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Scientific Misconduct: Part I - The Federal Rules (cont'd)

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Sanctions (PHS proposed rule 1.10)

Factors that should be considered in determining appropriate sanctions include but are not limited to the following:

(a) Need for reasonable consistency in the application of sanctions, i.e., violations of the same type or degree generally would call for the same kind of sanction(s);
(b) The nature of the misconduct, i.e., was the violation deliberate, the result of carelessness, or was it caused by factors that might not have been reasonably foreseen or controlled;
(c) Whether the incident of misconduct was an isolated event or part of a pattern; and
(d) The degree of seriousness or gravity of the violation (e.g., were data fabricated or falsified, or was human life or well-being jeopardized).

The sanctions listed below are not all-inclusive, and are provided for guidance. They are classified by degree of severity, ranging from those that constitute minimal restrictions (Group I) to those that are the most restrictive (Group III). They do not include possible criminal sanctions and/or civil monetary penalties, which may be applicable in some cases. In addition to the following sanctions, PHS may also seek to recover funds if they were expended for research that was fabricated, falsified or otherwise invalid because of misconduct in science and recovery from the institution is otherwise deemed appropriate. In accordance with statutory and regulatory authority, such recovery may be sought through cost disallowances, negotiation with the institution, offset against other PHS grants to the institution or through a civil recovery action in Federal Court.

Group I Sanctions

Group II Sanctions

Group III Sanctions

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