C.F.R. » Title 42 » CHAPTER I—PUBLIC HEALTH SERVICE, DEPARTMENT OF HEALTH AND HUMAN SERVICES › SUBCHAPTER H—HEALTH ASSESSMENTS AND HEALTH EFFECTS STUDIES OF HAZARDOUS SUBSTANCES RELEASES AND FACILITIES › PART 93—PUBLIC HEALTH SERVICE POLICIES ON RESEARCH MISCONDUCT › Subpart D—Responsibilities of the U.S. Department of Health and Human Services

42 C.F.R. § 93.407

HHS administrative actions

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(a) Based on the administrative record, HHS may impose administrative actions that include but are not limited to:

(1) Clarification, correction, or retraction of the research record.

(2) Letter(s) of reprimand.

(3) Imposition of special certification or research integrity assurance requirements to ensure compliance with applicable regulations or terms of HHS grants, contracts, or cooperative agreements.

(4) Suspension of award activities under, or termination of, a PHS grant, contract, or cooperative agreement.

(5) Restriction on specific activities or expenditures under an active PHS grant, contract, or cooperative agreement.

(6) Special review of all the respondent's requests for PHS funding.

(7) Imposition of supervision requirements on a PHS grant, contract, or cooperative agreement.

(8) Certification of attribution or authenticity in all requests for support and reports to PHS.

(9) Prohibition of the respondent in participating in any advisory capacity with the PHS.

(10) Recommending that the relevant agency take adverse personnel action(s), if the respondent is a Federal employee, in compliance with relevant Federal personnel policies and laws.

(b) In connection with research misconduct findings, HHS also may seek to recover PHS funds spent supporting activities involving research misconduct.

(c) Any authorized HHS component may impose, administer, or enforce administrative actions separately or in coordination with other HHS components, including, but not limited to ORI, OIG, and the PHS funding component.

(d) HHS administrative actions under this part do not include suspension or debarment. Regardless of whether HHS administrative actions are imposed under this part, HHS may pursue suspension and debarment under the HHS suspension and debarment regulations.

Notes of Decisions
Cited in 2 cases (1 in the last 5 years), 2016–2021 · leading case: Yuan v. Johns Hopkins Univ., 135 A.3d 519 (Md. Ct. Spec. App. 2016).
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Yuan v. Johns Hopkins Univ., 135 A.3d 519 (Md. Ct. Spec. App. 2016). “42 C.F.R. § 93.407 (a). However, the institutions themselves must provide assurances that they will make "[a]ll reasonable and practical efforts to protect or restore the position and reputation of any complainant, witness, or committee member and to counter potential or actual…”
Houser v. Feldman (E.D. Pa. 2021). “42 C.F.R. § 93.407 (a). The researcher can appeal and contest any of the ORI’s findings to an administrative law judge, the Assistant Secretary for Health in HHS, and a federal court under the Administrative Procedure Act.”
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