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HARVARD MEDICAL SCHOOL
'. :
.
'
John E. Dahlberg, Ph.D., Director
Division of Investigative Oversight
Office for Research Integrity
1101 Wootton Parkway
Suite 750
Rockville, MD 20852
Re: DIO:
Matter
of
Dear Dr. Dahlberg:
CONFIDENTIAL
GRETCHEN BRODNICKI, J .D.
DEAN
FOR FACULTY AND
RESEARCH INTEGRITY
25 SHATTUCK STREET
BOSTON, MAsSACHUSETTS 02115
TEL:
(617) 432-2496
FAX:
(617) 432-7462
GRETCHEN_BRODNICICI@HMS:HARVARD.EDU
June
S
2012
Enclosed please find the fmal determination, final reports and documentary record in the
above-referenced investigation. As you will see, there was a fmding of research misconduct.
Please do not hesitate to contact me at 617-432-2496
or
Gretchen [email protected] if you have any questions or need any additional
information.
Enclosures
cc: Kristin Bittinger (w/o enclosures)
Ellen Berkman, J.D. (w/o enclosures)
Sincerely,
: J ~ 6 ~
Gretchen Brodnicki
Dean for Faculty and
Research Integrity
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A)
(b) (6), (b)(7)(C)
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MASSACHUSEITS GENERAL H O S P I T L ~ HARVARD MEDICAL
SCHOOL
Jeffrey Flier, M.D.
Dean
of
the Faculty of Medicine
Harvard Medical School
25 Shattuck Street
Boston,
MA
02115
Dear Dr. Flier:
PAUL
S
RUSSELL, MD
John Homans Professor
of
Surgery
Harvard
Visiting Surgeon and Chief, Transplantation Unil
Massachusetts General Hospital, Boslon, MA 02114
(617)
726-2801
May 22, 2012
\@V
On behalfof the Harvard Medical School Standing Committee on Facility Conduct, I am
writing to convey to you the recommendation
of the Standing Committee relating to an investigation
into allegations that
in the laboratory
of
, might
have conimitted research misconduct
This matter commenced in October 2007, when Margaret Dale, J.D., former Research
Integrity Officer and Dean for Faculty and Research Integrity at HMS, was notified by Gerianne
Sands, J.D., Associate General Counsel at Fred Hutchinson Cancer Research Center (FHCRC)
that might . The research
reported in was conducted at HMS while in
laboratory. , where
in the Division of Basic Sciences.
The allegations against were first brought forward
by
another former fellow in
laboratory at FHCRC, prepared a detailed
report setting forth allegations against related to . In
addition, provided a series
of
PowerPoint presentations supporting allegations.
After an initial assessment, and in accordance with institutional policies and federal
regulations, a joint inquiry panel was appointed to look into the matter and to report its findings and
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b)
(6)
,
(b)
(7)
(C
)
(b)
(6),
(b)
(7)
(C)
(b) (7)(A)
(b) (7)(A)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A) (b) (6), (b)(7)(C) (b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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PAUL S. RUSSELL, M.D.
conclusions to the Chair of the Standing Committee on Faculty Conduct. The inquiry panel,
comprised
of
Professor ,
Professor and Professor
, reviewed the matter and recommended that it proceed to investigation in accordance
with institutional policies, Public Health Service regulations and the Department of Defense
directive. The Chair
of
the Standing Committee on Faculty Conduct, Paul S. Russell, M.D.,
John Romans Distinguished Professor of Surgery, accepted the recommendations
of
the inquiry
panel and his recommendations were accepted
by
you. The final determinations
of
the inquiry
panel were then forwarded to the respondent, the federal Office of Research Integrity and the
Department
of
Defense.
The members
of
the inquiry panel agreed to serve as members
of
an investigative panel.
The investigative panel was charged with applying the standard for review set forth in 42 CFR
Sec. 50.102 to determine whether committed research misconduct.
1
As detailed in the
attached investigation report, the panel met three times at the end
of
2010 and early 2011 to review
the written submissions
of
the respondent and complainant, to interview and
and to consider the evidence against While the panel reached
preliminary conclusions in March 2011, it held issuance of its draft
report pending its formal inquiry into allegations against a second respondent.
The conclusions of that review did not ultimately alter the findings of the investigative panel.
Consequently, on , a draft report was shared with declined
to comment in .
The panel issued its final report on They concluded that
Specifically, the panel concluded that
.
The Standing Committee met on March 22,2012 to consider the matter. At the meeting, we
reviewed the investigative panel's report and the accompanying documentation, met with the
investigation staff, and interviewed , a representative on behalf of the investigative paneL
1
42 CFR Sec. 50.102 was the regulation in effect when the alleged misconduct occurred. "Misconduct" or
"Misconduct in Science" is defined as fabrication, falsification, plagiarism or other practices that seriously deviate
from those that are commonly accepted within the scientific community for proposing, conducting or reporting
research. It does not include honest error or honest differences in interpretations or judgments of data. The
investigation was conducted in compliance with that standard, but the procedural requirements
of
42 CFR Part
93,
the revised regulation covering misconduct, were followed with respect to the panel's investigative process.
2
(b) (6), (b)
(7)(C)
(b) (6),
(b)(7)
(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (7)(A)(b) (7)(A)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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PAUL S. RUSSELL,
M.D.
Conclusions
Having reviewed and considered carefully the final report
of
the investigative panel,
including the accompanying documentation, we conclude that the work of the investigative panel
was thorough
and fair.
We agree with the conclusion
of
the investigative panel tha
Although we find
In particular, it
does
not
appear from the record that exercised primary data
results were
preliminary.
See
investigation report, exhibit 8,
p.
11). A careful review
of
all primary data
supporting the paper before submission might have
showing the reported This might have
inspired a more careful review of the
Recommendations
We agree with the recommendation of the investigative panel that the Office for Research
Integrity, Department
of
Defense and appropriate institutional officials at HMS be notified
of
the
outcome of this investigation.
We also agree with the panel that FHCRC, and be notified in writing
of the conclusion of this matter.
These are the conclusions and recommendations of the Standing Committee on Faculty
Conduct. Please feel free to call on us if we can be of further assistance.
Enclosures
SjJerel
y
, )
r
Jul
g
~ ~ u / r U J
Paul
S.
Russell, M.D.
Chairperson
3
(b) (6), (b)(7)(C)
(b) (6), (b)
(7)(C)
(b) (6), (b)
(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
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HARVARD MEDICAL SCHOOL
May 29, 2012
Via Email
Dear
CONFIDENTIAL
JEFFREY
S.
FUER, MD
DEAN OF
THE FACULTY OF
MEDICINE
HARVARD MEDICAL
SCHOOL
25 SHATTUCK ST.
BOSTON, MA 02II5
I am writing to inform you of the determinations Harvard Medical School has reached after reviewing and
considering the final conclusions and recommendations of the HMS Standing Committee on Faculty Conduct, as
set forth in their letter to me of as well as the Investigation Panel's report, and the rest of
documentary record
in
this case.
After careful consideration, I have accepted the findings, conclusions, and recommendations of the Standing
Committee and the Investigation Panel.
I also agree with the panel that FHCRC, and be notified in writing
of
the conclusion of this
matter.
If you have any further questions conceming this matter, including any questions about the implementation of the
Standing Committee's recommendations, please contact Gretchen Brodnicki, the HMS Dean for Faculty and
Research Integrity, at Gretchen [email protected], or at 617-432-2496.
Sincerely,
ean
of
the Faculty
of
Medicine
cc: Gretchen Brodnicki
Kristin Bittinger
Ellen Berkman, J.D. (Office
of
the General Counsel)
Enclosures
(
b
)
(
6
)
(b) (6)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
.
. Because the research in
question was conducted while , the HMS Office for Professional
Standards and Integrity (OPSI) took the administrative lead in staffing the matter? The
complainant in this matter is in
. prepared a very detailed report dated November
and provided these materials to the FHCRC panel
in the course of its related review. In addition,
FHCRC secured and sequestered all available
primary data relevant to the inquiry and, in view
of
the jurisdict ion
ofHMS
over the allegations
discussed in this report, provided these data and submissions to HMS.
In compliance with institutional policy and federal regulation,3 was notified
of
commencement
of
the inquiry and provided with our names as proposed members
of
the review
panel. raised no objection to our service on the inquiry panel or to our continued service on
this investigation panel. We are Professor ,
Professor , and
Professor Gretchen Brodnicki, J.D., Research Integrity Officer and
Dean for Faculty and Research Integrity,4 Mortimer Litt, M.D., HMS Senior Scientific
Investigator, Kristin Bittinger, HMS Director of Scientific Integrity,s and
of
the
OPSI also served as staffto the panel.
In
addition, a representative
ofthe
Harvard University
Office
of
General Counsel (Ellen Berkman, J.D.) was available to advise us throughout the
proceedings and attended both inquiry and investigative panel meetings.
3 The inquiry and subsequent investigation were conducted in accordance with the HMS Principles nd Procedures
for
Dealing with llegations ofFaculty Misconduct
and the Public Health Services Rule, 42 CFR Part 93, and the
Department of Defense INSTRUCTION 3210.7 (May 14,2004), which implements Dodd DIRECTIVE 3216.2.
4 Dean Brodnicki arrived at HMS in July 2008.
5 Ms. Bittinger arrived at HMS
in
April 2009.
2
(b) (6), (b)(7)(C)
(b) (6), (b)
(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b)(6),(b)(7)(C)
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CONFIDENTIAL
Although we initially
met
in April 2008 for orientation and document review, the bulk of
the inquiry was conducted through the end
of2009
and early 2010.
6
This panel convened two
meetings
on
March 20,2009 and March
30,2009
to further discuss the allegations, the
documentation, and the available primary image data. Following these
meetings, we requested that
On July 29, 2009, we met in the laboratory of to
review relevant original slides.
7
Following our review
of
the available slides, we posed follow-
up questions with an additional opportunity to respond
that he had not previously addressed. Through counsel,
The allegations under review relate to paper, which reported
on
the
; (ii)
; (iii)
3
(b) (6),
(b)(7)
(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6),
(b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
In a previous paper, using the expressed by
.8 They observed
that the
.
Based on experience derived from this paper,
.
.
The authors reported, as expected, that
Furthermore,
.
. Upon joining group,
4
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)
(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b)
(6),
(b)
(7)
(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6),
(b)(7)
(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
.
9
See Inquiry Report, Exhibit
8,
p.
8).
efforts to gather insight from regarding potential causes for difficulty with
the protocol,
r. Following regarding the discrepancies and the
challenges he encountered in his attempt to follow the protocol, including a trip by
, brought concerns to the attention of
immediately notified institutional officials at FRCRC .
alleges that that had been
. According to
, the real data did not demonstrate
.
set forth
one allegation with numerous subparts identifying specific
manipulations alleged
on
the figures in At the
conclusion
of
the inquiry, we found
.
The final inquiry report was provided to Paul Russell, M.D., Chair
of
the Standing
Committee on Faculty Conduct, for review and approval. Dr. Russell concurred with the
conclusions ofthis panel's inquiry and recommended to Jeffrey Flier, M.D., Dean ofthe Faculty
of
Medicine, Dr. Flier
concurred with Dr. Russell's recommendation (Exhibit 4).
5
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
LLEG TIONS ND FINDINGS
The facts and findings set forth in the inquiry report regarding each allegation are
incorporated by reference into this report. We focus here on the additional information provided
by as each relates to the pending allegations.
however, , to fully understand their
experimental basis one must consider to
explore the
Briefly, the method is supposed to consist
of
the following steps:
13
7
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
A review
of
the literature among members
of this investigation panelled to the following conclusions as
14
15
.
8
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
In summary, to answer the
questions asked This contributed (i)
, (ii)
and (iii)
It must be emphasized that the above reconstruction describes potential sources of human
error, and does not, alone, describe events that fall within the definition
of
research misconduct.
It is very common for scientific assays to detect a combination
of
genuine signal and background
noise; this paper's use of a method that included background labeling does not constitute
scientific misconduct. Scientific research is always limited to the use
of
techniques that are
available at the time: a technique may initially seem promising yet difficult, and remedies may be
attempted that generate artifacts.
16
9
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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10
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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11
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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12
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
13
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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(A)
14
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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(
IS
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
In view
of
our review
ofthe
original sections,
Our review of the original slide that produced figure
21,
however, revealed
A review
of
By simply comparing the
16
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
.
(
CONCLUSIONS
We have reviewed the documentary record relating to against
the numerous submissions from ,
throughout this process, the slides that we were able to locate and review, and the
of
, and In reviewing these materials, we
have been mindful
of
our charge as an Investigation Panel. Mindful
of
that charge, we have
determined that
18
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CONFIDENTIAL
RECOMMEND TIONS
In accordance with the applicable institutional policies and federal regulations and for the
reasons stated above, we recommend this matter be referred to HMS officials with such finding
and a recommendation that OR and DoD be notified.
19
(b) (7)(A)
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List of Zou Exhibits
Exhibit 1:
Exhibit 2: .
Exhibit
3:
Letter
of
Dr. Paul Russell, Chair
of
he Standing Committee on Faculty Conduct,
affinning the decision
of
he Inquiry panel.
Exhibit 4: Deciding Official Letter, signedby Jeffrey Flier, M.D., Dean ofthe Faculty
of
Medicine, following inquiry.
Exhibit
5:
Notification to the Office of Research Integrity (ORI) of decision of Inquiry
Panel to proceed to investigation.
Exhibit 6: Notification to the Department
of
Defense (DoD)
of
decision
of
Inquiry Panel
to proceed to investigation.
Exhibit 7: Transcript
of
testimony of
Exhibit
8:
Transcript of testimony of
Exhibit 9: Transcript of testimony of
Exhibit 10:
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000028
-
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HHS-PSC000029
-
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rticles
(b) (6), (b)(7)(C)
HHS-PSC000030
-
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-
8/10/2019 HHS Combined FOIA Production
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rticles
(b) (6), (b)(7)(C)
HHS-PSC000032
-
8/10/2019 HHS Combined FOIA Production
33/697
rticles
(b) (6), (b)(7)(C)
HHS-PSC000033
-
8/10/2019 HHS Combined FOIA Production
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rticles
(b) (6), (b)(7)(C)
HHS-PSC000034
-
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articles
(b) (6), (b)(7)(C)
HHS-PSC000035
-
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rticles
(b) (6), (b)(7)(C)
HHS-PSC000036
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HHS-PSC000037
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RETRACTION
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000038
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HHS-PSC000039
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MASSACHUSETTS GENERAL HOSPITAL HARVARD
MEDICAL
SCHOOL
PAULS.RUSSELL,M.D. ,
I :
John Homans Distinguished Professor of Surgery .
Wi
~ Harvard m
Senior Surgeon
Massachusetts General Hospital, Boston, MA 02114
(617) 726-2801
May 12,2010
Jeffrey S. Flier, M.D.
Dean
of he
Faculty
of
Medicine
Harvard Medical School
25 Shattuck Street
Boston,
MA
02115
.Dear Dr. Flier:
On
behalfof the
Harvard
Medical
School
StandilJ.g Committee on
Faculty Conduct,
I
am
writing to convey
to
you my recommendation, as chair of he Standing
Committee,
relating to
. allegations former Harvard Medical School (HMS)
As
the attached inquiry report details,
the allegations
in this matter
were
first to HMS's
attention by at Fred Hutchinson Cancer
Research Center (FHCRC) conveyed to
. fonner Research Integrity Officer
and
Dean
for
Facility and Research Integrity
at
HMS
that
in
the _
laboratory of
laboratory moved to FHCRC in 2002. After an initial assessment and
in accordance
with
institutional policies, a joint
inqUlly
panel
was
appointed to look into the matter.
The
inquiry panel
was comprised of Professor
Professor
and
Professor of
The inquiry panel was charged with determining whether or not the
matter warranted a further investigative process. It was detennined that
National Institute of Health and the Department of Defense
and, therefore the matter was subject to the Public Health Services Rule, 42 CFR Part 93 and the
Department ofDefense INSTRUCTION 3210.7 (May 14,2004).
The inquiry panel met in person
on
four
occasions
to review
submitted in support several written responses submitted by
the
respondent and all available onginal
source documentation,
including original croscope slides
sequestered
and
provided through FHCRC. As
indicated
in their report,
the
inquiry
panel
members
concluded
that there was sufficient
evidence to wiimuit
proceeding
to i n v s t i g ~ o n
3
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C) (b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000040
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PAUL S. RUSSELL, MD.
The report
of he
inquiry panel
was
submitted to
me, as chair
of
he
Standing
Committee, on
May
5, 2010 to
consider the matter.
I
reviewed
inquiry
panel's
report and
the
accompanying
documentation.
Conclusion
2
(b) (6), (b)(7)(C)
(b) (7)(A)
HHS-PSC000041
-
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HHS-PSC000042
-
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PAUL S. RUSSELL, M.D.
3
(b) (7)(A)
HHS-PSC000043
-
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PAUL S. RUSSELL, M.D.
Recommendations
I agree with:the inquiry l that
Because NIH and
DOD fimding
was involved, the Office of
Research Integrity (OR ) of he Public Health Service
and
the Department ofDefense should
be .
notified of he decision.
These are the conclusions
and
recommendations
of
he chair, on behalfof he
Standing
Committee
on
Faculty Conduct
Enclosures
4
Sincerely,
P
lliL S w ~
Paul Russell, M.D.
Chair
(b) (7)(A)
(b) (7)(A)
HHS-PSC000044
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HARVARD MEDICAL
SCHOOL
May
25,
2010
VIA ELECTRONIC DELIVERY
CONFIDENTIAL
JEFFREY S.
FLIER,
MD
DI AN 0[' THE FACULTY OF MEDICINE
HARvARD
MEDICAL ScHOOL
25
SHAITUCK ST.
BOSTON, W,A
02II5
I am.
writing to provide you with the
final
conclusions
of
he
HMS
Standing
Committee on
. Faculty Conduct
and
to inform you of he determinations reached by the Harvard Medical
School
after-
reviewing the reports and the documentaIy record in this case, including your
submissions.
After careful
o n s i d e ~ t i o ~
HMS has accepted the findings, conclusions,
and
recommendations
of
he
Chair of he
Standing Committee and the Inquiry
Panel. We
agree
that
further investigation is warranted in this matter
and, as
required by
institutioDal policy, we will be
commencing the investigative process.
Gretchen
Brodnicki, J.D., Dean for Faculty
arid
Research Integrity at the Medical
School,
will
be
in contact with you concerning the investigative process. Please let her know
if you have
any
questions.
Sincerely,
J J J ? ~
Dean of
he
Faculty of Medicine
Enclosure
cc: Gretchen Brodnicki, J.D.
Ellen e r l o n ~ J.D.
~ ~ ~
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000045
-
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HHS-PSC000046
-
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Harvard MedicalSchool .
John
E. Dahlberg, Ph.D., Director
Division of Investigative Oversight
Office for Research Integrity
.1101 Wootton Parkway
.
Suite 750
Rockville, MD
20852
Re:
DIO:
'
Dear Dr. Dahlberg:
CONFIDENTIAL
25
Shattuck
Street
Boston. Massachusetts 021 i 5
(617) 432-3191
FAX:
(617) 432-0566
Office for
Research
Issues
May 25, 2010
I enclose full inquiry panel report , Standing Committee report,
and
determination letter
in the inquiry
of he
allegation
As
you will see, we wil l be proceeding to
.
further
investigation.
Please
do
not hesitate to contact
me
at
617-432-2496 or .
Gretchen
Brodnicki(a),hms.harvard.edu i f
you
have any questions or need any-additional .
information.
Enclosures
cc:
Kristin Bittinger, J.D. (w/o enclosures)
Ellen Berkman, J.D. ( flo enclosures)
Sincerely?
r\..
()
&
~ ~
L . L _ ~ ~ - ~
Gretchen A. Brodnicki
h
Dean for Faculty and
Research Integrity
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000047
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HHS-PSC000048
-
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. _ ...- ............. .
25 Shattuck street
Harvard Medical. School
. .Boston. Massachusetts 02115
(617) 432-3191
CONFIDENTIAL
Mr. Jay Winchester -
Office
of
the
Staff
Judge Advocate .
Medical Research and Development Command
United States Army
Department ofDefense ..
504 Scott Street
Fort Detrick
Frederick, Maryland 21702-5012
FAX: 301-619-5034
FAX: (617) 432-0566
Office
for
Research Issues
May 25, 2010
Re: Research Misconduct Inquiry ofAllegations
Dear Mr. Winchester:
,
,I
I enclo'se the
fujI
inquiry panel report, Standing Committee report, and detennination letter
in the research misconduct inquiry of the allegation As you will see, we
will be proceeding to further investigation.
The data subject to the pending allegations were fimded,
in
part, through a Department of
Army Grant ) and
two
NllI grants The Office for Research
Integrity (ORl) is simultaneously being notified of he results of his inquiry.
Please do not hesitate to contact me at 617-432-2496 or
. Gretchen [email protected] if you have any questions or need any additional
information. . .
Sincerely,
- - 0
I ~ ~ ~ g ~
Gretchen A. Brodnicki
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
HHS-PSC000049
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Enclosures
cc:
Kristin Bittinger, lD w/o enclosures
Ellen
Berkman,
J.D.
w/o
enclosures
2
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HHS-PSC000051
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7
HARVARD
M E D l ~ L
'SOHOOL
OFFICE FOR RESEARCH fSSUES
O
N
FiDENTJAL
(b) (6), (b)(7)(C)
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HARVARD MEDICAL SCHOOL
Transcription of
the
Meeting with
Conducted on October 5,2010
InquiIy Panel Members Present:
Sta ff Members Present: Gretchen Brodnicki (GB), Kristin Bittinger (KB),
Pat Gilligan (PG), and Ellen Berkman (EB).
Witness, by telephone:
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
(b) (6), (b)(7)(C)
HHS-PSC000053
-
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2
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000054
-
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3
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000055
-
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4
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000056
-
8/10/2019 HHS Combined FOIA Production
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5
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000057
-
8/10/2019 HHS Combined FOIA Production
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6
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000058
-
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7
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000059
-
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8
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000060
-
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9
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000061
-
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10
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000062
-
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11
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000063
-
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12
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000064
-
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13
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000065
-
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14
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000066
-
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15
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000067
-
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16
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000068
-
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17
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000069
-
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HHS-PSC000070
-
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HARVARD MEDICAL
SCHOOL
Transcription of the Meeting
with
Conducted on December 17, 2010
InquirY Panel Members Present:
StaffMembers Present: Gretchen Brodnicki (GB), Kristin Bittinger
(KB),
Pat Gilligan (PG), and Ellen Berkman (EB).
Witness, by telephone:
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
(b) (6), (b)(7)(C)
HHS-PSC000071
-
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2
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000072
-
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3
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000073
-
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4
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000074
-
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5
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000075
-
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6
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000076
-
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7
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000077
-
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8
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000078
-
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9
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000079
-
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10
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000080
-
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11
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000081
-
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-
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HHS-PSC000083
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HARVARD
MEDICAL SCHOOL
Transcription of the
Meeting with
Conducted on
March
29, 2011
Inquiry Panel Members Present:
Staff Members Present: Kristin Bittinger, , Ellen Berkman, and Patrick Gilligan.
Witness.
by
web conference:
1
i
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
(b) (6), (b)(7)(C)
HHS-PSC000084
-
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2
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000085
-
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3
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000086
-
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4
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000087
-
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-
8/10/2019 HHS Combined FOIA Production
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6
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000089
-
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7
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000090
-
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8
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000091
-
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9
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000092
-
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10
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000093
-
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11
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000094
-
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12
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000095
-
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13
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000096
-
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-
8/10/2019 HHS Combined FOIA Production
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15
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000098
-
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16
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000099
-
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17
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000100
-
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-
8/10/2019 HHS Combined FOIA Production
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19
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000102
-
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20
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000103
-
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21
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000104
-
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22
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000105
-
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23
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000106
-
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24
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000107
-
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25
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000108
-
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-
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27
(b) (6), (b)(7)(a), (b)(7)(c)
HHS-PSC000110
-
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-
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Page 1 of 1
From:
Sent: Tuesday, January 24, 2012 2:44 PM
To: Bittinger, Kristin
L.
Subject: RE: Confidential: Draft report from HMS panel
Dear Kristin,
Thank you for giving me the opportunity to see the draft report. I do not have any comment
as
I have stated
my
viewes in all previous responses. I deeply apologize for the precious time spent on this by the committee
members.
Sincerely,
>
From: [email protected]
>
To:
>
CC:
[email protected]; [email protected];
> Date: Thu, 22 Dec 2011 17:22:21 -0500
>
Subject: Confidential: Draft report from
HMS
panel
>
>
,
>
> Attached please find a copy of a draft report of the Harvard Medical School Investigation Panel regarding the
allegations I believe
that
you
are
familiar with many of
the
documents referenced within this report,
however, we. are happy to provide you with copies of all of the documents. Harvard Medical School is on break
unti l January 3rd, however, and the hard copy materials will not be sent until
that
time. In view of this, we will
extend your time for review
of
this
draft
report.
>
> We invite you
to
comment and/or respond to the enclosed draft prior to February 3, 2012. Your response
and/or comments will be shared with the Investigation Panel, who may revise the report based on such additional
information. Regardless, all comments will be attached to the report when it is finalized and submitted to the
Standing Committee on Faculty Conduct
for
final recommendation regarding this matter. The Standing
Committee's final recommendations will go to
Dean
Flier, as the deciding official in this matter. You will have an
opportunity to speak directly with
the
Standing Committee if you desire.
>
> Please let me know
if
you have
any
questions. I am happy
to
discuss the process directly with you.
>
> Thank you again for your continued cooperation.
>
>
Regards,
> Kristin
>
> Kristin L Bittinger, M.S., J.D.
>
Director
of
Scientific
Integrity
>
Office for Professional Standards and Integrity
> Harvard Medical School
> 25 Shattuck Street
> Gordon Hall, Suite 210C
>
Boston, Massachusetts 02115
> (617) 432-7769
3/13/2012
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b)(6),(b)(7)(C)
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ase
Tracking System
Page 1 of 1
FOIA 12-0452; Appeal 13-0118
Index
of
ORI Case
l
j
and 2011-29 -
CONFIDENTIAL
FOR FOIA
USE
ONLY
72
Case
Indexes
found.
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION DOCUMENTATION
10102/2007
DALHBERG DALE
CONVERSATION
NONE
DOCUMENT
02/1612008
KRUEGER
PRICE
EMAIL
NONE
PUBLICATION
03/06/2008
KRUEGER
PRICE
EMAIL
RETRACTION AND
PUBLICATION
ARTICLE
12/10/2008
BRODNICKI
LlPSHULTZ
EMAIL
NONE
12/10/2008
LlPSHULTZ
BRODNICKI
EMAIL NONE
04/28/2009
BRODNICKI
LlPSHULTZ
EMAIL NONE
04/28/2009
LlPSHULTZ BRODNICKI
EMAIL
NONE
08/20/2009
BRODNICKI
LlPSHULTZ
EMAIL NONE
https:llori.hhs.gov/intranet/CaseTracking/caseindex _rpt. php
3/2312013
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Case Tracking System Page 2
o 1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS SUMMARY OF DOCUMENTATION
DESIGNATION
DOCUMENTATION
08/27/2009 LlPSHULTZ
BRODNICKI
EMAIL
NONE
11/18/2009 BRODNICKI
HOHMANN EMAIL
NONE
01/12/2010
BRODNICKI
LlPSHULTZ EMAIL
NONE
01/14/2010 LlPSHULTZ CC:BITTINGER
BRODNICKI
EMAIL
NONE
01/19/2010 BRODNICKI
LlPSHULTZ
EMAIL
NONE
03/30/2010 BRODNICKI
LlPSHULTZ EMAIL
NONE
04/13/2010 BRODNICKI
LlPSHULTZ EMAIL
NONE
04/14/2010
LlPSHULTZ
BRODNICKI
EMAIL
NONE
"
05/25/2010
DAHLBERG CC:BITTINGER,
BRODNICKI
LETTER
INQUIRY REPORT
BERKMAN
WI ATTCHMNTS
&
DETERMINATION
https:llori.hhs.gov/intranet/CaseTracking/caseindexJPt.php
3/2312013
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Case Tracking System
Page 3
o 1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION
DOCUMENTATION
LETTER
10107/2010
BRODNICKI LlPSHULTZ EMAIL
NONE
10/21/2010
BRODNICKI LlPSHULTZ EMAIL
NONE
10/21/2010
LlPSHULTZ
BRODNICKI
EMAIL
NONE
10/22/2010
BRODNICKI DAHLBERG EMAIL
NONE
11/19/2010
DAHLBERG EMAIL
NONE
11/24/2010
LlPSHULTZ
BRODNICKI EMAIL
NONE
01/27/2011
ASKORI
EMAIL
NONE
01/27/2011
ASKORI/MAHLER/ROCHEZITAYMAN EMAIL
NONE
01/2712011
ASKORIIDAH LBERG
EMAIL
NONE
https:llori.hhs.gov/intranet/CaseTracking/caseindex_rpt.php 3/2312013
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(b) (7)(A)
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Page 4 o 1
DATE
FILE
TO FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION
DOCUMENTATION
01/30/2011
DAHLBERG
EMAIL NONE
01/30/2011
DAHLBERG
EMAIL
NONE
02/24/2011
DAHLBERG CC:SPRUNG/PRICE
EMAIL
NONE
03/21/2011
DAHLBERG
EMAIL
NONE
SWEM(US
04/11/2011
DAHLBERG CC: EAST
DOJ
EMAIL NONE
ATTRNY)
04/11/2011
SWEM CC:DAHLBERG, ROCHEZ
DAHLBERG
EMAIL NONE
06/08/2011
BRODNICKI
LlPSHULTZ
EMAIL
NONE
07/06/2011
LlPSHULTZ
BRODNICKI
EMAIL
NONE
07/06/2011
BRODNICKI
LlPSHULTZ
EMAIL
NONE
https://ori.hhs.gov/intranet/Case Tracking/caseindex_rpt. php
312312013
HHS-PSC000116
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Page 5 o 1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION
DOCUMENTATION
10/19/2011 LlPSHULTZ BRODNICKI EMAIL
NONE
10/19/2011 KABAK
BRODNICKI EMAIL
NONE
10/19/2011 BRODNICKI
LlPSHULTZ
EMAIL NONE
10/19/2011 BRODNICKI
KABAK
EMAIL
NONE
10/19/2011 KABAK
BRODNICKI EMAIL
NONE
10/24/2011
TABAK, ROCKEY, BAR DAHLBERG EMAIL NONE
10/25/2011
TABAK/ROCKEY/BAR
DIO/ORI MEMO NONE
01/24/2012
BRODNICKI
KABAK
EMAIL NONE
02/01/2012
Brodnicki
Kabak
Email none
02/01/2012
Kabak
Brodnicki Email none
https:llori.hhs.gov/intranet/CaseTracking/caseindexJPt.php
3/23/2013
HHS-PSC000117
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Case Tracking System
Page 6
o
1
DATE
FILE
TO FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION
DOCUMENTATION
02/01/2012
Brodnicki Kabak
Email none
02/01/2012
Kabak Brodnicki
Email none
02/01/2012
SynanlFisher Kabak
Email none
02/27/2012
Rochez, East Cc: Dahlberg Dahlberg
Email None
02127/2012
Brodnicki; Bittinger Cc; Dahlberg Dahlberg
Email
NONE
02/27/2012
Dahlberg; Bittinger Brodnicki
Email NONE
02/27/2012
Brodnicki Cc: Dahlberg
Dahlberg
Email
NONE
05/17/2012
Dahlberg Cc:Swem/Puyce East
Email
none
05/17/2012
East Cc:Fleming/Morgan Dahlberg
Email
none
https:llori.hhs.gov/intranet/CaseTracking/caseindex_rpt. php
3/23/2013
HHS-PSC000118
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(b) (7)(A)
(b) (7)(A)
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Case Tracking System
Page 7
o
1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION DOCUMENTATION
Dahlberg
05/17/2012
Cc: Flem ng/Morgan/Swem/Buyce
East
Email
none
06105/2012
Dahlberg
Brodnicki Letter
Investigation Report
Cc: Bittinger/Berkman/Godin/Kell
and Exhibits
Investigation Report
06/07/2012 East Cc: Dahlberg
Dahlberg
Email
( NOT Attached to
FILE COPY)
06/07/2012
Dahlberg Cc: Swem
East
Email
NONE
06/07/2012 East Cc: Dahlberg
Dahlberg Email
NONE
https:llori.hhs.gov intranetlCaseTracking/caseindex_rpt. php 3123/2013
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(b) (7)(A)
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Case Tracking System
Page 8
o
1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION DOCUMENTATION
06/08/2012 Brodnicki Kabak
Email NONE
06/08/2012 Kabak Brodnicki Email NONE
06/08/2012
Brodnicki Kabak
Letter
NONE
Jan.27 and Jan.
30,2011 email
07/17/2012
Dahlberg
Email exchange between
DIO Director and
Complaint
08/24/2012
Dahlberg Email
https://ori.hhs.gov/intranet/CaseTracking/caseindexJPt.php
3123/2013
HHS-PSC000120
(b) (7)(A)
(b) (6), (b)(7)(C)
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(b) (7)(A)
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Page 9 o 1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
SUMMARY OF DOCUMENTATION
DESIGNATION DOCUMENTATION
082012.pdf
08/27/2012
Dahlberg Email
none
INQUIRY REPORT
05/25/2010
DAHLBERG CC:BITTINGER,
BRODNICKI
WI ATTACHMENTS
LETTER
BERKMAN
& DETERMINATION
LTR
06/05/2012
Dahlberg
Brodnicki Letter
Investigation Report
Cc:Bittinger/Berkman/Godin/Kell and Exhibits
04/02/2012
Taymen Cc: Rochez Schwendinger
Email
NONE
04/10/2012
Dahlberg Cc: Mahler;Rochez; Szakaly
Taymen
Email
NONE
https:llori.hhs.gov/intranet/CaseTracking/caseindexJpt.php
3/23/2013
HHS-PSC000121
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(b) (6), (b)(7)(C)
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Page 1 o 1
DATE
FILE
TO
FROM
TYPE OF
ATTACHMENTS
DESIGNATION
DOCUMENTATION
SUMMARY OF DOCUMENTATION
04/10/2012
Taymen; Cc:Mahler, Rochez, Szakaly,
JD
Dahlberg
Email NONE
08/20/2012
Bradley\Kabak\Wright\Dahlberg
Garfinkel
Email
None
08/20/2012
Bradley, et
al
Garfinkel
Email None
https:llori.hhs.govlintranetICaseTracking/caseindex_rpt.php
312312013
HHS-PSC000122
(b) (7)(A) (b) (7)(A)
(b) (7)(A)
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Dahlberg, John E (HHS/OASH)
From:
Sent:
To:
Cc:
Subject:
Dahlberg, John E (HHS/OASH)
Monday, August
27,2012
11:42
AM
Dahlberg, John E (HHS/OASH)
RE
HMS review panel decision
With the receipt of the Harvard report, DIO has initiated its separate oversight review of the investigation. During this
review, the records are not available to others. DIO staff may wish to discuss this matter
with
you as either a witness or
as the complain 'lnt,
but
we are not at a point where this has yet been discussed. Thank you for your offer
to
assist.
Sincerely,
John Dahlberg,
Ph.D.
Director, Division
of
Investigative Oversight
Office of Research Integrity
240-453-8800
From
Sent Friday, August 24, 2012 2:30 PM
To:
Dahlberg, John E (HHSjOASH)
Subject HMS
review panel decision
Dear Dr. Dahlberg,
I received a note from the HMS review panel
I would like
to request to see the final report from the HMS review panel regarding the investigation in order to comment on
it and help OR conduct a thorough review process.
Regards,
Begin forwarded message:
From:
"Brodnicki, Gretchen A.
II
Subject: Confidential
Date:
August 20, 2012 1 13:05 PM GMT-05:00
To:
1
HHS-PSC000123
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)(b) (6), (b)(7)(C)
(b) (7)(A)(b) (7)(A)
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I attach confidential correspondence
to
you for your review.
Thank you,
Gretchen Brodnicki, J.D.
Dean for Faculty and Research Integrity
Harvard Medical School
25 Shattuck Street, Suite 108
Boston, MA 02115
(t) (617) 432-2496
(f) (617) 432-0566
Gretchen [email protected]
HHS-PSC000124
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Dahlberg. John E (HHS/OASH)
From:
Sent:
To:
Subject:
Attachments:
Dear Dr. Dahlberg,
Friday, August 24,20122:30
PM
Dahlberg, John E (HHS/OASH)
HMS review panel decision
I received a note from the HMS review panel
I would like
to request to see the fmal report from the HMS review panel regarding the investigation in order to comment on
it and help OR conduct a thorough review process.
Regards,
Begin forwarded message:
From:
"Brodnicki, Gretchen A."
Subject: Confidential
Date: August 20, 2012 1 13:05
PM
GMT-05:00
To:
,
I attach confidential correspondence to you for your review.
Thank you,
Gretchen Brodnicki, J.D.
Dean for Faculty and Research Integrity
Harvard Medical School
25 Shattuck Street, Suite 108
Boston, MA 02115
(t) (617) 432-2496
f)
(617) 432-0566
Gretchen [email protected]
1
HHS-PSC000125
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
(b) (7)(A)
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HARVARD MEDICAL SCHOOL
G R E T H ~ N BRODNICKI. J.D.
DEAN
FOR FAcul:n'
AND
RESEARCH INTEGnm
2 SHATTUCK STREET
BOSTON.
l\1ASSACHI1SF,nS 02115
Tn: (617) 432-2496
FAX: (617) 432-7462
[email protected]>.EI>ll
August 20,
20 12
I am writing
to
let you know the resolution of the concerns you raised
to
Harvard Medical
School (HMS) regarding possible research misconduct
A thorough investigation ofyolll' allegations was conducted by an HMS
The same
HMS
faculty panel also conducted a formal inquiry into
yoUI
allegations against
Confidentiality requirements preclude
me
ti OI11 giving you more information about ollr
findings, but I want to assure you that this was a thorough,
fail
and objective process.
review.
Thank
you
for bringing this matter to our attention
and
for
your cooperation with the detailed
Sincerely,
X"
) . v _ ~ t ~ 6 r u 7 J . - G - ~ k
Gl'etcnen Brodnicki
Dean
for
Faculty
and
Research Integrity
HHS-PSC000126
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A)
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Garfinkel, usan
J
(HHS OASH)
From:
Sent:
To:
Cc:
Subject:
FYI on
case
Garfinkel, Susan J (HHS/OASH)
Monday, August 20, 2012 2:24
PM
Bradley, Ann (HHS/OASH)
Kabak, Shara (HHS/OPHS/ORI); Wright, David E (OS/OASH); Dahlberg,
John E (HHS/OASH)
Confidential:
I got a call from Gretchen Brodnicki at Harvard regarding this case. HMS has finished the investigation
The usual HMS process at
the
closure of a case is to inform
the
complainant of
the
outcome, very simply
that findings were made or not. Gretchen called because they are ready to send the complainant this
letter and wanted ORI to know that there may be a public backlash from complainant.
Susan
Susan Garfinkel,
Ph.D.
Office of Research Integrity
Division of Investigative Oversight
Phone: 240-453-8421
1
HHS-PSC000127
(b) (6), (b)(7)(a), (b)(7)(c)
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(b) (7)(A)
(b) (7)(A)
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Dahlberg. John E HHS/OASH)
From:
Sent:
To:
Subject:
Dear Dr. Dahlberg,
Tuesday, July 17, 20121 :31 PM
Dahlberg, John E (HHS/OASH)
misconduct case
I am in contact with the d am aware that the Harvard investigation has a final report
I would also like to see the report from Harvard as soon as possible and offer comments
that may be useful for OR
in
the oversight review and final report. I hope that all the issues ofthis case in
particular are discussed with all relevant parties,
including the
Regards,
On
Jan 30,2011, at
11
:59 AM, Dahlberg, John E (HHS/OASH) wrote:
I will attempt to answer your questions for all of the recipients of this email, as quite likely I would have been
asked to do so in any event. I am sympathetic to your concerns as the complaint in these two cases that the
process has been protracted, and has not reached closure. However, 42 C.F.F
Part
93
is pretty clear that once
allegations are made and considered to meet the definition
of
research misconduct, the inquiry and investigation
process should be overseen by neutral unbiased institutional officials and scientists comprising the committees.
The complainant
mayor
may not be a useful fact witness, depending on circumstances, but has no special
status beyond being a possible fact witness.
f
you fell you have identified additional evidence of possible value
to an ongoing process, the institution is expected to consider it, and if not, OR would do so during its oversight
review that begins after receipt
of
the final investigation report.
You correctly note that the regulation does not require that the complainant be provided all of portions of either
the inquiry or investiqation report for review. It is not a complainant's responsibility to judge the merits
of
the
evidence for or against findings
of
misconduct. Such decisions are quite complex and based on far more that
simply demonstrating that a figure or statement is wrong or falsified.
Sincerely,
1
HHS-PSC000128
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(a), (b)(7)(c)
(b) (7)(A)(b) (7)(A)
(b) (7)(A)
(b) (6), (b)(7)(C)
b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A)
(b) (6), (b)(7)(a), (b)(7)(c)
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John Dahlberg, Ph.D
Director, Divison oflnvestigative Oversight
Office
of
Research Integrity
Sent: Thursday, January 27, 2011 4:32 PM
To:
S
OPHS askORI (HHS/OPHS)
Subject: to Dr. John Dahlberg
This email is directed to the following individual:
John Dahlberg, Ph.D., Director
of
Division oflnvestigative Oversight,
I m writing to ask your opinion regarding PHS Policies on Research Misconduct, 42 CFR Part 93. It states that
a requirement
of
an institution that accepts PHS funds for research includes: A thorough, competent, objective,
and fair response to allegations of research misconduct consistent with, and within the time limits
of
the final
rule, including precautions to ensure that individuals responsible for carrying out any part of the research
misconduct proceeding do not have unresolved personal, professional, or financial conflicts
of
interest with the
complainant, respondent, or witnesses.
I have two questions regarding this policy and would like to hear your opinion.
The underlying presumption is that an institution is inherently biased against making determinations of research
misconduct against its members (or former members) and thus may not want to review all the evidence that
implicates that member. The institution therefore may do what it can to avoid consideration
of
additional
evidence that it becomes aware of, and also attempt to prevent the complainant from seeing the draft report.
Regards,
2
HHS-PSC000129
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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CASE SUMMARY no names):
3
HHS-PSC000130
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. 4 DEPARTMENT OF Illi LTII -
HUM N
SERVICES
+ ~ , . : : : : l .
Office
of
the Assistant Secretary for H
Office
of
Research Integrity
CONFIDENTIAL
June 8, 2012
Gretchen Brodnicki, i l l
Dean for Faculty Research and Research Integrity
Harvard Medical School
25 Shattuck Street
Boston, MA 02115
RE:
Dear
Ms_
Brodnicki:
1101
Wootton Parkway, Suite
750
Rockville, MD 20852
Phone: 240-453-8800
FAX: 301-594-0043
Email: [email protected]
The Division
of
Investigative Oversight DIO), Office of Research Integrity ORl), has
received the report
of
the investigation with attachments, by Harvard Medical School
HHS-PSC000132
(b) (7)(A)
(b) (6), (b)(7)(a), (b)(7)(c)
-
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Kabak, Shara HHS/OPHS/ORI)
From:
Sent:
Brodnicki, Gretchen A. [[email protected]]
Friday, June 08, 2012 1 07
PM
To:
Kabak, Shara (HHS/OPHS/ORI)
Subjec,:
RE: CONFIDENTIAL
Shara,
y apologies - my lette r indicated our internal account numbers, not the official NIH-assigned grant numbers. The two
NIH
grants are as follows:
Please do
not
hesitate to contact me with any further questions.
Thanks,
Gretchen
From:
Kabak, Shara (HHS/OPHS/ORI) [mailto:[email protected]]
Sent Friday, June 08, 2012 11:22 AM
To:
Brodnicki, Gretchen A.
Subject CONFIDENTIAL
Gretchen,
Thank you.
Regards,
Shara
Shara Kabak, PhD
Office of Research Integrity
Division of Investigative Oversight
Phone: 240-453-8800
1
HHS-PSC000133
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A)
(b) (7)(A)
-
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Dahlberg, John E HHS/OASH)
From:
Sent:
To:
Dahlberg,
John
E
HHS/OASH)
Thursday, June 07, 2012 12:24 PM
East,
David USAWAW)
Cc:
Dahlberg,
John E HHS/OASH)
Subject:
RE: Scanned document from Fisher, Raymond HHS/OPHS)
raymond.fisher.os)
David,
with regard
to
ORI s system of records notice, the report can only be release following the
completion of ORI s oversight review and
case
closure.
At
that point, i the FOIA
office or
ORI) receives a
request,
a suitably redacted copy can be sent. For example, i
we
concur
that only
one
finding was
made,
all references to the
other
allegations, analyses, and
findings would
be redacted.
This
is
not
to
day
that
other
legal issues
might trump our
privacy issues, but aside from your interest,
that is how
we would handle a
direct
request.
And
Harvard could choose
to share part or all
of
the
report with the complainant but
is
unlikely to
do
so).
John
-----Original Message-----
From:
East,
David
USAWAW)
[mailto:[email protected]]
sent:
Thursday, June 87,
2812
12:89
PM
To: Dahlberg, John E HHS/OASH)
Cc:
Swem, Judy USAWAW)
Subject: Re: Scanned document from
Fisher,
Raymond HHS/OPHS) raymond.fisher.os)
Original Message
-----
From: Dahlberg, John E HHS/OASH) [mailto:[email protected]]
Sent: Thursday, June 87, 2812 11:59 AM
To: East, David USAWAW)
Cc: Dahlberg, John E HHS/OASH)
Subject:
FW: Scanned document from
Fisher,
Raymond HHS/OPHS) raymond.fisher.os)
Hello David,
Regards, John
John Dahlberg, Ph.D.
Director, Division of Investigative Oversight Office of
Research
Integrity 248-453-8888
248-453-8427 direct)
1
HHS-PSC000134
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
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Dahlberg.
John
E (HHS/OASH)
From:
Sent:
East, David (USAWAW) [[email protected]]
Thursday, May 17, 2012 5:43 PM
To:
Dahlberg, John E (HHS/OASH)
Cc: Fleming, Sheila P (HHS/OASH); Morgan, Tracy S (HHS/OASH); Swem, Judy (USAWAW);
Buyce, Pat (USAWAW)
Subject:
RE: Harvard Investigation
Many
thanks
for
the quick response.
From:
Dahlberg, John E (HHSjOASH) [mailto:[email protected]]
Sent:
Thursday, May 17,
20122:34
PM
To:
East, David (USAWAW)
Cc:
Fleming, Sheila P (HHSjOASH); Morgan, Tracy S (HHSjOASH)
Subject RE: Harvard Investigation
Hello David,
I pinged Harvard
after
receiving
your
email,
as
the report
was due May
1.
I just heard
that
it
should
be
sent early next
week. I
will
be on leave next week,
but
I will ask
DIO staff to
immediately forward a copy of the report and its
attachments as
soon as
it
arrives.
This may be a
time to
be optimistic.
Regards, John
John Dahlberg, Ph.D.
Director, Division of Investigative Oversight
Office of Research Integrity
240-453-8800
From:
East, David (USAWAW) [mailto:[email protected]]
Sent:
Thursday, May 17,
2 ~ 2
2:33 PM
To: Dahlberg, John E (HHSjOASH)
Cc:
Swem, Judy (USAWAW); Buyce, Pat (USAWAW)
Subject Harvard Investigation
Hi Dr. Dahlberg,
Sorry
to
bother
you again,
but
I
wanted
to
see
if
you
have any updates on
the
status
of
the
Harvard investigation report.
Thanks.
David
David R. East
Assistant United States Attorney
United States At torney's Office
Western District of Washington
700 Stewart Street I Suite 5220 I Seattle Washington 98101-1271
a
206-553-1018 1,I;l, 206-553-4073 I [8J [email protected]
1
HHS-PSC000135
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Confidentiality Notice: E-mails from the United States Attorney's Office normally contain confidential and privileged material,
and
are for the
sole
use of the intended recipient. Use or distribution
by
an unintended recipient is prohibited, and may be a violation of law. If you believe tha t you
received this e-mail in error, please do not read this e-mail or any attached items. Please delete the e-mail and all attachments, including any
copies thereof, and inform the sender that you
have
deleted the e-mail, all attachments
and
any copies thereof . Thank you.
HHS-PSC000136
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Fisher, Raymond HHS/OPHS)
From:
Sent:
To:
Subject:
Kabak, Shara (HHS/OPHS/ORI)
Wednesday, February
01,20123:19 PM
Synan, Kyle C (HHS/OASH); Fisher, Raymond (HHS/OPHS)
FW:
From: Brodnicki, Gretchen
A.
[mailto:Gretchen [email protected]
Sent Wednesday, February 01, 2012 10:29 AM
To:
Kabak,
Shara (HHS/OPHS/ORI)
Subject RE:
Thanks so much.
From: Kabak, Shara (HHS/OPHS/ORI) [mailto:[email protected]
Sent
Wednesday, February 01, 2012 10:28
AM
To: Brodnicki, Gretchen A.
Subject
RE:
Gretchen,
Your request
for
an extension is reasonable and we will expect the report on May 1, 2012.
Shara
From: Brodnicki, Gretchen
A.
[mailto:Gretchen [email protected]
Sent Wednesday, February 01, 2012 10: 18 AM
To:
Kabak,
Shara (HHS/OPHS/ORI)
Subject RE:
Shara,
My apologies - I mis-calendared the due date for
our
update, and thought
it
wasn't due until February 20
Please
do not hesitate
to
contact me with any questions.
Thanks,
Gretchen
From: Kabak, Shara (HHS/OPHS/ORI) [mailto:[email protected]
Sent Wednesday, February 01, 20129:11 AM
To: Brodnicki, Gretchen A.
Subject
1
HHS-PSC000137
(b) (7)(A)
(b) (7)(A)
(b) (7)(A)
(b) (7)(A)
(b) (7)(A)
(b) (7)(A)
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Hi
Gretchen,
Regards,
Shara
Shara Kabak, PhD
Office of Research Integrity
Division of Investigative Oversight
Phone: 240-453-8428
HHS-PSC000138
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Kabak, Shara HHS/OPHS/ORI)
From:
Sent:
Brodnicki, Gretchen A [[email protected]]
Wednesday, October 19, 2011 2:55 PM
To:
Kabak, Shara (HHS/OPHS/ORI)
Subject:
RE:
Shara,
Thank you for the extension, and for
your
advice
with
respect
to
the need for two reports. We will handle accordingly.
Thanks,
Gretchen
From: Kabak, Shara (HHS/OPHS/ORI) [mailto:[email protected]]
Sent:
Wednesday, October 19 2011 2:32 PM
To: Brodnicki, Gretchen A.
Subject: RE:
Gretchen,
Thank you for the update. I appreciate the extra work you had to do after interviewing the complainant, and grant you a
9 day extension. We will expect
the
investigation report around January 16 2012.
Please feel free to contact me with any questions.
Regards,
Shara
From: Brodnicki, Gretchen
A.
[mailto:Gretchen [email protected]]
Sent: Wednesday, October 19 2011 1:01 PM
To: Kabak, Shara (HHS/OPHS/ORI)
Subject: RE:
Dear Shara,
t
1
HHS-PSC000140
(b) (7)(A)
(b) (7)(A)
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Thanks,
Gretchen
From: Kabak,
Shara
(HHS/OPHS/ORI) [mailto:[email protected]]
Sent:
Wednesday, October
19 2011 12:38 PM
To: Brodnicki, Gretchen A.
Subject:
Hi
Gretchen,
Thank you,
Shara
Shara Kabak,
PhD
Office
of
Research
Integrity
Division
of
Investigative Oversight
Phone:
240-453-8428
2
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(b) (7)(A)
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Lipshultz, Gary HHS/OASH)
From:
Sent:
To:
Subject:
Gretchen,
Lipshultz, Gary (HHS/OASH)
Wednesday, October 19,
2011
1 39
PM
'8rodnicki, Gretchen A.'
RE: Request for status of 010 Cases
Thank you for your
prompt
reply. The extensions you requested have been granted.
is
listed
as an
unknown
respondent which stemmed from a telephone call with Dr. Dahlberg and Ms. Bit tinge were allegations
of
plagiarism; falsification and fabrication in a presentation. The phone call took place on August
2,
2011.
Gary
From:
Brodnicki, Gretchen
A.
[mailto:Gretchen [email protected]
Sent
Wednesday, October
19
2 111:15 PM
To:
Lipshultz, Gary (HHS/OASH)
Cc: Dahlberg, John E (HHS/OASH)
Subject:
RE:
Request for status
of 1
Cases
Gary and John,
I sincerely apologize. In reviewing the case files, I thought I had responded
to
John about case number Instead,
however, I mistakenly updated Dr. Ambalavanar on case with data about the status
of
I apologize and will
be
correcting that immediately.
In
the meantime, here
is
information our status on these matters, and our requests
for
extensions where necessary:
1
HHS-PSC000142
(b) (7)(A)
(b) (7)(A)
(b) (7)(A)
Non-responsive
NR
NR(b) (7)(A)
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Dahlberg. John E HHS/OASH)
From:
Sent:
To:
Subject:
Dear Mr. Dahlberg
Monday, March 21,20113:16 PM
Dahlberg, John E (HHS/OASH)
request
Thanks
1
HHS-PSC000144
(b) (6), (b)(7)(C)
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Dahlberg. John E HHS/OASH)
From:
Sent:
To:
Cc:
Subject:
Dear Dr. Dahlberg,
Thursday, February 24, 2011 3:52 PM
Dahlberg, John E (HHS/OASH)
Jeff Sprung; Alan - Price
I would like to know whether Fred Hutchinson Cancer Research Center submitted to ORI (or another
government agency) the results
of
their preliminary assessment of
Regards,
On 30 Jan 2011, at 08:59, Dahlberg, John E (HHS/OASH) wrote:
I will attempt to answer your questions for all of the recipients of this email, as quite likely I would have been
asked to do so in any event. I am sympathetic to your concerns as the complaint in these two cases that the
process has been protracted, and has not reached closure. However,42 C.F.F Part 93 is pretty clear that once
allegations are made and considered to meet the definition of research misconduct, the inquiry and investigation
process should be overseen by neutral unbiased institutional officials and scientists comprising the committees.
The complainant mayor may not be a useful fact witness, depending on circumstances, but has no special status
beyond being a possible fact witness. f you fell you have identified additional evidence ofpossible value to an
ongoing process, the institution is expected to consider it, and
if
not, ORI would do so during its oversight
review that begins after receipt of the final investigation report.
You correctly note that the regulation does not require that the complainant be provided all
of
portions
of
either
the inquiry or investiqation report for review. It is not a complainant s responsibility to judge the merits
of
the
evidence for or against findings
of
misconduct. Such decisions are quite complex and based on far more that
1 HHS-PSC000145
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (6), (b)(7)(C)
(b) (7)(A)
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simply demonstrating that a figure or statement is wrong or falsified. I
Sincerely,
John Dahlberg, Ph.D
Director, Divison
of
Investigative Oversight
Office
of
Research Integrity
Sent: Thursday, January 27,2011 4:32 P
To: S OPHS askORI (HHS/OPHS)
Subject: to Dr. John Dahlberg
This email is directed to the following individual:
John Dahlberg, Ph.D., Director of Division oflnvestigative Oversight,
I am writing to ask your opinion regarding PHS Policies
on
Research Misconduct, 42 CFR Part 93.
It
states that
a requirement
of
an institution that accepts PHS funds for research includes: A thorough, competent, objective,
and fair response to allegations
of
research misconduct consistent with, and within the time limits
of
the final
rule, including precautions to ensure that individuals responsible for carrying out any part
of
the research
misconduct proceeding do not have unresolved personal, professional, or financial conflicts
of
interest with the
complainant, respondent, or witnesses.
Regards,
2
HHS-PSC000146
(b) (6), (b)(7)(C)
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(b) (6), (b)(7)(C)
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CASE SUMMARY no names):
3
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(b) (7)(A)
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I will attempt to answer your questions for all of the recipients
of
this email, quite likely I would have been
asked to do so in any event. I am sympathetic to your concerns as the complaint in these two cases that the
process has been protracted, and has not reached closure. However, 42 C.F.F Part 93 is pretty clear that once
allegations are made and considered to meet the definition of research misconduct, the inquiry and investigation
process should be overseen by neutral unbiased institutional officials and scientists comprising the committees.
The complainant mayor may not be a useful fact witness, depending on circumstances, but has no special status
beyond being a possible fact witness. If you fell you have identified additional evidence of possible value to an
ongoing process, the institution is expected to consider it, and
if
not, ORI would do so during its oversight
review that begins after receipt
ofthe
final investigation report.
You correctly note that the regulation does not require that the complainant be provided all of portions of either
the inquiry or investiqation report for review.
It
is not a complainant's responsibility to judge the merits of the
evidence for or against findings of misconduct. Such decisions are quite complex and based on far more that
simply demonstrating that a figure or statement is wrong or falsified.
Sincerely,
John Dahlberg, Ph.D
Director, Divison of Investigative Oversight
Office
of
Research Integrity
From
Sent: Thursday, January 27, 2 114:32 PM
To: OS OPHS askORI (HHS/OPHS)
Subject: to Dr. John Dahlberg
This email is directed to the following individual:
John Dahlberg, Ph.D., Director
of
Division
of
Investigative Oversight,
I am writing to ask your opinion regarding PHS Policies on Research Misconduct, 42 CFR Part 93.
It
states that
a requirement
of
an institution that accepts PHS funds for research includes: A thorough, competent, objective,
and fair response to allegations of research misconduct consistent with, and within the time limits
of
the final
rule, including precautions to ensure that individuals responsible for carrying out any part of the research
misconduct proceeding do not have unresolved personal, professional, or financial conflicts of interest with the
complainant, respondent, or witnesses.
I have two questions regarding this policy and would like to hear your opinion.
2
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Regards,
CASE SUMMARY no names):
3
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(b) (7)(A)
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(b) (6), (b)(7)(C)
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Dahlberg, John E HHS/OASH)
From:
Sent:
To:
Cc:
Dahlberg,
John E
(HHS/OASH)
Sunday, January 30, 2011 12:00 PM
Subject:
Dahlberg,
John E (HHS/OASH)
RE:
to Dr
John
Dahlberg
I
will
attempt
to