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A. Initiation and Purpose of the Inquiry
Following the preliminary assessment, if the Research Integrity Officer determines that the allegation provides sufficient information to allow specific follow-up, involves federal support, or falls under the PHS definition of misconduct, the Research Integrity Officer will immediately initiate the inquiry process. In initiating the inquiry, the Research Integrity Officer should identify clearly the original allegation and any related issues that should be evaluated. The purpose of the inquiry is to make a preliminary evaluation of the available evidence and testimony of the respondent, whistleblower, and key witnesses to determine whether there is sufficient evidence of possible misconduct to warrant an investigation. The purpose of the inquiry is not to reach a final conclusion about whether misconduct definitely occurred or who was responsible. The findings of the inquiry must be set forth in an inquiry report.
B. Sequestration of the Research Records and Other Material Information
After determining that an allegation falls within the definition of misconduct, the Research Integrity Officer must ensure that all relevant original research records and materials relevant to the allegation are immediately secured for the duration of the process; access to the records will only be made through the Research Integrity Officer. The Research Integrity Officer may consult with ORI or appropriate office of the involved federal agency for advice and assistance in this regard. At any time during the inquiry, Research Integrity Officer or Inquiry Committee members may sequester more relevant records as necessary.
C. Appointment of the Inquiry Committee
The Research Integrity Officer, in consultation with other institutional officials as appropriate, will appoint an inquiry committee and committee chair within 10 days of the initiation of the inquiry. The inquiry committee should consist of individuals who do not have conflicts of interest in the case, are unbiased, and have the necessary expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry. These individuals may be scientists, subject matter experts, administrators, lawyers, or other qualified persons, and they may be from inside or outside, the institution.
The Research Integrity Officer will notify the respondent of the proposed committee membership in 10 days. If the respondent submits a written objection stating a valid objection to any appointed member of the inquiry committee or expert based on bias or conflict of interest within 5 days, the Research Integrity Officer will determine whether to replace the challenged member or expert with a qualified substitute.
D. Charge to the Committee and the First Meeting
The Research Integrity Officer will prepare a charge for the inquiry committee that:
- a) describes the allegations,
- b) any related issues identified during the allegation assessment,
- c) states that the purpose of the inquiry is preliminary information-gathering and fact-finding evaluation to determine whether there is sufficient evidence of possible misconduct to warrant an investigation as required by the federal regulation. The purpose is not to determine whether misconduct definitely occurred or who was responsible,
- d) must prepare a written report, and
- e) must complete its work, including the report, within 45 calendar days of its first meeting.
At the committee's first meeting, the Research Integrity Officer will review the charge with the committee, discuss the allegations, any related issues, and the appropriate procedures for conducting the inquiry, assist the committee with organizing plans for the inquiry, and answer any questions raised by the committee. The Research Integrity Officer and institutional legal counsel, or the legal counsel’s designee, will be available throughout the inquiry to advise the committee as needed.
E. Inquiry Process
The inquiry committee may interview the complainant, the respondent, and key witnesses as well as examine relevant research records and materials. Then the inquiry committee will evaluate the evidence and testimony obtained during the inquiry. After consultation with the Research Integrity Officer and institutional legal counsel, the committee members will decide whether there is sufficient evidence of possible misconduct to recommend further investigation. The scope of the inquiry does not include deciding whether misconduct occurred or conducting exhaustive interviews and analyses.
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