| Policy Title | Research Misconduct Policy |
| Type or category of Policy: | University Policy |
| Approval Authority: | Provost and Senior Vice President for Academic Affairs |
| Responsible Executive: | Provost and Senior Vice President for Academic Affairs |
| Responsible Office: | Office of Institutional Effectiveness |
| Owner Contact: | oie@siena.edu |
| Reviewed By: | Provost and Senior Vice President for Academic Affairs |
| Reviewed Date: | May 4, 2026 |
| Last Revised and Effective Date of Revision: | May 4, 2026 |
Brief Overview of the Policy
This policy is to clarify how any matters that either cannot be resolved within the IRB or require input from individuals or offices outside of the IRB are to be communicated and to whom.
Reason for Policy
This policy is intended to clarify where and to whom questions arising from the work of Siena University’s IRB should be directed.
Scope of the Policy: Entities or Individuals affected by this policy
Siena University’s IRB; all members of the Siena community
The Official Policy
The IRB functions within Academic Affairs. The Associate Vice President of Academic Affairs for Institutional Effectiveness (AVPAA-IE) sits ex-officio on the IRB to advise on day-to-day issues and, as needed, work with the IRB Chair to manage specific issues (i.e. grievances). The AVPAA-IE attends IRB committee meetings. The AVPAA-IE manages state and federal renewals for the institution.
The Provost is Siena’s Authorized Institutional Official, as an official of the institution with legal authority to speak on behalf of the institution. The Authorized Institutional Official ensures that the institution will effectively fulfill its research oversight function. Therefore, responsibility for the IRB committee and its work rests with the Provost. If an issue escalates beyond what the IRB Chair and/or the AVPAA-IE can resolve, the Provost is called upon as an objective party with final decision making authority.
To preserve the Provost’s objectivity, issues that cannot be resolved within the IRB should first be brought to the AVPAA-IE. Similarly, when faced with questions requiring institutional input, the IRB chair should first bring the matter to the AVPAA-IE. The AVPAA-IE will collect the necessary information and work with the IRB chair and the appealing party to resolve the issue. If the matter cannot be resolved at the level of the AVPAA-IE, it will be escalated to the Provost for a final determination.
If a particular issue is unusually serious, the IRB chair should reach out to both the Provost and AVPAA-IE as soon as they realize the scope of the matter.
In any scenario, the AVPAA-IE and/or Provost will solicit the input of other individuals on campus, as needed.
This policy is separate from, and does not replace, the Appeals to Siena IRB Decisions policy. Parties intending to appeal an IRB decision on a submitted protocol or associated materials should refer to that policy for guidance.