Additional Allegation Intake – Standard Operating Procedures

ERIK, Office of Research Compliance, Revised 02/04/2026 

I. Regulatory and Policy Authority and Requirement

The Public Health Service (PHS) Policies on Research Misconduct, 42 C.F.R. Part 93 (the “PHS Policies”), and the Research Misconduct policy (the “Policy”) specify the responsibilities of institutions for acting on allegations of research misconduct. Under 42 C.F.R. §93.310(j), an institution conducting a research misconduct investigation must pursue any additional instances of possible research misconduct as follows:

The Policy, Procedures § I., II., and III. describe the Assessment, Inquiry, and Investigation phases the university will follow when allegations of research misconduct are raised. Additional allegations may arise during the course of a research misconduct proceeding expanding the scope of a research misconduct matter, as described in Policy Details § II.A-D as follows:

1. During a research misconduct proceeding, the university will pursue diligently all significant issues and leads discovered throughout the three phases of the research misconduct proceeding, the assessment, the inquiry, and the investigation, including any evidence of additional allegations of possible research misconduct. 
2. During any phase of a research misconduct proceeding, additional allegations may arise that are related to an ongoing inquiry or investigation and justify broadening the scope beyond the initial complaint.
3. If the university identifies additional respondents during an inquiry or investigation, the university is not required to conduct a separate inquiry for each new respondent. Each additional respondent will be provided notice of and an opportunity to respond to the allegations.
4. If any new allegations arise during the course of an inquiry or investigation, the RIO will notify the respondent(s) in writing of the decision to review the new allegation(s). the respondent will be furnished with, or have access to, copies of all documentary evidence regarding the new allegation(s).  

II. New Allegations Received at Inquiry or Investigation

1. When an additional allegation is received that is related to an ongoing inquiry or investigation, the allegation will be assessed by the RIO to determine if the allegation is specific and credible so that potential evidence of research misconduct may be identified. If insufficient information is provided, the RIO will work with the Complainant, if known, to obtain additional information for the assessment.
2. For an additional allegation that is related to an ongoing inquiry or investigation the RIO, in consultation with an expert conducting an inquiry, if any, or with the investigation committee (IC) chair, if any, will determine if the allegation is specific and credible, and if not, the allegation will be dismissed.
3. A new allegation received that is related to an ongoing inquiry and is specific and credible, will be handled as follows.
   • If the allegation(s) is related to the ongoing inquiry and received before the inquiry decision has been made as to whether an investigation is warranted, the RIO will notify the respondent(s) of the additional allegation(s) and the additional allegation(s) will be examined during the inquiry to determine whether the new allegation(s) has substance to warrant an investigation.
   • If the allegation(s) is related to the to the ongoing inquiry and received after the inquiry decision has been made as to whether an investigation is warranted, the RIO will notify the Respondent(s) of the additional allegation(s) and the RIO, in consultation with any expert participating in the inquiry, will determine whether the allegation(s) has substance to warrant that it be included in an investigation.
   • If the allegation(s) is related to the to the ongoing inquiry and received after the inquiry decision has been made as to whether an investigation is warranted, the RIO will notify the Respondent(s) of the additional allegation(s) and the RIO, in consultation with any expert participating in the inquiry, will determine whether the allegation(s) has substance to warrant that it be included in an investigation.
   • If the allegation(s) is related to the ongoing inquiry, but involves a new Respondent, the RIO will notify the new Respondent about the allegation(s) and sequester additional data if necessary. The new Respondent will have the opportunity to respond to the allegations consistent with The Policy. The RIO will determine whether it is appropriate to conduct a separate proceeding or have the allegation(s) reviewed in the ongoing inquiry. 
4. A new allegation(s) received that is related to an ongoing investigation that is specific and credible, will be handled as follows:
   • If the allegation(s) is related to the ongoing investigation, the RIO will notify the Respondent(s) of the new allegation(s) and include the additional allegation(s) in the IC’s review.
   • If the allegation(s) is related to the ongoing investigation, but involves a new Respondent, the RIO, will notify the new Respondent of the allegation(s) and sequester additional data if necessary. The new Respondent will be provided the opportunity to respond to the allegations, consistent with The Policy.  The RIO, in consultation with the IC chair, will then determine if the allegation(s) has substance for further review in the ongoing investigation.
   • The RIO, in consultation with the IC chair, will determine whether to initiate a new inquiry for the new Respondent, or consider the matter as part of the ongoing investigation.