[Code of Federal Regulations]

[Title 45, Volume 3]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR689.2]



[Page 250-251]

 

                        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.

    (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 Sec. Sec. 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



[[Page 251]]



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.