Research Integrity Menu
ORP Menu
Research Misconduct Process
Once an allegation of potential research misconduct has been brought to the Research Integrity Officer (RIO), the process as outlined in policy RP02 will be followed. Learn about reporting potential research misconduct as as well how to navigate authorship and plagiarism concerns.
Extended Diagram Description
The description below explains the visual diagram titled “Research Misconduct Process” in a text version. This is a structured flowchart that outlines the procedural steps taken when an allegation of research misconduct is received. It is divided into four main sections:
Step 1
Assessment:
- The Research Integrity Officer (RIO) receives and reviews the concern to see if it meets fabrication, falsification, or plagiarism (FFP) and gathers additional information to see if a scientific review (Inquiry) is needed.
- Non-FFP issues are referred to the appropriate unit or college.
Step 2
Data Sequestration:
- The RIO collaborates with IT and college leadership to secure all relevant data associated with the concern both remotely (e.g., backups from SharePoint) and physically (e.g., making a copy of a hard drive) prior to or at the time the Respondent is notified to preserve the data and protect the Respondent from concerns that they had the opportunity to tamper with evidence.
Step 3
Inquiry:
- A subject matter expert performs a preliminary scientific review of the concern to identify if there are potential errors or issues and recommend whether there is a need for more in-depth investigation.
- The report of review is submitted to the Deciding Official (DO) for a decision.
Step 4
Investigation:
- The subject matter experts (at least 3) performs a final scientific review to identify how the issues arose, who was responsible, the extent of the issues and whether the identified concerns were a result of research misconduct.
- A report of the review is submitted to the DO for their determination.
- Based on the DO’s determination, corrective actions are recommended.
Notifications
As stated in RP02, “To the maximum extent possible, the RIO and all participants in the process will endeavor to protect the confidentiality of Respondents and Complainants, and of research subjects identifiable from research records or evidence, by limiting disclosure of information related to the research misconduct proceedings to those who need to know in order to carry out a thorough, competent, objective, and fair research misconduct proceeding or as required by law.”
While confidentiality is of the upmost importance, the RIO may provided notification to and consult with other University officials and offices as necessary. Additionally, the RIO will provide the following notifications:
Moving to Inquiry and Outcome of Inquiry
Complainant
Respondent
Respondent’s Associate Dean for Research and Department Head (or other relevant college/unit leadership) (cc’d on Respondent’s notification)
Federal sponsors, other sponsors as applicable (may also share report with federal agencies, per regulatory requirements)
Moving to Investigation and Outcome of Investigation
Complainant
Respondent
Respondent’s Associate Dean for Research and Department Head (or other relevant college/unit leadership) (cc’d on Respondent’s notification)
Federal sponsors, other sponsors as applicable (may also share report with federal agencies, per regulatory requirements)
Due to the sensitive and confidential nature of these matters, there is an expectation that all individuals participating in a notification meeting or interview will have their cameras on. Alternate arrangements may be made at the discretion of the RIO if prior notice is given. If prior notice is not given, the meeting may be rescheduled.
Extended Diagram Description
Assessment Stage: After an Allegation is reported and if it meets the criteria, the Respondent will be notified and sequestration of research records takes place. If the Allegation does not meet the criteria to proceed to the next stage (Inquiry), it will be documented, and the process ends.
During the Inquiry Stage, a notice is sent to the Respondent. The Inquiry Official will conduct a scientific review. Next, there will be an Inquiry Report with a comment period. A decision will be made by the Deciding Official (DO). The Respondent, Complainant & applicable sponsor or Federal Agency will be notified. If an Investigation is not warranted, the process will end.
Investigation Stage: If an Investigation is warranted, an Investigation Committee will conduct an in-depth scientific review. Collection of additional evidence, including interviews will also take place. An Investigation Report will be produced with a comment period. A decision will be made by the DO. The Respondent, Complainant & applicable sponsor or Federal Agency will be notified. The process concludes with completion of the case and monitoring of corrective actions.
Note conflict checks will be performed for scientific reviewers at the Inquiry and Investigation Stages.
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.