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A. Elements of the Inquiry Report
A written inquiry report must be prepared that includes the name and title of the committee members and experts, if any; allegations; federal source of support; summary of the inquiry process used; list of the research records reviewed; summaries of any interviews; description of the evidence in sufficient detail to demonstrate whether an investigation is warranted or not; and the committee's determination as to whether an investigation is recommended and whether any other actions should be taken if an investigation is not recommended. Institutional legal counsel will review the report for legal sufficiency.
B. Comments on the Draft Report by the Respondent and the Complainant
The Research Integrity Officer will provide the respondent with a copy of the draft inquiry report for comment and rebuttal and will provide the complainant with either portions or a summary of the draft inquiry report that address the complainant's role and opinions in the investigation.
- Confidentiality
The Research Integrity Officer may establish reasonable conditions for review to protect the confidentiality of the draft report.
- Receipt of Comments
Within 14 calendar days of their receipt of the draft report, the complainant and respondent will provide their comments, if any, to the inquiry committee. Any comments that the complainant or respondent submits on the draft report will become part of the final inquiry report and record. Based on the comments, the inquiry committee may revise the report as appropriate.
C. Inquiry Decision and Notification
- Decision by Deciding Official
The Research Integrity Officer will transmit the final report and any comments to the Deciding Official, who will make the determination of whether findings from the inquiry provide sufficient evidence of possible misconduct to justify conducting an investigation. The inquiry is completed when the Deciding Official makes this determination, which will be made within 60 days of the first meeting of the inquiry committee. Any extension of this period must be made by mutual consent of the Research Integrity Officer and the respondent and will be based on good cause and recorded in the inquiry file.
- Notification
The Research Integrity Officer will notify both the respondent and complainant in writing of the Deciding Official's decision of whether to initiate an investigation and will remind them of their obligation to cooperate in the event an investigation is opened. The Research Integrity Officer will also notify all appropriate institutional officials of the Deciding Official's decision. If an investigation is warranted or if it is determined that any conditions in 42 C.F.R. 93.318 exist, the Research Integrity Officer must notify appropriate federal offices as stipulated in 42 C.F.R. 93.309(a)(b) (d). If a decision not to investigate is made, sufficiently detailed documentation of the inquiry must be kept, for at least 7 years, to permit a later assessment by ORI of reasons why it was decided not to conduct an investigation.
D. Time Limit for Completing the Inquiry Report
The inquiry committee will normally complete the inquiry and submit its report in writing to the Research Integrity Officer no more than 45 calendar days following its first meeting, 10 unless the Research Integrity Officer approves an extension for good cause. If the Research Integrity Officer approves an extension, the reason for the extension will be entered into the records of the case and report.
The respondent also will be notified of the extension.
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