---
kind: "section"
citation: "42 C.F.R. § 93.309"
title: "42"
number: "93.309"
heading: "Reporting to ORI on the decision to initiate an investigation."
url: "https://uscodex.org/cfr/42/93.309"
---

# §93.309. Reporting to ORI on the decision to initiate an investigation.

- (a) Within 30 days of determining that an investigation is warranted, the institution must provide ORI with a copy of the inquiry report, which includes the following information:
  - (1) The names, professional aliases, and positions of the respondent and complainant;
  - (2) A description of the allegation(s) of research misconduct;
  - (3) The PHS support, including, for example, grant numbers, grant applications, contracts, and publications listing PHS support;
  - (4) The composition of the inquiry committee, if used, including name(s), position(s), and subject matter expertise;
  - (5) Inventory of sequestered research records and other evidence and description of how sequestration was conducted;
  - (6) Transcripts of any transcribed interviews;
  - (7) Timeline and procedural history;
  - (8) Any scientific or forensic analyses conducted;
  - (9) The basis for recommending that the allegation(s) warrant an investigation;
  - (10) The basis on which any allegation(s) do not merit an investigation;
  - (11) Any comments on the inquiry report by the respondent or the complainant; and
  - (12) **Any institutional actions implemented, including communications with journals or funding agencies.**
- (b) The institution must provide the following information to ORI whenever requested:
  - (1) The institutional policies and procedures under which the inquiry was conducted; and
  - (2) **The research records and other evidence reviewed, and copies of all relevant documents.**
- (c) Institutions must keep detailed documentation of inquiries to permit a later assessment by ORI of the reasons why the institution decided not to investigate. Such documentation must be retained in accordance with [§ 93.318](/cfr/42/93.318.md).
- (d) In accordance with [§ 93.305(g)](/cfr/42/93.305.md?p=g), institutions must notify ORI of any special circumstances that may exist.

## Notes

### Authority

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

### Source

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