ORI’s Procedures Conform to Generally Accepted Standards

ORI developed procedures for handling scientific misconduct cases and implemented them in November 1992. Specifically, ORI procedures meet the PCIE standards by containing explicit statements on the qualifications of staff needed to handle investigations; independence required to conduct investigations; due professional care needed for the work; and other qualitative standards, such as planning, executing, and reporting investigation results. We observed delays in ORI’s handling of misconduct cases. The IG’s report made a number of other recommendations designed to improve ORI’s productivity. The report concluded that implementing such a system would greatly aid in determining whether ORI needs additional investigative staff. Such a plan—particularly if it includes (1) a comprehensive assessment of ORI’s workload and staffing requirements and (2) measures to reduce the case backlog and close cases more quickly—should help ensure an optimum use of resources. Among its fiscal year 1995 management initiatives, ORI has started work on a strategic plan and will begin setting specific performance measures. Conclusion

Since its inception, ORI has made progress in improving its handling of scientific misconduct cases. Scope and Methodology

To assess ORI’s process for handling misconduct cases, we reviewed its written guidance and examined how it screens allegations and conducts investigations and oversight functions.
Why GAO Did This Study

Pursuant to a congressional request, GAO determined whether the Department of Health and Human Services' (HHS) Office of Research Integrity (ORI): (1) has the appropriate policies, procedures, and investigative practices for handling misconduct allegations in a timely; and (2) has any staffing issues that may adversely affect ORI responsiveness.

What GAO Found

GAO found that: (1) ORI has developed and implemented procedures for handling misconduct cases by assessing the qualifications of its investigative staff, the level of independence and professional care needed to conduct investigations, and other qualitative standards for planning, executing, and reporting investigation results; (2) the techniques ORI uses in handling misconduct cases raises a few concerns; (3) despite ORI success in implementing procedures for handling misconduct cases, it continues to experience delays in closing cases; (4) ORI needs a comprehensive assessment of its resources since it faces a substantial case backlog; and (5) ORI has initiated a number of actions to improve productivity and plans to refine its planning processes during fiscal year 1995.