Joint ARIO and COGR working groups have developed several tools to assist institutions in revising their research misconduct policies to comply with the updated PHS Research Misconduct Regulations at 42 CFR Part 93. Institutions are expected to have revised policies in place by January 1, 2026, when updates to the regulations will all be fully applicable.
The tools are posted on both the ARIO website and COGR websites and a webinar providing an overview of the tools and their use is scheduled for September 26, 2025, from 11:30 a.m. to 12:30 p.m. (ET). The webinar is free and interested persons can register to attend here:
A list and brief description of each of the tools follows:
- Chart Comparing Regulatory Requirements Under 2005 PHS Research Misconduct Rule (“2005 Rule”, .xls download) and 2024 PHS Research Misconduct Rule (“2024 Rule”) and Comparing Key Features of Federal Agencies Research Misconduct Policies: This chart contains two separately tabbed sheets. One sheet highlights differences between the 2005 and updated 2024 rules and notes areas where institutional policies/procedures will need to be revised. The other sheet highlights key differences among several federal funding agencies research misconduct policies.
- Decision Points Slides: A PowerPoint presentation that lists provisions in the 2024 PHS Research Misconduct Rule where institutions have implementation flexibility that they will need to address in developing revisions to policies and procedures.
- Institutional Assessment Result Template (.doc download) A template for documenting the results of the “assessment” phase of research misconduct proceedings under 42 CFR Sec. 93.204 & 93.306.
- Sample Inquiry Report Template: (.doc download) A template for documenting the results of the “inquiry” phase of research misconduct proceedings.
- Case Document Index Template (.doc download) Template for use in creating index of relevant case documents per 42 CFR Sec. 93.20(4)(b).
- Template Chain of Custody Log: (.doc download) Template for use in tracking access to and use of records and other evidence throughout the course of a research misconduct proceeding.
- Instructions for Use of Sample Sequestration Inventory Record Template: (.doc download) Instructions for use Sequestration Inventory Record Template
- Sequestration Inventory Record Template: (.xls download) Tool for documenting the research records and other evidence obtained during a research misconduct proceeding, as well as important metadata about the research records and sequestration process.
- Sequestration Signature Log Template: (.doc download) Template used to collect signatures of individuals from whom records/evidence are sequestered and document taking officially receipt of these materials.
COGR and ARIO want to recognize and thank all the COGR and ARIO members who participated in the working groups that developed these incredibly useful tools that will assist institutions in finalizing their research misconduct policies and procedures.
If you have any questions, please contact Kristin West, Director, Research Ethics & Compliance, at kwest@cogr.edu.
