inspector General, Semiannual Report, supra note 25, at 32, where steps were taken to terminate the individual.Google Scholar
See Oakland University case in which a professor had indicated publications were in press when they were only submitted or in progress.Google Scholar
See, for example, ORI 92–29.Google Scholar
See “Policing the Professionals,” supra note 57 (executive director of an organ recovery system surrendered her nursing license when it was discovered she did not have degrees from Northwestern, Yale, or DePaul Universities).Google Scholar
See, for example, Jimenez, R., “New Bill Aims at MDs with False Resumes; Couple's Story Spurs Senate Panel,” Boston Globe, Feb. 28, 1993, at 1.Google Scholar