Research Compliance

VI. Requirements for Reporting to the Office of Research Integrity (ORI) for Public Health Service (PHS) Funded Research

1. An institution's decision to initiate an investigation must be reported in writing to the Director, ORI, on or before the date the investigation begins. At a minimum, the notification must include the name of the person(s) against whom the allegations have been made, the general nature of the allegation as it relates to the PHS definition of scientific misconduct (see Definitions), and the PHS applications or grant number(s) involved. ORI must also be notified of the final outcome of the investigation and must be provided with a copy of the investigation report. Any significant variations from the provisions of the institutional policies and procedures should be explained in any reports submitted to ORI.
2. If an institution plans to terminate an inquiry or investigation for any reason without completing all relevant requirements of the PHS regulation, the Dean of the Graduate School will submit a report of the planned termination to ORI, including a description of the reasons for the proposed termination.
3. If the institution determines that it will not be able to complete the investigation in 120 days, the Dean of the Graduate School will submit to ORI a written request for an extension that explains the delay, reports on the progress to date, estimates the date of completion of the report, and describes other necessary steps to be taken. If the request is granted by ORI, the Dean of the Graduate School will file periodic progress reports as requested by the ORI.
4. When PHS funding of applications for funding are involved and an admission of scientific misconduct is made, the Dean of the Graduate School will contact ORI for consultation and advice. Normally, the individual making the admission will be asked to sign a statement attesting to the occurrence and extent of the misconduct. When the case involves PHS funds, the institution cannot accept and admission of scientific misconduct as a basis for closing a case or not undertaking an investigation without prior approval from ORI.
5. The Dean of the Graduate School will notify ORI at any stage of the inquiry or investigation if:
   1. there is an immediate health hazard involved;
   2. there is an immediate need to protect Federal funds or equipment;
   3. there is an immediate need to protect the interests of the person(s) making the allegations or of the individual(s) who is the subject of the allegations as well as his/her co-investigators and associates, if any;
   4. it is probable that the alleged incident is going to be reported publicly, or;
   5. there is a reasonable indication of possible criminal violation. In this instance, the institution must inform ORI within 24 hours of obtaining that information.

Authority: Public Health Service Act in accordance with 42 CFR Part 50, 03/02/94 Office of Research Integrity Advisory Document, April 1995
Rules and Regulations, The Texas Tech University System, amended June 6, 1997. Angelo State University 7/23/97