Research Misconduct Conflict of Interest SOP

Prior to any sequestration, the RIO requests written authorization for sequestration from the Office for the Vice President and General Counsel, in accordance with ACA-30. Access to electronic information is authorized by IU Policy on Privacy of Electronic Information and Information Technology Resources (IT-07), Procedures 1(f).

Sequestration is required prior to or at the time that a respondent is notified of allegations of potential research misconduct. Given the limited information available to the RIO at time of sequestration, records are often sequestered broadly to ensure all relevant evidence is obtained.

When possible, the RIO will sequester the following prior to notifying the respondent:

• University email
• University-supported cloud file storage
• Electronic files from departmental servers and networked laboratory machines

All other records will be sequestered at time of respondent notification, or as soon as possible when the RIO becomes aware of their existence. Respondents are obligated to cooperate with sequestration activities and provide all relevant records to the RIO at time of sequestration or upon request.

At the time of sequestration/notification, the respondent will identify all physical evidence related to the allegations, and the RIO and their staff will log and obtain the evidence. The RIO will accompany the respondent to all locations with physical evidence, ensuring at least two people are present during sequestration.

The RIO coordinates with relevant information technology (IT) analysts, including Research Security Office (RSO) staff, to sequester electronic records. RSO staff, University Information Security Office (UISO) and departmental IT professionals assist with electronic records capture, including making forensic images of computer systems and sequestering entire systems if necessary.

The IT analyst will collect original storage media from any computers, and through a process called "Write-Blocked Digital Capture," create an exact duplicate image of the device. The storage media (i.e., hard drive) will then be returned to the device. In some instances, the entire device is needed to perform the capture process and is collected, then returned when sequestration is complete.

When forensic imaging of sequestered devices is required, the respondent and/or other parties may not have access to their IU devices for a period of time. Many factors control how long the sequestration process takes, including the number of devices being sequestered, the amount of data that is stored on each device, and the devices' particulars. The RIO and the IT analysts strive to keep the impact on parties to a minimum and complete the sequestration process as quickly as possible. Sequestration can typically be completed in under 48 hours.

All sequestered materials are documented, inventoried, and tracked using the Research Integrity Office’s case management system, including the date, location, description, and chain of custody. Inventories of sequestered materials are included as exhibits to inquiry and investigation reports and are retained as part of the institutional record. For electronic evidence and devices, Evidence/Chain of Custody tags will be attached to cloned image drives, and a Custody/Data Transfer Form will be completed when necessary.

In order to ensure confidentiality of research misconduct proceedings, sequestered materials are stored in secure locations.

• Physical materials are retained in the limited access evidence room in the Bryce Building on the IU Indianapolis campus. Entry into the evidence room is limited to RIO staff and the RISC Chair via CrimsonCard controlled access.
• If additional storage needs are identified for physical materials (e.g., refrigeration), appropriate secure storage will be identified and acquired based on the evidence's needs.
• Once captured, electronic data is stored on a server within IU's datacenter that is accessible to only Research Integrity Office staff and select inquiry and investigation committee members. All electronic evidence is encrypted at rest and in transit to ensure confidentiality and integrity throughout the lifecycle of the case. This server cannot be reached by the internet and is protected by several firewalls. Access to evidence on this server is strictly controlled and logged to comply with IU policy and applicable regulations. Original digital images are placed in a special archive environment and only copied mirror images are used for analysis during inquiry and investigation.

All sequestered evidence is retained in accordance with ACA-30, Procedures Section II(A). Once a case is closed, physical materials may be transferred to long-term storage in alignment with appropriate university data management policies and procedures. Transfer to long-term storage will be documented, including inventory of materials and location of long-term storage facility.

Once sequestered, materials are accessed only when needed for purposes of the research misconduct inquiry and/or investigation. Access is provided only to the RIO and their staff and inquiry and/or investigation committee members and is limited as much as possible to relevant portions of the sequestered materials.

• Research Integrity Office staff will identify relevant portions of physical sequestered materials and will provide the materials (or copies/digital images) to inquiry and/or investigation committees.
• When possible, sequestered electronic materials will be filtered by RIO and/or RSO staff based on search terms identified during the proceedings and the results provided to inquiry and/or investigation committee members; however, committee members may also review data directly.
• If specific emails are needed during an inquiry and/or investigation, the RIO will request an email search by providing relevant search terms. Searches will be conducted by RSO staff and the results provided to the RIO for review by inquiry and/or investigation committees.
• Relevant evidence that is relied upon by inquiry and/or investigation committees will be referenced in the inquiry and/or investigation report and attached as exhibits as part of the institutional record.

Upon request, supervised access to sequestered materials may be provided to the respondent and other authorized individuals, with requests coordinated between the RIO and the requesting party.