Research Misconduct Interviews SOP

Inquiry and investigation committees may conduct interviews as part of research misconduct proceedings in order to fulfill their charge.  

• Inquiry committees are not expected to conduct interviews but may interview individuals in order to obtain additional information.
• Investigation committees are expected to interview each respondent and complainant, and any other individuals reasonably identified as having information relevant to the investigation.

• All interviews conducted during the inquiry and investigation phases of research misconduct proceedings will be recorded for the purposes of allowing transcription and facilitating the committee’s review of the relevant allegations.
• Prior to the start of each interview, all participants will be informed that the interview will be recorded and transcribed. Interviewees will be informed that they will be provided an opportunity to review the transcript for errors before it is finalized.
• Recordings will be made accessible only as follows:
  • To appropriate individuals as necessary for transcription
  • To inquiry and investigation committee members for the purpose of facilitating the research misconduct proceedings
• Recordings of interviews will be retained until the relevant inquiry or investigation report is finalized and the report provided to the Deciding Official for decision or determination, at which time they will be permanently deleted.

• All interviews conducted during inquiry and investigation will be transcribed.
• The RIO will utilize the services of a professional transcriptionist to create an official transcript of each interview conducted during inquiry and investigation.
• Any exhibits displayed during the interview will be numbered and referred to by that number in the transcript and included in the institutional record.
• Interviewees will be given an opportunity to review and correct the transcripts of their interviews before finalization.
• Allowable corrections include minor edits only to ensure the accuracy of the transcript to the interview. Substantive changes cannot be made. Minor grammatical errors are common in transcripts and are not of concern.
• Corrections will be reviewed and accepted or rejected by Research Integrity Office staff.
• If an interviewee wishes to provide additional information or clarification not included in the original interview, they may provide those in a separate memo to the committee that will be attached to the transcript and included in the case file.
• Final transcripts will be attached to the relevant inquiry or investigation report as an exhibit and included in the institutional record.
• Respondents will be provided with the transcripts of all interviews.