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Responding to Allegations of Research Misconduct

Record Retention

UH Full Research Misconduct Policy

The RIO will maintain records of research misconduct proceedings as defined by 42 CFR 93.317[38]. Unless custody has been transferred to HHS or NSF, or ORI or OIG has advised in writing that the records no longer need to be retained, records of research misconduct proceedings will be maintained in a secure manner for 7 years after completion of:

  • The proceeding
  • Any PHS[39] or OIG proceeding involving the research misconduct allegation.

ORI or OIG may request records to carry out its review of an allegation of research misconduct or of the institution’s handling of such an allegation[40]. If requested, the RIO is responsible for providing applicable information, documentation, research records, evidence, or clarification.

Proceedings under DoD oversight will follow DoDI 3210.7, E4.1.8.42[41]

 [38]Definition of research misconduct proceedings: (1) The records that the institution secures for the proceeding, except to the extent the institution subsequently determines and documents that those records are not relevant to the proceeding or that the records duplicate other records that are being retained; (2) The documentation of the determination of irrelevant or duplicate records; (3) The inquiry report and final documents (not drafts) produced in the course of preparing that report, including the documentation of any decision not to investigate; (4) The investigation report and all records (other than drafts of the report) in support of that report, including the recordings or transcriptions of each interview conducted; and (5) The complete record of any institutional appeal.

 [39] 42 CFR 93.317(b)

 [40] 42 CFR 93.300(g), 42 CFR 93.403(b) and (d), 45 CFR 689.9(a)

[41] DoDI 3210.7, E4.1.8: The institution must maintain the following documents related to an allegation of research misconduct: Written statement of the original allegation; Formal notification to the subject of the allegation; Written outcome of the inquiry phase and supporting documentation; Written report of the investigation, including the evidentiary record and supporting documentation; and if applicable, statement of recommended corrective actions and any response thereto, including any corrective action plan. The documents specified in above are considered projectrelated records that must be retained for 3 years after the final decision.