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Investigation

When an RMIC determines by majority vote an alleged misconduct warrants a formal investigation, the CRO shall, within five (5) business days, empanel a Hearing Panel to conduct an investigation.  Unless otherwise agreed by a majority of the Hearing Panel, a closed hearing will be convened within ten (10) business days after the Hearing Panel has been empaneled. The entire investigation—including hearings, report drafting, response period, and submission of the final report to any sponsoring agency—must be completed within 120 calendar days. Extensions must be requested in writing by the panel and approved by the CRO, who will seek approval from the appropriate agency and include a justification in the final report. The RIO will secure and preserve all research records and evidence necessary for duration of the investigation and ensure compliance with applicable state and federal regulatory reporting requirements. The investigation will be conducted with an emphasis on confidentiality to the extent possible. Disclosure of the identities of respondents, complainants, and witnesses will be limited to individuals with a legitimate need to know, consistent with a fair and thorough research misconduct process and applicable laws. The purpose of the investigation is to determine whether research misconduct, as defined in this policy, has occurred, and, if so, to recommend appropriate sanctions or penalties. For the Hearing Panel to consider an allegation, it must be submitted as a signed written statement that clearly and concisely outlines the alleged misconduct.

  • The complainant who brought the misconduct allegation to the attention of the chief research officer, especially in circumstances in which thecomplainant has been directly affected by the alleged misconduct, ordinarily will prepare and sign the
  • If there is no identifiable complainant (e.g., anonymous), or where the alleged misconduct has no specific victim, then the CRO will prepare and sign the complaint.

Note: In all cases, the signatory to the complaint becomes the complainant in the proceedings of the Hearing Panel.