ASSURANCE/COMPLIANCE
The Assurance/Compliance Program is responsible for monitoring institutional
compliance with the PHS regulation on research misconduct. The Assurance Program
ensures that PHS research and research training support is awarded only to
eligible institutions. The names of institutions that have an assurance are
maintained in a database that is automatically run against applications
submitted by institutions to determine funding eligibility. A computer bar
prevents the processing of awards to ineligible institutions. An institution is
eligible 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. An institution establishes an assurance when an official signs the
face-page of the PHS 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,
- 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. In addition, the Compliance Review Program responds to retaliation
complaints from whistleblowers and monitors the implementation of PHS
administrative actions by institutions and PHS agencies.
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Updated February 15, 2002
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