Archive for Biomedical Research Ethics

Findings of Research Misconduct

The other shoe drops for Marc Hauser, as noted at Retraction Watch and in many media outlets … Hauser responds via the Boston Globe blog.

Notice is hereby given that ORI has taken final action in the following case:

Based on the report of an investigation conducted by Harvard University and additional analysis conducted by ORI in its oversight review, ORI found that Marc Hauser, PhD, former Professor, Department of Psychology, Harvard, engaged in research misconduct in research supported by grants P51RR00168-37, CM-5-P40RR003640-13, R01DC005863, and F31MH075298.
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Findings of Research Misconduct

Notice is hereby given that based on the report of an investigation conducted by the Joslin Diabetes Center and additional analysis conducted by ORI in its oversight review, ORI found that Shane Mayack, PhD, former postdoctoral fellow, Department of Developmental and Stem Cell Biology, Joslin, engaged in research misconduct in research supported by T32DK07260, P30DK036836, and DP2OD004345. ORI found that Respondent engaged in research misconduct involving 2 published papers:

  • Mayack SR, Shadrach JL, Kim FS, Wagers AJ Systemic signals regulate ageing and rejuventation of blood stem cell niches. Nature 2010; 463:495–500.
  • Mayack SR, Wagers AJ. Osteolineage niche cells initiate hemotopoietic stem cell mobilization. Blood 2008;112:519–531.

As a result of Joslin’s investigation, both the Nature and Blood papers have been retracted by the corresponding author. Specifically, ORI found that:

  • Respondent falsely represented von Kossa-stained bone nodule images in 2 published papers:
    • a. Figure 2B in the Blood paper was copied from an unrelated published experiment in Figure 3, J Orth Surg Res 1:7, 2006, and was used to falsely represent Respondent’s own experiment for bone nodules formed in cultured osteoblastic niche cells.
      b. Figure S2c in the Nature paper was copied from an online image for an unrelated experiment and was used to falsely represent Respondent’s own experiment for bone nodules formed in osteoblastic niche cells from young and aged mice.
  • Respondent falsely represented 8 flow cytometry contour plots as different experimental results by using identical plots but with different labels and different numerical percentages. Specifically, the following contour plots in the Blood paper, the Nature paper, an earlier version of the Nature paper submitted to Science, and a July 2008 PowerPoint presentation were identical but were labeled differently:
    • a. Panels 4 and 2 in Figure 6C, Blood paper, and panels 1 and 2, respectively, in supplementary Figure 3b, Nature paper
      b. Panel 3 in Figure 6C, Blood paper, and panel 1 in Figure 2, July 2008 PowerPoint presentation
      c. Panels 1 and 2, Figure 2b, Science manuscript, and panels 2 and 3, respectively, in Figure 2, July 2008 PowerPoint presentation
      d. Panels 2, 3, and 4, supplemental Figure 4A, Blood paper, and panels 3, 1, and 2, respectively, in Figure 4B, Science manuscript

    Both the Respondent and HHS want to conclude this matter without further expenditure of time or other resources and have entered into a Voluntary Settlement Agreement to resolve this matter. Respondent neither admits nor denies ORI’s finding of research misconduct. This settlement does not constitute an admission of liability on the part of the Respondent. Dr. Mayack has voluntarily agreed:

    (1) If within 3 years from the effective date of the Agreement, Respondent does receive or apply for U.S. PHS support, Respondent agrees to have her research supervised for a period of 3 years beginning on the date of her employment in a research position in which she receives or applies for PHS support and to notify her employer(s)/ institution(s) of the terms of this supervision; Respondent agrees that prior to the submission of an application for PHS support for a research project on which the Respondent’s participation is proposed and prior to Respondent’s participation in any capacity on PHS-supported research, Respondent shall ensure that a plan for supervision of Respondent’s duties is submitted to ORI for approval; the supervision plan must be designed to ensure the scientific integrity of Respondent’s research contribution; Respondent agrees that she shall not participate in any PHS-supported research until such a supervision plan is submitted to and approved by ORI; Respondent agrees to maintain responsibility for compliance with the agreed upon supervision plan;

    (2) If within 3 years from the effective date of the Agreement, Respondent does receive or apply for PHS support, Respondent agrees that any institution employing her shall submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS supported research in which Respondent is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived and that the data, procedures, and methodology are accurately reported in the application, report, manuscript, or abstract; and

    (3) To exclude herself voluntarily from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant for a period of 3 years, beginning on July 27, 2012.

    Retraction Watch has a bit more on this case.

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    Findings of Research Misconduct

    Notice is hereby given that based on the report of an investigation conducted by the John Wayne Cancer Institute (JWCI) and additional analysis conducted by ORI in its oversight review, ORI found that Mepur H. Ravindranath, PhD former Director of the Laboratory of Glycoimmunotheraphy, JWCI, engaged in research misconduct by falsifying results reported for research supported by R21CA107316 and R03CA107831 in progress reports for those grants and in two publications in scientific journals.

    It is expressly understood that by entering into a Voluntary Settlement Agreement (Agreement), Respondent is not admitting to any of the allegations made against him by JWCI and/or ORI, or any of their respective agents, employees, associates, or related persons, including but not limited to the findings made by ORI listed in the Agreement. Respondent agreed to enter into the Agreement and not to contest the findings contained therein solely because contesting the findings would cause Respondent undue financial hardship and stress, and Respondent wished to seek finality.

    Specifically

      1. Respondent falsified the number of subjects accrued in the double-blind study reported in the paper Ravindranath, M.H., Muthugounder, S., Presser, N., Ye, X., Brosman, S., & Morton, D.L. “Endogenous immune response to gangliosides in patients with confined prostate cancer.’ Int. J. Cancer 166:368-377, 2005 (subsequently referred to as the “IJC paper) and later reviewed in Ravindranath, M.H. Yesowitch, P., Sumobay, C., & Morton, D.L. “Glycoimmunomics of human cancer: Current concepts and future perspectives.’ Future Oncology 3(2):201-214, 2007 (subsequently referred to as the “Future Oncology paper’), by reporting data of 7 of 63 patients with serial bleeds taken at different points in time and reporting that the values from the 7 patients were for different patients. This same reporting data of individual patients with serial bleeds taken at different points in time and reporting that those values were for different patients was presented in the CA107316 and CA107831 final reports.

      2. The methodology used for the Tables of ANOVA results comparing Log Titers of IgM antibodies for the different subject groups in the IJC and Future Oncology papers and the CA107316 and CA107831 final reports is incorrect and false, since the papers and reports fail to state that the results are not for a simple ANOVA but include various degrees of repeated measures on the variables.

      3. In Table 1 of the CA107831 Final Report, Respondent reported mean log titer values for GM1b for healthy, BHP, and T3/4 CaP patients. These values exactly matched with values published for a different ganglioside, GM1, for healthy, BHP, and T3/4 CaP patients, earlier in the IJC (Table II) and Future Oncology publications. The only exception was the log titer value for T1/2 CaP patients for GM1b (n = 20), which matched with the earlier published mean log titer value for GT1b (6.22 1.40; n = 36). ORI finds the pairwise-difference in the log titer values of GM1b between the T1/2 CaP and healthy patients, claimed to be significant (p<0.01), to therefore be incorrect and false. Respondent contends otherwise.

      4. Because Respondent included serial bleed values from individual patients in Table 1 of the IJC paper, the summary data for anti-ganglioside antibody values, and the statistical analyses derived from them in Tables II and III of the IJC paper, Tables 1 and 2 of the Future Oncology paper, published Tables A and B of the CA107316 final report, and Tables 1 and 2B of the CA107831 final report are incorrect and false. The inclusion of serial bleeds from individual patients in Table 1 of the IJC paper and their inappropriate impact on the antibody values reported in Table II of the IJC paper were reported in detail by Respondent to the Managing Editor in IJC in email communications dated September 24 and 29, 2008.

    Dr. Ravindranath has entered into a Voluntary Settlement Agreement and has voluntarily agreed for a period of 3 years, beginning on July 2, 2012:

      (1) To have any PHS-supported research supervised; Respondent agreed that prior to the submission of an application for PHS support for a research project on which the Respondent’s participation is proposed and prior to Respondent’s participation in any capacity on PHS-supported research, Respondent shall ensure that a plan for supervision of Respondent’s duties is submitted to ORI for approval; the supervision plan must be designed to ensure the scientific integrity of Respondent’s research contribution; Respondent agreed that he shall not participate in any PHS-supported research until such a supervision plan is submitted to and approved by ORI; Respondent agreed to maintain responsibility for compliance with the agreed upon supervision plan;

      (2) That any institution employing him shall submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which Respondent is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived, that the data, procedures, and methodology are accurately reported in the application, report, manuscript, or abstract, and that the text in such submissions is his own or properly cites the source of copied language and ideas; and

      (3) To exclude himself voluntarily from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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    Findings of Research Misconduct

    Notice is hereby given that based on the report of an investigation conducted by Emory University and additional analysis conducted by ORI, ORI found that Sinae Kim, PhD, former Postdoctoral Fellow in the Department of Medicine, engaged in research misconduct in research supported by grants R01HL079137, R01HL084471, R03HL096325, and RC1GM092035.

    ORI also found that the Respondent engaged in research misconduct by falsifying data that were included in 5 manuscripts submitted in 2009 for publication to Blood, Nature, Nature Biotechnology, Nature Medicine, and Science; 1 poster presented at the 2009 AHA meeting; 4 laboratory meeting presentations; 1 image file; 3 funded NIH grants (RC1GM092035, R01HL079137, and R03HL096325); and 5 submitted NIH grant applications (RC1HL100648, RC2HL101600, RC4HL106748, R01HD067130, and U01HL107444). The manuscripts submitted in 2009 were not accepted for publication.

    Specifically, ORI finds that the Respondent knowingly and intentionally:

    1. Falsified 3 figures for immunocytochemistry and alkaline phosphtase (AP) staining images, karyotyping and real-time reverse transcription polymerase chain reaction (RT-PCR) results by using experimental results from her prior work in Korea with human embryonic stem cells (hESCs) to confirm the generation, differentiation, and verification of human induced pluripotent stem cells (iPSCs). The false data were included in:

      a. Figures 1c and 2i (panels 4 & 13) in the Nature 2009, Science 2009, and Nature Biotechnology 2009 manuscripts and Supplementary Figure 4 in the Nature 2009 manuscript
      b. Supplementary Figure 5 in the Nature Biotechnology 2009 manuscript
      c. Figures S1B and S1D (panels 4 & 13) in the Blood 2009 manuscript
      d. Supplementary Figures 8B and 8D (panels 4 & 13) in the Nature Medicine 2009 manuscript
      e. Figure 9 in the RC1 GM092035 grant
      f. Figure 8 in the R01 HL079137 grant
      g. Figure 2 in the RC1 HL100648 grant
      h. Figure 8 in the RC2 HL101600 grant
      i. Figure 3 in the R01 HD067130 grant
      j. Figure 1 in the RC4 HL106748 grant
      k. Figures 1C, 1H, and 1I (panel 3) in the R03 HL096325 grant
      l. Figure 5 in the U01 HL107444 grant m. Figures 2C and 3I (panels 4 & 13) in the poster presented at the 2009 AHA meeting n. The presentations `Figures–Sinae Kim–120808.ppt’ and `Figures– Sinae Kim–121508.ppt’
      o. The image file `HiPS–E1–x100.jpg’

    2. Falsified 1 figure for the real-time RT-PCR data for endogenous SOX2 expression in human iPSCs derived from dermal (HiPS-E1) and cardiac (HiPS-E2) fibroblasts and iPSCs generated from peripheral blood mononuclear cells derived from coronary artery disease patients (HiPS-ECP1, HiPS-ECP2, and HiPS-ECP3) by substituting real-time RT-PCR data for endogenous OCT4 expression in the forementioned cell lines. Specifically, the false data were included in:

      a. Figure 2i (panels 2 & 5) in the Nature 2009, Science 2009, and Nature Biotechnology 2009 manuscripts
      b. Figure S1D (panels 2 & 5) in the Blood 2009 manuscript
      c. Supplementary Figure 8D (panels 2 & 5) in the Nature Medicine 2009 manuscript
      d. Figure 3I (panels 2 & 5) in the poster presented at the 2009 AHA meeting
      e. The presentations “Figures–Sinae Kim–120808.ppt’ and `Figures– Sinae Kim–121508.ppt’

    3. Falsified data in 2 PowerPoint presentations for RT-PCR data of osteogenic-specific gene expression in bone marrow cells by substituting data for RT-PCR data in primary bone-derived and Saos2-osteosarcoma cells.

    4. Falsified 1 figure for the real-time RT-PCR data of OCT4, SOX2, KLF4, c-MYC, NANOG, hTERT, REX1, and GDF3 fold-change expression levels in H1 hESCs, human cardiac and dermal fibroblasts, HiPS-E1, HiPS-E2, HiPS-ECP1, HiPS-ECP2, and HiPS-ECP3 cell lines by substituting data from various other cell lines that did not exist. Specifically, the false data were included in:

      a. Figures 2a-h in the Nature 2009, Science 2009, and Nature Biotechnology 2009 manuscripts
      b. Figure 10 in the RC1 GM092035 grant
      c. Figure 9 in the R01 HL079137 grant
      d. Figure 5 in the R01 HD067130 grant
      e. Figure 3A-H in the poster presented at the AHA meeting
      f. The presentations “Figures–Sinae Kim–120808.ppt’ and `Figures– Sinae Kim–121508.ppt’

    5. Falsified research materials when the Respondent distributed cells to laboratory members that she claimed were chemical/non-viral factor induced-mouse iPSCs and human iPSCs generated from peripheral blood of coronary artery disease patients, when she knew they were of other origin.

    Dr. Kim has entered into a Voluntary Exclusion Agreement (Agreement) and has voluntarily agreed for a period of 2 years, beginning on June 5, 2012:

    • (1) To exclude herself voluntarily from any contracting or subcontracting with any agency of the United States Government and from eligibility or involvement in nonprocurement programs of the United States Government referred to as “covered transactions’ pursuant to HHS’ Implementation (2 CFR part 376, et seq) of OMB Guidelines to Agencies on Governmentwide Debarment and Suspension, 2 CFR part 180 (collectively the “Debarment Regulations’); and
    • (2) To exclude herself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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    Findings of Research Misconduct

    Notice is hereby given that ORI has taken final action in the following case:

    Based on evidence and findings of an inquiry conducted jointly by Brigham and Women’s Hospital and Harvard Medical School and additional evidence gathered by ORI during its oversight review, ORI found that Juan Ma, PhD former Research Fellow, engaged in research misconduct in research supported by P01CA120964.

    ORI found that the Respondent knowingly and intentionally fabricated and falsified data in portions of figures in an unpublished manuscript titled “TSC1 loss synergizes with KRAS activation in lung cancer development and confers rapamycin sensitivity’ by M.-C. Liang, J. Ma, L. Chen, P. Kozlowski, W. Qin, D. Li, T. Shimamura, M.L. Sos, R. Thomas, D. Neil Hayes, M. Meyerson, D.J. Kwiatkowski, and K.-K. Wong, submitted to JCI on August 5, 2008, and in revised form on October 21, 2008. Specifically, Respondent committed research misconduct by knowingly and intentionally:

    • Falsifying and/or fabricating those portions of the immunoblots in JCI manuscript Figure 1C, to show that in TsclL/L and TscL/+ mouse lung cancer cells compared with KRAS induced lung cancer cells, there were reduced Tsc1 and Tsc2 protein levels, reduced phospho-AKT-S473 levels, and increased phospho-S6-S249/244 levels, consistent with the hypothesis that introduction of the Tsc1L gene resulted in mTORC1 activation.
    • Falsifying and/or fabricating those portions of the immunoblots in Figure 3A of the JCI manuscript to show data consistent with the hypothesized TNS null signaling lung tumor cells: Functional loss of Tsc1/Tsc2, high phospho-S6-S249/244 levels, and low phospho-AKT-S473, with recovery of phospho-AKT-S473 after Rapamycin treatment.
    • Falsifying and/or fabricating those portions of the immunoblots in Figure 3B of the JCI manuscript by (i) adding a band in the Tsc2 lane for control cells for the IP blot, and (ii) weakening the Tsc2 band for one of the tumor lysates.
    • Falsifying and/or fabricating immunoblots in Figures 5A and 5B of the JCI manuscript so that the data appeared to indicate that TSC reconstitution in TSC null (TNS) cell lines led to reduction of pS6-S240/244 levels during serum deprivation (in the absence of growth factors), as well as increased pAKT(S473) levels in response to serum stimulation.

    The JCI manuscript was accepted on December 8, 2008 but was withdrawn by one of the authors on January 6, 2009.

    ORI found that Respondent’s knowing and intentional falsification and fabrication of data constitutes research misconduct within the meaning of 42 CFR 93.103. The following administrative actions have been implemented for a period of 3 years, beginning on May 12, 2012:

    (1) Any institution that submits an application for U.S. Public Health Service (PHS) support for a research project on which Respondent’s participation is proposed or that uses him in any capacity on PHS-supported research must concurrently submit a plan for supervision of his duties to the funding agency for approval; the supervisory plan must be designed to ensure the scientific integrity of his research contribution; Respondent must ensure that a copy of the supervisory plan is also submitted to ORI by the institution; Respondent will not participate in any PHS-supported research until such a supervisory plan is submitted to ORI;

    (2) Respondent will ensure that any institution employing him submits, in conjunction with application for PHS funds or any report, manuscript, or abstract of PHS-funded research in which he is involved, a certification that the data provided by him are accurately reported in the application or report; Respondent must ensure that the institution send the certification to ORI; this certification shall be submitted no later than one month before funding and concurrently with any report, manuscript, or abstract; and

    (3) Respondent is prohibited from serving in any advisory capacity to PHS, including but not limited to service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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    Findings of Research Misconduct

    Notice is hereby given tha ORI has taken final action in the following case:

    Based on the report of an investigation conducted by Oregon Health Sciences University and additional analysis conducted by ORI in its oversight review, ORI found that Peter J. Francis, MD, PhD, Associate Professor, Casey Eye Institute, OHSU, engaged in research misconduct in research reported in two grant applications, R01 EY021214-01 and resubmitted as R01 EY021214-01A1.

    Specifically, ORI finds that the Respondent fabricated results of a pilot experiment in which he claimed to have injected retinal pigment epithelial (RPE) cells obtained from Rhesus monkey embryonic stem cells (ECS) into a strain of rats (RCS) that develops retinal degeneration.

    Respondent claimed that after the injection of ECS-derived RPE cells 21 days postnatal, the rats were tested at day 60 postnatal for optomotor acuity, and that the retinal histology of eyes receiving ECS-derived RPE cells, compared to mock-injected controls, showed enhanced photoreceptor preservation and no adverse effects. Respondent admitted that this experiment had not been conducted either by the time the original grant application had been submitted or by the time the later R01 EY021214-01A1 application was submitted.

    Dr. Francis has entered into a Voluntary Settlement Agreement and has voluntarily agreed for a period of 2 years, beginning on March 29, 2012:

    (1) To have his research supervised; Respondent agrees to ensure that prior to the submission of an application for US PHS support for a research project on which the Respondent’s participation is proposed and prior to Respondent’s participation in any capacity on PHS-supported research, the institution employing him must submit a plan for supervision of Respondent’s duties to ORI for approval; the plan for supervision must be designed to ensure the scientific integrity of Respondent’s research contribution; Respondent agrees that he shall not participate in any PHS-supported research after 60 days from the effective date of this Agreement until such a supervision plan is submitted to and approved by ORI; Respondent agrees to maintain responsibility for compliance with the agreed upon supervision plan;

    (2) that this supervisory plan provided by any institution employing him shall provide assurance that each application for PHS funds, or report, manuscript, or abstract involving PHS supported research in which Respondent was involved was based on actual experiments or was otherwise legitimately derived, that the data, procedures, and methodology were accurately reported in the application, report, manuscript, or abstract, and that the text in such submissions was his own or properly cited the source of copied language and ideas; and

    (3) to exclude himself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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    Findings of Research Misconduct

    As reported earlier in the week by Retraction Watch when the Federal Register notice came out, we have a case involving something more than a reseach coordinator, grad student, or postdoc …

    Based on the report of an investigation conducted by SUNY Upstate Medical University and additional analysis conducted by ORI in its oversight review, ORI found that Michael W. Miller, PhD, former Professor and Chair, Department of Neuroscience and Physiology, SUNY UMU, engaged in research misconduct by falsifying and/or fabricating data that were included in grant applications R01AA07568-18, R01AA07568-18A1, R01AA006916-25, and P50AA017823-01 and in the following:

      Miller, M.W., Hu, H. “Lability of neuronal lineage decisions is revealed by acute exposures to ethanol.’ Dev. Neurosci. 31(1-2):50-7, 2009 (“Dev. Neurosci. 2009′)
      Bruns, M.B., Miller, M.W. “Functional nerve growth factor and trkA autocrine/paracrine circuits in adult rat cortex are revealed by episodic ethanol exposure and withdrawal.’ J. Neurochem. 100(5):1115-68, 2007 (“J. Neurochem. 2007′)

        A prepared manuscript submitted to PNAS for publication.

      As a result of its investigation, SUNY UMU recommended that Dev. Neurosci. 2009 and J. Neurochem. 2007 be retracted. Both publications have now been retracted:

      Specifically, ORI finds that the Respondent:

      Falsified Figure 5 in NIH grant application R01 AA07568-18A1 by altering the bar graphs to make the experimental results appear valid and consistent with his hypothesis that ethanol exposure in-utero alters the transition of cells from Pax 6 expression to Tbr2 expression, which is critical to normal brain development. Specifically:

        a. In the VZ/SZ panel (upper row, right), Dr. Miller decreased the values by 50% for the bar graphs representing control and treated mice for “Tbr2,’ “both,’ and “both/Ki-67,’ to falsely report an equivalent frequency of Tbr2 expressing cells in the right and left panels; this result was required for the experiment to appear valid;
        b. In the MGE panel (lower row, right), Dr. Miller altered the bar graphs representing control and treated mice for “Ki-67,’ “Pax6,’ and “both’ to falsely report that ethanol increased the frequency of K-67+ cells and to report an equivalent frequency of Pax expressing cells in the right and left panels.

      Fabricated bar graphs in Supplemental Figure 2 in a manuscript submitted to PNAS and text in the manuscript also appearing in the grant application AA00616-25 to support the hypothesis that ethanol exposure during postnatal weeks 1 and 2 causes specific neuronal cell death in layers II/III and V of the cortex. Specifically, Dr. Miller:

        a. Fabricated bar graphs in Supplemental Figure 2 and related text in the PNAS manuscript to show that in select layers of the cortex, ethanol induced neuronal death occurred in post-natal day 10 (P10) mice;
        b. Included fabricated text in the PNAS manuscript and the grant application citing results of experiments using 15-25-day-old mice treated with ethanol during the second postnatal week, when these mice were never generated.

      Falsified Figure 6 in a manuscript submitted to PNAS by altering data points for the labeling index of caspase3 and TUNEL in cortex layers II/III and V after exposure to ethanol in postnatal day 7 (P7) mice, such that the two assays confirmed each other. The same data were also included as Figure 4 in NIH grant application R01 AA06916 and as Figure 7 in a poster presentation at the 2009 Research Society on Alcoholism.

      Falsified the figure legends and/or text in a published paper and multiple grant applications to support the primary hypothesis of the published paper that gestational alcohol exposure had an effect on brain development by affecting the way neurons differentiate and migrate into the cortex, rather than by changes to cell growth or death. Specifically, Dr. Miller falsely reported the number of animals (n) that were used in figure legends and/or text in the following:

        Figures 2 and 5, Dev. Neurosci. 2009, also included as Figures 3 and 4, respectively, in R01 AA07568-18;
        Figure 4 and Table 2 in P50 AA017823-01

      Falsified Figures 4 and 6 in J. Neurochem. 2007 by altering bar graphs to increase the significance of the effect of ethanol exposure and/or withdrawal on NGF or trkA protein expression, thereby conforming with the paper’s hypothesis that ethanol exposure and withdrawal affect the normal NGF/trkA circuits in cortical layer V. Specifically, Dr. Miller:

        a. Increased the value of the ethanol treated NGF expression in Figure 4 and decreased the value of withdrawal NFG to alter the difference between the two from approximately 2.2% to 11.6%, thereby falsely reporting significance where there was none;
        b. In Figure 6:
        (a) Increased the value of withdrawal trkA data by approximately 70% to falsely report significance with relation to the ethanol treated value and increase significance with relation to the control;
        (b) Increased the value of the ethanol treated phospho-trkA data by approximately 100% to increase the significance with relation to the control;
        (c)Falsely reported the results for Figure 6 as showing a nearly doubled ratio of p-trkA to total trkA after ethanol exposure when there was no increase at all.

      Dr. Miller has entered into a Voluntary Exclusion Agreement. Dr. Miller neither admits nor denies committing research misconduct but accepts ORI has found evidence of research misconduct as set forth above. Dr. Miller has voluntarily agreed:

      (1) To exclude himself voluntarily from any contracting or subcontracting with any agency of the United States Government and from eligibility or involvement in nonprocurement programs of the United States Government referred to as “covered transactions’ pursuant to HHS’ Implementation (2 CFR part 376 et seq) of OMB Guidelines to Agencies on Governmentwide Debarment and Suspension, 2 CFR part 180 (collectively the “Debarment Regulations’) for a period of one (1) year, beginning on February 6, 2012;

      (2) To have his research supervised for a period of two (2) years immediately following the one (1) year period of exclusion; Respondent agrees that prior to the submission of an application for U.S. Public Health Service (PHS) support for a research project on which the Respondent’s participation is proposed and prior to the Respondent’s participation in any capacity on PHS-supported research, Respondent shall ensure that a plan for supervision of Respondent’s duties is submitted to ORI for approval; the supervision plan must be designed to ensure the scientific integrity of Respondent’s research contribution as outlined below; Respondent agrees that he shall not participate in any PHS-supported research until such a supervision plan is submitted to and approved by ORI; Respondent agrees to maintain responsibility for compliance with the agreed upon supervision plan; the requirements for Respondent’s supervision plan are as follows:

        A committee of 2-3 senior faculty members at the institution who are familiar with Respondent’s field of research, but not including Respondent’s supervisor or collaborators, will provide oversight and guidance for two (2) years immediately following the period of exclusion; the committee will review primary data from Respondent’s laboratory on a quarterly basis and submit a report to ORI at six (6) month intervals setting forth the committee meeting dates, Respondent’s compliance with appropriate research standards, and confirming the integrity of Respondent’s research; and
        The committee will conduct an advance review of any PHS grant applications (including supplements, resubmissions, etc.), manuscripts reporting PHS-funded research submitted for publication, and abstracts; the review will include a discussion with Respondent of the primary data represented in those documents and include a certification to ORI that the data presented in the proposed application/publication is supported by the research record;

      (3) That any institution employing him during the two (2) years during which the supervisory plan is in effect shall submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which Respondent is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived and that the data, procedures, and methodology are accurately reported in the application, report, manuscript, or abstract; and

      (4) To exclude himself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant for a period of three (3) years, beginning on February 6, 2012.

    Comments (5)

    Findings of Research Misconduct x 3

    Three notices from ORI, the first particularly instructive in terms of guiding ethical behavior (holding the facility director responsible for oversight) …

    Notice is hereby given that ORI has taken final action in the following case: Based on an inquiry conducted and written admission obtained by Kansas University and additional analysis conducted by ORI in its oversight review, ORI found that Dr. Gerald Lushington, PhD, Director of the K-INBRE Bioinformatics Core Facility and Director of the Molecular Graphics and Modeling Lab, engaged in research misconduct in research supported by P20RR016475. Specifically, ORI found that Respondent engaged in research misconduct by approving publication of 3 articles and 1 abstract he knew contained significant amounts of plagiarized text without attribution or citation from other writers’ published papers. The specific published documents as well as the relevant source documents are:

    • Visvanathan, M., Adagarla, B., Lushington, G., Sittampalam, S., Proceedings of the 2009 International Joint Conference on Bioinformatics, Systems, Biology and Intelligent Computing, 2009, 494-497. Greater than half of the total text was obtained from

      (1) Yang, C.-S., Chuang, L.-Y., Ke, C.-H., Yang, C.-H., International Journal of Computer Science, International Association of Engineers, August 2008 35(3),
      (2) Goffard, N. and Weiller, G., Nucleic Acids Research, 2007, 35L:W176-W181, and
      (3) Chuang, L.-Y., Yang, C.-H., Tu, C.-J., Yang, C.-H., Proceedings of the Joint Conference on Information Sciences, Atlantis Press, October 2006.

      Retracted: Retracted administratively by IEEE on Jan 5, 2011 http://ieeexplore.ieee.org/xpl/freeabs_all.jsp?arnumber=5260432

    • Vijayan, A.; Skariah, B. E., Nair, B.; Lushington, G., Subramanian, S., Visvanathan, M., Proceedings of the IEEE International Conference on Bioinformatics and Biomedicine Workshop, 2009, BIBMW2009, 267-271.

      Approximately 15% of the text was plagiarized from Goffard, N. and Weiller, G., Nucleic Acids Research, 2007, 35L:W176-W181.

      Retracted: Retracted administratively by IEEE on Jan 5, 2011 http://www.computer.org/portal/web/csdl/doi/10.1109/BIBMW.2009.5332106

    • Visvanathan, M., Netzer, M., Seger, M., Adagarla, B. S., Baumgartner, C., Sittampalam, S., Lushington, G., International Journal of Computational Biology and Drug Design, 2009, 2,236-251.

      A complete paragraph of the text was plagiarized from Goffard, N. and Weiller, G., Nucleic Acids Research, 2007, 35L:W176-W181.

    • Adagarla, B., Lushington, G., Visvanathan, M., ISMB International Conference, January 2009; the entire abstract for this poster was obtained by plagiarizing text from Pihur, V., Datta, S., Datta S., Genomics, 2003, 92:400-403.

    Dr. Lushington has entered into a Voluntary Settlement Agreement for a period of 2 years, beginning on December 6, 2011:

      (1) To have any U.S. PHS-supported research supervised; ORI acknowledges that Respondent’s research is currently being supervised by KU; …

      (2) that this annual summary, provided by any institution employing him, shall provide assurance that each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which Respondent was involved, was based on actual experiments or was otherwise legitimately derived, that the data, procedures, and methodology were accurately reported in the application, report, manuscript, or abstract, and that the text in such submissions was his own or properly cited the source of copied language and ideas; and

      (3) to exclude himself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

    ***

    Notice is hereby given that ORI has taken final action in the following case: Based on an inquiry conducted and written admission obtained by Kansas University and additional analysis conducted by ORI in its oversight review, ORI found that Dr. Mahesh Visvanathan, PhD, Research Assistant Professor in the K-INBRE Bioinformatics Core Facility, engaged in research misconduct in research supported by P20RR016475. Specifically, ORI found that Respondent engaged in research misconduct by intentionally and knowingly plagiarizing large amounts of text from other writers’ published papers without attribution or citation in the following 3 papers and 1 abstract. (see list above)

    Dr. Visvanathan has entered into a Voluntary Settlement Agreement for a period of 2 years, beginning on December 20, 2011:

      (1) To have any PHS-supported research supervised; ORI acknowledges that Respondent’s research is currently being supervised by KU; …

      (2) That this annual summary, provided by any institution employing him, shall provide assurance that each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which Respondent was involved, was based on actual experiments or was otherwise legitimately derived, that the data, procedures, and methodology were accurately reported in the application, report, manuscript, or abstract, and that the text in such submissions was his own or properly cited the source of copied language and ideas; and

      (3) To exclude himself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

    ***

    Notice is hereby given that ORI has taken final action in the following case: Based on the report of an investigation conducted by SUNY, Upstate Medical University and additional analysis conducted by ORI in its oversight review, ORI found that Ms. Jennifer Jamieson, former graduate student, Department of Cell and Developmental Biology, engaged in research misconduct in research supported by R01GM047607-18A1 and R01HL70244-05. ORI found that Respondent engaged in research misconduct by falsifying data that were included in grant application R01 GM047607-18A1, in a manuscript submitted for publication to the Journal of Cell Biology, and in several interdepartmental data presentations. Specifically, ORI found that:

      Respondent falsified Figure 1A in a manuscript submitted for publication to the Journal of Cell Biology, by altering immunoprecipitation Western blot data to make this experiment appear that no Vav2 SH2 was associated with PKL 3YF, when in fact it did. In addition, the Respondent falsified five figures depicting Western blots of similar experiments in four laboratory meeting presentations. The purpose of the falsifications was to show that the experimental results were as described when they were not, or to show that the results were of greater significance than they actually were.

      Respondent falsified Figure 3I in a manuscript submitted for publication to the Journal of Cell Biology by falsely labeling a Western blot to indicate levels of expression for various Vav2 mutants, when the experimental data were taken from a completely unrelated experiment.

      Respondent falsified Figure 6A in an interdepartmental laboratory presentation by falsifying Western blot data to falsely depict Paxillin and Hic-5 expression and phosphorylation levels after siRNA treatment.

      Respondent falsified Figure 5 from grant application R01GM047607-18A1 by falsifying Western blot data to support the hypothesis that co-transfection of PKL plus RhoA GEF Vav2 induces RhoA activation and signaling upon plating on fibronectin.

    Ms. Jamieson has entered into a Voluntary Settlement Agreement. Ms Jamieson neither admits nor denies ORI’s finding of scientific misconduct nor any particular finding of fact asserted in support of that finding. The settlement is not an admission of liability on the part of the Respondent. Ms. Jamieson has voluntarily agreed for a period of 3 years, beginning on December 20, 2011:

      (1) To have her research supervised if employed by an institution that receives or applies for U.S. PHS funding; Respondent agrees that prior to the submission of an application for PHS support for a research project on which the Respondent’s participation is proposed and prior to Respondent’s participation in any capacity on PHS-supported research, Respondent shall ensure that a plan for supervision of her duties is submitted to ORI for approval; the supervision plan must be designed to ensure the scientific integrity of Respondent’s research contribution; Respondent agrees that she shall not participate in any PHS-supported research until such a supervision plan is submitted to and approved by ORI; Respondent agrees to maintain responsibility for compliance with the agreed upon supervision plan;

      (2) that any institution employing her shall submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS supported research in which Respondent is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived and that the data, procedures, and methodology were accurately reported in the application, report, manuscript, or abstract; and

      (3) to exclude herself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

    Comments (2)

    Findings of Research Misconduct

    Notice is hereby given that ORI has taken final action in the following case:

    Based on the report of an investigation conducted by UVA and additional analysis conducted by ORI in its oversight review, ORI found that Dr. Jayant Jagannathan, former Resident Physician at UVA Medical Center, engaged in research misconduct by including, in 5 publications, large amounts of text and an illustration that he plagiarized from publications supported by the following NIH grant awards: T32CA09677, P01HL024136, R01HL059157, P50CA090270, M01RR01346, R01CA075979, R01DK064169, R01NS027544, R01NS052406, and K08NS002197 and by intramural funds from the NINDS Surgical Neurosurgery Branch and from NIDCR.

    Publications in which Respondent reported plagiarized material were:

    1. Jagannathan, J., Li, J., Szerlip, N., Vortmeyer, A.O., Lonser, R.R., Oldfied, E.H., Zhuang, Z. “Application and implementation of selective tissue microdissection and proteomic profiling in neurological disease.’ Neurosurgery 64:4-14, 2009 (to be retracted);

    2. Jagannathan, J., Prevedello, D.M., Dumont, A.S., Laws, E.R. “Cellular Signaling Molecules as Therapeutic Targets in the Treatment of Glioblastoma Multiforme.’ Neurosurgical Focus 20(4):E8, 2006 (retracted “due to plagiarism,’ Neurosurgical Focus 30(2):E8r, 2011);

    3. Kanter, A.S., Jagannathan, J., Shaffrey, C.I., Ouellet, J.A., Mummaneni, P.V. “Inflammatory and dysplastic lesions involving the spine.’ Neurosurgical Clinics of North America 19(1):93-109, 2008;

    4. Jagannathan, J., Dumont, A.S., Prevedello, D.M., Oskouian, R.J., Lopes, B., Jane, J.A. Jr, Laws, E.R. Jr. “Genetics of pituitary adenomas: Current theories and future implications.’ Neurosurgical Focus 19(5):E4, 2005 (retracted “due to plagiarism,’ Neurosurgical Focus 30(2):E4r, 2011);

    5. Jagannathan, J. “Role of calcium influx and modulation of local neurotransmitters as hallmarks of pediatric traumatic brain injury.’ Biomarkers Med. 3:95-97, 2009 (retracted online 9/11/ 2010).

    Dr. Jagannathan has entered into a Voluntary Settlement Agreement (Agreement) and has voluntarily agreed for a period of 4 years, beginning on October 20, 2011:

    (1) To have his research supervised; Respondent agreed to ensure that prior to the submission of an application for U.S. PHS support for a research project on which his participation is proposed and prior to his participation in any capacity on PHS-supported research, the institution employing him must submit a plan for supervision of his duties to ORI for approval; the plan for supervision must be designed to ensure the scientific integrity of his research contribution; Respondent agreed that he will not participate in any PHS-supported research after 60 days from the effective date of the Agreement until a plan for supervision is submitted to and approved by ORI; Respondent agreed to maintain responsibility for compliance with the agreed upon supervision plan;

    (2) That any institution employing him must submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which Respondent is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived and that the data, procedures, and methodology are accurately reported in the application, report, manuscript, or abstract;

    (3) To submit a letter to the journal editor for publication 3 (Neurosurgical Clinics of North America) listed above, requesting that the paper be retracted because Respondent had plagiarized portions of text reported in it; the letter must be sent to ORI for approval prior to being sent to the editor; and

    (4) To exclude himself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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    Findings of Research Misconduct

    Notice is hereby given that ORI has taken final action in the following case:

    Based on an inquiry conducted and written admission obtained by the University of Pittsburgh and additional analysis conducted by ORI in its oversight review, ORI found that Ms. Marija Manojlovic, former graduate student, Department of Chemistry, engaged in research misconduct in research supported by P50GM067082, P01CA078039, U54MH074411, and R01AI033506.

    ORI found that the Respondent engaged in research misconduct by falsifying and fabricating the synthesis and spectral data that were included in one poster presentation and in one pre-submission draft of a paper to be submitted for publication.

    Specifically, ORI found that the Respondent knowingly falsified and fabricated the synthesis and characterization, largely in the form of manipulated 1H- and 13C-NMR spectral data, for 5 intermediate steps and the final product, 9-desmethylpleurotin, and presented these false results in a poster, “Efforts Towards the Total Synthesis of Pleurotin,’ presented at the 2011 National Organic Symposium, and in a manuscript, “Total Synthesis of 9-desmethylpleurotin,’ prepared for submission to Angewandte Chemie International Edition.

    Ms. Manojlovic has voluntarily agreed for a period of 3 years, beginning on September 26, 2011:

    (1) To have her US PHS-supported research supervised; Respondent agreed that prior to the submission of an application for PHS support for a research project on which her participation is proposed and prior to her participation in any capacity on PHS-supported research, she shall ensure that a plan for supervision of her duties is submitted to ORI for approval; the supervision plan must be designed to ensure the scientific integrity of her research contribution; Respondent agreed that she shall not participate in any PHS-supported research until such a supervision plan is submitted to and approved by ORI; Respondent agreed to maintain responsibility for compliance with the agreed upon supervision plan;

    (2) That any institution employing her shall submit, in conjunction with each application for PHS funds, or report, manuscript, or abstract involving PHS-supported research in which she is involved, a certification to ORI that the data provided by Respondent are based on actual experiments or are otherwise legitimately derived and that the data, procedures, and methodology are accurately reported in the application, report, manuscript, or abstract; and

    (3) To exclude herself from serving in any advisory capacity to PHS including, but not limited to, service on any PHS advisory committee, board, and/or peer review committee, or as a consultant.

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