Researchers Behaving Badly: Known Frauds Are "the Tip of the Iceberg"
Last week, the whistleblowers in the Paolo Macchiarini affair at Sweden's Karolinska Institutet went on the record here to detail the retaliation they suffered for trying to expose a star surgeon's appalling research misconduct.
Scientific fraud of the type committed by Macchiarini is rare, but studies suggest that it's on the rise.
The whistleblowers had discovered that in six published papers, Macchiarini falsified data, lied about the condition of patients and circumvented ethical approvals. As a result, multiple patients suffered and died. But Karolinska turned a blind eye for years.
Scientific fraud of the type committed by Macchiarini is rare, but studies suggest that it's on the rise. Just this week, for example, Retraction Watch and STAT together broke the news that a Harvard Medical School cardiologist and stem cell researcher, Piero Anversa, falsified data in a whopping 31 papers, which now have to be retracted. Anversa had claimed that he could regenerate heart muscle by injecting bone marrow cells into damaged hearts, a result that no one has been able to duplicate.
A 2009 study published in the Public Library of Science (PLOS) found that about two percent of scientists admitted to committing fabrication, falsification or plagiarism in their work. That's a small number, but up to one third of scientists admit to committing "questionable research practices" that fall into a gray area between rigorous accuracy and outright fraud.
These dubious practices may include misrepresentations, research bias, and inaccurate interpretations of data. One common questionable research practice entails formulating a hypothesis after the research is done in order to claim a successful premise. Another highly questionable practice that can shape research is ghost-authoring by representatives of the pharmaceutical industry and other for-profit fields. Still another is gifting co-authorship to unqualified but powerful individuals who can advance one's career. Such practices can unfairly bolster a scientist's reputation and increase the likelihood of getting the work published.
The above percentages represent what scientists admit to doing themselves; when they evaluate the practices of their colleagues, the numbers jump dramatically. In a 2012 study published in the Journal of Research in Medical Sciences, researchers estimated that 14 percent of other scientists commit serious misconduct, while up to 72 percent engage in questionable practices. While these are only estimates, the problem is clearly not one of just a few bad apples.
In the PLOS study, Daniele Fanelli says that increasing evidence suggests the known frauds are "just the 'tip of the iceberg,' and that many cases are never discovered" because fraud is extremely hard to detect.
Essentially everyone wants to be associated with big breakthroughs, and they may overlook scientifically shaky foundations when a major advance is claimed.
In addition, it's likely that most cases of scientific misconduct go unreported because of the high price of whistleblowing. Those in the Macchiarini case showed extraordinary persistence in their multi-year campaign to stop his deadly trachea implants, while suffering serious damage to their careers. Such heroic efforts to unmask fraud are probably rare.
To make matters worse, there are numerous players in the scientific world who may be complicit in either committing misconduct or covering it up. These include not only primary researchers but co-authors, institutional executives, journal editors, and industry leaders. Essentially everyone wants to be associated with big breakthroughs, and they may overlook scientifically shaky foundations when a major advance is claimed.
Another part of the problem is that it's rare for students in science and medicine to receive an education in ethics. And studies have shown that older, more experienced and possibly jaded researchers are more likely to fudge results than their younger, more idealistic colleagues.
So, given the steep price that individuals and institutions pay for scientific misconduct, what compels them to go down that road in the first place? According to the JRMS study, individuals face intense pressures to publish and to attract grant money in order to secure teaching positions at universities. Once they have acquired positions, the pressure is on to keep the grants and publishing credits coming in order to obtain tenure, be appointed to positions on boards, and recruit flocks of graduate students to assist in research. And not to be underestimated is the human ego.
Paolo Macchiarini is an especially vivid example of a scientist seeking not only fortune, but fame. He liberally (and falsely) claimed powerful politicians and celebrities, even the Pope, as patients or admirers. He may be an extreme example, but we live in an age of celebrity scientists who bring huge amounts of grant money and high prestige to the institutions that employ them.
The media plays a significant role in both glorifying stars and unmasking frauds. In the Macchiarini scandal, the media first lifted him up, as in NBC's laudatory documentary, "A Leap of Faith," which painted him as a kind of miracle-worker, and then brought him down, as in the January 2016 documentary, "The Experiments," which chronicled the agonizing death of one of his patients.
Institutions can also play a crucial role in scientific fraud by putting more emphasis on the number and frequency of papers published than on their quality. The whole course of a scientist's career is profoundly affected by something called the h-index. This is a number based on both the frequency of papers published and how many times the papers are cited by other researchers. Raising one's ranking on the h-index becomes an overriding goal, sometimes eclipsing the kind of patient, time-consuming research that leads to true breakthroughs based on reliable results.
Universities also create a high-pressured environment that encourages scientists to cut corners. They, too, place a heavy emphasis on attracting large monetary grants and accruing fame and prestige. This can lead them, just as it led Karolinska, to protect a star scientist's sloppy or questionable research. According to Dr. Andrew Rosenberg, who is director of the Center for Science and Democracy at the U.S.-based Union of Concerned Scientists, "Karolinska defended its investment in an individual as opposed to the long-term health of the institution. People were dying, and they should have outsourced the investigation from the very beginning."
Having institutions investigate their own practices is a conflict of interest from the get-go, says Rosenberg.
Scientists, universities, and research institutions are also not immune to fads. "Hot" subjects attract grant money and confer prestige, incentivizing scientists to shift their research priorities in a direction that garners more grants. This can mean neglecting the scientist's true area of expertise and interests in favor of a subject that's more likely to attract grant money. In Macchiarini's case, he was allegedly at the forefront of the currently sexy field of regenerative medicine -- a field in which Karolinska was making a huge investment.
The relative scarcity of resources intensifies the already significant pressure on scientists. They may want to publish results rapidly, since they face many competitors for limited grant money, academic positions, students, and influence. The scarcity means that a great many researchers will fail while only a few succeed. Once again, the temptation may be to rush research and to show it in the most positive light possible, even if it means fudging or exaggerating results.
Though the pressures facing scientists are very real, the problem of misconduct is not inevitable.
Intense competition can have a perverse effect on researchers, according to a 2007 study in the journal Science of Engineering and Ethics. Not only does it place undue pressure on scientists to succeed, it frequently leads to the withholding of information from colleagues, which undermines a system in which new discoveries build on the previous work of others. Researchers may feel compelled to withhold their results because of the pressure to be the first to publish. The study's authors propose that more investment in basic research from governments could alleviate some of these competitive pressures.
Scientific journals, although they play a part in publishing flawed science, can't be expected to investigate cases of suspected fraud, says the German science blogger Leonid Schneider. Schneider's writings helped to expose the Macchiarini affair.
"They just basically wait for someone to retract problematic papers," he says.
He also notes that, while American scientists can go to the Office of Research Integrity to report misconduct, whistleblowers in Europe have no external authority to whom they can appeal to investigate cases of fraud.
"They have to go to their employer, who has a vested interest in covering up cases of misconduct," he says.
Science is increasingly international. Major studies can include collaborators from several different countries, and he suggests there should be an international body accessible to all researchers that will investigate suspected fraud.
Ultimately, says Rosenberg, the scientific system must incorporate trust. "You trust co-authors when you write a paper, and peer reviewers at journals trust that scientists at research institutions like Karolinska are acting with integrity."
Without trust, the whole system falls apart. It's the trust of the public, an elusive asset once it has been betrayed, that science depends upon for its very existence. Scientific research is overwhelmingly financed by tax dollars, and the need for the goodwill of the public is more than an abstraction.
The Macchiarini affair raises a profound question of trust and responsibility: Should multiple co-authors be held responsible for a lead author's misconduct?
Karolinska apparently believes so. When the institution at last owned up to the scandal, it vindictively found Karl Henrik-Grinnemo, one of the whistleblowers, guilty of scientific misconduct as well. It also designated two other whistleblowers as "blameworthy" for their roles as co-authors of the papers on which Macchiarini was the lead author.
As a result, the whistleblowers' reputations and employment prospects have become collateral damage. Accusations of research misconduct can be a career killer. Research grants dry up, employment opportunities evaporate, publishing becomes next to impossible, and collaborators vanish into thin air.
Grinnemo contends that co-authors should only be responsible for their discrete contributions, not for the data supplied by others.
"Different aspects of a paper are highly specialized," he says, "and that's why you have multiple authors. You cannot go through every single bit of data because you don't understand all the parts of the article."
This is especially true in multidisciplinary, translational research, where there are sometimes 20 or more authors. "You have to trust co-authors, and if you find something wrong you have to notify all co-authors. But you couldn't go through everything or it would take years to publish an article," says Grinnemo.
Though the pressures facing scientists are very real, the problem of misconduct is not inevitable. Along with increased support from governments and industry, a change in academic culture that emphasizes quality over quantity of published studies could help encourage meritorious research.
But beyond that, trust will always play a role when numerous specialists unite to achieve a common goal: the accumulation of knowledge that will promote human health, wealth, and well-being.
[Correction: An earlier version of this story mistakenly credited The New York Times with breaking the news of the Anversa retractions, rather than Retraction Watch and STAT, which jointly published the exclusive on October 14th. The piece in the Times ran on October 15th. We regret the error.]
We all know the typical astronaut accessories—the EVA suit, the oxygen tanks, the radio assembly. But there's an invisible part of each space mission that's often overlooked: the trillions of microorganisms that hitch a ride.
Observing responses of pathogens in space could help scientists figure out how to outsmart them when they cause trouble on Earth.
Dr. Sarah Wallace is a NASA microbiologist who aims to keep microbes from causing problems for U.S. astronauts aboard the International Space Station. According to Wallace, research on microorganisms in space has more than cosmic importance. It can also reveal things about our health here on Earth:
1) Avoiding disease isn't all about maintaining a sterile environment.
NASA has a great track record of keeping the crew healthy on space missions. But surprisingly, it's not from having kept the space flight environment as sterile as possible.
Wallace says, "We [monitor] the environment but unless we find something that's medically significant, or [in] super high numbers, we're not going to do anything."
Not only is it impossible for astronauts to live in completely sterile quarters—crew members, after all, are microbe-shedding machines—but it may not even be desirable, given what we now know about the human microbiome. Scientists have found that the entire community of microorganisms (bacteria, archaea, fungi, and viruses) living in and on us likely have an active role in keeping us healthy. This means that down on the ground we need to let go of the germophobe idea that eradicating all microbes is always better for our health.
2) Disease-causing microbes change their behavior under different conditions.
Remember the recent E. coli O157:H7 outbreak linked to romaine lettuce? We're still grappling with a lot of pathogen problems here on Earth. One reason is that scientists are still learning which strategies these disease-causing microorganisms are capable of employing under different conditions.
Space missions are associated with a major shift in gut microbiome composition—as shown in NASA's twin study.
Wallace says experiments with Salmonella Typhimurium showed that the pathogen became more virulent in space. Yet curiously, the opposite seemed to happen to Staphylococcus aureus under space-flight-like conditions—it became more benign.
"The way these organisms have evolved, certain triggers [in the space flight environment] might be dictating how they're responding," Wallace says.
Observing these responses could help scientists figure out how to outsmart the pathogen when it causes trouble on Earth. "It's giving us some great insights into how we could target them differently in the future," she explains.
3) Major shifts in the gut microbiome could affect health in specific ways.
Scientists still have a lot to learn about which changes in an adult's gut microbiome actually cause a change in health status. In fact, microbiome-focused therapeutics companies are in hot pursuit of these connections.
Space missions are associated with a major shift in gut microbiome composition—as shown in NASA's twin study, which followed astronaut Scott Kelly during a year aboard the ISS while his identical twin brother Mark (a retired astronaut) stayed on the ground. Scott experienced simultaneous changes in telomere length and bone formation; were these related to the gut microbial differences?
Wallace says a soon-to-be-published study of nine additional astronauts could help answer this question. The research may reveal how closely gut microbiome shifts track health outcomes, and the reversibility of the changes.
She emphasizes the science from her lab isn't meant to help only the small minority of humans who will ever go to space: "That's always our goal—that our research is helping people on Earth."
Today's growing distrust of science is not an academic problem. It can be a matter of life and death.
Take, for example, the tragic incident in 2016 when at least 10 U.S. children died and over 400 were sickened after they tried homeopathic teething medicine laced with a poisonous herb called "deadly nightshade." Carried by CVS, Walgreens, and other major American pharmacies, the pills contained this poison based on the alternative medicine principle of homeopathy, the treatment of medical conditions by tiny doses of natural substances that produce symptoms of disease.
Such "alternative medicines" take advantage of the lack of government regulation and people's increasing hostility toward science.
These children did not have to die. Numerous research studies show that homeopathy does not work. Despite this research, homeopathy is a quickly-growing multi-billion dollar business.
Such "alternative medicines" take advantage of the lack of government regulation and people's increasing hostility toward science. Polling shows that the number of people who believe that science has "made life more difficult" increased by 50 percent from 2009 to 2015. According to a 2017 survey, only 35 percent of respondents have "a lot" of trust in scientists; the number of people who do "not at all" trust scientists increased by over 50 percent from a similar poll conducted in December 2013.
Children dying from deadly nightshade is only one consequence of this crisis of trust. For another example, consider the false claim that vaccines cause autism. This belief has spread widely across the US, and led to a host of problems. For instance, measles was practically eliminated in the US by 2000. However, in recent years outbreaks of measles have been on the rise, driven by parents failing to vaccinate their children in a number of communities.
The Internet Is for… Misinformation
The rise of the Internet, and more recently social media, is key to explaining the declining public confidence in science.
Before the Internet, the information accessible to the general public about any given topic usually came from experts. For instance, researchers on autism were invited to talk on mainstream media, they wrote encyclopedia articles, and they authored books distributed by large publishers.
The Internet has enabled anyone to be a publisher of content, connecting people around the world with any and all sources of information. On the one hand, this freedom is empowering and liberating, with Wikipedia a great example of a highly-curated and accurate source on the vast majority of subjects. On the other, anyone can publish a blog piece making false claims about links between vaccines and autism or the effectiveness of homeopathic medicine. If they are skilled at search engine optimization, or have money to invest in advertising, they can get their message spread widely. Russia has done so extensively to influence elections outside of its borders, whether in the E.U. or the U.S.
Unfortunately, research shows that people lack the skills for differentiating misinformation from true information. This lack of skills has clear real-world effects: U.S. adults believed 75 percent of fake news stories about the 2016 US Presidential election. The more often someone sees a piece of misinformation, the more likely they are to believe it.
To make matters worse, we all suffer from a series of thinking errors such as the confirmation bias, our tendency to look for and interpret information in ways that conform to our intuitions.
Blogs with falsehoods are bad enough, but the rise of social media has made the situation even worse. Most people re-share news stories without reading the actual article, judging the quality of the story by the headline and image alone. No wonder research has indicated that misinformation spreads as much as 10 times faster and further on social media than true information. After all, creators of fake news are free to devise the most appealing headline and image, while credible sources of information have to stick to factual headlines and images.
To make matters worse, we all suffer from a series of thinking errors such as the confirmation bias, our tendency to look for and interpret information in ways that conform to our intuitions and preferences, as opposed to the facts. Our inherent thinking errors combined with the Internet's turbine power has exploded the prevalence of misinformation.
So it's no wonder we see troubling gaps between what scientists and the public believe about issues like climate change, evolution, genetically modified organisms, and vaccination.
What Can We Do?
Fortunately, there are proactive steps we can take to address the crisis of trust in science and academia. The Pro-Truth Pledge, founded by a group of behavioral science experts (including myself) and concerned citizens, calls on public figures, organizations, and private citizens to commit to 12 behaviors listed on the pledge website that research in behavioral science shows correlate with truthfulness.
Signers are held accountable through a crowdsourced reporting and evaluation mechanism while getting reputational rewards because of their commitment. The scientific consensus serves as a key measure of credibility, and the pledge encourages pledge-takers to recognize the opinions of experts - especially scientists - as more likely to be true when the facts are disputed.
The pledge "really does seem to change one's habits," encouraging signers to have attitudes "of honesty and moral sincerity."
Launched in December 2016, the pledge has surprising traction. Over 6200 private citizens took the pledge. So did more than 500 politicians, including members of US state legislatures Eric Nelson (PA), James White (TX), and Ogden Driskell (WY), and national politicians such as members of U.S. Congress Beto O'Rourke (TX), Matt Cartwright (PA), and Marcia Fudge (OH). Over 700 other public figures, such as globally-known public intellectuals Peter Singer, Steven Pinker, Michael Shermer, and Jonathan Haidt, took the pledge, as well as 70 organizations such as Media Bias/Fact Check, Fugitive Watch, Earth Organization for Sustainability, and One America Movement.
The pledge is effective in changing behaviors. A candidate for Congress, Michael Smith, took the Pro-Truth Pledge. He later posted on his Facebook wall a screenshot of a tweet by Donald Trump criticizing minority and disabled children. However, after being called out that the tweet was a fake, he went and searched Trump's feed. He could not find the original tweet, and while Trump may have deleted it, the candidate edited his own Facebook post to say, "Due to a Truth Pledge I have taken, I have to say I have not been able to verify this post." He indicated that he would be more careful with future postings.
U.S. Army veteran and pledge-taker John Kirbow described how the pledge "really does seem to change one's habits," helping push him both to correct his own mistakes with an "attitude of humility and skepticism, and of honesty and moral sincerity," and also to encourage "friends and peers to do so as well."
His experience is confirmed by research on the pledge. Two research studies at Ohio State University demonstrated the effectiveness of the pledge in changing the behavior of pledge-takers to be more truthful with a strong statistical significance.
Taking the pledge yourself, and encouraging people you know and your elected representatives to do the same, is an easy and effective way to fight misinformation and to promote a culture that values the truth.