General Protections

1. ST CATHERINE UNIVERSITY RESEARCH MISCONDUCT POLICY CONCEPT MAP General Protections Confidentiality: all individuals involved in the case are expected to maintain and preserve privacy consistent with the law for all parties to the procedures (including respondent(s), complainant(s), the Research Misconduct Committee members, Deciding Official, and witness(es)). During the investigation, all University personnel with information regarding the allegations will afford the affected individual(s) (including respondents, complainants, and research subjects) confidential treatment to the maximum extent possible. Key Complainant = the person making the allegation Dean = Dean of the Respondent’s Department DO = Deciding Official OIG = Office of Inspector General ORI = Office of Research Integrity Respondent = the accused RM= Research Misconduct RMC= Research Misconduct Committee RMCC = Research Misconduct Committee Chairperson RMP = Research Misconduct Policy ANNUAL REPORT The RMCC must file an annual report with the Office of Research Integrity (ORI) which contains information specified by ORI on the institution's compliance with §93 of Title 42 of the Code of Federal Regulations. ALLEGATION STAGE TWO: INVESTIGATION ResearchMisconduct Committee Chair (RMCC) Complainantfiles with Senior VP for Academic Affairs, Colleen Hegranes,if RMCC & Dean conflicted out Complainant Referral to Appropriate Office/Official If matter is not RM but does violate some other policy. Respondent & Complainant Notice of RMC members. May object to RMC member for bias/conflict of interest. Deciding Official (DO), Colleen Hegranes appoints Temporary RMCC for duration of case who adopts all duties of RMCC. Notice to Head of Funding Agencies of alleged or apparent RM warranting an investigation Complainant may seek informal advice. Has ten (10) days to decide whether going to file allegation. Notice to Director of Human Resources Complainant files written allegation with Dean if RMCC conflicted out Notice to Additional Respondents if RMCC determines such notice necessary • Notice to ORI • no later than the date on which the investigation begins, the Research Misconduct Committee Chair must give written notice to ORI and keep ORI apprised of certain info. • Interim Report If the investigation cannot be finished w/in 120 days of its initiation, RMCC files an Interim Report with the ORI and requests an extension from ORI. Dean (of the department of the Respondent) Conflict of Interest: if the RMCC is conflicted out, the Dean assumes all the responsibilities of the RMCC. Research Misconduct Committee Chairperson (RMCC) Research Misconduct Committee (RMC) appointed by RMCC. An RMC member may file bias/conflict of interest request with RMCC. RMCC may file allegation on own if Complainant does not Complainant ordinarily files written allegation with RMCC Research Misconduct Committee Chairperson (RMCC) Complainant &Respondent Interviewed RMC Interviews Notice to IRB and/or IACUC If vertebrate animals are involved, notice to IACUC which may then participate in Inquiry. IRB if human subjects are involved, notice to IRB which may then participate in Inquiry. Notice to Dean (of the department of the Respondent) who will participates in inquiry unless conflict of interest. Notice & Comment to Interviewees who may comment on recordings/transcripts of each's interview within five (5) days of receiving recording or transcript of interview STAGE THREE: REPORT OF FINDINGS STAGE ONE: INQUIRY Preliminary Investigation Report by RMC Inquiry: Informal Consultation by Dean & RMCC Notice to Director of Human Resources RMCC Admission of Research Misconduct If the Respondent admits Research Misconduct, then s/he is asked to sign a statement attesting to the occurrence and extent of the research misconduct. Informal Consultation with Respondent and Complainant. Notice to any additional Respondents Complainant Notice of and Comment on Prelim Investigation Report conclusion. RMC drafts the complete Investigation Report which, along with Respondent and Complainant comments, is submitted to DO. DO consults with RMCCand then issues decision. Inquiry Report by Dean and RMCC Research Misconduct Committee (RMC). Office of Research Integrity (ORI) Any admission of Research Misconduct is forwarded to ORI. If the University plans to terminate an inquiry or investigation for any reason, the RMCC must notify ORI. Notice & Comment to Complainant & Respondent May comment on Inquiry Report w/in 5 days of notice STAGE FOUR: RESOLUTION &DECISION BASED ON REPORT OF FINDINGS Inquiry Report submitted to the Deciding Officialby RMCC and Dean DO, Colleen Hegranes,inconsultation with RMCC, makes decision RMCC Deciding Official (DO), Colleen Hegranes • Consultation w/ Respondent. • If RM not found, consult to protect/restore Respondent's reputation . Regardless if Research Misconduct found, discuss with Respondent the appropriateness and desirability of notifying other individuals or agencies about the outcome. Notice to Respondent & Complainantof decision. Notice to Respondent written w/ reasons if RM found Notice to Respondent and Complainant: if no reasonable basis for investigation. Complainant may appeal finding. Notice to RMCC If Investigation warranted and DO forwards written determination to RMCC. Notice to Director of Human Resources if DO decides no further investigation warranted Notice to Respondent and Complainant If DO re-opens an investigation, RMCC informs all parties of confidentiality of all information from Research Misconduct procedures. If DO decides investigation warranted, then, within thirty (30) days, Investigation begins andRMCC appoints Research Misconduct Committee Notice to ORI of outcome of RMP procedures. Per Title 42 of the Code of Federal Regulations § 93.315 ResearchMisconduct Committee Chair (RMCC) Notice to Federal or Other Funding Agencies of outcome of inquiries, that investigation initiated, and outcome of investigation. Notice to Director of Human Resources Notice to Respondent before Investigation begins