For purposes of this policy, the following definitions apply:
It is the responsibility of faculty, employees, and trainees who become aware of Research Misconduct to report such Research Misconduct to one of the following: (a) their department/unit head, (b) the dean of the school in which their department/unit is located, (c) the UAB Research Integrity Officer (RIO), or (d) the UAB Ethics Matters Hotline. In the case of graduate students or of trainees at any level, such evidence also may be reported to a faculty mentor or the Dean of the Graduate School. Those individuals receiving such Allegations or evidence of Research Misconduct must immediately report to the UAB RIO. The RIO will report the Allegation to the Dean of the unit in which the alleged Research Misconduct occurred and to the Provost. In the event that there are Allegations against a Dean or other member of senior leadership, the RIO will consult with the Office of Counsel regarding the appropriate reporting line.
In consultation with the Dean and the Provost, or other appropriate responsible official, the RIO will conduct or direct a preliminary Assessment of the information presented. The purpose of the preliminary Assessment is to determine if the Allegation states a potential claim of Research Misconduct, as defined by this policy, and if the Allegation is sufficiently credible and specific to identify possible evidence of Research Misconduct. If these criteria are met, the RIO will inform the appropriate department/unit head and the Office of Counsel and will initiate an Inquiry. Reporting Allegations to the department/unit head in advance of the preliminary Assessment will be at the discretion of the Dean.