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Pre-Panel

The CRO shall notify the respondent in writing of the allegations within a reasonable amount of time after determining that an investigation iswarranted, but before the investigation begins. The CRO must give the respondent written notice of any new allegations of research misconduct within a reasonable amount of time of deciding to pursue allegations not addressed during the inquiry or in the initial notice of investigation. The CRO will notify the respondent(s) and complainant(s) of their right to be represented by an attorney, at their own cost and expense, in preparing and/or giving their response to this and all subsequent phases of the investigation. In the proceedings, the complainant and respondent(s) will be expected to speak for themselves and no attorney for the respondent(s) may address the Hearing Panel. Office of General Counsel (OGC) may assist in the preparation of the responses but may not speak on anyone’s behalf during the hearing. Before the Hearing Panel is convened, both the complainant and respondent may object to any panel member on grounds of bias. The CRO shall review the objection and determine whether a member should be replaced. Prior to the date of hearing, the complainant and respondent(s) will meet with the Presiding Officer to clarify the allegations and any issues, identify areas of agreement or disagreement, and whether they admit or challenge the allegation; all to streamline the hearing process. To encourage a fair and focused investigation, the presiding officer shall notify the Hearing Panel at the start of its proceedings about points of agreement and disagreement among the parties. The CRO and RIO shall prepare to conform to all applicable federal and state law or policy concerning reporting requirements. If facts are disclosed may affect current or potential federal or state funding of any respondent(s),then the CRO shall take the necessary and appropriate steps to inform the relevant federal or state agency to ensure appropriate use of federal or state funds and otherwise safeguard the public interest. If the research in question involves external funding, especially from a federal agency (e.g., NIH, NSF, or NASA), the CRO must notify the appropriate oversight agency as required under federal regulations. This includes submitting an inquiry report that meets applicable standards (e.g., under 42 CFR Part 93 for PHS-funded research). Depending on the nature of the allegation, additional institutional stakeholders may also need to be informed. These may include:

  • Office of General Counsel, for procedural guidance and risk mitigation.
  • The Institutional Review Board (IRB), if human subjects are involved.
  • The Office of Research Administration, if grant-funded research is implicated.
  • The relevant department chair or academic dean, if support is anticipated.
  • Computing and Information Technology Services (CITS), if preservation of digital evidence is required.