Misconduct Proceedings

Upon receiving an allegation of misconduct in research, scholarship or creative work, the designated officer reviews the allegation to determine whether:

1. the allegation falls within the definition of misconduct in research, scholarship or creative work provided in this regulation;
2. the allegation is sufficiently credible and specific to warrant an inquiry; and
3. federal funding is involved.

To the extent possible, consistent with the requirements of due process, the identity of complainants, who wish not to be identified as initiators of the complaint, will be kept confidential and will not be released to the respondent. If a complainant wishes to request not to be identified as the initiator of the complaint in the course of the inquiry or investigation, he or she must notify the designated officer of such fact simultaneously with the filing of the complaint.

However, such confidentiality may not be possible or desirable throughout the entire course of a proceeding under this regulation. Where the interests of due process would require that a complainant's name be given to the respondent, and such interests could not be fairly treated by any other means, the designated officer may elect to do so after notifying the complainant.

Institutions are required by the regulations to impose sanctions on those found guilty of research misconduct. The regulations do not proscribe specific sanctions.

Sanctions can include:

• Taking appropriate steps to correct the research record.
• Issuing letters of reprimand.
• Imposing certification requirements to ensure compliance with the terms of a grant.
• Suspension or termination of a grant; and/or personal suspension or debarment.
• Restitution of funds.

Agencies also may issue additional sanctions beyond those of the institution. If criminal or civil fraud violations have occurred, the agency will refer the findings to the appropriate organization for review.