The Catholic University of America

Summary of Federal Laws

Research

Compliance Partners

Associate Provost for Research

Related Policy

Research Misconduct

The National Science Foundation Act of 1950

42 U.S.C. § 1861 et seq.; 45 C.F.R. § 617.1 et seq. (non-discrimination), 45 C.F.R. § 689.1 et seq. (misconduct) and 45 C.F.R. § 690.101 et seq. (protection of human subjects).

Institutions receiving research money from the National Science Foundation (NSF) must maintain and enforce a written conflict of interest policy and take steps to prevent scientific misconduct. An awardee institution must have a policy for investigating and acting on suspected or alleged misconduct. In certain situations the NSF must be immediately notified of the apparent misconduct. The conflict of interest policy must identify, evaluate and resolve conflicts of interest, and if they cannot be resolved, report them to the NSF. Financial disclosures must be updated annually. Records of same must be kept for three years after the expiration of an award or grant (42 C.F.R. §§ 6.04 and 6.05). The institution must also set up an Institutional Review Board (IRB) for all research involving human subjects.

Responsible Conduct of Research, 74 Fed. Reg. 42126 (August 20, 2009)
Effective January 4, 2010 each institution that applies for financial assistance from the Foundation for science and engineering research or education must describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project. See the RCR Frequently Asked Questions, updated March 3, 2010.

Federal Policy on Research Misconduct

The Federal Research Misconduct Policy can be found at 65 Fed. Reg. 76,260 (Dec. 6, 2000). The policy applies to research supported by the federal government and performed at research institutions, as well as to research conducted by federal agencies. Under the final policy, research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

The policy is limited to addressing misconduct related to the conduct and reporting of research, as distinct from misconduct that occurs in the research setting but does not affect the integrity of the research record. Thus, falsification of data would be covered by this policy, but misallocation of funds would not. The standard of proof will be a preponderance of the evidence. In most cases, federal agencies will rely on the researcher's home institution to make the initial response to allegations of research misconduct. Research institutions will notify the funding agency (or agencies) of an allegation of research misconduct if: (1) the allegation involves federally-funded research (or an application for federal funding); (2) it meets the federal definition of research misconduct given above; and (3) the institution's inquiry into the allegation determines there is sufficient evidence to proceed to an investigation. When an investigation is complete, the research institution will forward to the agency a copy of the evidentiary record, the investigative report, recommendations made to the institution's adjudicating official, and the subject's written response to the recommendations (if any). When a research institution completes the adjudication phase, it will forward the adjudicating official's decision and notify the agency of any corrective actions taken or planned.

Immediate notification of the funding agency is required under the following circumstances:

  • public health or safety is at risk;

  • agency resources or interests are threatened;

  • research activities should be suspended;

  • possible violations of the law;

  • federal action required to protect the interests of those involved in the investigation;

  • the research institution believes the inquiry or investigation may be made public prematurely (and the agency needs to take steps to safeguard evidence, etc.); or

  • the research community or the public should be informed.

The federal agency will make the final decision about whether to make an agency finding of research misconduct.

Current NSF Guide to Grant Applications Effective January 18, 2011.
All proposals must describe plans for data management and sharing of products of research. Data management plans are intended to document how research data will be described, accessed, archived, shared, re-used, and re-distributed over the length of the funded project and beyond. For very helpful information, see  the Association of Research Libraries Guide for the NSF Data Sharing Policy

Required Education for the Protection of Human Research Participants

Beginning October 1, 2000, the NIH will require education on the protection of human research participants for all investigators submitting NIH applications for grants or proposals for contracts or receiving new or non-competing awards for research involving human subjects.

Office of Human Research Protections:
The federal government has recreated the Office for Protection from Research Risks as the new "Office of Human Research Protections." The newly created office will lack the enforcement authority of the old office, but will still be charged with overseeing compliance with federal regulations regarding research that involves human subjects. For detailed information, see 65 Fed. Reg. 37,136 (June 13, 2000).

National Science Foundation Research Administrator Workshop PowerPoint Presentation(May 2007)

This is a comprehensive Power Point by Crystal LaCore, Special Agent, and William J. Kilgallin, Head of Investigative Legal and Outreach, Office of Inspector General, National Science Foundation. Topics covered include a Compliance Program for Research Risks, Effort Reporting, Cost Accounting, Conflict of Interest, Research Misconduct, and Certification for Federal Grants and Contracts.

Other Resources

RCR Frequently Asked Questions, updated March 3, 2010.

Sample RCR Policies

University of Louisville ****

Virginia Commonwealth University****

NIH Web page Update on the Requirement for Instruction in the Responsible Conduct of Research (dated 11-24-09)

Frequently Asked Questions on Reporting Requirements under the American Recovery and Reinvestment Act of 2009 (OMB FAQ)

Office for Human Research Protections (OHRP)

NIH computer-based training module for researchers on the protection of human subjects.

See the AAU Report on University Protections of Human Beings Who Are the Subjects of Research, dated June 28, 2000.

See also Required Education in the Protection of Human Research Participants, NIH guidance, June 5, 2000.

 

CCR updated CFR links 6/25/15