Misconduct in Science

III. Rights and Responsibilities

A. Research Integrity Officer
The Vice President for Research and Development normally will serve as the Research Integrity Officer who will have primary responsibility for implementation of the procedures set forth in this document. The Research Integrity Officer must be an institutional official who is well qualified to handle the procedural requirements involved and is sensitive to the varied demands made on those who conduct research or participate in other creative activities, those who are accused of misconduct, and those who report apparent misconduct in good faith.

The Research Integrity Officer will collect readily available information about the allegations and will perform a preliminary assessment. If warranted, the Research Integrity Officer will appoint the inquiry and investigation committees and ensure that necessary and appropriate expertise is secured to carry out a thorough and authoritative evaluation of the relevant evidence in an inquiry or investigation. The Research Integrity Officer will make every attempt to ensure that confidentiality is maintained.

The Research Integrity Officer will assist inquiry and investigation committees and all institutional personnel in complying with these procedures and with applicable standards imposed by government or external funding sources. The Research Integrity Officer is also responsible for maintaining files of all documents and evidence and for the confidentiality and security of these files.

The Research Integrity Officer will report to ORI or the office identified by the involved federal agency as required by regulation and keep that office informed of any developments during the course of the inquiry or investigation that may affect current or potential federal funding for the individual(s) under investigation or that the involved federal agency needs to know to ensure appropriate use of federal funds and otherwise protect the public interest.

B. Complainant
The complainant will have an opportunity to testify before the inquiry and investigation committees, to review portions of the inquiry and investigation reports pertinent to the complainant’s allegations or testimony, to be informed of the results of the inquiry and investigation, and to be protected from retaliation. Also, if the Research Integrity Officer has determined that the complainant may be able to provide pertinent information on any portions of the draft report, these portions may be given to the complainant for comment.

The complainant must have credibility, no conflict of interest, be accountable, and is responsible for making allegations in good faith, maintaining confidentiality, and cooperating with an inquiry or investigation.

C. Respondent
The respondent will be informed of the allegations when an inquiry is opened and notified in writing of the final determinations and resulting actions. The respondent will also have the opportunity to be interviewed by and present evidence to the inquiry and investigation committees, to review the draft inquiry and investigation reports, and to have the advice of the respondent’s counsel.

The respondent is responsible for maintaining confidentiality and cooperation during inquiry or investigation. If the respondent is not found guilty of misconduct, the respondent has the right to receive institutional assistance in restoring his or her reputation.5

D. Deciding Official
The Deciding Official (Provost) will receive the inquiry and/or investigation report and any written comments made by the respondent or the complainant on the draft report. The Deciding Official will consult with the Research Integrity Officer or other appropriate officials and determine whether to conduct an investigation, whether misconduct occurred, whether to impose sanctions, or whether to take other appropriate administrative actions (see Section X).