NAO 202-735D

SCIENTIFIC MISCONDUCT

Issued 11/26/90; Effective 11/07/90

SECTION 1. PURPOSE.

This Order establishes and provides guidance to the National Oceanic and Atmospheric Administration (NOAA) for handling allegations of scientific misconduct.

SECTION 2. SCOPE.

NOAA strongly endorses the prevailing view expressed by the Department of Health and Human Services (DHHS) in its final regulations, published on August 8, 1989, that grantee institutions should "have the primary responsibility for preventing, detecting, investigating, reporting, and resolving allegations of scientific misconduct" (54 FR 32446). To the maximum extent practicable, NOAA will adopt administrative processes that adequately address allegations of scientific misconduct, both in-house and extra-mural, and report to the Office of Chief Scientist (CS) those investigations where it appears misconduct has occurred.

SECTION 3. BACKGROUND.

.01 Universities and the Federal Government's executive and legislative branches are giving increasing attention to scientific misconduct. Guidance, procedures, and possible legislation are in various stages of consideration or implementation. Particularly relevant is the publication by the DHHS of its recent regulations mentioned in Section 2. of this Order setting forth the responsibilities of its awardee and applicant institutions.

.02 Although reported instances of scientific misconduct appear to represent only a small fraction of the total number of research and training awards funded by the Federal Government and by NOAA in particular, NOAA recognizes that any instance of scientific misconduct is unacceptable and threatens public confidence in the integrity of its programs. NOAA is equally concerned with guarding confidentiality and the reputation of innocent individuals.

SECTION 4. RESPONSIBILITIES/PROCEDURES.

.01 NOAA shall retain the responsibility for monitoring those investigations where it appears that misconduct has occurred. If appropriate and necessary, NOAA shall become involved, particularly in areas where established procedures are lacking. Any person may request NOAA to become involved. When NOAA becomes involved, its procedures should be consistent with any that are in operation at the alleged offender's institution, the

Department of Commerce (DOC), as well as those developed by the DHHS and the National Science Foundation. NOAA involvement will be conducted jointly by the CS and the Office of General Counsel (GC) and where appropriate, coordinated with the DOC.

.02 When NOAA becomes involved, the CS and the GC shall appoint a committee of inquiry consisting of at least three (3) knowledgable NOAA officials giving full consideration to real or apparent conflicts of interest. The committee of inquiry shall complete its inquiry within sixty (60) days and shall submit a written report of its findings and recommendation along with relevant documentation. If the committee finds evidence of activities which should be reported to the Office of Inspector General (OIG) under Department Administrative Order (DAO) 207-10, it shall forward a copy of its report to the OIG for appropriate consideration under that DAO.

.03 If the committee of inquiry finds evidence of misconduct, the CS and the GC may, subject to coordination with the DOC, refer the matter to the accused's institution and/or consider sanctions directly. In appropriate circumstances, sanctions may include denying eligibility for participation in NOAA research programs for a specified period of time. In such circumstances, a further review may be conducted for a period not to exceed 120 days.

.04 NOAA recognizes the need for confidentiality. During an investigation no information other than that ordinarily available under the Freedom of Information Act shall be released by NOAA except to the DOC personnel on a need-to-know basis. If the committee of inquiry finds that an accusation was intentionally dishonest or malicious, it may recommend disciplinary action be taken against the accuser.

.05 NOAA shall ensure that the accused is accorded due process during the investigation including ensuring that the accused is informed of the investigation, is interviewed during it, and has the opportunity to comment on any findings that form the basis for official action.

SECTION 5. EFFECT ON OTHER ISSUANCES.

None.

SIGNED,
Director, Office of Administration

Offices of Primary Interest:
   Office of Chief Scientist (CS)
   Office of General Counsel (GC)