Assurance Program

The Assurance and Compliance Program is responsible for monitoring institutional compliance with the PHS Policies on Research Misconduct (42 C.F.R. 93).

An institution is eligible for PHS funding when it has an assurance on file with ORI stating that is has developed and will comply with an administrative process for responding to allegations of research misconduct in PHS-supported research that complies with the PHS regulation cited above. An institution establishes an assurance when an official signs the face-page (SF 424 (R&R) or PHS 398) of the grant application form or when the institution files a separate assurance form. Once established, institutions maintain their assurance by filing the Annual Report on Possible Research Misconduct (between January 1 and March 1 each year), submitting their policy for responding to allegations of research misconduct for review when requested by ORI, revising their policy when requested by ORI to bring the policy into compliance with the PHS regulation, and complying with the PHS regulation.

The Compliance Review Program ensures that institutions comply with their policy and the PHS regulation in responding to allegations of research misconduct, monitors the implementation of PHS administrative actions by institutions and PHS agencies, and responds to retaliation complaints from whistleblowers.

Assurance program inquiries should be sent to Robin.Parker@hhs.gov. Phone: 240-453-8400.

Compliance program inquiries should be sent to John.Butler@hhs.gov. Phone: 240-453-8800.

» Annual Report on Possible Research Misconduct  (Form PHS-6349)
-- NOTE:  Institutions are encouraged to complete the online version of this form.

» PHS Policies on Research Misconduct (42 C.F.R. 93)
» ORI Sample Policy and Procedures for Responding to Allegations of Research Misconduct
» Evaluating Research Misconduct Policies at Major Research Universities: A Pilot Study
» Analysis of Institutional Policies for Responding to Allegations of Scientific Misconduct (pdf)
» Assurance of Compliance by Subrecipients (Form PHS-6315.pdf)