SECTION 310:2-31-22. Conducting the inquiry

(a)   Initiation and purpose of the inquiry. Following the preliminary assessment, if the RIO determines that the allegation provides sufficient information to allow specific follow-up, involves PHS support, and is within the PHS definition of scientific misconduct, he or she will immediately initiate the inquiry process. In initiating the inquiry, the RIO should identify clearly the original allegation and any related issues that should be evaluated. The purpose of the inquiry is to make a preliminary evaluation of the available evidence and testimony of the respondent, whistleblower, and key witnesses to determine whether there is sufficient evidence of possible scientific misconduct to warrant an investigation. The purpose of the inquiry is not to reach a final conclusion about whether misconduct definitely occurred or who was responsible. The findings of the inquiry must be set forth in an inquiry report.

(b)   Sequestration of the research records. After determining that an allegation falls within the definition of misconduct in science and involves PHS funding, the RIO must ensure that all original research records and materials relevant to the allegation are immediately secured. The RIO may consult with ORI for advice and assistance in this regard.

(c)   Appointment of the inquiry committee.

(1)   The RIO, in consultation with other OSDH officials as appropriate, will appoint an inquiry committee and committee chair within 10 days of the initiation of the inquiry. The inquiry committee shall consist of individuals who:

(A)   Do not have real or apparent conflicts of interest in the case;

(B)   Are unbiased; and

(C)   Have the necessary expertise to evaluate the evidence and issues related to the allegation.

(D)   May be scientists, subject matter experts, administrators, lawyers, or other qualified persons, and they may be from inside or outside the institution.

(2)   The Inquiry Committee will interview the principals and key witnesses, and conduct the inquiry.

(3)   The RIO shall notify the respondent of the proposed committee membership in 10 days.

(4)   If the respondent submits a written objection to any appointed member of the inquiry committee or expert based on bias or conflict of interest within 5 days, the RIO shall determine whether to replace the challenged member or expert with a qualified substitute.

(d)   Charge to the committee and the first meeting.

(1)   The RIO will prepare a charge for the inquiry committee that describes the allegations and any related issues identified during the allegation assessment and states that the purpose of the inquiry is to make a preliminary evaluation of the evidence and testimony of the respondent, whistleblower, and key witnesses to determine whether there is sufficient evidence of possible scientific misconduct to warrant an investigation as required by the PHS regulation. The purpose is not to determine whether scientific misconduct definitely occurred or who was responsible.

(2)   At the committee's first meeting, the RIO will review the charge with the committee, discuss the allegations, any related issues, and the appropriate procedures for conducting the inquiry, assist the committee with organizing plans for the inquiry, and answer any questions raised by the committee. The RIO and institutional counsel will be present or available throughout the inquiry to advise the committee as needed.

(e)   Inquiry process. The inquiry committee will interview the whistleblower, the respondent, and key witnesses as well as examining relevant research records and materials. Then the inquiry committee will evaluate the evidence and testimony obtained during the inquiry. After consultation with the RIO and OSDH counsel, the committee members will decide whether there is sufficient evidence of possible scientific misconduct to recommend further investigation. The scope of the inquiry does not include deciding whether misconduct occurred or conducting exhaustive interviews and analyses.

[Source: Added at 36 Ok Reg 1649, eff 9-13-19]