Research Misconduct RISC SOP

The Research Integrity Standing Committee (RISC) shall consist of no fewer than six (6) members chosen to ensure the following criteria are met:

• A tenured faculty member shall serve as the RISC Chair.
• The majority of members are tenured faculty members who have a proven track record in research, as evidenced by grant funding, publications, or other documented research activities.
• A diverse range of disciplines are represented.
• In addition to faculty members, representatives from relevant groups of non-faculty respondents (e.g., staff, trainees, students) or stakeholders may be included. 

The Associate Vice President for Research Compliance and representatives from the Office for the Vice President and General Counsel serve as advisors to the RISC and may attend RISC meetings but are not considered RISC members.

The Deciding Official (DO) will appoint the RISC Chair, with input from the Research Integrity Officer (RIO). The RISC Chair will be appointed for a term of 3 years and may be reappointed for an unlimited number of terms.  The RISC Chair will be a faculty member at the level of Full Professor. 

RISC members will typically be identified by the RISC Chair and RIO and appointed by the DO. Nominations, including self-nominations, are welcome and may be made to rio@iu.edu. RISC members will be appointed for 2-year terms and may be reappointed for an unlimited number of terms. The DO may remove a member from RISC at any time. 

At time of appointment, RISC members are required to:

• Self-attest to have read ACA-30
• Complete in-person training provided by the RIO and their staff

The RISC Chair is expected to:

• Advise the RIO and Research Integrity Office staff in conducting research misconduct proceedings
• Assist the RIO in assessing allegations of potential research misconduct
• Conduct the inquiry process with the RIO
• Advise on appointment of investigation committees and RISC members, including reviewing annual evaluations of RISC members
• Participate in education activities around research misconduct

RISC members are expected to:

• Advise the DO, RIO, and Research Integrity Office staff on implementation and revision of ACA-30, and review and approve Research Integrity Office Standard Operating Procedures
• Serve as inquiry committee members when additional expertise is needed
• Serve on at least one investigation committee in preparation for chairing investigation committees
• Chair investigation committees, which includes the following activities alongside Research Integrity Office staff:
  • Meeting with Research Integrity Office staff to strategize throughout the investigation
  • Identifying and recruiting potential committee members with appropriate expertise
  • Encouraging investigation committee members to be actively engaged and facilitating their contribution to the investigation
  • Facilitating open and respectful communication among committee members to enhance the collaborative aspect of the process
  • Developing interview questions and any materials to be presented during interviews and assist in leading interviews
  • Assisting in drafting investigation reports and conducting initial review of a draft report before sending to remaining committee members for their review
  • Engage with RISC for review of appropriate sanctions and/or institutional actions
  • Ensuring timeliness of the investigation proceedings
  • Engaging in consultations and meetings related to the case with senior institutional officials as needed
• Consult with and advise investigation committees, especially regarding recommendation of potential sanctions and/or institutional actions

RISC members, including the RISC Chair, are evaluated annually using the RISC Member Evaluation questionnaire administered by the RIO, which focuses on engagement and contribution to committees. Information from the evaluation is maintained by the RIO and used to make decisions regarding reappointment, along with input from members the RIO and their staff and the RISC Chair.

The RIO and their staff will engage Deans and Department Chairs to recognize university service on the RISC. The RIO will communicate annually with Deans and Chairs to notify them of the number of committees and hours served by RISC members in furtherance of the IU Research mission.