Research Integrity - Revision history

Mhurlocker at 19:28, October 6, 2025

2025-10-06T19:28:24Z

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	== Definitions ==		== Definitions ==
	'''''Accepted practices of the relevant research community ~~means~~''''' those practices established by [https://www.ecfr.gov/current/title-42/part-93 42 CFR part 93] and by PHS funding components or other funding agencies, as applicable, as well as commonly accepted professional codes or norms within the overarching community of researchers and institutions that apply for and receive federal awards.		'''''Accepted practices of the relevant research community''''' means those practices established by [https://www.ecfr.gov/current/title-42/part-93 42 CFR part 93] and by PHS funding components or other funding agencies, as applicable, as well as commonly accepted professional codes or norms within the overarching community of researchers and institutions that apply for and receive federal awards.

	'''''Allegation''''' means any disclosure of possible research misconduct through any means of communication and brought directly to the attention of a UNMC official.		'''''Allegation''''' means any disclosure of possible research misconduct through any means of communication and brought directly to the attention of a UNMC official.
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	'''''Recklessly''''' means to propose, perform, or review research, or report research results, with indifference to a known risk of fabrication, falsification, or plagiarism.		'''''Recklessly''''' means to propose, perform, or review research, or report research results, with indifference to a known risk of fabrication, falsification, or plagiarism.

	'''''Research''''' means a systematic experiment, study, evaluation, demonstration, survey or other process of inquiry designed to generate new knowledge or to confirm, refine, or apply existing knowledge. It encompasses a broad range of disciplines, including but not limited to biomedical, clinical, translational, behavioral, educational, and social sciences, and may comprise many different approaches appropriate to the respective discipline. Research may involve observation, experimentation, analysis, evaluation, or synthesis, and is conducted with the goal of expanding scientific understanding, informing evidence-based practice, improving population-based outcomes, and/or contributing to the public good		'''''Research''''' means a systematic experiment, study, evaluation, demonstration, survey or other process of inquiry designed to generate new knowledge or to confirm, refine, or apply existing knowledge. It encompasses a broad range of disciplines, including but not limited to biomedical, clinical, translational, behavioral, educational, and social sciences, and may comprise many different approaches appropriate to the respective discipline. Research may involve observation, experimentation, analysis, evaluation, or synthesis, and is conducted with the goal of expanding scientific understanding, informing evidence-based practice, improving population-based outcomes, and/or contributing to the public good.

	'''''Research Integrity Officer''''' means the institutional official with primary responsibility for implementation of UNMC’s policies and procedures on research misconduct. Among other things, the Research Integrity Officer performs the duties described in this policy.		'''''Research Integrity Officer''''' means the institutional official with primary responsibility for implementation of UNMC’s policies and procedures on research misconduct. Among other things, the Research Integrity Officer performs the duties described in this policy.
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	===Preliminary Assessment of Allegations===		===Preliminary Assessment of Allegations===
	Upon receiving an allegation of research misconduct, the Research Integrity Officer or designee shall assess the allegation as soon as is feasible (usually within 21 days of receipt of the allegation) to determine whether it falls within the definition of research misconduct, is within the scope of this policy, and is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If so, the matter must proceed to an inquiry. The Research Integrity Officer or designee will document the assessment, including, in cases where an inquiry is not warranted, with sufficient detail to permit a later review by the ORI of the reasons why an inquiry was not conducted. If the identity of the complainant is known, the Research Integrity Officer or designee will notify the complainant of the outcome of the assessment.		Upon receiving an allegation of research misconduct, the Research Integrity Officer or designee shall assess the allegation as soon as is feasible (usually within 21 days of receipt of the allegation) to determine whether it falls within the definition of research misconduct, is within the scope of this policy, and is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If so, the matter must proceed to an inquiry. The Research Integrity Officer or designee will document the assessment, including, in cases where an inquiry is not warranted, with sufficient detail to permit a later review by the ORI of the reasons why an inquiry was not conducted. If the identity of the complainant is known, the Research Integrity Officer or designee will notify the complainant of the outcome of the assessment.
	Authorship or collaboration disputes and other matters that are not within the definition of research misconduct, as set forth in this policy, are not subject to this policy and shall be addressed through procedures outlined in the ~~UNMC Faculty Handbook~~ [~~<nowiki~~/~~>[[~~Faculty Handbook~~\|Faculty]]~~], University of Nebraska Student Code of Conduct [https://catalog.unmc.edu/general-information/student-policies-procedures/code-of-conduct/code-of-conduct.pdf (https://catalog.unmc.edu/general-information/student-policies-procedures/code-of-conduct/code-of-conduct.pdf)] and University of Nebraska Medical Center Code of Conduct (<nowiki>https://catalog.unmc.edu/general-information/student-policies-procedures/unmc-code-of-conduct/</nowiki>), as appropriate. Authorship guidelines are found at [https://wiki.unmc.edu/index.php/Authorship_Guidelines Authorship Guidelines - University of Nebraska Medical Center]
			Authorship or collaboration disputes and other matters that are not within the definition of research misconduct, as set forth in this policy, are not subject to this policy and shall be addressed through procedures outlined in the [https://info.unmc.edu/wiki/index.php/Faculty_Handbook UNMC Faculty Handbook] , University of Nebraska Student Code of Conduct [https://catalog.unmc.edu/general-information/student-policies-procedures/code-of-conduct/code-of-conduct.pdf (https://catalog.unmc.edu/general-information/student-policies-procedures/code-of-conduct/code-of-conduct.pdf)] and University of Nebraska Medical Center Code of Conduct (<nowiki>https://catalog.unmc.edu/general-information/student-policies-procedures/unmc-code-of-conduct/</nowiki>), as appropriate. Authorship guidelines are found at [https://wiki.unmc.edu/index.php/Authorship_Guidelines Authorship Guidelines - University of Nebraska Medical Center]

	===Sequestration of Research Records===		===Sequestration of Research Records===
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	The Research Integrity Officer or designee is not required to notify a complainant whether the inquiry found that an investigation is warranted. However, if the Research Integrity Officer or designee provides notice to one complainant in a case, they must provide notice, to the extent possible, to all complainants in a case.		The Research Integrity Officer or designee is not required to notify a complainant whether the inquiry found that an investigation is warranted. However, if the Research Integrity Officer or designee provides notice to one complainant in a case, they must provide notice, to the extent possible, to all complainants in a case.

	====Time for Completion ====		====Time for Completion of Inquiry ====
	The inquiry, including preparation of the final inquiry report and the decision of the Institutional Deciding Official, must be completed within 90 days of its initiation, unless the Research Integrity Officer or designee determines that circumstances warrant a longer period.		The inquiry, including preparation of the final inquiry report and the decision of the Institutional Deciding Official, must be completed within 90 days of its initiation, unless the Research Integrity Officer or designee determines that circumstances warrant a longer period.
	===Investigation===		===Investigation===
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	====Investigation Report====		====Investigation Report====
	Upon completion of the investigation, a written report for each respondent shall be prepared in accordance with applicable legal requirements. Such report shall, without limitation:		Upon completion of the investigation, a written report for each respondent shall be prepared in accordance with applicable legal requirements. Such report shall, without limitation:
	:(1) describe the nature of the allegation(s) of research misconduct, including identification of the respondent(s); (2) describe and document support for the research, including PHS or other funding agency support; (3) describe the specific allegations of research misconduct considered in the investigation; (4) describe composition of the investigation committee, including name(s), position(s), and subject matter expertise; (5) include the inventory of sequestered research records and other evidence, except records UNMC did not consider or rely on, with a description of how any sequestration was conducted during the investigation and including manuscripts and funding proposals that were considered or relied on in the investigation; (6) include transcripts of all interviews conducted; (7) identify any specific published papers, manuscripts submitted but not accepted for publication (including online publication), funding applications, progress reports, presentations, posters, or other research records that allegedly contain the falsified, fabricated, or plagiarized materials; (8) describe any scientific or forensic analyses conducted; (9) include the institutional policies and procedures under which the investigation was conducted; (10) include any comments made by the respondent and complainant on the draft investigation report and the investigation committee’s consideration of those comments; (11) include a statement of findings for each allegation of research misconduct identified during the investigation, summarizing the basis for the investigation committee’s decision and proposed corrective actions (if any). The statement shall include the identity of the individual(s) who committed the research misconduct, the type of misconduct (falsification, fabrication, or plagiarism), indicate whether the research misconduct was committed intentionally, knowingly, or recklessly; and state whether the requirements for finding research misconduct have been met. If the committee does not recommend a finding of research misconduct for an allegation, the investigation report must provide a detailed rationale; and (12) If the investigation took longer than 180 days to complete, include the reasons for exceeding the 180-day period.		:(1) describe the nature of the allegation(s) of research misconduct, including identification of the respondent(s);
			:(2) describe and document support for the research, including PHS or other funding agency support;
			:(3) describe the specific allegations of research misconduct considered in the investigation;
			:(4) describe composition of the investigation committee, including name(s), position(s), and subject matter expertise;
			:(5) include the inventory of sequestered research records and other evidence, except records UNMC did not consider or rely on, with a description of how any sequestration was conducted during the investigation and including manuscripts and funding proposals that were considered or relied on in the investigation;
			:(6) include transcripts of all interviews conducted;
			:(7) identify any specific published papers, manuscripts submitted but not accepted for publication (including online publication), funding applications, progress reports, presentations, posters, or other research records that allegedly contain the falsified, fabricated, or plagiarized materials;
			:(8) describe any scientific or forensic analyses conducted;
			:(9) include the institutional policies and procedures under which the investigation was conducted;
			:(10) include any comments made by the respondent and complainant on the draft investigation report and the investigation committee’s consideration of those comments;
			:(11) include a statement of findings for each allegation of research misconduct identified during the investigation, summarizing the basis for the investigation committee’s decision and proposed corrective actions (if any). The statement shall include the identity of the individual(s) who committed the research misconduct, the type of misconduct (falsification, fabrication, or plagiarism), indicate whether the research misconduct was committed intentionally, knowingly, or recklessly; and state whether the requirements for finding research misconduct have been met. If the committee does not recommend a finding of research misconduct for an allegation, the investigation report must provide a detailed rationale; and
			:(12) If the investigation took longer than 180 days to complete, include the reasons for exceeding the 180-day period.
	:* The Research Integrity Officer or designee shall provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be given thirty (30) days to review and comment on the draft report. The respondent will receive a copy of or have the opportunity to obtain supervised access to the evidence on which the report is based. The respondent shall submit comments to the Research Integrity Officer or designee within 30 days from the date the respondent received the draft report. The respondent's comments will be attached to the final report.		:* The Research Integrity Officer or designee shall provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be given thirty (30) days to review and comment on the draft report. The respondent will receive a copy of or have the opportunity to obtain supervised access to the evidence on which the report is based. The respondent shall submit comments to the Research Integrity Officer or designee within 30 days from the date the respondent received the draft report. The respondent's comments will be attached to the final report.
	:* The investigation committee shall consider and address the respondent(s)’ comments on the draft report in connection with finalizing the report.		:* The investigation committee shall consider and address the respondent(s)’ comments on the draft report in connection with finalizing the report.

Mhurlocker: /* No Appeals */

2025-10-06T17:55:02Z

No Appeals

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	The Research Integrity Officer or designee is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation including the institutional record and all sequestered evidence including physical objects (regardless of whether the evidence is part of the institutional record). All records shall be maintained in a secure manner for seven years after completion of the UNMC case or the completion of any federal proceeding involving the research misconduct allegation, whichever is later, unless custody has been transferred to the federal agency or the ORI or other federal agency advises otherwise in writing. If a person involved in a research misconduct proceeding for research that does not involve PHS or other federal funds whose data, documents, physical objects, or other materials were sequestered for purposes of the proceeding requests a return of such data, documents, physical objects, or other materials at the end of the proceeding, the Research Integrity Officer or designee will determine whether there are funding entity record retention requirements and whether substantially equivalent copies can be created and retained such that return is permissible. Federal funding and oversight agencies will be given access to the records upon request.		The Research Integrity Officer or designee is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation including the institutional record and all sequestered evidence including physical objects (regardless of whether the evidence is part of the institutional record). All records shall be maintained in a secure manner for seven years after completion of the UNMC case or the completion of any federal proceeding involving the research misconduct allegation, whichever is later, unless custody has been transferred to the federal agency or the ORI or other federal agency advises otherwise in writing. If a person involved in a research misconduct proceeding for research that does not involve PHS or other federal funds whose data, documents, physical objects, or other materials were sequestered for purposes of the proceeding requests a return of such data, documents, physical objects, or other materials at the end of the proceeding, the Research Integrity Officer or designee will determine whether there are funding entity record retention requirements and whether substantially equivalent copies can be created and retained such that return is permissible. Federal funding and oversight agencies will be given access to the records upon request.

	=== ~~'''~~No Appeals~~'''~~ ===		=== No Appeals ===
	The decisions made by UNMC at assessment, inquiry, or investigation regarding an allegation of research misconduct are not subject to appeal by any complainant, respondent, or other individual.		The decisions made by UNMC at assessment, inquiry, or investigation regarding an allegation of research misconduct are not subject to appeal by any complainant, respondent, or other individual.

Mhurlocker: /* Record Retention */

2025-10-06T17:54:25Z

Record Retention

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	The Research Integrity Officer or designee is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation including the institutional record and all sequestered evidence including physical objects (regardless of whether the evidence is part of the institutional record). All records shall be maintained in a secure manner for seven years after completion of the UNMC case or the completion of any federal proceeding involving the research misconduct allegation, whichever is later, unless custody has been transferred to the federal agency or the ORI or other federal agency advises otherwise in writing. If a person involved in a research misconduct proceeding for research that does not involve PHS or other federal funds whose data, documents, physical objects, or other materials were sequestered for purposes of the proceeding requests a return of such data, documents, physical objects, or other materials at the end of the proceeding, the Research Integrity Officer or designee will determine whether there are funding entity record retention requirements and whether substantially equivalent copies can be created and retained such that return is permissible. Federal funding and oversight agencies will be given access to the records upon request.		The Research Integrity Officer or designee is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation including the institutional record and all sequestered evidence including physical objects (regardless of whether the evidence is part of the institutional record). All records shall be maintained in a secure manner for seven years after completion of the UNMC case or the completion of any federal proceeding involving the research misconduct allegation, whichever is later, unless custody has been transferred to the federal agency or the ORI or other federal agency advises otherwise in writing. If a person involved in a research misconduct proceeding for research that does not involve PHS or other federal funds whose data, documents, physical objects, or other materials were sequestered for purposes of the proceeding requests a return of such data, documents, physical objects, or other materials at the end of the proceeding, the Research Integrity Officer or designee will determine whether there are funding entity record retention requirements and whether substantially equivalent copies can be created and retained such that return is permissible. Federal funding and oversight agencies will be given access to the records upon request.

	==== '''No Appeals''' ====		=== '''No Appeals''' ===
	The decisions made by UNMC at assessment, inquiry, or investigation regarding an allegation of research misconduct are not subject to appeal by any complainant, respondent, or other individual.		The decisions made by UNMC at assessment, inquiry, or investigation regarding an allegation of research misconduct are not subject to appeal by any complainant, respondent, or other individual.

Mhurlocker: /* Allegations Involving Multiple Institutions */

2025-10-06T17:53:30Z

Allegations Involving Multiple Institutions

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	In determining whether an incident falls under this policy, an individual may refer to the definitions under this policy (e.g., authorship disputes and self-plagiarism do not fall under this policy) and review University of Nebraska Executive Memorandum No. 41, Policy on Research Data and Security (e.g., for questions regarding data ownership). If an individual is unsure whether the suspected incident falls within the definition of research misconduct, they may call the Research Integrity Officer to discuss the suspected misconduct informally, including anonymously or hypothetically. Such discussions shall ordinarily be confidential. If the circumstances do not meet the definition of research misconduct, the Research Integrity Officer or designee will refer the individual or allegation to other offices with responsibility for resolving the problem.		In determining whether an incident falls under this policy, an individual may refer to the definitions under this policy (e.g., authorship disputes and self-plagiarism do not fall under this policy) and review University of Nebraska Executive Memorandum No. 41, Policy on Research Data and Security (e.g., for questions regarding data ownership). If an individual is unsure whether the suspected incident falls within the definition of research misconduct, they may call the Research Integrity Officer to discuss the suspected misconduct informally, including anonymously or hypothetically. Such discussions shall ordinarily be confidential. If the circumstances do not meet the definition of research misconduct, the Research Integrity Officer or designee will refer the individual or allegation to other offices with responsibility for resolving the problem.

	=== ~~'''~~Allegations Involving Multiple Institutions~~'''~~ ===		=== Allegations Involving Multiple Institutions ===
	When allegations involve research conducted at multiple institutions, the Research Integrity Officer will communicate with the administrator charged with research integrity at the other institution(s). UNMC and the other institution(s) must determine whether a joint research misconduct proceeding will be conducted and, if so, designate one institution to serve as the lead institution. The lead institution will follow its research misconduct policies and procedures to conduct the proceeding as modified by the procedures included- immediately below in this paragraph as agreed to by the participating institutions. In a joint research misconduct proceeding, the lead institution should obtain research records and other evidence pertinent to the proceeding, including witness testimony, from the other relevant institution(s). By mutual agreement, the joint research misconduct proceeding may include committee members from the institutions involved. The determination of whether further inquiry and/or investigation is warranted, whether research misconduct occurred, and the institutional actions to be taken may be made by the institutions jointly or tasked to the lead institution.		When allegations involve research conducted at multiple institutions, the Research Integrity Officer will communicate with the administrator charged with research integrity at the other institution(s). UNMC and the other institution(s) must determine whether a joint research misconduct proceeding will be conducted and, if so, designate one institution to serve as the lead institution. The lead institution will follow its research misconduct policies and procedures to conduct the proceeding as modified by the procedures included- immediately below in this paragraph as agreed to by the participating institutions. In a joint research misconduct proceeding, the lead institution should obtain research records and other evidence pertinent to the proceeding, including witness testimony, from the other relevant institution(s). By mutual agreement, the joint research misconduct proceeding may include committee members from the institutions involved. The determination of whether further inquiry and/or investigation is warranted, whether research misconduct occurred, and the institutional actions to be taken may be made by the institutions jointly or tasked to the lead institution.

Mhurlocker: /* Allegations Involving the Research Integrity Officer or Institutional Deciding Official */

2025-10-06T17:53:00Z

Allegations Involving the Research Integrity Officer or Institutional Deciding Official

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	Allegations involving research being conducted at more than one campus of the University of Nebraska will be treated as allegations involving multiple institutions.		Allegations involving research being conducted at more than one campus of the University of Nebraska will be treated as allegations involving multiple institutions.

	=== ~~'''~~Allegations Involving the Research Integrity Officer or Institutional Deciding Official~~'''~~ ===		=== Allegations Involving the Research Integrity Officer or Institutional Deciding Official ===
	In the event an allegation of research misconduct is made against the Research Integrity Officer or Institutional Deciding Official, or the Research Integrity Officer or Institutional Deciding Official has a conflict of interest with the outcome of the assessment, inquiry, or investigation of an allegation, the Vice Chancellor for Research will appoint a substitute for the Research Integrity Officer or Institutional Deciding Official. If such a replacement is not possible, the Vice Chancellor for Research will confer with the Office of General Counsel to determine whether external resources will be engaged to complete the necessary process under this policy.		In the event an allegation of research misconduct is made against the Research Integrity Officer or Institutional Deciding Official, or the Research Integrity Officer or Institutional Deciding Official has a conflict of interest with the outcome of the assessment, inquiry, or investigation of an allegation, the Vice Chancellor for Research will appoint a substitute for the Research Integrity Officer or Institutional Deciding Official. If such a replacement is not possible, the Vice Chancellor for Research will confer with the Office of General Counsel to determine whether external resources will be engaged to complete the necessary process under this policy.

Mhurlocker: /* Record Retention */

2025-10-06T17:46:59Z

Record Retention

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	UNMC officials shall take interim administrative actions, as appropriate, to protect Federal funds and ensure that the purposes of the Federal financial assistance are carried out.		UNMC officials shall take interim administrative actions, as appropriate, to protect Federal funds and ensure that the purposes of the Federal financial assistance are carried out.
	===Record Retention===		===Record Retention===
	The Research Integrity Officer is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation. All records shall be maintained in a secure manner for ~~at least~~ seven years after completion of the UNMC case. Federal funding and oversight agencies will be given access to the records upon request.		The Research Integrity Officer or designee is delegated responsibility for preparing and maintaining all documentation gathered or generated during an inquiry and investigation including the institutional record and all sequestered evidence including physical objects (regardless of whether the evidence is part of the institutional record). All records shall be maintained in a secure manner for seven years after completion of the UNMC case or the completion of any federal proceeding involving the research misconduct allegation, whichever is later, unless custody has been transferred to the federal agency or the ORI or other federal agency advises otherwise in writing. If a person involved in a research misconduct proceeding for research that does not involve PHS or other federal funds whose data, documents, physical objects, or other materials were sequestered for purposes of the proceeding requests a return of such data, documents, physical objects, or other materials at the end of the proceeding, the Research Integrity Officer or designee will determine whether there are funding entity record retention requirements and whether substantially equivalent copies can be created and retained such that return is permissible. Federal funding and oversight agencies will be given access to the records upon request.

			==== '''No Appeals''' ====
			The decisions made by UNMC at assessment, inquiry, or investigation regarding an allegation of research misconduct are not subject to appeal by any complainant, respondent, or other individual.

	==Additional information==		==Additional information==
	*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />		*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />

Mhurlocker: /* Respondent Admissions */

2025-10-06T17:44:50Z

Respondent Admissions

Mhurlocker: /* Decision by Deciding Official */

2025-10-06T17:32:56Z

Decision by Deciding Official

Show changes

Mhurlocker: /* Inquiry Committee */

2025-10-06T17:01:39Z

Inquiry Committee

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	:(1) there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct; and,		:(1) there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct; and,
	:(2) the preliminary information-gathering and fact-finding indicate the allegation may have substance.		:(2) the preliminary information-gathering and fact-finding indicate the allegation may have substance.
	~~==== Inquiry Committee====~~
	The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within ten (10) days after initiation of the inquiry. The inquiry committee must consist of individuals who do not have real or apparent conflicts of interest with those involved with the case, are unbiased, and have the necessary expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry.<br />

	The Research Integrity Officer will notify the respondent of the proposed committee membership. If the respondent submits a written objection to a member or members of the inquiry committee based on bias or conflict of interest within five (5) business days, the Deciding Official will determine whether to replace the challenged member with a qualified substitute.
	====Inquiry Process====		====Inquiry Process====
	The Research Integrity Officer shall ~~deliver a charge to~~ the inquiry ~~committee that sets forth the committee’s responsibilities and timeline~~. The Research Integrity Officer ~~and other institutional officials and outside consultants~~ may ~~advise~~ the inquiry ~~committee~~. The ~~inquiry committee~~ may interview the complainant, the respondent, and key witnesses as well as examine relevant research records and materials. The ~~inquiry committee~~ will evaluate the evidence and determine whether an investigation is warranted.		The Research Integrity Officer or designee shall conduct the inquiry. The Research Integrity Officer or designee may obtain assistance from one or more subject matter experts as may be necessary to conduct the inquiry. No person conducting or consulting on the inquiry will have an unresolved personal, professional, or financial conflict of interest with the complainant, respondent, or witnesses. The Research Integrity Officer or designee may interview the complainant, the respondent, and key witnesses as well as examine relevant research records and materials. If additional allegations are raised during the inquiry, the respondent(s) must be notified in writing of the additional allegations raised against them. The Research Integrity Officer or designee will evaluate the evidence and determine whether an investigation is warranted. Findings of research misconduct, including whether the alleged misconduct is intentional, knowing, or reckless, cannot be made through the inquiry process. The Research Integrity Officer or designee may make a determination of honest error as a result of the inquiry, which would not warrant an investigation.
	====Written Report====		====Written Report====
	A written report shall be prepared in accordance with applicable legal requirements that includes the following information:		A written report shall be prepared in accordance with applicable legal requirements that includes the following information:
	~~:(1)~~ the ~~name~~ and position of the respondent;
	~~:(2)~~ a description of the allegations of research misconduct;		# the names, professional aliases, and position of the respondent and the complainant;
	~~:(3)~~ the PHS or other governmental or third-party support;		# a description of the allegations of research misconduct;
	~~:(4) the~~ evidence ~~that~~ was ~~reviewed~~;		# the PHS or other governmental or third-party support including, for example, grant numbers, grant applications, contracts, and publications listing support;
	~~:(5)~~ the basis for recommending or not recommending that the allegations warrant an investigation; ~~and~~		# inventory of sequestered research records and other evidence and description of how sequestration was conducted;
	~~:(6)~~ any comments on the draft report by the respondent. The respondent shall be given a copy of the draft inquiry report together with a copy of this policy. ~~<br />~~		# transcripts of any transcribed interviews;
	If the respondent chooses to comment on the report, they must submit a written response to the Research Integrity Officer within fourteen (14) ~~working~~ days after receiving the report in order for it to be made a part of the record. Based on the comments, the Research Integrity Officer may revise the report as appropriate.		# timeline and procedural history;
			# any scientific or forensic analyses conducted;
			# the basis for recommending or not recommending that the allegations warrant an investigation;
			# if there is potential evidence of honest error or difference of opinion;
			# any comments on the draft inquiry report by the respondent;
			# any institutional actions implemented, including communications with journals or funding agencies; and
			# if the inquiry took longer than 90 days to complete, the reasons for exceeding the 90-day period.

			The respondent shall be given a copy of the draft inquiry report together with a copy of this policy. If the respondent chooses to comment on the report, they must submit a written response to the Research Integrity Officer or designee within fourteen (14) days after receiving the report in order for it to be made a part of the record. Based on the comments, the Research Integrity Officer or designee may revise the report as appropriate.

	==== Decision by Deciding Official====		==== Decision by Deciding Official====
	The Research Integrity Officer will transmit the final inquiry report and any comments to the Deciding Official, who will make the determination of whether the findings from the inquiry indicate a reasonable basis for concluding that the allegation has sufficient substance to fall within the definition of research misconduct and that the allegation should proceed to an investigation.		The Research Integrity Officer will transmit the final inquiry report and any comments to the Deciding Official, who will make the determination of whether the findings from the inquiry indicate a reasonable basis for concluding that the allegation has sufficient substance to fall within the definition of research misconduct and that the allegation should proceed to an investigation.

Mhurlocker: /* Initiation of the Inquiry */

2025-10-06T16:58:14Z

Initiation of the Inquiry

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	=== Inquiry===		=== Inquiry===
	====Initiation of the Inquiry====		====Initiation of the Inquiry====
	At the time of or before beginning an inquiry, the Research Integrity Officer or designee must make a good faith effort to notify the respondent in writing, if the respondent is known. If the inquiry subsequently identifies additional respondents, they must be notified in writing. Only allegations specific to a particular respondent are to be included in the notification to that respondent.		At the time of or before beginning an inquiry, the Research Integrity Officer or designee must make a good faith effort to notify the respondent in writing, if the respondent is known. If the inquiry subsequently identifies additional respondents, they must be notified in writing. Only allegations specific to a particular respondent are to be included in the notification to that respondent.
	====Purpose of the Inquiry====		====Purpose of the Inquiry====
	The purpose of the inquiry is to ~~make a preliminary evaluation~~ of the evidence to determine whether ~~to conduct~~ an investigation. The purpose of the inquiry is not to reach a final conclusion about whether misconduct definitely occurred or who was responsible, and an inquiry does not require a full review of all the evidence related to the allegation. An investigation is warranted if ~~the committee determines~~:		The purpose of the inquiry is to conduct an initial review of the evidence to determine whether an allegation warrants an investigation. The purpose of the inquiry is not to reach a final conclusion about whether misconduct definitely occurred or who was responsible, and an inquiry does not require a full review of all the evidence related to the allegation. An investigation is warranted if it is determined:
	:(1) there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct; and,		:(1) there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct; and,
	:(2) the allegation may have substance~~, based on the committee’s review during the inquiry~~.		:(2) the preliminary information-gathering and fact-finding indicate the allegation may have substance.
	==== Inquiry Committee====		==== Inquiry Committee====
	The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within ten (10) days after initiation of the inquiry. The inquiry committee must consist of individuals who do not have real or apparent conflicts of interest with those involved with the case, are unbiased, and have the necessary expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry.<br />		The Research Integrity Officer, in consultation with other UNMC officials as appropriate, will appoint an inquiry committee and committee chair within ten (10) days after initiation of the inquiry. The inquiry committee must consist of individuals who do not have real or apparent conflicts of interest with those involved with the case, are unbiased, and have the necessary expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry.<br />

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	===Other Considerations===		===Other Considerations===
	==== Respondent Admissions ====		==== Respondent Admissions ====
	Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently. ~~The~~ Research Integrity Officer must notify ORI in advance if there are plans to close a ~~case~~ at the inquiry, investigation, or appeal stage on the basis that respondent has admitted ~~guilt,~~ a settlement with the respondent has been reached~~, or for any other reason, except:~~		Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently. For PHS-funded research, the Research Integrity Officer or designee must notify ORI in advance if there are plans to close a research misconduct proceeding at the assessment, inquiry, investigation, or appeal stage on the basis that respondent has admitted to committing research misconduct or a settlement with the respondent has been reached.
	~~:(1) closing of a case at~~ the ~~inquiry stage on~~ the ~~basis~~ that ~~an investigation is not warranted; or~~
	~~:(2)~~ a finding of no misconduct at the ~~investigation stage, which~~ must ~~be reported~~ to ORI~~, as prescribed in this policy~~ and ~~42 CFR § 93.315~~.		* A respondent’s admission must be made in writing and signed by the respondent and specify the falsification, fabrication, and/or plagiarism that occurred and which records were affected. The admission statement must meet all elements required for a finding of research misconduct and must be provided to ORI before the institution closes its research misconduct proceeding. UNMC must also provide a statement to ORI describing how it determined that the scope of misconduct was fully addressed by the admission and confirmed the respondent’s culpability.
			:
	==== Respondent Resignation/Withdrawal====		==== Respondent Resignation/Withdrawal====
	If the respondent terminates UNMC employment, resigns, or withdraws from school (in the case of a student) prior to completion of the inquiry or investigation, the inquiry or investigation will proceed. If the respondent refuses to participate in the proceedings, the investigation committee will use its best efforts to reach a conclusion concerning the allegations, noting in its report the respondent’s failure to cooperate and its effect on the committee's review of all the evidence.		If the respondent terminates UNMC employment, resigns, or withdraws from school (in the case of a student) prior to completion of the inquiry or investigation, the inquiry or investigation will proceed. If the respondent refuses to participate in the proceedings, the investigation committee will use its best efforts to reach a conclusion concerning the allegations, noting in its report the respondent’s failure to cooperate and its effect on the committee's review of all the evidence. If a finding of research misconduct is made after a respondent terminates, resigns, or withdraws, UNMC will implement such corrective actions as may be applicable and possible given the termination, resignation, or withdrawal including, but not limited to, correcting the research record.
	==== Restoration of Respondent's Reputation ====		==== Restoration of Respondent's Reputation ====
	If UNMC finds no research misconduct, and the funding agency concurs when required, the Research Integrity Officer will undertake reasonable efforts to restore the respondent's reputation after consulting with the respondent and receiving approval from the Deciding Official. Such actions could include, for example only, notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of research misconduct was previously publicized, and expunging all reference to the research misconduct allegation from the respondent's personnel file.		If UNMC finds no research misconduct, and the funding agency concurs when required, the Research Integrity Officer will undertake reasonable efforts to restore the respondent's reputation after consulting with the respondent and receiving approval from the Institutional Deciding Official. Such actions could include, for example only, notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of research misconduct was previously publicized, and expunging all reference to the research misconduct allegation from the respondent's personnel file.
	====Allegations Not Made in Good Faith====		====Allegations Not Made in Good Faith====
	If relevant, the Deciding Official will determine whether the ~~Complainant’s~~ allegations of research misconduct were made in good faith. If an allegation was not made in good faith, the Deciding Official will determine if any administrative action should be taken against the ~~Complainant~~.		If relevant, the Institutional Deciding Official will determine whether the complainant’s allegations of research misconduct were made in good faith. If an allegation was not made in good faith, the Institutional Deciding Official will determine if any administrative action should be taken against the complainant.
	====Interim Administrative Actions====		====Interim Administrative Actions====
	UNMC officials shall take interim administrative actions, as appropriate, to protect Federal funds and ensure that the purposes of the Federal financial assistance are carried out.		UNMC officials shall take interim administrative actions, as appropriate, to protect Federal funds and ensure that the purposes of the Federal financial assistance are carried out.