5.7.9 Requirements for Reporting to Sponsers

In the event that an allegation of scientific or other scholarly misconduct involves grants, contracts or cooperative agreements or proposals or applications for funding submitted to a Federal or other sponsor, the Provost’s decision to initiate an investigation must be reported in writing to that sponsor if required by state or Federal laws or the sponsor’s regulations or by contractual agreement (see Section 5.7.13, Reference 7). At a minimum, notification, when required, 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 definition of scientific and other scholarly misconduct, and the applications or grant number(s) involved.  In accordance with the applicable regulations, Georgia Tech may also be required to notify the sponsor of the final outcome of the investigation and provide a copy of the investigation report.  Any significant variations from the provisions of the institutional policies and procedures should be explained in any reports submitted to a sponsor.

If Georgia Tech plans to terminate an inquiry or investigation for any reason without completing all relevant requirements of the applicable regulations, the Provost will submit a report of the planned termination to the sponsor, including a description of the reasons for the proposed termination as required by those regulations.

If Georgia Tech determines that it will not be able to complete the investigation in one-hundred twenty (120) days, Georgia Tech may be required to submit to the sponsor a written request for an extension that explains the delay, reports on the progress to date, estimates the date of completion of the report, and describes other necessary steps to be taken. If such a request is required in the event that the scientific or other scholarly misconduct occurred in a activity supported by PHS, the Provost will submit it and, if the request is granted, the Provost will file periodic progress reports as requested by the ORI.

When an admission of scientific or other scholarly misconduct is made, the individual making the admission will normally be asked to sign a statement attesting to the occurrence and extent of misconduct (see Reference 8).

The Provost will notify sponsors or other appropriate Federal, state or local officials or Georgia Tech administrative officials at any stage of the inquiry or investigation if:

  • There is an immediate health hazard involved;
  • There is an immediate need to protect Federal funds or equipment;
  • 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 co-investigators and associates, if any;
  • It is probable that the alleged incident is going to be reported publicly;
  • The allegation involves a public health sensitive issue, e.g., a clinical trial; or
  • There is a reasonable indication of possible criminal violation (see Section 5.7.13, Reference 9).
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