Report on Research Compliance

  1. Institutions Turn to New Workforce Strategies To Counter Effects of Great Resignation

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Jane Anderson  | July 28, 2022 

    Research institutions, struggling with pandemic-induced employee retention and recruitment challenges, are turning to strategies designed to keep adequate staff levels, including remote and hybrid work and methods of developing a pipeline of talent, according to research administrators...

  2. SACHRP Greets Long-Awaited Single IRB Draft Guidance With Gratitude; Seeks Much More Detail

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    Research universities and other organizations have been employing single institutional review boards (sIRBs) for many years. NIH first announced an sIRB policy in June 2016, mandating their use for agency-funded multisite trials as of January 2018. In October 2016, the Secretary’s Advisory Committee on Human Research Protections (SACHRP) developed “points to consider” regarding institutional review boards (IRBs), which it submitted to then-HHS Secretary Sylvia Burwell.[1]...

  3. Breach Costs OK State Nearly $900K; TX System Settles Access Complaint

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    A breach of protected health information (PHI) six years ago caused by a hacker who accessed Medicaid records has cost Oklahoma State University Center for Health Sciences (OSUCHS) an $875,000 fine, and it also must undertake a litany of corrective actions, including the unusual step of appointing a monitor to oversee those efforts.[1]...

  4. In New Report, NSF OIG Shares Details on Misbehaving Investigators, Retraction Fight

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    A lecturer stole others’ remarks and passed them off as his own, yet called his actions “an honest error.” An investigator copied parts of a funding application he was reviewing for the National Science Foundation (NSF) into his own award bid, later falsely blaming his “collaborators” for the plagiarism...

  5. After a Retraction Demand Is Refused, What Then?

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    The most recent semiannual report (SAR) to Congress issued by the National Science Foundation (NSF) Office of Inspector General (OIG) details five misconduct findings NSF made based on prior OIG investigations,[1] as well as cases for which NSF decisions are pending.[2]...

  6. In This Month's E-News: August 2022

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    ◆ An audit of San Francisco State University (SFSU) by the National Science Foundation (NSF) Office of Inspector General (OIG) that tested more than $1.9 million of $13.8 million in costs claimed on 35 awards as of Sept. 2, 2021, found just $260 of unallowable expenses. “We judgmentally selected 50 transactions,” the auditors explained. The largest category of expenses was equipment ($1,162,603), followed by subawards ($379,916), salaries and wages ($122,259), other direct costs ($80,990), materials and supplies ($55,675) and travel ($34,498). The sole unallowable expenditure was part of one award. “In March 2017, SFSU charged NSF Award No. [redacted] for...

  7. RRC E-Alerts: July 14, 2022

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    For the first time since the start of the pandemic, the HHS Secretary’s Advisory Committee on Human Research Protections (SACHRP) will hold an in-person two-day meeting next week. As has been its policy, the meeting will also be webcast. On the agenda for July 20 is a “discussion of the impact of social media use by research subjects,” according to a notice in the July 1 Federal Register. SACHRP will then conduct a “final review of draft recommendations on the ethical and regulatory considerations for the use of artificial intelligence in human subjects research, and commentary on the Request for...

  8. RRC E-Alerts: July 21, 2022

    Report on Research Compliance Volume 19, Number 8. July 28, 2022  | Author: Theresa Defino  | July 28, 2022 

    An audit of San Francisco State University (SFSU) by the National Science Foundation (NSF) Office of Inspector General (OIG) that tested more than $1.9 million of $13.8 million in costs claimed on 35 awards as of Sept. 2, 2021, found just $260 of unallowable expenses. “We judgmentally selected 50 transactions,” the auditors explained. The largest category of expenses was equipment ($1,162,603), followed by subawards ($379,916), salaries and wages ($122,259), other direct costs ($80,990), materials and supplies ($55,675) and travel ($34,498). The sole unallowable expenditure was part of one award. “In March 2017, SFSU charged NSF Award No. [redacted] for $260...

  9. As Ang Heads to Prison, Reports Offer Tactics to Enhance Foreign-Related Enforcement Actions

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    A little less than seven months after pleading guilty to one charge of making a false statement, Simon Saw-Teong Ang, a former University of Arkansas (UA) engineering professor, will report to prison for a one-year-and-a-day term for lying to federal agents about patents he received in China.[1] His 2019 indictment on dozens of counts of wire fraud was unsealed in July 2020.[2]...

  10. GAO: Gaps Plague U.S. Oversight of Foreign 'Risks'

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    Titled Enforcement Agencies Should Better Leverage Information to Target Efforts Involving U.S. Universities, the June 14 report by the Government Accountability Office (GAO) focuses on inappropriate foreign influences or lack of disclosures from the perspective of potential violations of export control laws...

  11. ARPA-H Begins to Take Shape Amid Questions About Scope, Mission, Overlap With NIH

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    NIH’s highest ranking external advisory committee had just heard a spirited, hour-long explanation about the agency’s Advanced Research Project Agency for Health (ARPA-H), punctuated by enthusiastic interjections from Adam Russell, ARPA-H’s acting deputy director, who’d been on the job barely two weeks...

  12. NSF OIG: Penn State Paid Nearly $400K To Settle FCA Allegations, Mischarges

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    Following a $151,000 settlement with the federal government involving alleged misspending on awards from the National Science Foundation (NSF) and three other federal agencies in 2020, Pennsylvania State University (Penn State) subsequently repaid NSF $246,928, RRC has learned...

  13. U. of Vermont Kept Seeing Patients, Protected Records During 2020 Hacking

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    Sometimes numbers tell the most compelling story. So, here are some associated with a cyberattack the University of Vermont Medical (UVM) Center suffered in October 2020 (and, yes, during the pandemic):...

  14. In This Month's E-News: July 2022

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    ◆ Given the already “heavy…burden” faced by small institutions and the National Science Foundation’s (NSF) low award rate, the Council on Governmental Relations (COGR) has asked NSF to delay the use of a biographical template for 12 months and refrain from imposing disclosure requirements at the proposal stage. COGR’s June 13 comments are in response to NSF’s draft Proposal & Award Policies & Procedures Guide (PAPPG), which was published in April. Once finalized, the PAPPG is scheduled to go into effect for funding applications submitted in January. “COGR requests that NSF delay the requirement to use SciENcv exclusively to develop...

  15. RRC E-Alerts: May 19, 2022

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    Three years after auditors for the National Science Foundation (NSF) Office of Inspector General (OIG) issued a report of the University of Delaware (UD) questioning $426,667 in costs, NSF has resolved the findings, mostly in favor of UD. The audit covered Dec. 1, 2013, to Nov. 30, 2016, and encompassed more than $1.8 million of the $82 million in costs. In a three-page letter to UD dated May 12, NSF agreed with $258,467 of the questioned costs, but in a somewhat unusual move, said that “based on alternative documentation reviewed and accepted during resolution, NSF will require repayment of only...

  16. RRC E-Alerts: June 9, 2022

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    HHS has named Adam H. Russell, chief scientist at the Applied Research Laboratory for Intelligence and Security at the University of Maryland, acting director and formally announced the establishment of the Advanced Research Project Agency for Health (ARPA-H), created by Congress to be an independent agency within NIH. In a May 25 announcement, Secretary Xavier Becerra said officials were “ecstatic” about the hiring of Russell, who HHS said will “help launch ARPA-H” and “guide the early stages of building the administrative structure of the agency and oversee the hiring of initial operational staff to ensure the agency is stood up...

  17. RRC E-Alerts: June 16, 2022

    Report on Research Compliance Volume 19, Number 7. June 23, 2022  | Author: Theresa Defino  | June 23, 2022 

    Given the already “heavy …burden” faced by small institutions and the National Science Foundation’s (NSF) low award rate, the Council on Governmental Relations (COGR) has asked NSF to delay the use of a biographical template for 12 months and refrain from imposing disclosure requirements at the proposal stage. COGR’s June 13 comments are in response to NSF’s draft Proposal & Award Policies & Procedures Guide (PAPPG), which was published in April. Once finalized, the PAPPG is scheduled to go into effect for funding applications submitted in January. “COGR requests that NSF delay the requirement to use SciENcv exclusively to develop...

  18. Common, Costly, Preventable? NSF OIG Finds Pearls in Review of 10 Years of Plagiarism Cases

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    When Terry Magnuson resigned in April as research vice chancellor at the University of North Carolina (UNC) at Chapel Hill after admitting to three instances of plagiarism in the resubmission of a funding application, he blamed his “mistake” on being “over-extended” performing his academic duties as well as running a genetics lab.[1]...

  19. Reasons Investigators Gave NSF OIG For Plagiarism,* FY 2007-2017

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | May 26, 2022 

    *Percentages indicate the percentage of the 137 subjects who gave that reason. Because subjects often gave multiple reasons, the sum of the percentages does not equal 100...

  20. NIH Harassment Reporting Mandate Beginning Soon; Agency Issues Updated Case Statistics

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    Starting next month, NIH-funded institutions will no longer have discretion about whether to report that harassment is the reason they’ve requested a change in investigator status on an award. As of July 9, such reporting will be a must, not a “should,” as acting director Larry Tabak put it...

  21. Agencies Share Plans to Implement NSPM-33; NSF Seeks Feedback on PAPPG

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    Since Eric Lander, then-director of the Office of Science and Technology Policy (OSTP), issued implementation guidance for National Security Presidential Memorandum-33 (NSPM-33) just after the first of this year, universities and other institutions have been waiting for details from federal agencies on specific mandates...

  22. FDP Continues Push for Specifics on NSPM-33 Implementation

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    At their first meeting since January, leaders of the Federal Demonstration Partnership (FDP) praised research security guidance issued by the Office of Science and Technology Policy (OSTP) as they had when it emerged earlier this year.[1] But concerns remain, according to comments made by Pamela Webb, University of Minnesota associate vice president for research administration, and Jim Luther, Duke University associate vice president of finance, during the May FDP meeting.[2]...

  23. In This Month's E-News: June 2022

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    ◆ Auditors for the National Science Foundation (NSF) Office of Inspector General (OIG) questioned $35,316 of costs claimed by the University of Idaho (UI) among $42.7 million expended for 50 awards, according to a new audit. The audit encompassed “each award’s inception date through” Sept. 2, 2021, and only proceeded through an “initial phase” because auditors “did not identify any extraordinary circumstances that justified the need for a second audit phase.” According to the May 6 report, among six awards, “auditors found $24,855 in unallowable expenses, $5,446 of inappropriate Award Cash Management $ervice (ACM$) drawdowns, and $5,015 of inappropriately allocated...

  24. RRC E-Alerts: April 28, 2022

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    Perhaps a year or more after the then-director of the HHS Office of Research Integrity (ORI) moved up to join agency leadership, HHS has posted the job opening online at usajobs.gov. The pivotal office that investigates fabrication, falsification and plagiarism in billions of dollars of research funded by the Public Health Service has been without a leader since Elisabeth Handley became HHS principal deputy assistant secretary sometime last year. Appointed ORI director in March 2020, Handley first served as interim director beginning in August 2019. HHS announced Handley’s new job in June of last year, but a misconduct finding in...

  25. RRC E-Alerts: May 5, 2022

    Report on Research Compliance Volume 19, Number 6. May 26, 2022  | Author: Theresa Defino  | May 26, 2022 

    Gongda Xue, formerly a scientist with a Swiss research institute affiliated with the pharmaceutical firm Novartis, was convicted of conspiracy to steal trade secrets from GlaxoSmithKline (GKS) in Pennsylvania, where his sister Yu Xue, worked, Jennifer Arbittier Williams, U.S. Attorney for the Eastern District of Pennsylvania announced May 2. Williams’ office said that from January 2010 to January 2016, Gongda Xue stole “research into anti-cancer products and sent that research to Yu Xue,” while she “stole GSK research into anti-cancer products and sent that to Gongda Xue.”...