Research Integrity Office

RIO Conference 2016

Sequestration Analysis:
Collaborative Institutional Approaches &
White Collar Concerns

An Office of Research Integrity (ORI) Grant Award: ORIIR150013


Wednesday, Thursday, & Friday
March 30-31 & April 1, 2016

IUPUI Campus - Indianapolis, IN

Indiana University Robert H. McKinney School of Law
530 West New York Street
Indianapolis, IN 46202

For directions, click here.

Things to do in Indianapolis >

Marriott Courtyard
Indianapolis at the Capitol

To reserve a room at the Marriott Courtyard Indianapolis at the Capitol, please click here.

The last day to reserve a room at the discounted conference rate is:

<<<February 29th!>>>

For information on transportation from the airport to the hotel, please click here  to access IIA's Parking & Transportation webpage. Select “Ground Transportation” from there.

Please note:
Airport shuttles do not stop at the conference hotel.  Apologies for any inconvenience.

In academia, the sequestration process is vital to conducting a successful analysis of an allegation of research misconduct. Indiana University’s goal is to enhance the research integrity community’s understanding of the importance and effects of the role of sequestration in research misconduct allegations through a multi-disciplinary approach involving national subject matter experts. Individual presenters include IT forensic specialists, general counsel, federal agency representatives, research integrity officers and staff. The goal is to provide practical tools and resources to successfully implement what is learned from this innovative and interactive conference. The outcomes will include a best practice guidance document to be disseminated to the research integrity community, along with video vignettes to further illustrate the importance and ramifications of effective versus ineffective sequestrations. The conference is funded by the Office of Research Integrity (ORI), a division of the Department of Health & Human Services (DHHS), grant number ORIIR150013.

There is no cost to attend the conference; registration is free.

Continuing Legal Education (CLE): 10.3 NLS Hours

To register for the Information Technology Breakout session only, please click HERE. This session will focus on what IT staff members need to know and do during the sequestration process to ensure a successful sequestration of electronic data. The session will be livestreamed on  Thursday, March 31 from 12:45-2:15 p.m.

March 30, 2016

Day 1: Introduction to Conference/Topic-Specific Presentation

The goal of Day 1 is to clarify and enhance the sequestration process in academia. This process includes all the steps, roles and responsibilities of involved parties, and the federal and legal requirements leading to the actual sequestration.

7:30 – 8:30 am Breakfast
8:30 – 9:00 am Introductions and Conference Logistics

Kathyrn Partin, Director, Office of Research Integrity

John Baumann, Assistant Vice President for Research Compliance, Indiana University

9:00 – 10:30 am Session 1

The Legality of Sequestration:
Who owns the equipment? Who gives permission to sequester? What do institutions need to know?
 The goal of this session is to highlight the legal aspects in sequestration as it pertains to federal and state law. The presentation will address the specific rights of individuals and the institutions as well as the roles & responsibilities of each party including the handling of the respondent’s computer(s) and file(s). ORI has identified an unwillingness to sequester without the PI’s permission which has resulted in significant problems that will be addressed during this session. The analysis will utilize 42 C.F.R. §93-305 as a starting point.

Kate Gallin Heffernan, Partner and Chair of the Academic and Clinical Research Group, Verrill Dana, LLP

10:30 – 10:45 am Break
10:45 – 12:00 pm Session 2

Critical Issues in Sequestration
This session takes the legal knowledge gained from the opening session and gleans the most critical elements for the institution itself during the sequestration process. Such an analysis enables the sequestration process to more accurately frame concerns, needs, goals, and focus resources for the remainder of the conference.

Naomi Schrag, Associate Vice President for Research Compliance and Training, Office of the Executive Vice President for Research, Columbia University

12:00 – 1:30 pm Lunch
1:30 – 3:00 pm Session 3

An Unsuccessful Sequestration: Examples and Examination
The Office of Research Integrity will present on what creates a poor sequestration with examples of unsuccessful processes through the use of hypothetical fact patterns. ORI will identify problems in sequestration at the institutional level resulting in issues making federal findings.

Ann A. Hohmann, Division of Investigative Oversight, Office of Research Integrity

William Trenkle, Division of Investigative Oversight, Office of Research Integrity

3:00 – 4:00 pm Wrap-up Discussion
4:00 – 6:00 pm Networking Break

Fred Cate, Vice President for Research, Distinguished Professor and
C. Ben Dutton Professor of Law
, Indiana University

March 31, 2016

Day 2: Panel Presentations/Break-Out Sessions/Mock Debate

The goal for Day 2 is to delve into the specifics involved in the sequestration process through panel discussions with experts on several key components of the process. This will be followed up with specific break-out sessions relating to the key components. Finally, a mock debate involving the legal arguments on both sides of a research misconduct litigation will take place to highlight how both good and bad sequestration practices can be essential to a case.

7:30 – 8:30 am Breakfast
8:30 – 9:00 am Announcements & Updates
9:00 – 11:30 am Panel Presentation and Q&A

What Constitutes a Successful Sequestration?
The panel including experienced Research Integrity Officers will discuss the specific steps crucial to managing a successful sequestration and lessons learned along the way, as well as learning more about what qualifies as a successful sequestration to support a case via the perspective of OIG.

David Hudson, Senior Associate Vice President for Research, Office of the Vice President for Research, University of Virginia

Gearoid Griffin, Research Integrity Officer, Faculty of Arts and Sciences, Harvard University

Les Hollie, Assistant Inspector General, Office of Investigations, Office of Inspector General, Health and Human Services

11:30 – 12:30 pm Lunch
12:45 – 2:15 pm Break-Out Sessions

General Counsel: How the General Counsel’s office plays a critical role in sequestration.

Thomas Gannon, Senior Associate General Counsel, Vice President and General Counsel, Indiana University

Jeff Blumenthal, Assistant Attorney General, Office of the Attorney General, University of Connecticut Health Center

Karen Weston, Paralegal, Legal Department, Mount Sinai Health System

Information Technology: What do IT staff members need to know and do during the sequestration process to ensure a successful sequestration of electronic data?  This session will also be available via Adobe Connect for IT professionals who are not able to travel to the conference. Click HERE to register.

Keith Lehigh, Principal Security Engineer, University Information Security Office, Indiana University

Research Integrity Officers: How can RIOs make the sequestration process more efficient and effective? Considering the juxtaposition of poor sequestration and successful sequestration, what do RIOs need to communicate to the parties involved in the sequestration process?

Sheila Garrity, Associate Vice President, Office of the Vice President for Research, George Washington University

Irene Cooke, Assistant Vice President for Research and Director of Research Compliance, Division of Research Compliance, University of Florida

2:15 – 2:30 pm Break
2:30 – 4:30 pm Mock Debate

Mock Debate
This debate will revolve around a fictional research misconduct case and involve legal arguments from the institutional perspective of a general counsel attorney who must argue the merits of the institutional sequestration process vs. opposing counsel who will attack the weaknesses of an institutional sequestration on behalf of his client, a respondent in a research misconduct case.

Michael Terrell, Partner, Taft, Stettinius & Hollister, LLP

Mark A. Borreliz, Counsel, Verrill Dana, LLP

4:30 – 5:00 pm Wrap-Up Discussion

April 1, 2016

Day 3: Final Discussion and Best Practices Guidance

The final day of the conference will coalesce the previous two days with the goal of defining best practices guidelines for successful sequestrations in academia with an abundant awareness of the legal aspects involved therein. This session will be a closed, moderated discussion to literally layout the content, via audience participation, of a best practices doctrine on sequestration.

Nicolas P. Terry, Hall Render Professor of Law & Executive Director, Hall Center for Law and Health Indiana University, Robert H. McKinney School of Law, Indiana University

7:30 – 8:30 am Breakfast
8:30 – 12:00 pm Draft Best Practices Guidance

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