Premature Closure of Cases; Reporting to Federal Agency

A. Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently.

B. The RIO will notify the federal agency and seek approval in advance if there are plans to close a case at the inquiry or investigation stage on the basis that the respondent has admitted guilt, that a settlement with the respondent has been reached, or for any other reason, except for closing of a case at the inquiry stage on the basis that an investigation is not warranted.

C. The termination of the respondent’s institutional employment, by resignation or otherwise, before or after an allegation of possible research misconduct has been reported, will not preclude or terminate the research misconduct proceeding or otherwise limit any of the institution’s responsibilities to the relevant federal agency.

D. If the respondent, without admitting to the misconduct, elects to resign his or her position after the institution receives an allegation of research misconduct, the assessment of the allegation will proceed, as well as the inquiry and investigation, as appropriate based on the outcome of the preceding steps. If the respondent refuses to participate in the process after resignation, the RIO and any inquiry or investigation committee will use its best efforts to reach a conclusion concerning the allegations, noting in the report the respondent’s failure to cooperate and its effect on the evidence.