Appendix


	Appendix This appendix summarizes the responsibilities assigned to the institutional Deciding Official and the institutional Research Integrity Officer in the model policy and model procedures. The appendix is provided to help institutions quickly review the duties assigned to these two officials in these models so that an individual institution can determine if these assignments are appropriate and desirable. Responsibilities of the Deciding Official: Determines whether an investigation is warranted Determines whether to accept investigation report Determines institutional administrative actions if misconduct is found Explains why the institution does not agree with the investigation report in a transmittal letter to ORI Determines institutional administrative actions against "bad faith" complainants Informs ORI that an investigation is not warranted if ORI requested the inquiry Responsibilities of the Research Integrity Officer: Receipt of Allegations Receives allegations of scientific misconduct Receives allegations of retaliation Receives reports of "bad faith" allegations Receives reports of violations of PHS regulation Assessment of Allegations Conducts preliminary assessment of allegations Determines whether an inquiry is warranted Refers non-scientific misconduct issues to appropriate institutional or Federal office Conduct of Inquiry Initiates inquiry process Notifies appropriate institutional officials, the respondent, and, if necessary, ORI that an inquiry is underway Sequesters research records May conduct the inquiry in appropriate cases Appoints the inquiry official or committee Determines whether to replace challenged persons Determines whether additional expertise is needed Establishes conditions of confidentiality Protects against bias or conflicts-of-interest Develops the charge Provides the inquiry official or committee with advice on appropriate procedures Meets ORI notification requirements Takes appropriate interim administrative actions Seeks advice from ORI when an admission occurs Determines whether a time extension will be allowed Provides a draft report to the respondent Provides appropriate portions of the draft report to complainant Transmits the final report and comments to the Deciding Official Communicates the decision of the Deciding Official to the appropriate parties Notifies ORI if an investigation will be conducted Provides the final report and inquiry file to ORI upon request Retains all inquiry records Reports "bad faith" allegations to the Deciding Official Undertakes reasonable efforts to restore the reputation of cleared respondents Undertakes reasonable efforts to protect "good faith" complainants and other who cooperated with the inquiry Conduct of Investigation Notifies the respondent that an investigation will be conducted Sequesters additional research records when necessary May conduct the investigation in appropriate cases Appoints the investigation official or committee Determines whether to replace challenged persons Determines whether additional expertise is needed Establishes conditions of confidentiality Protects against bias or conflicts-of-interest Develops the charge Convenes the first meeting of the investigation committee Provides the investigation official or committee with advice on appropriate procedures Meets ORI notification requirements Takes appropriate interim administrative actions Seeks advice from ORI when an admission occurs Requests an extension if necessary from ORI and submits progress reports Submits plan to terminate an investigation to ORI Provides a draft report to the respondent Provides appropriate portions of the draft report to the complainant Transmits the final report and comments to the Deciding Official Notifies the respondent and complainant of the institution's findings and actions Retains all records of investigation Reports "bad faith" allegations to the Deciding Official Undertakes reasonable efforts to restore the reputation of cleared respondents Undertakes reasonable efforts to protect "good faith" complainants and others who cooperated with the inquiry Post-Investigation Responds to requests from ORI for additional information or assistance during the review process Responds to requests from ORI for additional information or assistance during a DAB appeal