[Federal Register Volume 67, Number 83 (Tuesday, April 30, 2002)]
[Notices]
[Pages 21325-21326]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10596]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF VETERANS AFFAIRS


VA Research Misconduct Policy

AGENCY: Department of Veterans Affairs.

ACTION: Notice of Intent to Adopt Federal Research Misconduct Policy.

-----------------------------------------------------------------------

SUMMARY: On December 6, 2000, the Office of Science and Technology 
Policy (OSTP), Executive Office of the President, published a 
notification of a final Federal Policy on Research Misconduct (Federal 
Policy) (65 FR 76260). That policy set forth a definition of ``research 
misconduct'' and provided basic guidelines for responding to 
allegations of misconduct for all federally funded research and 
proposals for such research. Federal agencies that conduct or support 
research, including the Department of Veterans Affairs (VA), are 
required to implement the Federal Policy within one year of the 
policy's issuance (12/6/00).
    The VA hereby publicizes its intent to adopt the Federal Policy on 
Research Misconduct with respect to all research subject to VA 
approval. Operational implementation of the Federal Policy will be 
effected by revising relevant, internal VA procedures to conform to the 
requirements of the Federal Policy. The VA's internal, research 
misconduct policies and procedures will be fully consistent with and 
circumscribed by the Federal Policy. Therefore, to the extent that the 
Federal Policy was published in the Federal Register subject to notice 
and comment requirements, no additional substantive policies affecting 
the public will be created by the VA's internal, research misconduct 
policies and procedures.
    These policies and procedures will apply only to allegations of 
research misconduct as defined herein. Other ``research improprieties'' 
are handled according to separate, extant VA policies and procedures.

FOR FURTHER INFORMATION CONTACT: Peter Poon, Health Science Specialist, 
Office of Research Compliance and Assurance, 811 Vermont Ave., NW., 
(10R), Suite 574, Washington, DC 20420, (202) 565-8107.

SUPPLEMENTARY INFORMATION: The VA's internal, research misconduct 
policies and procedures will be fully consistent with and circumscribed 
by the Federal Policy.
    I. Research Misconduct Defined. Under VA policies and procedures, 
the definition of ``research misconduct'' will strictly adhere to that 
of the Federal Policy. Moreover, the component terms ``fabrication'', 
``falsification'', ``plagiarism'', and ``research'' shall be defined as 
by the Federal Policy.
    II. Findings of Research Misconduct. The Federal Policy standard 
for making a finding of research misconduct will be adopted by the VA. 
Specifically, a finding of research misconduct will require that:
     There be a significant departure from accepted practices 
of the relevant research community; and
     The misconduct be committed intentionally, or knowingly, 
or recklessly; and
     The allegation be proven by a preponderance of evidence.
    III. Responsibilities of the VA and Local Research Facilities 
Conducting VA Research. Local VA Medical Centers (VAMCs) and their 
affiliates that conduct VA research will bear primary responsibility 
for the prevention and detection of research misconduct within their 
own facilities and conducting inquiries and investigations when 
required. However, the VA's Office of Research Compliance and Assurance 
(ORCA), through one of its Regional Offices (RO), may conduct its own 
inquiry or investigation for reasons specified in the Federal Policy. 
Further clarification on the roles and responsibilities of the VAMCs 
and VA Central Office will be set forth in appropriate VA directives 
and guidelines.
    IV. Fair and Timely Procedures.
     Safeguards for Informants. VA policies and procedures will 
include provisions for protecting informants who make good faith 
allegations of research misconduct to appropriate authorities or who 
cooperate in good faith with inquiries or investigations of research 
misconduct.
     Safeguards for Respondents. VA policies and procedures 
will include provisions for protecting the rights of those who are the 
subject of research misconduct allegations, including timely 
notification, reasonable access to the data and other evidence 
supporting the allegations, and the opportunity to respond to 
allegations, evidence, and proposed findings of research misconduct (if 
any).
     Objectivity, Fairness, and Expertise. VA policies and 
procedures will include provisions for ensuring objectivity, fairness, 
and expertise in the review of allegations.
     Timeliness. VA policies and procedures will include 
provisions establishing reasonable time limits for the conduct of the 
inquiry, investigation, adjudication, and appeal phases (if any), with 
allowances for appropriate extensions.
     Confidentiality during the Inquiry, Investigation, and 
Decision-Making Process. VA policies and procedures will place limits 
on public disclosure of the identity of respondents and informants 
consistent with a fair and thorough investigation and as allowed by 
law.
    V. VA Administrative Actions. The VA will consider the seriousness 
of the misconduct in deciding what administrative actions are 
appropriate. If it believes that criminal or civil fraud violations may 
have occurred, the VA

[[Page 21326]]

will promptly refer the matter to the Inspector General for the VA.

    Dated: April 23, 2002.

    (Authority: 65 FR 76260)
Anthony J. Principi,
The Secretary of Veterans Affairs.
[FR Doc. 02-10596 Filed 4-29-02; 8:45 am]
BILLING CODE 8320-01-P