Protocol for Handling Physical Evidence in Research Misconduct Cases

The following is a protocol of how the Research Integrity and Compliance program will sequester data as part of reviewing research misconduct allegations.

When data and other evidence will be secured:

Evidence will be secured after, before or at the time the Research & Innovation Office (RIO) notifies the respondent of the allegation(s); and whenever additional items become known or relevant to the inquiry or investigation.

How physical evidence will be secured:

• Prior to identifying physical evidence with the respondent, the RIO (with assistance from the Office of the General Counsel as needed) may request that the Office of Information Technology take appropriate measures to retain copies of unaltered electronic files (e.g., Google Vault hold to retain current email and Google drive files).
• The RIO confidentially arranges with the respondent or respondent’s supervisor, as appropriate, for contact with the respondent and for access to the data and related evidence. The focus will be on the best circumstances to protect the integrity of the evidence while providing for discreet, confidential, timely, and efficient data sequestration.
• The team that is involved with this process may include:
  • official who is authorized to sequester the materials (usually the RIO or a delegated staff member from Research Integrity and Compliance)
  • respondent’s supervisor
  • Expert who understands the nature of the research and the types of sources of evidence, as determined by the RIO
  • Attorney from the Office of the General Counsel
  • IT expert
  • security as needed

Evidence

Evidence is anything offered or obtained during a research misconduct proceeding that tends to prove or disprove the existence of an alleged fact. Evidence includes documents, whether in hard copy or electronic form, information, tangible items, and testimony. This may include, but is not limited to:

• Research proposals
• Lab records and notebooks
• Collateral information such as centrifuge logs, order forms, telephone notes, examples of comparison information, relevant correspondence with others
• Computer files – hard drive; email files, files from computers connected to laboratory equipment and instruments, Google Drive folders and files
• Copies of grants and progress reports
• Abstracts; theses
• Presentations
• Internal reports
• Journal articles; draft manuscripts
• Correspondence with editors
• Research data such as micrographs

Handling evidence

During the sequestration process, an inventory of sequestered research records and other evidence will be compiled. A description of how the sequestration was conducted during the investigation will be included in the inventory log. In an investigation, this inventory must include manuscripts and funding proposals that were considered or relied on.

The RIC Program and/or RIO inventories the sequestered materials, labels them clearly, and provides a copy of the inventory log to the respondents.

Once the physical materials are in a secure location, the RIC Program will provide copies for the respondents and other affected parties if requested so that research can continue. Copies will also be made available for panel members and any other personnel involved in the research misconduct review process.

Supervised access will be allowed to original sequestered materials for the respondent.

All evidence will be stored as part of the institutional record in accordance with institutional and federal policies with the Research and Innovation Office for a period of seven years after a research misconduct investigation conducted by the University or HHS (whichever is later).

In cases involving HHS funded activities, the University must transfer custody, or provide copies, to HHS of the institutional record or any component of the institutional record and any sequestered evidence (regardless of whether the evidence is included in the institutional record) for the HHS Office of Research Integrity to conduct its oversight review, develop the administrative record, or present the administrative record in any proceeding when requested by the agency.

Rights and responsibilities regarding physical evidence

• Privacy: From the time the allegation is received, all activity related to the case will be carefully documented. All individuals who are contacted will be assured that, as much as possible, the privacy of their comments will be maintained. In turn, all individuals involved with the case are expected to sustain the privacy of the case.
• Compliance: The University must comply with the Minnesota Government Data Practices Act, which governs access to and release of all data collected, created, received, maintained or disseminated by public entities. If the allegations involve sponsored research, the University must also comply with the sponsor’s regulations and the terms and conditions of the award.
• Removal of Data: The RIO has the authority to remove data and other evidence related to the inquiry to fulfill its obligations under federal regulations and University policy to thoroughly review and resolve allegations of research misconduct.
• Identifiable chain of custody: The University will maintain an identifiable chain of custody: inventory physical evidence, provide receipts, log supervised access to the evidence, and document when physical evidence is released and to whom.