VCOM Institutional Policy and Procedure Manual

VCOM Policy and Procedure

Policy #R003

• Final Inquiry Report: The IIO will prepare the final inquiry report, which will include the respondent’s comments to the draft inquiry report, and provide it in writing to the IDO, Provost, Campus Dean, and the respondent. 6.2. Sequestration of Research Records Upon determining that an inquiry is warranted, the IIO will immediately take all reasonable steps to obtain, inventory, and sequestrate all relevant research records and evidence needed for the inquiry and potential investigation. Records shall be maintained securely in their original form or in equivalent copies, and access shall be provided as needed throughout the process (§ 93.305(a),(b),(c); § 93.318). 6.3. Investigation A formal investigation will be launched if the inquiry finds sufficient evidence. The Investigation Committee, appointed by the IIO, will conduct a thorough examination of all relevant facts, including interviews with the complainant and respondent, and pursue all significant leads relevant to the allegations (§ 93.310(j)). The Committee will be comprised of at least three (3) members who understand their commission, keep the identities of respondents, complainants, and witnesses confidential, and conduct the research misconduct proceedings in compliance with the PHS regulation. The IIO will serve as Chair of the committee. • Timeline: The investigation must be completed within 180 days of its initiation (§ 93.311(a)). Within 30 days of determining that an investigation is warranted, VCOM will provide ORI with a copy of the inquiry report. • Investigation Report: The IIO will prepare a written investigation report that summarizes the findings of the Investigation Committee and draws a conclusion as to whether misconduct occurred or did not occur. The investigation report must include the name and title of the committee members and experts, if any; the allegations; funding support; a summary of the inquiry process used; a list of the research records reviewed; summaries of any interviews; a description of the evidence; and the committee's findings and final decision. The report will be provided to the IDO and VCOM Counsel who will review the report prior to it being finalized and shared with the respondent. • Notice and Respondent Opportunity to Comment: The respondent and complainant will be provided with a draft of the written report (§ 93.308) and will be given an opportunity to comment on the report (§ 93.312, § 93.313(j)). Within 30 calendar days of their receipt of the draft report, the respondent and complainant must provide their comments, if any, to the investigation committee. The respondent and the complaint’s comments will be included in the final version of the report, as well as the Investigation Committee’s consideration of those comments (§ 97.307(g)(3)). • Final Investigation Report: The final investigation report will be provided in writing to IDO, the Provost, Campus Dean, and the respondent. • Final Decision of the Three-Person Panel: A three-person panel consisting of the Provost, IDO, and the Campus Dean, based on a preponderance of the evidence, will make the final determination whether to accept the investigation report, its findings, and the recommended institutional actions within 14 days of receiving the report from the IIO. The three-person panel may also return the report to the investigation committee with a request for further fact-finding or analysis. The three-person panel’s determination, together with the investigation committee's report, constitutes the final investigation report for purposes of ORI review. o When the final decision on the case has been reached by the three-person panel, the IDO will notify the respondent in writing (§ 93.310(c)).

VCOM Policy on Research Misconduct

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