[Federal Register: November 2, 2005 (Volume 70, Number 211)]
[Notices]
[Page 66371-66373]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02no05-61]
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DEPARTMENT OF EDUCATION
Research Misconduct
AGENCY: Department of Education.
ACTION: Notice of policy on research misconduct.
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SUMMARY: The United States Department of Education (Department)
announces the establishment of a policy regarding research misconduct
(Department's Policy). The Department's Policy implements the Federal
Policy on Research Misconduct (Federal Policy) issued by the Executive
Office of the President's Office of Science and Technology Policy on
December 6, 2000 (65 FR 76260).
EFFECTIVE DATE: The Department's Policy is effective December 2, 2005.
FOR FURTHER INFORMATION CONTACT: Brenda Wolff, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 508C, Washington, DC 20208-
5643. Telephone: (202) 219-2067 or by e-mail: Brenda.Wolff@ed.gov.
If you use a telecommunications device for the deaf (TDD), you may
call the Federal Relay Service (FRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in this section.
SUPPLEMENTARY INFORMATION:
Statement of Department of Education Policy Regarding Research
Misconduct
The Department recognizes the significant threat that research
misconduct poses to the integrity, accuracy, and reliability of
research funded by the Federal Government, including research funded by
the Department. As an agency that provides funding for research, the
Department is aware of the importance of establishing throughout the
Government uniform policies and guidelines, to the extent practicable,
as called for in the Federal Policy.
The Federal Policy seeks to establish uniformity among Federal
agencies in several key areas including the adoption of common
definitions of research misconduct and related terms, as well as the
establishment of uniform criteria for determining a finding of research
misconduct (65 FR 76260, 76262, and 76263). In addition, the Federal
Policy recommends that Federal agencies adhere to certain common
policies and procedures in applying their respective research
misconduct policies, including establishing guidelines to ensure fair
and timely procedures for responding to allegations of research
misconduct. The Federal Policy also provides guidance to assist Federal
agencies in determining the appropriate sanctions for research
misconduct.
The Department has determined that the best method of fulfilling
its obligation is to establish a policy that (1) adopts the Federal
Policy and (2) within the framework of regulations governing research
funded by the Department, applies the common definitions and criteria
for responding to allegations of research misconduct.
Adoption of Common Definitions
The Department adopts, and applies to research funded by it, the
definition of research misconduct in the Federal Policy (65 FR 76260
and 76262). Accordingly, the Department applies the following
definitions:
Research misconduct means fabrication, falsification, or plagiarism
in proposing, performing, or reviewing research or in reporting
research results. However, the term does not include honest error or
differences of opinion.
Fabrication means making up data or results and recording or
reporting them.
Falsification means manipulating research materials, equipment, or
processes, or changing or omitting data or results so that the research
is not accurately represented in the research record.
Plagiarism means appropriating another person's ideas, processes,
results, or words without giving proper credit.
Consistent with the Federal Policy, the definition of research for
purposes of the Department's Policy includes all basic, applied, and
demonstration research in all fields, as more fully described in the
Federal Policy (65 FR 76260 and 76263). The definition of research
record as used in the Department's Policy is identical to the
definition used in the Federal Policy (65 FR 76260 and 76263).
Adoption of Common Standards for the Purpose of Finding Research
Misconduct
As stated in the Federal Policy, the Department considers that
research misconduct has occurred if (1) there is a significant
departure from the accepted practices of the relevant research
community; (2) the misconduct occurs as the result of an intentional
act or a knowingly or recklessly committed act; and (3) the allegation
is proven by a preponderance of evidence.
General Responsibilities of the Department and Research Institutions
The Federal Policy describes, in general terms, the
responsibilities that Federal agencies and research institutions share
in responding to research misconduct. For purposes of the Department's
Policy, the Department has adopted the Federal Policy's definition of
research institution (65 FR 76260 and 76263). Thus, this term includes
all organizations, regardless of size, using Department funds for
research, including intramural research conducted for the Department by
employees and contractors.
To the extent that the responsibilities of the Department and
research
[[Page 66372]]
institutions described in the Federal Policy are consistent with the
Department's regulations and Federal law, the Department's Policy,
elsewhere in this document, cites specific provisions that more fully
describe the rights and responsibilities articulated in the Federal
Policy. However, the Department's Policy is not controlling if it is
inconsistent with Federal law, the Department's regulations, or the
terms and conditions of any funding arrangement entered into by the
Department.
A research institution that has internal policies and procedures
for responding to allegations of research misconduct may continue to
rely on those procedures if appropriate. The Department's Policy does
not require a research institution that lacks these types of formal
internal policies and procedures to establish them. However, the
absence of an internal process does not lessen the importance of an
institution's self-policing in the administration of research funded by
the Department. Any research institution that wishes to establish
formal internal policies and procedures should refer to the Federal
Policy's guidance.
The Federal Policy requires a research institution to notify the
funding agency (or agencies in some cases) of an allegation of research
misconduct if (1) the allegation involves Federally funded research (or
an application for Federal funding) and meets the Federal definition of
research misconduct, and (2) if the institution's inquiry into the
allegation determines there is sufficient evidence to proceed to an
investigation. The Federal Policy also obligates a research institution
to immediately notify a Federal agency if public health or safety is at
risk, if agency interests or resources are threatened, if research
should be suspended, or if there is a reasonable indication of possible
civil or criminal violations. Additionally, the Federal Policy requires
a research institution to notify a Federal agency if Federal action is
required to protect the interests of those involved in the
investigation or in situations in which the premature release of
information related to an investigation into research misconduct
requires possible Federal intervention to safeguard evidence and
protect the rights of those involved (65 FR 76260 and 76263). The
Department adopts the Federal Policy with regard to obligatory
notification by research institutions and applies the Federal Policy to
research institutions receiving funding from the Department.
The Department's oversight responsibilities typically reside in the
Principal Office (PO) responsible for making a research grant or
awarding a research contract. Additional oversight responsibility lies
with the Department's Office of Inspector General (OIG).
OIG has independent authority to investigate a research
institution's use of Department funds, as well as to conduct
investigations related to waste, fraud, and abuse in programs funded by
the Department. Anyone wishing to report alleged research misconduct
may use the same hotline established by OIG for persons wishing to
provide information concerning waste, fraud, and abuse. The telephone
number for this hotline is 1-800-MIS-USED; the e-mail address is
oig.hotline@ed.gov. An individual making a report may choose to remain
anonymous.
General Guidelines for Establishing Fair and Timely Procedures
The Federal Policy provides general guidance to assist research
institutions in developing fair and timely procedures for responding to
allegations of research misconduct (65 FR 76260 and 76263). The
guidelines are designed to provide safeguards for informants, as well
as for persons alleged to have committed research misconduct. The
guidelines address the importance of objectivity and expertise among
those within a research institution tasked with reviewing allegations
of misconduct.
Department Regulations Governing Research Misconduct
It is the Department's Policy to pursue vigorously all allegations
of misconduct involving research funded by the Department. While it is
beyond the scope of the Department's Policy to reference every Federal
statute and regulation that could conceivably be used by the Department
or another agency of the Government in responding to allegations of
research misconduct, reference is made in the following sections of
this notice to several specific regulations applicable to research
misconduct. Research institutions that receive Department funds through
grants or contracts are also subject to the specific provisions of the
grant arrangement or contract, as applicable.
1. Grants and Cooperative Agreements. A research institution that
receives a grant or cooperative agreement from the Department to
conduct research is subject to the provisions of the Education
Department General Administrative Regulations (EDGAR). See generally 34
CFR parts 74, 75, 77, 80, 81, 82, 84, 85, 86, 97, 98 and 99.
These regulations describe various remedies available to the
Department, including the temporary withholding of cash payments, the
disallowance of costs, and suspension or termination of the award (see
34 CFR part 74, subpart C, and part 75, subpart G). EDGAR also includes
provisions related to hearings and appeals.
The Department may also initiate a suspension or debarment action
against a research institution, notwithstanding the imposition of any
other enforcement action. The regulations governing suspensions and
debarments for non-procurement matters, including rights of hearing and
appeal, are in 34 CFR part 85. Specifically, under 34 CFR 85.305, the
commission of fraud, forgery, or falsification is grounds for
suspension or debarment.
2. Contracts. A research institution that enters into a contract
with the Department is subject to the provisions of the Federal
Acquisition Regulations (FAR). See generally 48 CFR parts 3400 through
3499. General provisions available to the Department to address
instances of research misconduct under contracts are in 48 CFR part 52.
Additionally with regard to contracts, the Department may initiate a
debarment or suspension action under 48 CFR 9.406 and 9.407.
Research Misconduct Involving Department Employees
The Department's Policy applies to employees of the Department,
each of whom is subject to standards of conduct that apply to research
conducted within the Department. Federal regulations require an
employee to (1) put forth an honest effort in his or her work; and (2)
protect and conserve Federal property and only use that property in
authorized ways (5 CFR 2635.101(b)(5) and (6)). Additionally, an
employee must disclose instances of fraud, waste, abuse, and corruption
(5 CFR 2635.101(b)(11)).
As indicated in the Department's Personnel Manual Instruction
(PMI), possible sanctions for employee misconduct in research may
include suspension or termination from Federal employment (PMI 751-1,
Table of Penalties, item 24). An employee's supervisor has initial
responsibility for responding to employee research misconduct. To
assist supervisors in administering an appropriate remedy, the Merit
Systems Protection Board has established 12 criteria, commonly referred
to as the ``Douglas Factors,'' used in determining the appropriate
penalty. See Douglas v. Veterans Administration, 5 Merit Systems
Protection Board 313 (1981).
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An employee who faces disciplinary proceedings has available a
number of established procedures providing for the employee's rights to
appeal or otherwise challenge a disciplinary matter. These may include
rights under the Merit Systems Protection Board regulations, Equal
Employment Opportunity Commission (EEOC) regulations, and grievance
procedures.
Additional Considerations
The authority and responsibility for responding to allegations and
instances of research misconduct in the Department's programs are
shared among a wide variety of offices within the Department. The
procedures described in this notice for investigating, adjudicating,
and punishing instances of research misconduct are general in nature.
Therefore, it is the Department's Policy to pursue not only the
remedies described in this notice, but, also all legal remedies
available to the Department and other Federal agencies in responding to
instances of research misconduct.
Thus, while the Department's Policy is intended to comply with the
Federal Policy, it is not intended to create, waive, amend, or
otherwise abrogate any statutory or regulatory right that may otherwise
exist or come into existence concerning the subject of research
misconduct.
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or Adobe
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Note: The official version of this document is published in the
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.
(Catalog of Federal Domestic Assistance Number does not apply.)
Dated: October 27, 2005.
Margaret Spellings,
Secretary of Education.
[FR Doc. 05-21874 Filed 11-1-05; 8:45 am]
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