IX. Requirements for Reporting to Research Sponsors

1. An institution's decision to initiate an investigation must be reported in writing to the Director of the funding agency’s Office of Research Integrity, and/or the awards program officer on or before the date the investigation begins.^xx At a minimum, the notification should include the name of the person(s) against whom the allegations have been made, the general nature of the allegation as it relates to the organizational definition of research misconduct, and the award number(s) involved.^xxi The Office of Research Integrity and/or program officer must also be notified of the final outcome of the investigation and must be provided with a copy of the investigation report.^xxii Any significant variations from the provisions of the institutional policies and procedures should be explained in any reports submitted to the research sponsor.
2. If an institution plans to terminate an inquiry or investigation for any reason without completing all relevant requirements of the research sponsor’s regulations, the Research Integrity Officer will submit a report of the planned termination to the Office of Research Integrity program officer, including a description of the reasons for the proposed termination.^xxiii
3. If the institution determines that it will not be able to complete the investigation in 120 days, the Research Integrity Officer will submit to a written request for an extension to the ORI/program office. The request will explain the reason for the delay, reports on the progress to date, estimate the report’s date of completion, and describe other necessary steps to be taken. If the request is granted, the Research Integrity Officer will file periodic progress reports as requested by the ORI and/or program officer.^xxiv
4. When external funding or applications for funding are involved and an admission of research misconduct is made, the Research Integrity Officer will contact the ORI and/or program office for consultation and advice. Normally, the individual making the admission will be asked to sign a statement attesting to the occurrence and extent of misconduct. Note that some funding agencies cannot accept an admission of research misconduct as a basis for closing a case or not undertaking an investigation.^xxv
5. The Research Integrity Officer will notify the Office of Research Integrity and/or the program officer at any stage of the inquiry or investigation if
   1. there is an immediate health hazard involved;^xxvi or
   2. there is an immediate need to protect external funds or equipment;^xxvii or
   3. there is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is the subject of the allegations as well as his/her collaborators and associates, if any;^xxvii or
   4. it is probable that the alleged incident is going to be reported publicly;^xxix or
   5. the allegation involves a public health sensitive issue, e.g., a clinical trial; or
   6. there is a reasonable indication of possible criminal violation. In this instance, the institution must inform the ORI/program officer within 24 hours of obtaining that information.^xxx