Responsible Office: Office of the Vice Chancellor for Research, Office of Research Integrity and Ethics
Office Contact: ORIE@wustl.edu
Effective Date: January 1, 2026 (updated from December 10, 2010)
Complainant/Witness
Respondent
Operational Support Staff (e.g. IT, Department Staff, Security)
Research Integrity Officer (RIO)
The Committees on Research Integrity (CRI)
Office of Research Integrity & Ethics (ORIE)
Vice Chancellor for Research (VCR)
Deans
Department Heads
Office of the Executive Vice Chancellor and General Counsel (OGC)
Advisor/Legal Counsel for a respondent and/or witness
Complainant/Witness
Rights
- Protection from retaliation for activities related to the research misconduct proceedings
- Protection of his/her identity to a reasonable extent. If at any time, the complainant/witness self-discloses his or her identity/role, the University will no longer be obligated to maintain such confidentiality
- Given five days to correct factual errors on interview transcripts and to provide additional information relevant to the interview
- Notification regarding the conclusion of the proceedings
Responsibilities
- Demonstrate candor during all phases of the proceedings and cooperate fully with the Committee on Research Integrity (CRI), Research Integrity Office (RIO), Office of Research Integrity & Ethics (ORIE) and all others involved in the research misconduct proceedings, which may include providing relevant evidence as requested.
- Do not act on their own and attempt to conduct an investigation or obtain evidence for which they do not have a right of access
- Avoid actions which are, or could be perceived as, retaliatory against any individual involved with the proceedings. Retaliation of any kind is strictly prohibited.
- Cooperate and do not interfere with the investigation, including but not limited to, influencing, coaching or intimidating any individual involved with the proceedings
- Maintain the confidentiality regarding the proceedings. Do not discuss the allegations, your participation in the proceedings, or any requests for information related to the proceedings without approval from the RIO, ORIE, Office of General Counsel (OGC), or the Vice Chancellor for Research (VCR)
Responsibilities Specific to Complainants
- Make an allegation of research misconduct in good faith and provide all known information regarding the potential research misconduct
- Serve as a witness during the proceedings, if requested
Respondent
Rights
- Protection from retaliation for activities related to the research misconduct proceedings
- Presumption not to have engaged in research misconduct unless and until a finding is made based on a preponderance of the evidence
- Receive a prompt, fair, objective, thorough and competent investigation
- Receive notice of all allegations/issues throughout the research misconduct proceedings, including clear information about each stage of the proceedings and the expected timelines
- Receive notice of the names of the CRI members and any ad hoc members and be given an opportunity to voice concerns regarding any potential conflicts of interest
- Receive notice of any interim measures or administrative actions (e.g., changes in access or responsibilities) and the reasons for them
- Invite an advisor, or counsel to be present with you at all interviews during the inquiry and/or investigation proceedings
- Ability to request clarification from the RIO or ORIE regarding procedures, expectations, and the status of the proceedings
- Review and respond within five days to correct factual errors on your interview transcripts and to provide additional information
- Given five days to comment on the written draft of the Inquiry Report and thirty days to comment on the draft Investigation report; any and all comments submitted shall be made a part of the final reports
- Access to or copies of the evidence on which the reports are based, as deemed appropriate
- Receive confidential treatment to the extent possible
- Notification regarding the conclusion of the proceedings
- Restoration, as appropriate and to the reasonable extent possible, of his/her reputation if there are no findings of research misconduct
Responsibilities
- Demonstrate candor during all phases of the proceedings and cooperate fully with the CRI, RIO, ORIE and all others involved with research misconduct proceedings, which may include providing relevant evidence as requested
- Cooperate and do not interfere with the investigation, including but not limited to, influencing, coaching or intimidating any individual involved with the proceedings
- Maintain the confidentiality of the proceedings. Do not discuss the allegations, your participation in the proceedings, or any requests for information related to the proceedings without approval from the RIO, ORIE, OGC, or VCR.
- Avoid actions which are, or could be perceived as, retaliatory against any individual involved with the proceedings. Retaliation of any kind is strictly prohibited.
Operational Support Staff (e.g. IT, Department Staff, Security)
Rights
- Protection from retaliation for his/her activities related to the research misonduct proceedings
Responsibilities
- Provide all requested available records, files, and data, including primary research material identified as relevant to the research integrity proceeding
- Do not discuss or disclose the request with anyone outside of the official proceedings, without approval from the RIO, ORIE, OGC, or the VCR
- Maintain the confidentiality of the research misconduct proceedings. Do not discuss the allegations, your participation in the proceedings, or any requests for information related to the proceedings without approval from the RIO, ORIE, OGC, or VCR.
Research Integrity Officer (RIO)
The RIO serves as chair of the CRI and leads the CRI throughout research misconduct proceedings. The RIO does not serve as an advocate or an adversary of the individuals involved, rather the RIO ensures the proceedings are fair and conducted according to the University’s Research Integrity Policy and Procedures.
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
Responsibilities
- Receive allegations of research misconduct
- Assess an allegation to determine whether it falls within the definition of research misconduct and is sufficiently credible to warrant an inquiry
- Sequester research records and evidence pertinent to the research misconduct proceedings
- Inform respondents, complainants, and other witnesses of the procedural steps in the research misconduct proceedings as required by Policy
- Serve as the ex officio chair of all research misconduct proceedings
- Determine whether each person involved in handling an allegation of research misconduct has an unresolved personal, professional, or financial conflict of interest and take appropriate action, including recusal, to ensure that no person with such conflict is involved in the research misconduct proceeding
- Notify individuals and entities within the University of research misconduct proceedings as appropriate
- Take all appropriate steps, in cooperation with the VCR and the appropriate Dean, to (a) ensure the confidentiality of allegations, research misconduct proceedings, and deliberations conducted thereto; (b) protect all individuals from retaliation for initiating or cooperating with research misconduct proceedings; and (c) help protect committee members from retaliation for their activities in conducting the inquiry and/or investigation
- Recues him/herself from proceedings with which there may be a personal or professional conflict of interest
The Committees on Research Integrity (CRI)
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
Responsibilities
- Participate, as designated, in the Inquiry Panel
- Explore the research misconduct allegations in detail by conducting a thorough and unprejudiced evaluation of the available and relevant evidence
- Interview the respondent and all relevant witnesses
- Make determinations regarding research misconduct as outlined in the Policy
- Communicate concerns of potential retaliation against individuals participating in the proceedings immediately to the RIO
- Inform the RIO of any potential personal or professional conflicts with the proceedings and recuse themselves as appropriate
- Take all appropriate steps to ensure the confidentiality of allegations, research misconduct proceedings, corresponding deliberations, and the identities of all individuals involved in the proceedings
Office of Research Integrity & Ethics (ORIE)
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
Responsibilities
- Provide administrative support for all research misconduct proceedings at WU and to assist the RIO and the VCR to respond to allegations of research misconduct
- Attend all meetings, interviews, and other proceedings regarding research misconduct proceedings
- Maintain all records, as required, of the research misconduct proceedings
- Inform the RIO of any potential personal or professional conflicts with the proceedings and recuse themselves as appropriate
- Take all appropriate steps to ensure the confidentiality of allegations, research misconduct proceedings, corresponding deliberations, and the identities of all individuals involved in the proceedings
Vice Chancellor for Research (VCR)
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
- Notification of:
- Initiation of an inquiry
- Dismissal of allegations
- Initiation of an investigation
- Outcome of the investigation, including the CRI’s determinations and recommendations for corrective actions, and the final CRI report
Responsibilities
- Establish and maintain a culture of compliance and cooperation with all applicable standards imposed by research sponsors and federal regulations
- Appoint the RIO
- Promptly communicate potential allegations of research misconduct to the RIO
- Respond to requests for extension of proceedings as appropriate
- Notify individuals and entities external to the University of research misconduct proceedings and/or outcomes as appropriate
- Provide appropriate expertise and administrative support to the RIO and CRI
- When there is a finding of research misconduct, review the CRI’s final report and the recommended sanctions and/or corrective actions with the appropriate Dean, and together determine which actions are appropriate under the circumstances
- Ensure administrative actions and/or corrective actions as well as any sanctions taken by the University, ORI or the sponsor are enforced
- Take all appropriate steps, in cooperation with the RIO and the appropriate Dean, to (a) ensure the confidentiality of allegations, research misconduct proceedings, and deliberations conducted thereto; (b) protect all individuals from retaliation for initiating or cooperating with research misconduct proceedings; and (c) protect the committee members from retaliation for their activities in conducting the inquiry and/or investigation
Deans
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
- Notification of:
- Initiation of an inquiry
- Dismissal of allegations
- Initiation of an investigation
- Extension of the inquiry or investigation proceedings
- Outcome of the investigation, including the determinations of the CRI and a copy of the final CRI report when applicable
Responsibilities
- Promptly communicate potential allegations of research misconduct to the RIO
- Take all appropriate steps, in cooperation with the RIO and the VCR, to (a) ensure the confidentiality of allegations, research misconduct proceedings, and deliberations conducted thereto; (b) protect all individuals from retaliation for initiating or cooperating with research misconduct proceedings, and; (c) protect the committee members from retaliation for their activities in conducting the inquiry and/or investigation
- When there is a finding of research misconduct, review the CRI’s final report and recommended sanctions and/or corrective actions with the VCR. With the VCR determine which actions are appropriate under the circumstances and the dean, or delegate, will impose the sanctions and/or corrective actions
Department Heads
Rights
- Protection from retaliation for his/her activities related to the research misconduct proceedings
- Notification of:
- Initiation of an inquiry
- Dismissal of allegations
- Initiation of an investigation
- Extension of the inquiry or investigation proceedings
- Outcome of the investigation, including the determinations of the CRI and a copy of the final CRI report when applicable
Responsibilities
- Promptly communicate potential allegations of research misconduct to the RIO
- Maintain the confidentiality of the research misconduct proceedings as well as the individuals involved
Office of the Executive Vice Chancellor and General Counsel (OGC)
Responsibilities
- Promptly communicate potential allegations of research misconduct to the RIO
- Serve as legal counsel to the RIO, the Inquiry Panel, and the CRI
- Attend, upon request by the RIO, meetings, interviews, and other meetings during the research misconduct proceedings
- Does not actively participate in the interviews
Advisor/Legal Counsel for a respondent and/or witness
Rights
- Provided the option to attend interviews in the inquiry and/or investigation involving the applicable witness or respondent
Responsibilities
- Submit all communications through the OGC
- Does not actively participate in interviews
- Does not interfere with the proceedings, including but not limited to, contacting witnesses or individuals involved in the research misconduct proceedings