Stronger ethical standards can turn the tide on retractions

The rising incidence of scientific papers retractions has become a serious concern in the global academic community. While some see this development as an outcome of an augmenting pattern of scientific misconduct, others regard it as a reflection of the growing propensity to spot flawed and fraudulent papers.

Nature reported in 2023 the number of research article retractions surpassed 10,000, with countries such as Saudi Arabia, Pakistan, Russia and China having the highest retraction rates over the past two decades.

Beyond identifying geographic regions and countries with a high concentration of retracted articles, research and available data on the subject have started revealing several notable findings and patterns.

A recent survey indicated that articles authored by men, published in open access or high-impact journals, produced by medium-sized research teams (comprising three to 10 authors), not supported by project-based funding, and focused on health and life sciences – as opposed to the social and physical sciences – are more likely to be retracted.

Another striking pattern is the prevalence of this challenge in regions like Africa, where it had traditionally been less common.

Except for South Africa, Egypt, and Nigeria, which are known for their relatively high publication output, experiences regarding article retractions in Africa have been limited or rare. However, this trend is gradually changing as research output from the continent continues to increase.

The Ethiopian case

A recent news report in C&EN (chemical and engineering news) using 2022-24 data from the Retraction Watch Database (RWD) revealed that Ethiopia ranked at the top with an alarming retraction rate of more than 12%, followed by Saudi Arabia, Pakistan, China and Egypt. Nature’s recent first-ever institution-level analysis similarly identifies Ethiopian universities among the institutions with the highest number of retractions.

For some, these findings are somewhat questionable due to erroneous data, and methodological fallacies in the report. In particular, the report from C&EN has been questioned due to its methodology and lack of concurrence with a similar local investigation on the subject using the same data source.

An internal investigation carried out by the Addis Ababa Science and Technology University – one of the universities implicated in Nature’s recent institution-focused report – indicated that the major findings are contestable, given the affiliation of authors who are predominantly foreign, the publication of the majority of articles in Hindawi, and the inclusion of Ethiopian authors which was mainly done to get a waiver of the publication fee.

Surprisingly, 13 of the 48 papers retracted were authored by Indian expatriate teachers who are no longer affiliated with the university.

Inconsistencies and challenges related to how databases flag retracted articles are not uncommon. Even RWD, which is considered as the most comprehensive global database, is found to contain a substantial number of metadata errors, particularly in article type, author names, and publication years, indicating the risks of relying on bibliographic databases that have not been verified for metadata accuracy.

This suggests the need for caution while using the diversified sources of retracted articles, the software products used in ranking countries and institutions, and hastily interpreting the results made available.

A new phenomenon?

This is not, however, to deny that the increase in the retraction of articles is becoming an intriguing phenomenon in Ethiopia’s research ecosystem. In fact, the situation is posing formidable challenges to the fledgling research environment and holds dire implications for research integrity, scientific progress and public trust, individual researchers, their institutions and funders.

Causes of retractions

The global experience shows that intentional misconduct and unintentional errors are often cited as two major reasons for article retractions. Although there is some debate about the pattern, the balance appears to tilt towards misconduct rather than honest errors.

The recent inclusion of Ethiopia on the global blacklist is explained by a variety of causes – similar to those found in other parts of the world. The common causes of retraction are identified as: unlicensed use of questionnaires, redundant publications, data ownership issues, ethical approval concerns, peer review irregularities, data duplication, unauthorised use of proprietary instruments and other methodological issues.

The factors that drive such malpractices at the individual level may be the excessive pressure to publish, lack of awareness, and limited access to plagiarism detection tools and editorial support.

There are also structural issues that exacerbate the problem: weak institutional oversight, absence of ethical boards or research integrity offices, and limited training for emerging scholars on research ethics and publication standards.

From retractions to reforming the system

Combating the myriad malpractices that lead to article retractions demands a multi-layered response involving different stakeholders.

The global effort to reduce malpractices in research publication is gathering momentum, given the call for a unified front involving all stakeholders in the publishing industry and beyond. Global initiatives such as the Committee on Publication Ethics and the World Conferences on Research Integrity, which provide directions and international dialogue on recognised standards and guidance on ethical behaviour, are indicative of the directions where the struggle against current malpractices is heading. Ethiopian institutions and researchers should find mechanisms to benefit from this positive development.

Aided by a variety of technological tools, journals are also tightening their oversight, given the increasing challenges posed by fraud and dishonest practices. However, apart from greater caution in validating the ethical standards of the articles they are receiving, journals are advised to make their retraction notices more informative, and have clearer retraction policies to avoid confusion about whether certain errors lead to retraction or just a corrigendum.

What governments can do

Governments and national research coordinating organs should provide direction to prevent unethical practices. This is especially needed in countries where the problem is acute.

For instance, the Chinese government has recently launched a nationwide review of research misconduct, requiring universities to declare all retractions and report any misconduct. Punishments to be imposed included salary cuts, withdrawal of bonuses, demotions and timed suspensions from applying for research grants and rewards. This indicates the level of government commitment needed, not only in countering the problem, but also setting expectations on improved ethical compliance.

In Ethiopia, the Ministry of Education should take the lead in mitigating the existing challenges, beginning with the immediate task of discovering the reasons for the current incidence and establishing accountability measures aimed at those found guilty. This is because there is the likelihood that authors may have received undeserved benefits, such as academic promotions, through retracted articles. The ministry should also hasten to establish retraction databases that serve as central information hubs for reference purposes at national and institutional level.

A sectorwide survey of the possible factors that contribute to retraction may help to understand the underlying factors behind the current trend and to establish adequate countermeasures and strategies for monitoring and discouraging unethical practices in the future.

Besides ensuring the integrity of the research outputs of the country, the initiative will also enhance researchers’ awareness of common errors and help them address possible mishaps before submitting their manuscripts for publication.

National research body needed

The government has a pivotal role to play in enforcing strict adherence and implementation of policies and legal frameworks to prevent future malpractices.

In this regard, Ethiopia needs to hasten the establishment of a national body or research council responsible for coordinating and evaluating the research performance of all institutions, including universities.

Since 2003, Ethiopia has had the Higher Education Relevance and Quality Agency, now restructured as the Ethiopian Education and Training Authority, or ETA, which has served as a regulatory body primarily overseeing the academic quality of higher education institutions.

However, there has been no equivalent national organisation dedicated to the coordination and oversight of university research activities. In addition to facilitating the rising publication output from the sector, such a national body can play a critical role in preventing dishonest practices at universities where the bulk of Ethiopian authors are drawn from.

The government should, in equal measure, promote schemes that favour research quality over quantity and reward responsible publishing behaviour among the academic community. This can reduce the excessive pressure placed on researchers to publish, which often leads to compromising the quality and ethical standards of their work.

Institutional oversight and support

In the same breath, universities should be actively involved in establishing and strengthening their own ethical standards, transparent peer-review processes and oversight mechanisms to uphold their reputation and the integrity of scientific research in the country.

This can be achieved, among others, by setting up university ethical boards or research integrity offices that impose rigorous ethics approval processes before articles are submitted for publication. Transparency and accountability mechanisms should also be put in place to enforce punitive measures on those who flout institutional rules and regulations.

Furthermore, universities should be involved in creating awareness and knowledge about critical areas such as research ethics and scientific writing, data management, plagiarism, authorship criteria, and use of copyrighted tools for young and emerging scholars who may be liable to commit honest errors.

Introducing mandatory and regular training to postgraduate students, newly employed faculty and senior instructors in the suggested areas may be an important initial step to take.

Robust support, mentorship and supervision systems should also be instituted to guide junior researchers into becoming successful and ethical authors. This form of guidance should clearly communicate the potential consequences of engaging in dishonest research practices.

More needs to be done in availing technological tools that can assist institutions and researchers in preventing plagiarism and possible data manipulation and falsification practices. This calls for the ministry and universities to deploy critical technological tools as a part of their internal scrutiny schemes.

In general, combating the current malpractices is crucial for the strengthening of ethical standards in research and upholding the credibility and reliability of scientific contributions from Ethiopia. Any reluctance to address this urgent issue at national and institutional levels risks undermining the significant progress made to augment the country’s research productivity, which is encouragingly on the rise.

Wondwosen Tamrat (PhD) is an associate professor of higher education and founding president of St Mary’s University, Addis Ababa, Ethiopia, a collaborating scholar of the Programme for Research on Private Higher Education at the State University of New York at Albany, United States, and coordinator of the private higher education sub-cluster of the Continental Education Strategy for Africa. He may be reached at preswond@smuc.edu.et or wondwosen@gmail.com.

Solomon Benor (PhD) serves as the Flagship Programme Coordinator and Alliance for a Green Revolution in Africa (AGRA) Secondee to the Ethiopian Ministry of Agriculture. He is an associate professor of plant biotechnology, based at the Addis Ababa Science and Technology University, and holds adjunct positions at both Addis Ababa University and Tshwane University of Technology, South Africa. Benor has played a pivotal role in advancing science and research leadership in Ethiopia, notably during a stint at the ministry of education, where he led key initiatives in research development, research ethics, university-industry linkages, community engagement, and the accreditation of national academic journals. He may be reached at sbenor@agra.org or solomon.benor@aastu.edu.et.

This article is a commentary. Commentary articles are the opinion of the authors and do not necessarily reflect the views of University World News.