WORKFLOW: Handling Alleged Research Misconduct at VinUniversity
This workflow outlines the below 6 standardized stages for receiving, assessing, investigating, and resolving allegations of research misconduct at VinUniversity, ensuring fairness, transparency, and compliance with institutional and legal requirements.
All individuals involved must complete the required forms according to their assigned responsibilities, including the Allegation Submission Form, Preliminary Screening Record, RAC Review & Recommendation Form, and COEC Final Decision & Notification Form.
All parties must comply with the VinUniversity Research Integrity Policy, ensuring honesty, fairness, and confidentiality.
Stage 1. Allegation Received
| Step | Description | Responsible Units / Persons |
| 1.1 Submission of Allegation | Allegation or complaint received from any individual (internal or external) via official channels (Email, Allegation Submission Form, etc.)Must include supporting evidence if available. | Reporter |
| 1.2 Initial Receipt and Registration | RMO receives and logs the allegation.Ensures confidentiality and whistleblower protection.Assigns internal tracking code. | RMO |
Stage 2. Preliminary Review
| Step | Description | Responsible Units / Persons |
| 2.1 Document Review | RMO conducts preliminary review of the allegation and supporting materials.Verifies that it falls under the scope of “research integrity misconduct.” | RMO |
| 2.2 Clarification Meeting | RMO may invite the accused to provide clarification or additional information.Related entities may involve in clarification (if any): Supervisors, College Deans, Head of Research Centers (or their delegated representatives)All exchanges are documented by Preliminary Screening Record | RMO, Respondent |
| 2.3 Initial Report to RAC | RMO summarizes findings and submits to the Research Affairs Committee (RAC) for screening. | RMO → RAC |
Stage 3. Screening by RAC
| Step | Description | Responsible Units / Persons |
| 3.1 Evaluate Case Type | RAC determines if it is a clear-cut case (meeting all 3 criteria): (i) Misconduct is clearly evident; (ii) All elements of misconduct are met; (iii) Accused admits in writing. | RAC |
| 3.2 Outcome A – Clear-cut Case | If all 3 criteria are met → RAC recommends disciplinary actions by RAC Review & Recommendation Form → forward to COEC for final decision. | RAC → COEC |
| 3.3 Outcome B – Unclear/Complex Case | If any criterion is not met → RAC requests additional review:Further document checksWitness interviewsFull RAC deliberation meeting (Stage 4) | RAC |
Stage 4. Full Deliberation
| Step | Description | Responsible Units / Persons |
| 4.1 RAC Deliberation | RAC discusses findings and evidence; formulates recommendation for disciplinary actions. | RAC |
| 4.2 Recommendation Submitted | RAC submits recommendation to COEC for final decision by RAC Review & Recommendation Form | RAC → COEC |
Stage 5. Final Decision & Notification
| Step | Description | Responsible Units / Persons |
| 5.1 COEC Review | COEC reviews RAC’s recommendation, verifies process compliance, and issues formal decision by COEC Final Decision & Notification Form | COEC |
| 5.2 Notification | COEC (through RMO) notifies the accused, relevant units (HR, CPL, SAM, Dean, etc.), and ensures record-keeping. | COEC / RMO |
| 5.3 Recordkeeping | CPL and HR record the case in Compliance and HR systems respectively; RMO archives case documents. | CPL, HR, RMO |
Stage 6. Appeal (If Applicable)
| Step | Description | Responsible Units / Persons |
| 6.1 Appeal Submission | The accused may submit a written appeal within defined timeframe. | Respondent |
| 6.2 Appeal Review | RAC re-evaluates case if valid grounds presented. | RAC |
| 6.3 Final Decision | COEC issues final decision by COEC Final Decision & Notification Form after considering RAC’s re-evaluation. | COEC |
Confidentiality Disclaimer:
All information in these forms is confidential and used solely for handling alleged research misconduct. Any unauthorized disclosure or misuse may result in disciplinary or legal actions under VinUniversity regulations and applicable laws.