Assurance of Compliance with Department of Public Health Service Policy Regarding Procedures for Dealing with and Reporting Possible Misconduct in Science

  1. In accordance ​with 42 CFR Part 50, the administrative policies provide for the following, and otherwise comply with 42 CFR 50.101-10.105:

    1. An impartial process for receipt of allegations of scientific misconduct and for initiating immediate inquiry into each allegation.
    2. Subject to Part 50, completion of each inquiry within 60 calendar days from receipt of allegation, including preparation of a written report.
    3. Maintenance of detailed documentation of an inquiry for at least three (3) years, which must, upon request, be provided to authorized HHS personnel.
    4. Initiation of an investigation within 30 calendar days of the completion of an inquiry, if findings from that inquiry provide sufficient basis for conducting an investigation.
    5. Subject to part 50, completion of an investigation within 120 calendar days.
    6. Selection of impartial experts to conduct inquires and investigations.
    7. Precautions against real or apparent conflicts of interest in an inquiry or an investigation.
    8. Affording the affected individual(s) confidential treatment to the maximum extent possible, a prompt and thorough investigation, and an opportunity to comment on allegations and finding of this inquiry and/or the investigation.
    9. Notification to the PHS''s Office of Scientific Integrity (OSI), at the National Institutes of Health, that an investigation will be conducted.
    10. Notification to OSI within 24 hours of obtaining a reasonable indication of possible criminal violations.
    11. Preparation and maintenance of the documentation to substantiate an investigation''s findings for at least three (3) years after PHS acceptance of the final report.
    12. Preparation and maintenance of the documentation to substantiate an investigation''s findings for at least three (3) years after PHS acceptance of the final report.
    13. Taking appropriate interim administrative actions to protect Federal funds and ensure that the purpose of the Federal financial assistance are being carried out.
    14. Promptly advising OSI of any developments during the course of the investigation which disclose facts that may affect current or potential Department of Health and Human Services funding for the individual(s) under investigation or that the PHS needs to know to ensure appropriate use of Federal funds and otherwise protect the public interest.
    15. Making efforts to restore the reputations of persons alleged to have engaged in misconduct when allegations are not confirmed.
    16. Protecting, to the maximum extent possible, the positions and reputations of those persons who, in good faith, make allegations of scientific misconduct, and those against whom allegations of misconduct are not confirmed.
    17. Imposing appropriate sanctions on individuals when the allegation of misconduct has been substantiated.
    18. Notifying the OSI of the final outcome of the investigation with a written report that thoroughly documents the investigative process and findings.
    19. Informing its scientific and administrative staff of the policies and procedures and the importance of compliance with those policies and procedures.
  2. Institutional Approval

Authorized Institutional Official

The University of Iowa, hereinafter referred to as institution," hereby gives assurance that it does comply and will continue to comply with the Public Health Service Policy regarding Procedures for Dealing with and Reporting Possible Misconduct in Science hereinafter referred to as "PHS Policy."

I certify that:

  1. this organization has established-and will comply with-policies and procedures, incorporating the provisions set out in Item I. above, for inquiring into and investigating allegations of scientific misconduct;
  2. this organization will comply with the requirements of the PHS regulations on responsibilities of awardee and applicant institutions for dealing with and reporting possible misconduct in science (42 CFR Part 50, Subpart A); and
  3. this organization will provide its policies and procedures to the Public Health Service upon request.
    (signed 07/01/2002)