M. Notification to External Agencies
UT will comply with the applicable requirements and regulations of its funding agencies, and will cooperate with those agencies in the agencies' own procedures in regard to research misconduct
Under circumstances not involving federal funding agencies, the provost will make the decision whether information about the charges and their disposition will be disclosed publicly or to specific parties, including the research sponsor. This decision will normally be made upon the conclusion of the final report. However, if required by urgent circumstances, such a disclosure may be made at any time. Absent such urgent need, UT will not make interim reports to outside agencies unless required by external regulation.
In accord with the requirements of federal funding agencies, in cases involving research funded by those agencies, the agency will be informed in the following situations. Except as specifically described at the end of this section, the following notifications to federal funding agencies will be made only by the director of sponsored programs, acting on behalf of the provost:
- Commencement of an Investigation
Written notification will be provided to federal funding agencies upon determination that an investigation will be conducted. This notice is to be provided on or before the commencement of the investigation, and must include all information required by the agency. Generally, this notice must include at least the following: name(s) and position(s) of the respondent(s); general nature of the allegation(s); the agency support including any proposal or award numbers; the basis for the recommendation of an investigation; any comments by the respondent. This information will be held in confidence to the extent permitted by law.
- Written Request for a Time Extension
Although regulations generally permit 120 days for completion of the investigation and submission of the final report, UT requires the Investigation Committee to consult with the director of sponsored programs if it appears that the final report will take more than 90 days to complete. This allows 30 days for the disciplinary process, if it is decided to pursue one. The final report to the federal funding agency must include a statement about the sanction (if any) imposed by the institution. If the investigation and determination of discipline are likely to take more time than specified by the relevant funding agency's regulations to complete, the director of sponsored programs will so notify the federal funding agency, including reasons for the delay, interim progress reports, the estimated date of completion of the report, and any other necessary information. If an extension is granted, the agency may (if so provided by its regulations) require the submission of periodic interim reports, or the agency may undertake its own investigation prior to the University's completion of its investigation.
- Interim Reports
Federal funding agencies must be apprised during an investigation of facts that may affect current or potential funding of the individual(s) under investigation, or that may need to be disclosed in order to ensure proper use of federal funds or protection of the public interest
- Early Termination
Federal funding agencies must be notified of any decision to terminate an inquiry or investigation prior to the completion of all relevant requirements. This notice must include the reasons for such action. Some agencies have retained the right to investigate the matter further on their own.
- Termination of Institutional Employment or Resignation Prior to Completing Inquiry or Investigation
If an external sponsor requires an investigation into alleged misconduct be concluded and reported, the termination of the respondent's institutional employment, by resignation or otherwise, before or after an allegation of possible misconduct has been reported, will not preclude or terminate misconduct procedures outlined in this Policy. If the respondent, without admitting to the misconduct, elects to resign his or her position prior to the initiation of an inquiry, but after an allegation has been reported, or during an inquiry or investigation, the inquiry or investigation will proceed. If the respondent refuses to participate in the process after resignation, the committee will make its best efforts to reach a conclusion concerning the allegations, noting in its report the respondent's failure to cooperate and its effect on the committee's review of all the evidence.
- Final Outcome
Federal funding agencies will be notified of the final outcome of an investigation involving their funded project(s), and provided with a complete copy of the final report.
- Special Emergency Notifications
In addition, federal funding agencies will be informed at any stage of an inquiry or investigation if any of the following is discovered:
- an immediate health hazard, including an immediate need to protect human or animal subjects
- an immediate need to protect federal or University funds or equipment
- an immediate need to protect the integrity of the research and/or the research misconduct proceeding
- an immediate need to protect the interests of those involved in the research misconduct proceeding
- a likelihood that an alleged incident is going to be reported publicly
- a reasonable indication of possible criminal activity.