A.

Purpose (federal or state funding)
An Investigation will be initiated when the individual conducting the Inquiry issues a finding that an Investigation is warranted and the VPR concurs with that recommendation. The purpose of investigation is to explore further the allegations and determine whether misconduct in research and scholarship has been committed. The Investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the course of an Investigation, additional information may emerge that justifies broadening the scope of the Investigation beyond the initial allegations. The Respondent will be informed in writing when significant new directions are undertaken in the Investigation.

B.

Process and Structure (federal or state funding)

1.

After making a decision to proceed with a formal Investigation, the VPR will consult with the Chair of the University Senate to appoint a three-person Committee of Investigation (CoI/Committee), all without conflict of interest. At least two members must be tenured faculty at the rank of associate or full professor and have appropriate expertise for evaluating the information relative to the case. The third member may be appointed from outside the University of North Dakota community if, in the judgment of the VPR, the circumstances justify such an appointment. Otherwise, the third member shall be appointed from within the University and must meet the same requirements as those listed for the first two members. The individual who conducted the Inquiry may not also serve on the CoI. Appointment of a CoI should be made within 20 working days following the receipt of the report of the individual conducting the Inquiry and any comments submitted from the Respondent.

2.

Before the Committee is convened, the VPR shall notify (Memo #3) all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, the parties will be informed of the proposed membership of the CoI for the purpose of identifying, in advance, any real or potential conflicts of interest.

3.

At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters. All Committee members will be voting members.

4.

Copies of all pertinent documents in the possession of the VPR will be provided by the VPR to the CoI and the Respondent in advance of scheduled meetings. Proceedings will be tape-recorded and made available to the involved parties but only after a final decision in the entire process has been made.

11.

After all information has been received and the fact-finding interviews have been completed, the Committee shall deliberate and prepare its findings. The Committee shall find no academic misconduct unless a majority of the members conclude beyond a reasonable doubt that the allegation(s) have been substantiated. A minority report can be written.

12.

All significant developments during the Investigation, as well as the findings of the Committee, will be reported by the VPR to any affected research sponsor, if appropriate.

C.

Findings (federal or state funding)

1.

Upon completion of the Investigation, the Committee will submit a draft report to the Respondent for comment. The Respondent shall be given the opportunity to comment in writing (Memo #4) upon the findings and recommendations of the Committee. If the Respondent chooses to comment, such comments shall be forwarded as soon as possible but no later than 20 working days from the date of receipt of the draft report. The Respondent will be sent a copy of the draft report by certified mail, return receipt requested. The Respondent’s comments will be taken into consideration when completing the report. The Committee will then submit the final report to the VPR, which details the Committee’s findings.

2.

The final institutional investigation report must be in writing and include:

a. Allegations. Describe the nature of the allegations of research misconduct

b. Federal or state support. Describe and document federal or state support including, for example, any grant numbers grant applications, contracts and publications listing federal or state support.

c. Institutional charge. Describe the specific allegations of research misconduct for consideration in the Investigation.

d. Policies and procedures. If not already provided to ORI with the Inquiry report, include the institutional policies and procedures under which the Investigation was conducted.

e. Research records and information. Identify and summarize the research records and information reviewed, and identify any information taken into custody but not reviewed.

f. Statement of findings. For each separate allegation of research misconduct identified during the Investigation, provide a finding as to whether research misconduct did or did not occur and if so:

1) Identify whether the research misconduct was falsification, fabrication, or plagiarism, and if it was intentional, knowing, or in reckless disregard;

2) Summarize the facts and the analysis which support the conclusion and consider the merits of any reasonable explanation by the Respondent;

3) Identify the specific federal or state support;

4) Identify whether any publications need to be corrected or retracted;

5) Identify the person(s) responsible for the misconduct; and

6) List any current support or known applications or proposals for support that the Respondent has pending with all federal or state agencies.

g. Comments. Include and consider any comments made by the Respondent and Complainant on the draft Investigation report.

h. Upon request, maintain and provide to the ORI (or other federal or state agencies) all relevant research records and records of the institution’s research misconduct proceeding, including results of all interviews and the transcripts of recordings of such interviews.

i. All records of any research misconduct proceedings will be maintained in the office of the VPR by the Research Integrity Officer for six (6) years after completion of the proceedings or the completion of any ORI proceedings involving the allegations of research misconduct, whichever is later, unless custody of the records has been transferred to ORI or ORI has advised that the records no longer need to be retained, and the University’s record retention time has expired.

3.

The report shall also be sent to the Respondent by the VPR within 10 working days of receipt of the report along with the findings of the VPR and sanctions, if any.

D.

Information Outside the Investigation

If, in the course of its Investigation, the CoI finds something that should be reviewed or changed, the CoI may send a separate letter to the individual who has the authority to act on the information. This information should not be contained in the official CoI report nor should it reveal the subject matter of the Investigation or the parties involved.

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