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Complainant Guidance
A Complainant is the individual making an allegation of research misconduct. Complainants are treated as any other witness in the proceeding and do not control nor direct the process or act as a decision maker. It is the University’s duty—not the Complainant’s—to ensure that all allegations are investigated thoroughly, competently, and brought to resolution. The Senior Vice President for Research is the Deciding Official (DO) who makes the final determinations on allegations of research misconduct and the Research Integrity Officer (RIO) is responsible for carrying out the processes set forth in Penn State Policy RP02.
If you are a Complainant, use the information on this page to guide you through the process. Refer to Policy RP02 for additional information, including expanded definitions, roles, and the lifecycle of misconduct proceedings.
Who's Involved and Confidentiality
- The RIO may notify appropriate University administrators, officials, and sponsors as necessary.
- Disclosure is limited to only those who need to be informed.
- The RIO is committed to protecting confidentiality for the following individuals (however complete anonymity cannot be guaranteed):
- Individuals who report research misconduct (Complainants),
- Research subjects identifiable in records or evidence,
- Respondents named in the allegation(s).
Your Responsibilities
- You will be asked to provide evidence and information in connection with the research misconduct allegation(s) you are bringing forward. Please keep the following guidelines in mind:
- Actual documents are typically more helpful than a recollection of conversation or events
- When sharing emails, forward the original email with a brief summary about the relevance to the case
- Make note of how data is stored for the particular research in question, including specific locations or devices on which it can be found
- What types and sources of evidence are relevant to the case
- Fully cooperate if you are interviewed at the Inquiry stage and know you will be interviewed during the Investigation stage. You will be given a copy of the interview transcript for correction but will not be provided with transcripts of other interviews.
- For confidentiality purposes, the Complainant will not receive copies of any reports and will only be notified when the research misconduct process is complete.
Extended Description for Timeline
If warranted, the Inquiry Official or Committee has 90 days to complete the Inquiry. Official or Committee will be charged to conduct the Inquiry by reviewing evidence related to the allegation to determine if an Investigation is warranted (documented in a report).
Once notified, the Respondent will have 10 days to object to the proposed Official/Committee members.
Within the 30-day timeframe, once notified, the Respondent will have 10 days to object to proposed Official/Committee members.
Investigation begins within 30 days of notification that it is warranted.
Within 180 days the Investigation will conclude (timeframe involves conducting the Investigation, preparing the report of findings, providing the draft report for comment, and sending the final report to the DO, the Respondent, and any applicable federal agency).
What Happens Next
- You report your concerns to the RIO who performs an Assessment. You may be asked to provide additional clarification, and you will be notified about the outcome of the Assessment. If the case ends at Assessment, nothing further is required.
- If the case moves to the Inquiry stage, you may be asked to participate in an interview if the Inquiry Official/Committee feels it would help them determine whether the case should move to Investigation. If you do participate in an interview at this stage, you will receive a copy of your transcript which will be included in the Inquiry Report that is shared with the Respondent and Deciding Official. If you are not interviewed at the Inquiry stage, you will still be notified about the outcome of the Inquiry.
- If the case moves to the Investigation stage, the Investigation Committee is required to interview both the Respondent and Complainant as part of the process. You would receive a transcript of your interview which will be included in the Investigation Report that is shared with the Respondent and Deciding Official. You will be notified of the outcome of the Investigation.
- The next steps beyond the Allegation stage are available on our webpage.
Expanded Support for Graduate Students, Faculty and Staff
We recognize this may be a difficult and stressful time, and want you to know that a variety of resources are available to support you through this process.
Graduate Students
College Level
Graduate students may reach out to the following for support and assistance:
- Department Head
- Graduate Program
- Administrator for Graduate Education in their College or School
- Associate Dean for Graduate Student Affairs of the Graduate School
Student Affairs
Student Affairs can help you continue with your studies and participation in the Penn State Community while your case is being investigated and decided.
Support and Assistance Provided:
- Understand what to expect in a transparent, open manner
- Engage with academic accommodations and University resources that can support you
- Connect with community resources that may have no ties to Penn State
- Develop self-supporting strategies to help you pursue other goals
- Explain the responsibilities and options that you have while going through the process
- Support you as you choose a response in keeping with your best interest
Advisers
Graduate students may consult with their adviser throughout the research misconduct process, except in certain situations.
When to Consult:
- Adviser does not have a direct role in the research misconduct case
When NOT to Consult:
- When adviser is the person bringing the complaint
- A research misconduct allegation has been made against you and your adviser
Ombudspersons
Support and Assistance Provided:
- Safe environment to discuss issues and concerns
- Assist with identifying or creating options for resolution
- Help understand relevant policies, connect with resources for support and assistance
- Make referrals to formal channels with investigatory powers
Ombudspersons Do NOT:
- Formally advocate for the student or any individual view (but do promote a fair process for all)
- Keep formal records
- Perform formal investigations
- Advocate for either one party or another
Faculty and Staff Respondent Support
RP02 Addressing Allegations of Research Misconduct
Penn State’s Policy RP02 process is an academic process and not a legal process and meetings and interviews are not legal proceedings. RP02 provides that a Respondent (the person against whom an allegation of research misconduct has been made) “may consult with legal counsel or a non-lawyer personal adviser (who is not a principal or witness in the case) to seek advice.” Examples of non-lawyer personal advisers include (but are not limited to) a; partner/spouse, friend, family member, ombudsperson, and/or professional or personal mentor who is not also a lawyer. Non-legal support persons cannot be a University employee unless they are currently an ombudsperson. Although uncommon, if the inclusion of a support person is desired, a request should be made in writing to the Research Integrity Officer (RIO) at least 5 business days in advance of any meeting or interview.
Department Heads, Research Deans, Supervisory Officials
For most cases, the department head and associate research dean, and/or appropriate supervisory official of the Respondent are notified of the research misconduct allegation(s) so the the department head, associate research dean, and/or supervisory official can:
- Assist the RIO with the coordination of data sequestration
- Act as support for the Respondent, as they will know the circumstances of the allegation
- Provide clarification about the research misconduct process to the Respondent
Employee Assistance Program (EAP)
Penn State’s EAP offers resources to full-time, benefits-eligible employees, their spouse and dependents, as well as members of their household. Services include (but are not limited to) in-the-moment support, short-term counseling, legal consultation and financial expertise, all of which are confidential.
Faculty Ombudspersons
The Faculty Ombudsperson is available to consult with Tenure-Line and Non-Tenure-Line full time faculty. Faculty Ombudspersons advocate for fairness.
Support and Assistance:
- Provide a safe environment for the discussion of issues and concerns
- Assist faculty in identifying or creating options for resolution that meet the needs of the faculty and the university, including referrals to formal channels with investigatory powers
Ombudspersons Do NOT:
- Keep formal records
- Mediate
- Perform formal investigations
- Advocate for either one party or another
Academic Unit Ombudspersons
In addition to the Faculty Ombudsperson, Penn State Policy AC76 requires each college and campus to have a unit ombudsperson.
- Locate the appropriate college and unit ombudsperson
- Some colleges and units may have also established additional ombudspersons who are available to assist students and/or staff as well as faculty
Findings and Corrective Actions
In order to make a finding of research misconduct, the Investigation Committee must find by a preponderance of the evidence that:
- research misconduct occurred, as defined in RP02 or applicable federal agency policy;
- the research misconduct is a significant departure from accepted practices of the relevant research community; and
- the Respondent committed the research misconduct intentionally, knowingly, or recklessly.
If a finding of research misconduct is substantiated, the University may take relevant actions as outlined in RP02. The University determines necessary actions, not the Complainant.
Questions
If you have questions or concerns, please reach out to researchconcerns@psu.edu.
Although you are able to reach out to anyone on our team directly, it’s best to include researchconcerns@psu.edu on all communication to avoid delays.
Office for Research Protections
Address
200 Innovation Blvd.
Suite 110
University Park, PA 16802
The Office for Research Protections (ORP) ensures that research at the University is conducted in accordance with federal, state, and local regulations and guidelines that protect human participants, animals, students, and personnel involved with research.