GOVERNMENT REGULATIONS AND PROCEDURES

The Public Health Service and the National Science Foundation have promulgated procedures for the federal agencies themselves in addressing charges of misconduct in science. The federal procedures govern the handling of such charges by the agencies and also serve as a model for universities. Federal procedures are invoked if the university has not investigated alleged misconduct or if the funding agency concludes that the university investigation was inadequate. Federal procedures may also be invoked if the grantee institution lacks the resources and the impartial personnel needed to conduct an investigation. These procedures also apply if the funding agency seeks to impose additional sanctions (Andersen, 1988).

During the period of the panel's study, various administrative and legislative proposals were introduced to organize the government's activities in handling allegations of misconduct in federally supported research programs. The panel was not able to review fully each of these proposals, since some were published late in the deliberative stages of the study.15 Recognizing the evolving character of the organizational programs designed to address misconduct in science, especially in the PHS, the panel did not attempt to define specific procedures for federal agencies or the relationship of individual offices but focused instead on issues pertinent to the roles and responsibilities of government in handling allegations of misconduct in science.

The Health Research Extension Act of 1985 (P.L. 100-504) established legislative authority for PHS regulations and other policies for identifying incidents of misconduct in science involving the use of federal funds. Final regulations were promulgated by PHS in 1989 (DHHS, 1989a). In the intervening years, there was much confusion and uncertainty about the nature of the required policies, the definitions of misconduct that should be incorporated into these policies, and the relationship of institutional responsibilities to those of the oversight agencies. NSF regulations, adopted in July 1987 and revised in May 1991 (NSF, 1987, 1991b), differ from the PHS regulations in some significant matters.

Department of Health and Human Services

The responsibility for handling misconduct in science is divided between two offices in the Department of Health and Human Services (DHHS)—the Office of Scientific Integrity (OSI) and the Office of Scientific Integrity Review (OSIR). The DHHS's Office of Inspector



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