Ohio Administrative Code › Title 3344 - Cleveland State University › Chapter 3344-28 - General Policies on Research Misconduct › Section 3344-28-06 - Conducting the investigation

Current through all regulations passed and filed through July 1, 2024
(A) Purpose of the investigation
The purpose of the investigation is to explore in detail the
				allegations, to examine the evidence in depth, and to determine specifically
				whether academic research misconduct has been committed, and if so, the
				responsible person and the seriousness of the misconduct. The investigation
				also will determine whether there are additional instances of possible academic
				research misconduct that would justify broadening the scope beyond the initial
				allegations. This is particularly important where the alleged misconduct
				involves clinical trials, or potential harm to human subjects or the public, or
				if it affects research that forms the basis for public policy, clinical
				practice, or public health practice. The findings of the investigation will be
				set forth in an investigation report.
(B) Sequestration of the research records
The research integrity officer shall immediately sequester any
				additional pertinent research records not previously sequestered during the
				inquiry process. This sequestration should occur before or at the time the
				respondent is notified that an investigation has begun. The need for additional
				sequestration of records may occur for any number of reasons; for example, the
				university's decision to investigate additional allegations not considered
				during the inquiry stage may require additional documentation contained within
				the research records, or the inquiry process may identify additional research
				records that will be needed during the investigation.
(C) Any such administrative actions taken
			 prior to a final determination should be devised and taken to create minimal
			 interference with the regular research activities of the respondent and other
			 involved parties.
(D) Appointment
			 of the investigation committee
Within ten days of the notification to the respondent that an
				investigation will be conducted, or as soon thereafter as practicable, the
				research integrity officer, in consultation with other university officials as
				appropriate, will appoint an investigation committee.
(E) Appointees may not have served on the
			 inquiry committee. The investigation committee should consist of at least three
			 individuals who do not have any real or apparent conflicts of interest with the
			 respondent or the case in question. The members of the investigation committee
			 shall have the necessary expertise to examine the evidence, interview the
			 principals and key witnesses, and conduct the investigation. The investigation
			 committee members may be scientists, subject matter experts, or other qualified
			 persons, and they may be from inside or outside the university. The
			 investigation committee selects its own chair.
(F) The research integrity officer shall
			 notify the respondent of the proposed investigation committee membership within
			 ten days of the time of the notification to the respondent that an
			 investigation will be conducted. If within five working days of receiving the
			 names of the investigation committee members, the respondent submits a written
			 objection to any appointed :member of the investigation committee based on bias
			 or conflict of interest, the research integrity officer shall determine within
			 five working days whether to replace the challenged :member with a qualified
			 substitute. Substitute members may also be challenged by the respondent within
			 two working days.
(G) Charge to
			 investigation committee and the first meeting
(1) Charge to the committee
The research integrity officer shall define the subject matter
				of the investigation in a written charge to the committee that describes the
				allegation(s) and related issues identified during the inquiry, define academic
				research misconduct, and identify the complainant and the respondent. The
				charge shall state that the committee is to evaluate the evidence and testimony
				of the respondent, the complainant, and key witnesses to determine whether
				there is clear and convincing evidence that academic research misconduct
				occurred and, if so, to what extent, who was responsible, and its
				seriousness.
(2) During the
			 investigation, if additional information becomes available that substantially
			 changes the subject matter of the investigation or would suggest additional
			 respondents or a modification of the original charge, the committee shall
			 notify the research integrity officer, who shall determine whether it is
			 necessary to notify the respondent of the new subject matter or to provide
			 notice to additional respondents, to modify the original charge, and to
			 initiate a new inquiry or continue the investigation underway. The respondent
			 must be notified immediately of any significant change.
(3) A copy of the charge shall be sent to the
			 respondent
(4) First meeting
The research integrity officer, with the assistance of
				university legal counsel, shall convene the first meeting of the investigation
				committee to review the charge, the inquiry report, and the prescribed
				procedures and standards for conducting the investigation. It is the
				responsibility of the research integrity officer to assist the investigation
				committee with plans for organizing the investigation and to answer any
				questions raised by the investigation committee members. The research integrity
				officer and university legal counsel shall be present or available throughout
				the investigation process to advise the investigation committee as
				needed.