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A. Elements of the Investigation Report
Following the procedure outlined below, a final written report will be prepared and submitted to the Research Integrity Officer and, if federal funds are involved, to ORI or appropriate office of the involved federal agency must describe the policies and procedures under which the investigation was conducted, describe how and from whom information relevant to the investigation was obtained, state the findings, and explain the basis for the findings. The report will cover the elements in 42 C.F.R. 93.313, including 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 institution.17
B . Comments on the Draft Report
- Respondent
The Research Integrity Officer will provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be allowed 10 days to review and comment on the draft report. The respondent's comments will be attached to the final report. The findings of the final report should take into account the respondent's comments in addition to all the other evidence.
- Complainant
The Research Integrity Officer will provide the complainant with those portions of the draft investigation report that address the complainant's role and statements in the investigation. The complainant will be allowed 14 days to respond to the report, particularly noting any inaccuracies as they relate to the investigation. The report should be modified, as appropriate, based on the complainant's comments.
- Institutional Legal Counsel
The draft investigation report will be transmitted to the institutional legal counsel, or the legal counsel’s designee, for a review of its legal sufficiency. Comments should be incorporated into the report as appropriate.
- Confidentiality
In distributing the draft report, or portions thereof, to the respondent and complainant, the Research Integrity Officer will inform the recipient of the confidentiality under which the draft report is made available and may establish reasonable conditions to ensure such confidentiality. For example, the Research Integrity Officer may request the recipient to sign a confidentiality statement or to come to the Research Integrity Officer’s office to review the report.
C. Institutional Review and Decision
Based on a preponderance of evidence, the Deciding Official will make the final determination whether to accept the investigation report, its findings, and the recommended institutional actions. If this determination varies from that of the investigation committee, the Deciding Official will explain in detail the basis for rendering a decision different from that of the investigation committee in the institution's letter transmitting the report to ORI or the office of the involved federal agency. The Deciding Official's explanation should be consistent with the HHS definition of misconduct, the institution's policies and procedures, and the evidence reviewed and analyzed by the investigation committee. The Deciding Official may also return the report to the investigation committee with a request for further fact-finding or analysis. The Deciding Official's determination, together with the investigation committee's report, constitutes the final investigation report for purposes of review by ORI or the involved federal agency if federal funds were involved.
When a final decision on the case has been reached, the Research Integrity Officer will notify both the respondent and the complainant in writing. In addition, the Deciding Official will determine whether law enforcement agencies, professional societies, professional licensing boards, editors of journals in which falsified reports may have been published, collaborators of the respondent in the work, or other relevant parties should be notified of the outcome of the case. The Research Integrity Officer is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies.
D. Transmittal of the Final Investigation Report
After comments have been received and the necessary changes have been made to the draft report, the investigation committee should transmit the final report with attachments, including the respondent's and complainant's comments, to the Deciding Official, through the Research Integrity Officer. The final report will be sent to ORI.
E. Time Limit for Completing the Investigation Report
An investigation should ordinarily be completed within 120 days of its initiation, with the initiation being defined as the first meeting of the investigation committee. This includes conducting the investigation, preparing the report of findings, making the draft report available to the subject of the investigation for comment, submitting the report to the Deciding Official for approval, and submitting the report to the ORI or appropriate office of the involved federal agency.
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