---
kind: "section"
citation: "42 C.F.R. § 93.306"
title: "42"
number: "93.306"
heading: "Institutional assessment."
url: "https://uscodex.org/cfr/42/93.306"
---

# §93.306. Institutional assessment.

- (a) **Purpose.** An assessment's purpose is to determine whether an allegation warrants an inquiry.
- (b) **Conducting the institutional assessment.** Upon receiving an allegation of research misconduct, the RIO or another designated institutional official must promptly assess the allegation to determine whether the allegation:
  - (1) Falls within the definition of research misconduct under this part;
  - (2) Is within the applicability criteria of [§ 93.102](/cfr/42/93.102.md); and
  - (3) Is sufficiently credible and specific so that potential evidence of research misconduct may be identified.
- (c) **Assessment results.**
  - (1) An inquiry must be conducted if the allegation meets the three assessment criteria in [paragraph (b)](#b) of this section.
  - (2) If the RIO or another designated institutional official determines that requirements for an inquiry are met, they must:
    - (i) Document the assessment; and
    - (ii) Promptly sequester all research records and other evidence, consistent with [§ 93.305(a)](/cfr/42/93.305.md?p=a), and promptly initiate the inquiry.
  - (3) If the RIO or another designated institutional official determines that requirements for an inquiry are not met, they must keep sufficiently detailed documentation of the assessment to permit a later review by ORI of the reasons why the institution did not conduct an inquiry. Such documentation must be retained in accordance with [§ 93.318](/cfr/42/93.318.md).

## Notes

### Authority

Authority: 42 U.S.C. 216 and 289b

### Source

Source: 89 FR 76295, Sept. 17, 2024, unless otherwise noted.