Escalation timeline, detailed steps, and key responsibilities for NC State personnel subject to federal or university RCR requirements. Consistent with REG 10.00.02 – Research Integrity and Responding to Allegations of Research Misconduct.

Escalation Timeline

Day 1

Initial Notification
The RCR Coordinator notifies the individual and the relevant Academic Leader (PI, Department Head, or supervisor).

Day 4

Reminder & RIO Alert
A follow-up notice is issued and the College Research Officer (CRO) and Research Integrity Officer (RIO) are informed for oversight.

Day 7

Summary to Research Integrity Officer
A formal non-compliance summary is provided to the RIO for review.

Post-Day 7

Enforcement
The RIO determines appropriate institutional action, which may include escalation to the Vice Chancellor for Research and Innovation (VCR). The VCR makes the final determination, including removal of the individual from research projects or sponsored activities, if warranted, consistent with University policy.

Escalation Timeline

Detailed Next Steps – Non-Compliant Individual

The following steps apply to individuals who are non-compliant with required RCR training under NC State policy and applicable federal sponsor requirements.

1. Immediate Notification Of Non-Compliance
   The individual will receive written notification identifying the missing RCR training requirement, applicable deadlines, and instructions for completion.
2. Required Completion Of RCR Training
   The individual must complete all assigned RCR training through the approved University platform within the specified timeframe. Completion is mandatory for continued eligibility to participate in sponsored research activities, where applicable.
3. Notification Of Supervisory And Academic Leadership
   The relevant Principal Investigator (PI), Department Head, or supervisor will be informed to support compliance and ensure awareness of obligations.
4. Monitoring And Follow-Up
   The College Research Officer (CRO) and/or RCR Coordinator will monitor completion status and issue follow-up reminders if training remains incomplete.
5. Escalation For Continued Non-Compliance
   If the requirement is not met by the established deadline, the matter may be escalated to the Research Integrity Officer (RIO) for review. Further escalation may include the Vice Chancellor for Research and Innovation (VCR) and may result in administrative or research participation restrictions consistent with University policy.
6. Institutional Action (If Required)
   Continued non-compliance may result in suspension of access to sponsored research activities or other corrective actions until training requirements are satisfied.

Roles and Responsibilities

NC State Personnel

PI / Student / Staff

• Complete required RCR and other compliance training as required by the University, federal regulations, and sponsors.
• Conduct research in accordance with applicable laws, policies, ethical standards, and sponsor requirements.
• Cooperate with institutional reviews and investigations, including preserving and providing relevant records when requested.

RCR Coordinator

• Monitors deadlines and tracks completion for all personnel subject to federal or NC State RCR requirements.
• Provides guidance to faculty, staff, students, and Principal Investigators (PIs) on RCR training requirements, approved courses, and deadlines.
• Reviews requests for alternate RCR training credit and processes approvals and record updates in accordance with university requirements.
• Works with College Research Officers (CROs), Principal Investigators (PIs), and academic units to resolve RCR training noncompliance and support reporting.

College Research Officer (CRO)

• Ensures college-level compliance and addresses non-compliance with RCR training requirements.
• Coordinates with Principal Investigators (PIs), department heads, and academic leaders to address RCR training noncompliance and ensure timely completion of corrective actions.

Academic Leader

Dept. Head , Assoc. Dean, Dean, etc.

• Ensure faculty, staff, and students are aware of and comply with required training and research integrity obligations.
• Address and escalate non-compliance or concerns, coordinating corrective actions with Principal Investigators (PIs), College Research Officers (CROs), and compliance offices as needed.

Research Integrity Officer (RIO)

• Receives and assesses allegations of non-compliance.
• Coordinates with CROs and Academic Leaders to address non-compliance issues and ensure timely resolution.
• Notifies the Vice Chancellor for Research of persistent non-compliance, as appropriate, for final institutional review and administrative action.
• Notifies federal agencies and other research sponsors, as required by applicable regulations and award terms.

Vice Chancellor for Research (VCR)

• Provides institutional leadership for research integrity and compliance, ensuring effective implementation of RCR and related policies across the University.
• Oversees the research misconduct and integrity framework, including designation and support of the Research Integrity Officer (RIO) and related processes.
• Receives and adjudicates final determinations in research misconduct cases, as defined by university policy and applicable federal requirements.
• Promotes a culture of responsible research and compliance across the institution.