The document provides an in-depth guide for institutions on incorporating the 2024 Public Health Service (PHS) Research Misconduct Rule (42 CFR Part 93) into their research misconduct policies and procedures. It emphasizes the new flexibilities introduced in the 2024 Rule and outlines key decision points institutions must consider, such as the distinction between what is established in policy versus procedure, the use of the small institution option, and the appropriate assignment of roles and responsibilities throughout the misconduct proceedings. The guide covers confidentiality provisions, the structure and composition of review panels, the responsibilities and selection of institutional officials (including the Deciding Official and Certifying Official), as well as processes for maintaining the institutional record and safeguarding evidence.
Further, the document addresses procedural considerations, such as the handling of admissions, the management of multiple respondents, reporting requirements, protection and restoration of reputations, and the processes for interview and investigation report management. Institutions are encouraged to carefully evaluate the benefits and trade-offs of adopting certain flexibilities, such as permitting the Research Integrity Officer to conduct multiple phases of review or defining the scope of “need to know” with respect to confidentiality. The guidance stresses the importance of integrating these regulatory requirements and institutional choices into clear, effective written policies and procedures to ensure thorough, fair, and compliant handling of research misconduct cases under the 2024 Rule.
