[Code of Federal Regulations]
[Title 45, Volume 3]
[Revised as of October 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR689.2]

[Page 237-238]
 
                        TITLE 45--PUBLIC WELFARE
 
                 CHAPTER VI--NATIONAL SCIENCE FOUNDATION
 
PART 689--RESEARCH MISCONDUCT--Table of Contents
 
Sec. 689.2  General policies and responsibilities.

    (a) NSF will take appropriate action against individuals or 
institutions upon a finding that research misconduct has occurred. 
Possible actions are described in Sec. 689.3. NSF may also take interim 
action during an investigation, as described in Sec. 689.8.
    (b) NSF will find research misconduct only after careful inquiry and 
investigation by an awardee institution, by another Federal agency, or 
by NSF. An ``inquiry'' consists of preliminary information-gathering and 
preliminary fact-finding to determine whether an allegation or apparent 
instance of research misconduct has substance and if an investigation is 
warranted. An investigation must be undertaken if the inquiry determines 
the allegation or apparent instance of research misconduct has 
substance. An ``investigation'' is a formal development, examination and 
evaluation of a factual record to determine whether research misconduct 
has taken place, to assess its extent and consequences, and to evaluate 
appropriate action.

[[Page 238]]

    (c) A finding of research misconduct requires that--
    (1) There be a significant departure from accepted practices of the 
relevant research community; and
    (2) The research misconduct be committed intentionally, or 
knowingly, or recklessly; and
    (3) The allegation be proven by a preponderance of evidence.
    (d) Before NSF makes any final finding of research misconduct or 
takes any final action on such a finding, NSF will normally afford the 
accused individual or institution notice, a chance to provide comments 
and rebuttal, and a chance to appeal. In structuring procedures in 
individual cases, NSF may take into account procedures already followed 
by other entities investigating or adjudicating the same allegation of 
research misconduct.
    (e) Debarment or suspension for research misconduct will be imposed 
only after further procedures described in applicable debarment and 
suspension regulations, as described in Secs. 689.8 and 689.9, 
respectively. Severe research misconduct, as established under the 
regulations in this part, is an independent cause for debarment or 
suspension under the procedures established by the debarment and 
suspension regulations.
    (f) The Office of Inspector General (OIG) oversees investigations of 
research misconduct and conducts any NSF inquiries and investigations 
into suspected or alleged research misconduct.
    (g) The Deputy Director adjudicates research misconduct proceedings 
and the Director decides appeals.
    (h) Investigative and adjudicative research misconduct records 
maintained by the agency are exempt from public disclosure under the 
Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 
552a) to the extent permitted by law and regulation.