[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: 45CFR689.3]



[Page 251]

 

                        TITLE 45--PUBLIC WELFARE

 

                 CHAPTER VI--NATIONAL SCIENCE FOUNDATION

 

PART 689_RESEARCH MISCONDUCT--Table of Contents

 

Sec. 689.3  Actions.



    (a) Possible final actions listed in this paragraph (a) for guidance 

range from minimal restrictions (Group I) to the most severe and 

restrictive (Group III). They are not exhaustive and do not include 

possible criminal sanctions.

    (1) Group I actions. (i) Send a letter of reprimand to the 

individual or institution.

    (ii) Require as a condition of an award that for a specified period 

an individual or institution obtain special prior approval of particular 

activities from NSF.

    (iii) Require for a specified period that an institutional official 

other than those guilty of misconduct certify the accuracy of reports 

generated under an award or provide assurance of compliance with 

particular policies, regulations, guidelines, or special terms and 

conditions.

    (2) Group II actions. (i) Totally or partially suspend an active 

award, or restrict for a specified period designated activities or 

expenditures under an active award.

    (ii) Require for a specified period special reviews of all requests 

for funding from an affected individual or institution to ensure that 

steps have been taken to prevent repetition of the misconduct.

    (iii) Require a correction to the research record.

    (3) Group III actions. (i) Terminate an active award.

    (ii) Prohibit participation of an individual as an NSF reviewer, 

advisor, or consultant for a specified period.

    (iii) Debar or suspend an individual or institution from 

participation in Federal programs for a specified period after further 

proceedings under applicable regulations.

    (b) In deciding what final actions are appropriate when misconduct 

is found, NSF officials should consider:

    (1) How serious the misconduct was;

    (2) The degree to which the misconduct was knowing, intentional, or 

reckless;

    (3) Whether it was an isolated event or part of a pattern;

    (4) Whether it had a significant impact on the research record, 

research subjects, other researchers, institutions or the public 

welfare; and

    (5) Other relevant circumstances.

    (c) Interim actions may include, but are not limited to:

    (1) Totally or partially suspending an existing award;

    (2) Suspending eligibility for Federal awards in accordance with 

debarment-and-suspension regulations;

    (3) Proscribing or restricting particular research activities, as, 

for example, to protect human or animal subjects;

    (4) Requiring special certifications, assurances, or other, 

administrative arrangements to ensure compliance with applicable 

regulations or terms of the award;

    (5) Requiring more prior approvals by NSF;

    (6) Deferring funding action on continuing grant increments;

    (7) Deferring a pending award;

    (8) Restricting or suspending participation as an NSF reviewer, 

advisor, or consultant.

    (d) For those cases governed by the debarment and suspension 

regulations, the standards of proof contained in the debarment and 

suspension regulations shall control. Otherwise, NSF will take no final 

action under this section without a finding of misconduct supported by a 

preponderance of the relevant evidence.