Policies and Procedures for Responding to Allegations of Research Misconduct I. Kirstin HolzschuhExecutive Director, Research Integrity and Oversight (RIO) Office kmholzschuh@uh.edu 713-743-9740. ©2021 University of Houston. The Deciding Official may request that the RIO reconvene the investigation committee to review the appeal, or may require that a separate committee be convened to reopen the matter. Include the actual text or an accurate summary of the views of any individual(s) found to have engaged in misconduct as well as a description of any sanctions imposed and administrative actions taken by the University. Comments on the report by the respondent or complainant. RESEARCH MISCONDUCT . Limit disclosure of the identity of respondents and complainants to those who need to know in order to carry out a thorough, competent, objective, and fair research misconduct proceeding, Except as otherwise prescribed by law, limit the disclosure of any records or evidence from which research subjects might be identified to those who need to know in order to carry out a research misconduct proceeding, Use written confidentiality agreements or other mechanisms to ensure that the recipient makes no further disclosure of identifying information, Notifying those individuals aware of or involved in the investigation of the final outcome, Publicizing the final outcome in any forum in which the allegation of research misconduct was previously publicized, Expunging all reference to the research misconduct allegation from the respondent's personnel file, Additional monitoring of the research process and the handling of federal funds and equipment, Reassignment of personnel or of the responsibility for the handling of federal funds and equipment, Additional review of research data and results or delaying publication, Health or safety of the public is at risk, including an immediate need to protect human or animal subjects, HHS or NSF resources or interests are threatened, There is a reasonable indication of possible violations of civil or criminal law, Federal action is required to protect the interests of those involved in the research misconduct proceeding, The research misconduct proceeding may be made public prematurely, and HHS action might be necessary to safeguard evidence and protect the rights of those involved, The research community or public should be informed, Obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding. Based on the comments from the respondent, the committee may revise the draft report as appropriate and prepare it in final form. All employees or individuals associated with NC State University should report observed, suspected, or apparent research misconduct to the Research Integrity Officer, who is appointed by the Vice Chancellor for Research and Innovation. Research means a systematic experiment, study, evaluation, demonstration or survey designed to develop or contribute to general knowledge (basic research) or specific knowledge (applied research) relating broadly to public health by establishing, discovering, developing, elucidating or confirming information about, or the underlying mechanism relating to, biological causes, functions or effects, diseases, treatments, or related matters to be studied. Procedure for Responding to Allegations/ Complaints of Research Misconduct. Depending on the particular circumstances and the views of the respondent, the RIO should consider: Throughout the research misconduct proceeding, the RIO will review the situation to determine if there is any threat of harm to: In the event of such a threat, the RIO will, in consultation with other institutional officials and ORI, or NSF Office of Inspector General (OIG) as applicable, take appropriate interim action to protect against any such threat[10]. Assessing allegations of research misconduct to determine if they fall within the definition of research misconduct and warrant an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified; Overseeing inquires and investigations, including the appointment of inquiry and investigation committees; Providing resources necessary to carry out inquiries and allegations; and, Other responsibilities described in this policy, Will cooperate with the RIO, other institutional officials, and appointed committees in the review of allegations and the conduct of inquiries and investigations. The scope of the inquiry is not required to, and does not normally include: However, if a legally-sufficient admission of research misconduct is made by the respondent, misconduct may be determined at the inquiry stage if all relevant issues are resolved. This policy refers to all research and scientific inquiry conducted by employees, students, and affiliates of The advisor’s role does not extend to investigation or assessment of the allegation. Plagiarism of research records produced in the course of PHS-supported research, research training or activities related to that research or research training. When the case involves federal sponsor funds, the University cannot accept an admission of research misconduct as a basis for closing a case or not undertaking an investigation without prior approval from the federal sponsor. The RIO must notify ORI in advance if there are plans to close a case at the inquiry, investigation, or appeal stage on the basis that: The RIO will maintain “records of research misconduct proceedings” as defined by 42 CFR 93.317[37]. In December 1997, the Medical Research Council, the major source of support for biomedical research in the UK, adopted a policy and procedure for responding to allegations of misconduct. ALLEGATIONS OF RESEARCH MISCONDUCT POLICY _____ Contact: Chief Research & Sponsored Programs Officer/AVP, 116 Wright Hall. Secures and maintains (for 7 years after the termination of the inquiry) sufficiently detailed documentation of the inquiry to permit a later assessment by ORI of the reasons why an investigation was not conducted, Provides these documents upon request from ORI or other authorized HHS personnel, Develop a factual record by exploring the allegations in detail. Appropriate research sponsor personnel and, if federal funds are involved, federal sponsor personnel will be given access to the records upon request. Good faith as applied to a complainant or witness means that he or she believes in the truth of his or her allegation or testimony and that a reasonable person in the same position would agree, based on the information known to the complainant or witness at the time. The committee will use diligent efforts to ensure the investigation is thorough and sufficiently documented. Investigation means the formal examination and evaluation of all relevant facts to determine if research misconduct has occurred and, if so, to determine the responsible person and the seriousness of the research misconduct. When a final decision on the case has been reached, the RIO will notify both the respondent and the complainant in writing. Sample Policy & Procedures for Responding to Research Misconduct Allegations. [39] 42 CFR 93.300(g), 42 CFR 93.403(b) and (d), 45 CFR 689.9(a). Despite the unpleasant situation, all correspondence with editors and/or author(s) should remain objective and kind. If ORI or the institution, following consultation with ORI, determines that the alleged misconduct, if it occurred, would possibly have a substantial adverse effect on the health or safety of the public. Date Effective: April 26, 2020 . 1.2. The assessment period will be brief, preferably conducted within 2-3 weeks. At any time, an institutional member may have confidential discussions and consultations about concerns of possible misconduct with the RIO and will be counseled about appropriate procedures for reporting allegations. The investigation will also determine whether there are additional instances of possible research misconduct that would justify broadening the scope beyond the initial allegations. A good faith effort from the RIO to notify the respondent in writing at the time or before beginning an inquiry; An opportunity to comment on the inquiry report and have his/her comments attached to the report; Be notified of the outcome of the inquiry, and receive a copy of the inquiry report that includes a copy of the University’s and any federal sponsor policies and procedures on research misconduct; Be notified in writing of the allegations to be investigated within a reasonable time after the determination that an investigation is warranted, but before the investigation begins (within 30 days after the University decides to begin an investigation), and be notified in writing of any new allegations not addressed in the inquiry or in the initial notice of investigation, within a reasonable time after the determination to pursue those allegations; Be interviewed during the investigation, have the opportunity to correct the recording or transcript, and have the corrected recording or transcript included in the record of the investigation; Have interviewed during the investigation any witness who has been reasonably identified by the respondent as having information on relevant aspects of the investigation, have the recording or transcript provided to the witness for correction, and have the corrected recording or transcript included in the record of investigation; and. Submit to ORI a written request for an extension, setting forth the reasons for the delay. The author(s) should always get the chance to respond to any allegations of misconduct. A written summary of allegations meeting the above criteria and falling under this policy will be provided to the respondent. Research misconduct violates not only the trust of agencies, foundations, and other entities that sponsor research at the University, but also that of the public and subjects that might participate in the research. If the respondent submits a written objection to any appointed member of the inquiry committee or expert based on bias or conflict of interest within five business days, the RIO will determine if the challenged member or expert should be replaced with a qualified substitute. A DO’s appointment of an individual to assess allegations of research misconduct is not considered direct prior involvement. Responsibility to Report Misconduct All UH personnel will report observed, suspected, or apparent research misconduct to the RIO. The actions may include: After completion of a case and all ensuing related actions, the RIO will prepare a complete file, including the records of any inquiry or investigation and copies of all documents and other materials furnished to the RIO or committees. The termination of the respondent's institutional employment, by resignation or otherwise, before or after an allegation of possible research misconduct has been reported, will not: If the respondent, without admitting to the misconduct, elects to resign his or her position after the institution receives an allegation of research misconduct: If the respondent refuses to participate in the process after resignation, the RIO and any inquiry or investigation committee will: A finding of misconduct based on the admission by the respondent[14] may only be made by the committee conducting the misconduct proceeding and confirmed by the DO when: Upon receiving an allegation of research misconduct, the RIO will assess the allegation to determine whether the allegation: The RIO will determine if the allegation falls within the jurisdiction of 42 CFR 93.102(b), 45 CFR 689, or other funding source guidelines. Inquiry means preliminary information-gathering and preliminary fact-finding to determine if an allegation or apparent instance of research misconduct warrants an investigation. Inventory the records and evidence and sequester them in a secure manner. A University decision to initiate an investigation must be reported in writing to the federal sponsor, on or before the date the investigation begins. The respondent has the burden of going forward with and proving by a preponderance of the evidence any mitigating factors that are relevant to a decision to impose sanctions following a research misconduct proceeding. In accordance with 42 CFR 93.318, institutions must notify any federal sponsor, as relevant, of any special circumstances that may exist. This sample policy and procedures complies with the PHS Policies on Research Misconduct (42 CFR Part 93) that became effective June 16, 2005. If the University determines that it will not be able to complete the investigation in 120 calendar days, the RIO will submit to the federal sponsor a written request for an extension that explains the delay, reports on the progress to date, estimates the date of completion of the report, and describes other necessary steps to be taken. Responding to allegations of research misconduct consists of three separate, but related, steps: assessment, inquiry, and investigation. The charges for the investigation to consider. A written inquiry report must be prepared and provided to the RIO that includes the following information[20]: The RIO/designee shall notify the respondent whether the inquiry found an investigation to be warranted. The RIO shall, at any time during a research misconduct proceeding, notify ORI or NSF OIG as applicable immediately if he/she has reason to believe that any of the following conditions exist: At the time of or before an inquiry (and at the time of or before investigation, if not sequestered for the inquiry), the RIO must take all reasonable and practical steps to: The need for additional sequestration of records for the investigation might occur for any number of reasons, including the Institution’s decision to investigate additional allegations not considered during the inquiry stage, and/or identification of records during the inquiry process that had not been previously secured[13]. If the RIO determines that all criteria for an inquiry are met, he or she will initiate the inquiry process by appointing an inquiry committee. investigating and responding to allegations of Research Misconduct & Fraud. If the institution wishes NSF deferral of independent investigation to continue, OIG will be notified, and may require submission of periodic status reports. However, when reuse of data and language involves former or current collaborators, ORI does not consider this to be plagiarism, but an outcome of the joint development of ideas, data, or language where it frequently is impossible to objectively sort out who was responsible for what.”. Policies & Procedures: Responding to Allegations of Research Misconduct POLICY/VERSION NUMBER DATE OF APPROVAL PAGE ORARC-01-01 12/12/2014 4 of 19 Page 4 of 19 research, those who are accused of research misconduct, those who report apparent research misconduct in good faith, and those who may serve on inquiry and investigation committees. The RIO may consult with ORI for advice and assistance in this regard. If the University plans to terminate an inquiry or investigation for any reason without completing all relevant requirements of the federal sponsor’s regulation, the RIO will submit a report of the planned termination to the federal sponsor, including a description of the reasons for the proposed termination. If the DO’s determination varies from the findings of the investigation committee, the DO will, as part of his/her written determination, explain in detail the basis for rendering a decision different from the findings of the investigation committee. There are, however, three exceptions under 42 CFR 93.105(b). Alternatively, the DO may return the report to the investigation committee with a request for further fact-finding or analysis. Review the following with the investigation committee: Prescribed procedures and standards for the conduct of the investigation, including the necessity for confidentiality and for developing a specific investigation plan, Seek disclosure of any unresolved personal, professional, or financial conflicts of interest with those involved with the investigation, Determine how to access additional expertise as needed, Provide the investigation committee with a copy of this policy, and 42 CFR 93 or 45 CFR 689, Use diligent efforts to ensure that the investigation is thorough and sufficiently documented, including examination of all research records and evidence relevant to reaching a decision on the merits of each allegation, Take reasonable steps to ensure an impartial and unbiased investigation to the maximum extent practical, Any other available person who has been reasonably identified as having information regarding any relevant aspects of the investigation (including witnesses identified by the respondent), Provide the recording or transcript to the interviewee for correction, Include the recording or transcript in the record of the investigation, Pursue diligently all significant issues and leads discovered that are determined relevant to the investigation, including any evidence of any additional instances of possible research misconduct, and continue the investigation to completion. Responding to Allegations of Research Misconduct Page 3 of 17 February 26, 2015 Northeastern State University Policy and Procedures INTRODUCTION The following represents the Northeastern State University (NSU) Research Misconduct Policy. In the case of a nonfederal sponsor of research, where that research is the subject of an inquiry or investigation, the RIO will keep the nonfederal sponsor informed as to the inquiry and investigation as he or she deems appropriate. Research misconduct does not include honest error or differences of opinion. Complainant means a person who in good faith makes an allegation of research misconduct. Unfortunately, the evidence is compelling that whistleblowers, not just the accused, suffer adverse cons… Research misconduct means misconduct in research and scholarship fabrication or falsification of data, plagiarism, or other serious deviations from accepted practice in proposing, implementing, or reporting on research. 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