Small institutions (typically 1 to 50 institutional members) usually cannot conduct an inquiry or investigation into an allegation of research misconduct without apparent or real conflict of interest as required by the PHS Policies on Research Misconduct (42 CFR Part 93). These institutions may establish an assurance by filing the Small Institution Statement in lieu of a formal institutional policy.

By submitting the Small Institution Statement the institution agrees to report all allegations of research misconduct to ORI. ORI or another appropriate office in the Department of Health and Human Services then works with the institution to develop and implement a process consistent with the regulation.

Small Institution Statement Formats
» Small Institution Statement (Word Format)

Note: Use of the Small Institution Statement, however, does not relieve the institution from complying with other provisions of the PHS regulation including:
- Submission of the Annual Report on Possible Research Misconduct.
- Establishing a process for reporting allegations within the institution.
- Taking immediate or interim administrative actions.
- Maintaining confidentiality of the proceedings.
- Protecting the whistleblower.
- Restoring the reputation, as appropriate, of the respondent when the allegations are not supported.
- Fostering a research environment that promotes integrity, and making reports to ORI.

If you have any questions regarding this statement or your institution's responsibilities in applying for or receiving PHS funding, please contact Robin Parker at ORI_Assurance@hhs.gov. Phone: (240) 453-8407.

The contents of this webpage do not have the force and effect of law and are not meant to bind the public in any way. This webpage  is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.