Jennifer -

 Thanks for your own follow-up.  The specifics always bring in a nuance or
two.
 Here are some citations for "misconduct"-related documents and Web sites
that I have found helpful:
(1) all issues of the ORI Newsletter - for example, the current issue
(3/99) includes an article on the recent "Scientific Misconduct: An
International Perspective" conference in which the approaches of four
European countries are contrasted.  One conclusion resonates with today's
RESADM exchange: "After reviewing three cases that led to the creation of
the international commission, (Christophe) Schneider (representing DFG, the
major research funding agency in Germany) said, 'What the three cases have
in common is that none of the institutions involved was prepared for
dealing with the misconduct allegations when they were confronted with
them.  All necessary procedures had to be invented step by step during
their implementation.'"  A second article in the 3/99 issue, "When Can
Institutions Release Case Information?" includes a hypertext reference to
"ORI Addresses Ten Issues in Inquiries and Investigations," (3/95, updated
6/98).
(2) The statutory/regulatory notices that define the relative
responsibilities of awardee (and applicant) institutions and one or more
federal agencies:
(A) "Responsibilities of NIH and Awardee Institutions for the Responsible
Conduct of Research," NIH Guide, Vol. 24, No. 9, 3/10/95 (replacing the
version published in the 12/16/94 NIH Guide) -
<http://www.nih.gov/grants/guide/1995/95.03.10/notice-responsibilit004.html>
(B) the PHS regulation, 42 CFR Part 50, Subpart A (42CFR50.A);
(C) the NSF regulation, 45 CFR Part 689, Section 3 (45CFR689.3).
(3) Throughout the NIH Guide are "Findings of Scientific Misconduct" case
reports, as well as two detailed summaries of the "winning" and "overall"
circumstances - "Summaries of Closed Investigations Not Resulting in
Findings of Misconduct (1994-1997)" at <http://ori.dhhs.gov/summaries.htm>
and "Scientific Misconduct Investigations, 1993-1997" at
<http://ori.dhhs.gov/reports.htm>

Best regards,
Howie
>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>
Howard M. Kaplan, Director
Research Services & Sponsored Programs
Georgia Southern University
P.O. Box 8005, Highway 301 So. Building
Statesboro, GA 30460-8005
Tel. 912-681-5465; FAX. 912-681-0719; e-mail. xxxxxx@gasou.edu
<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<<

At 03:23 PM 4/15/1999 -0400, you wrote:
>I found the citations Howie referred to:
>These are from the ORI Newsletter Volume 4, No. 2, Office of Research
>Integrity, March 1996
>You can locate the e-copy at http://ori.dhhs.gov/vol4no2.htm.
>
>Harry L. June, Ph.D., Indiana University-Purdue University at Indianapolis
>(IUPI). Based on an investigation conducted by IUPI, ORI found that Dr. June
>committed scientific misconduct by falsifying three letters of
>recommendation submitted with and in support of a FIRST Award application to
>the PHS. Dr. June has entered into a Voluntary Exclusion Agreement with ORI
>in which he has accepted ORI's finding and has agreed to exclude himself
>voluntarily, for the three-year period beginning November 21, 1995, from
>serving in any advisory capacity to PHS, including service on any PHS
>advisory committee, board, and/or peer review committee, or as a consultant.
>In addition, Dr. June has voluntarily agreed to accept the administrative
>sanctions imposed by IUPI, which include requirements that Dr. June: (1)
>take a course in research ethics; (2) be supervised by a senior faculty
>member for not less than three years; and (3) submit all grant applications
>to his supervisor for review at least one month prior to the agency deadline
>and to the Dean's office at least two weeks prior to the agency deadline. No
>scientific publications were required to be corrected.
>
>Ruth Lupu, Ph.D., Georgetown University Medical Center (GUMC). Based on an
>investigation conducted by GUMC, ORI found that Dr. Lupu committed
>scientific misconduct by submitting a false letter of collaboration in an
>unfunded application to the PHS. Letters of collaboration are a significant
>factor in the evaluation of applications. Dr. Lupu has entered into a
>Voluntary Exclusion Agreement with ORI in which she has accepted ORI's
>finding and has agreed to exclude herself voluntarily, for the period
>beginning December 6, 1995, and ending January 30, 1997, from serving in any
>advisory capacity to PHS, including service on any PHS advisory committee,
>board, and/or peer review com-mittee, or as a consultant. In addition, Dr.
>Lupu has voluntarily agreed to accept the administrative sanctions imposed
>by GUMC, which include requirements that: (1) a letter of reprimand be
>issued and retained in her personnel file for two years; and (2) her future
>grant applications, proposals, and other publications be subject to special
>monitoring and review for two years. No scientific publications were
>required to be corrected.
>
>Certainly NOT the way I'd like to spend my fifteen minutes of fame!
>
>Jennifer Morgan, M.H.A.
>Director, Office of Grants and Contracts
>Western Psychiatric Institute and Clinic
>University of Pittsburgh Medical Center Health Systems
>3811 O'Hara Street, Pittsburgh PA  15213
>Voice:  412-624-0743  Fax:  412-624-0714

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