Referral of Allegations – Standard Operating Procedures

ERIK, Office of Research Compliance, Revised 12/07/2020

I. Regulatory and Policy Authority and Requirement

The Office of Science and Technology Policy on Research Misconduct (Federal Register V 65, No, 235, December 6, 2000, pgs. 76260-76264), Section III - "Responsibilities of Federal Agencies and Research Institutions states:

Agencies and research institutions are partners who share responsibility for the research process. Federal agencies have ultimate oversight authority for Federally funded research, but research institutions bear primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct alleged to have occurred in association with their own institution.

The Preamble section "What criteria will be used for selecting the research institution that will handle the response to the allegation of research misconduct?" states:

In most cases, agencies will rely on the researcher's home institution to respond to allegations of research misconduct. However, in cases where the subject has switched institutions, it may be more appropriate for the institution where the alleged research misconduct occurred to respond to the allegation. The institution where the questioned research was conducted may have better access to the evidence and witnesses and therefore will have the capability to undertake a more efficient and thorough response.

The Ohio State University's authority and jurisdiction as the home institution for allegations of possible research misconduct and the requirement to refer allegations not under the University's jurisdiction derive directly from the federal provisions above. The Research Misconduct policy (the "Policy") Procedures I. J. states:

J. Complaints (or allegations) outside the jurisdiction of the university

The university's jurisdiction encompasses allegations related to all research conducted while a respondent was under the oversight of the university. The university does not have jurisdiction over allegations related to research conducted at another university or another research entity.
If the Research Integrity Officer (RIO) finds that a complaint, or any allegation within the complaint, is not under the jurisdiction of the university, the RIO will refer the complaint (or allegations) to the appropriate office at the home institution.
The RIO may consult with all pertinent institutional officials to determine whether the research was conducted at the university, including but not limited to the dean of the relevant college, the chair of the relevant department, the Office of Human Resources, the Graduate School, and/or the Office of Sponsored Programs.

II. Referral of allegations within the University

Complaints (or separate allegations) obtained at any stage of the research misconduct proceedings may not meet the definition of research misconduct, but rather may constitute a valid complaint under other University rules or policies. Examples of such complaints include, but are not limited to, authorship disputes, patent application and inventorship disputes, poor mentorship issues, the protection of human subjects, the use and care of laboratory animals, the use and handling of hazardous substances, conflicts of interest, and other external professional activities.

In such cases, as required under the Policy Details I.G., the RIO shall be responsible for referring the complaint to the appropriate University authority for consideration under applicable university policy and shall work with such authorities to coordinate the handling of the matter, as necessary.

III. Referral of allegations of possible research misconduct or other matters to external entities

The University's jurisdiction includes the handling of allegations related to research conducted while the respondent(s) was under the oversight of the University. The University does not have jurisdiction over allegations related to research conducted at another University or Institution. The RIO will refer all complaints (or separate allegations) that are not under the jurisdiction of the University to the appropriate office at the home institution of a named Respondent as required under the Policy. The RIO may consult confidentially with all other institutional officials to determine where the research in question was conducted.

IV. Referral of allegations to external entities without a named Respondent

Allegations of Research Misconduct may be raised by external, and often anonymous, Complainants, who do not identify a specific Respondent. Upon receipt of such allegations that are related to a published paper without a named Respondent, if the author affiliation does not list Ohio State for any author, the RIO will refer the complaint to the home institution of the listed corresponding author.

If the publication lists author affiliation with multiple Universities, including Ohio State, the RIO will take the following steps:

Identify any author(s) listing affiliation with Ohio State and determine the role of that person as it relates to the allegation(s). If an Ohio State author did play a role in the questioned research, but is no longer at the University, the RIO will work with the home institution to obtain access to the research records related to the alleged misconduct.
If the Ohio State author did not play a role in the questioned research, the RIO will refer the information obtained to the home institution as follows.
1. If the first and/or corresponding authors on the paper do not have affiliation with Ohio State and list the same home institution, the RIO will refer the allegation(s) to the home institution of these authors.
2. If the first and/or corresponding authors on the paper do not have affiliation with Ohio State and list different home institutions, the RIO will refer the allegation(s) to the home institution of the corresponding author, with a request for that institution to coordinate with the home institution of the first author, as necessary.

Article ID: 113
Created: August 28, 2025
Last Updated: September 10, 2025

Online URL: https://ohiostateresearch.knowledgebase.co/article/referral-of-allegations-standard-operating-procedures-113.html