Any assertion or allegation of research misconduct should be delivered to a member of the President's Council in a signed writing. All allegations of research misconduct will be kept confidential to the extent permitted by law, regulation or the particular circumstances. UCAR will also provide appropriate safeguards for the subjects of allegations of research misconduct.
The procedures for reviewing allegations of research misconduct may, but need not, include the following steps:
(1) Inquiry;
(2) Investigation; and
(3) Formal finding and/or appropriate disposition of the allegations.
At every phase, UCAR will attempt to maintain the confidentiality of the process, based on the nature of the allegation (private or public) and the involvement of external people. However, UCAR reserves the right to respond according to the situation, including, providing public review and response to public allegations.
Inquiry. Upon receiving an allegation of research misconduct, the President's Council will confidentially notify the subject of the allegation and conduct an inquiry into the alleged research misconduct. Any member of President's Council with a conflict of interest related to the allegation or the subject of the allegation, should withdraw from the relevant inquiry process.
The President's Council will typically identify one of its members to lead the inquiry (and investigation, if necessary). The President's Council ("PC") may appoint one or more employees who are experts in an area (e.g. scientific, programmatic or administrative) to help with the inquiry, and may seek the advice of UCAR's General Counsel.
The inquiry will take place within 90 days of receiving an allegation. An inquiry involves preliminary information gathering and fact-finding to determine whether an allegation has substance and if an investigation should occur. This step of the process is designed to separate allegations deserving further investigation from frivolous, unjustified or clearly mistaken allegations. An inquiry only proceeds to the investigation step if there is a determination that the allegation or apparent instance of research misconduct has substance.
Investigation. An investigation is the formal development, examination and evaluation of a factual record to determine whether research misconduct has taken place, to assess its extent and consequences, and to evaluate appropriate action. If UCAR decides to proceed with an investigation, it notifies the subject of the investigation, the Office of Inspector General (OIG) at the cognizant federal agency, and the program manager or director at the cognizant federal agency. The investigation of any allegations and notifications are conducted in a confidential and discreet manner.
An investigation involves gathering and reviewing evidence, including documents, interviewing the subject of the allegations, talking to witnesses and may also include:
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Review of award files, reports, and other documents readily available or in the public domain;
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Review of procedures or methods and inspection of laboratory materials, specimens, and records;
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Interviews with witnesses;
- Review of any documents or other evidence provided by or properly obtainable from any source;
- Cooperation with federal agencies; and
- Opportunity for the subject of the investigation to be heard.
The PC will appoint one or more experts in an area (scientific, programmatic or administrative), as a panel, to conduct the investigation (the "Investigation Panel"). The Investigation Panel will conduct the investigation and reach a recommendation within 160 days of the decision to proceed with an investigation, and report back to the PC. The Investigation Panel and the PC should seek the advice of UCAR's General Counsel. With the recommendation, including the factual record that is developed by the Investigation Panel, the PC will examine such record and make a determination of whether there will be a finding of research misconduct within 180 days of the decision to proceed with an investigation. If the PC concludes that there will be no finding of research misconduct, then the file is closed and the subject of the investigation is notified. If the PC concludes that there will be a finding of research misconduct, then the PC issues its final report on the investigation within 180 days of the decision to proceed with an investigation, to the federal agency OIG and the federal agency program manager/director. The report remains confidential, unless there are significant reasons and/or public interests that require its publication.
Formal Finding. In order to make a finding of research misconduct, the PC must conclude that:
- There be a significant departure from accepted practices of the relevant research community; and
- the research misconduct be committed intentionally, or knowingly, or recklessly; and
- the allegation be supported by a preponderance of evidence.
After receiving the comments and rebuttal (if any) from the subject of the investigation, the PC issues its final report on the investigation. The report is given to the federal agency OIG, the federal agency program manager/director and the subject of the investigation. The report remains confidential, unless there are significant reasons and/or public interests that require its publication.
Upon a finding that research misconduct has occurred, the federal agency will take appropriate action. Examples of possible actions are described in 45 CFR part 689.3. A federal agency may also take interim action during an investigation, as described in 45 CFR part 689.8.
If UCAR determines that research misconduct has occurred, it may take appropriate action, in addition to that taken by the federal agency or law enforcement agency, including termination of employment, funding, and/or other privileges.
After UCAR has conducted its investigation and submitted a report to the federal agency OIG, the federal agency OIG will assess the accuracy and completeness of the report and whether the investigation conducted by UCAR followed reasonable procedures. The federal agency OIG will then decide whether to dispose of the case or adjudicate it through the particular agency's Deputy Director (as set forth in 45 CFR part 689.9). If a satisfactory investigation by UCAR or the federal agency investigation fails to confirm alleged research misconduct, the federal agency OIG will notify the subject of the investigation and, if appropriate, those who reported the suspected or alleged misconduct. This notification may include the investigative report.
If the federal agency Deputy Director determines that research misconduct has occurred, the subject of the research misconduct allegation may appeal the case to the federal agency Director within 30 days of notification (as set forth in 45 CFR part 689.10). The federal agency Deputy Director's decision becomes a final administrative action if it is not appealed within the 30 day period. The federal agency will normally inform the subject of the investigation of a final decision within 60 days after receiving the appeal.
If during the course of any inquiry or investigation, the PC determines that there is reasonable indication of possible violations of criminal or civil law, UCAR will notify the appropriate law enforcement agencies, as well as the federal agency OIG. In addition, UCAR will promptly notify the federal agency OIG if it becomes aware during an inquiry or investigation that:
- Public health or safety is at risk;
- the government or specific federal agency's resources, reputation, or other interests need protecting;
- research activities should be suspended;
- federal action may be needed to protect the interests of a subject of the investigation or of others potentially affected; or
- the scientific community or the public should be informed.
Investigative and adjudicative research misconduct records maintained by the federal agencies are exempt from public disclosure under the Freedom of Information Act (5 U.S.C. § 552) and the Privacy Act (5 U.S.C. § 552a).
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