Research Misconduct &

Policies for Handling Misconduct

Shine Chang, PhDUT Distinguished Teaching ProfessorDepartment of EpidemiologyDirector, Cancer Prevention

Research Training Program

Responsible Conduct of Research Seminar Series

1. Overview & definitions

2. Participatory case study

3. How to report occurrences

4. Summary

AGENDA

Overview

Why me?– Normal faculty (not an expert)–Want to support others–Want to protect myself, our institution,

trainees & collaborators–Want RCR to be daily practice, incorporated

into best research practices

One of these things is not like the others

• Death• Marriage• Sex• RCR

One of these things is not like the others

• Death• Marriage **• Sex• RCR

Definitions

Research Misconduct

Fabrication, falsification, or plagiarism in proposing, performing, or reviewing research or in reporting research results

Does not include honest error or differences of opinion

Other definitions - See handout

Fabrication - Making up data or results, and

- Recording or reporting them

Falsification - Manipulating research materials, equipment, or processes, or

- Changing or omitting data or results

- Such that the research is not accurately represented in the research

record

Plagiarism - Appropriation of another person’s ideas, processes, results, or words

without giving appropriate credit

***Research misconduct does not include honest error or differences of opinion.

Definitions

7

Significant departure from accepted practices of research community

Conduct committed intentionally, knowingly, or recklessly, and

Allegation of research misconduct can be proven by a preponderance of evidence

Context

8

Allegation(s)

Assessment

Inquiry

Investigation

Institutional action

Research MisconductInstitutional Processes

9

It is every Workforce Member’s responsibility to report violation or potential violation

Failure to report violation or potential violation may subject you to disciplinary action

To report compliance concerns

- Call the Institutional Compliance Office (713-745-6636) - Call the Fraud and Abuse Hotline (1-800-789-4448)

- Call the Privacy Hotline (1-888-337-7497)

IMPORTANT: All discussions and reports treated confidentially and may be made anonymously

Suspected fraud, waste and abuse involving state resourcesState Auditor’s Office Hotline (1-800-892-8348)

Compliance Concerns

10

Office of Research Integrityhttp://ori.hhs.gov

• Misconduct case summaries• Policies & resources

“The Research Clinic”– Interactive training video– Four characters

• Busy oncologist• Clinical research coordinator• Research assistant• IRB chair

Online Learning Tool for Research Integrity & Image Processinghttp://ori.hhs.gov/education/products/RIandImages/default.html

Participatory Case Study

“The Lab,” interactive movie about avoiding misconduct

http://ori.hhs.gov/thelab

Play a role– Kim Park, Grad Student– Hardik Rao, PhD, Postdoc– Dr. Aaron Hutchins, PI– Beth Ridgley, Res Integrity Officer (RIO)

• Now in Spanish & Chinese!

Scenario #1: Boss’ Expectations

Being Hardik Rao, PhD, Postdoc

http://ori.hhs.gov/TheLab/TheLab.shtml

(HP_52)

Key Learning Points

• If unsure of expectations, ask - don’t guess!

• Don’t fall in love w/hypothesis & discard data b/c of what PI wants

• Manipulating data can lead to charges of misconduct

Difficult Discussions?

• What makes raising an issue of misconduct difficult?

• What makes raising such an issue easier?

Scenario #2: Reporting Potential Misconduct

HP_52 (Hardik Rao)

http://ori.hhs.gov/TheLab/TheLab.shtml

Good ideas

• Everybody struggles with work/life “balance” – communicate well

• Sometimes cannot split the difference & make everyone happy

• Keep up w/best practices• Decisions you make can “box you in” to

course of action. Make sure even small decisions are ethical ones.

• Sometimes may have to help someone else “do the right thing”

Key Q’s in Assessing Allegation of Research Misconduct

• Does allegation fit definition of research misconduct?

• Is allegation credible & specific?

If YES to both, then RIO moves forward with “Assessment & Inquiry”

How to report potential research misconduct at MD Anderson?

Chief Compliance Officer (via page operator): 713-792-7090

Institutional Compliance Office: 713-745-6636

Fraud & Abuse Hotline: 800-789-4448

Privacy Hotline: 888-337-7497

Report suspected fraud, waste & abuse involving state resources, call State Auditor’s Office Hotline: 1-800-892-8348

The Cancer Letterhttp://www.cancerletter.com/

Summary

Responsible conduct of research – A daily activity– Involves everyone

Misconduct of research– Avoidable – Not just major events or happens to other people

Resources & help available – here & EW

UT Healthy Science Center at Houston Research Misconduct Traininghttps://www.uth.edu/ctrc/training/investigator-training.htm

US HHS Office of Research Integrityhttp://ori.hhs.gov/general-resources-0

NCI R25T Training Program in Cancer Prevention 4 pre-doctoral trainees; 8 post-doctoral fellows

NCI R25E Student Research Experiences 25 short-term research experiences in cancer prevention for graduate, health professional & undergraduate students$4000/10 weeks + housing subsidy for out of towners

3 Donor-sponsored postdoctoral fellowships

Cancer Prevention Research Training Program @ MD Anderson

www.CancerPreventionTraining.org

Questions?

Comments?