931 NSF Policies and Responsibilities
a. MISCONDUCT means: 1) fabrication, falsification, plagiarism or other serious deviation from accepted practices in proposing, carrying out or reporting results from activities funded by NSF; or 2) retaliation of any kind against a person who has reported or provided information about suspected or alleged misconduct and who has not acted in bad faith.
b. The NSF will take appropriate action against individuals or organizations upon a determination that misconduct has occurred in proposing, carrying out or reporting results from activities funded by NSF. It may also take interim action during an investigation. Possible actions include sending a letter of reprimand to the individual or organization, requiring prior NSF approval of particular activities by an individual or organization, requiring special assurances of compliance with particular policies, restricting designated activities or expenditures under particular grants, suspending or terminating grants, debarring or suspending an individual or organization and prohibiting participation by an individual as an NSF reviewer, advisor or consultant.
c. NSF will find misconduct only after careful inquiry and investigation by a grantee organization, by another Federal agency or by NSF. An "inquiry" consists of information-gathering and preliminary fact-finding to determine whether an allegation or apparent instance of misconduct has substance. An investigation must be undertaken if the inquiry determines the allegation or apparent instance of misconduct has substance. An "investigation" is a formal examination and evaluation of relevant facts to determine whether misconduct has taken place or, if misconduct has already been confirmed, to assess its extent and consequences or determine appropriate action.
d. Before NSF makes any final finding of misconduct or takes any final action on such a finding, NSF will normally afford the accused individual or organization 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 the same allegation of misconduct.
e. Debarment or suspension for misconduct will be imposed only after further procedures described in applicable debarment and suspension regulations (45 CFR §620). Severe misconduct is an independent cause for debarment or suspension.
f. The OIG (GPM 118, "Office of Inspector General") oversees and coordinates NSF activities related to misconduct, conducts any NSF inquiries and investigations into suspected or alleged misconduct in science and engineering, and except where otherwise provided, speaks and acts for NSF with affected individuals and organizations.
g. After receiving an investigation report, the subject's rebuttal and recommendations of the OIG, the NSF Deputy Director may initiate further investigation or hearings or order interim or final actions. A written disposition specifying actions to be taken will be sent to affected individuals or organizations and will include instructions on how to pursue an appeal to the Director of the Foundation.
932 Role of Grantees
a. Grantees bear primary responsibility for prevention and detection of misconduct. In most instances, NSF will rely on grantees to promptly:
1. initiate an inquiry into any suspected or alleged misconduct;
2. conduct a subsequent investigation, if the inquiry finds substance; and
3. take action necessary to ensure the integrity of research, the rights and interests of research subjects and the public and the observance of legal requirements or responsibilities.
b. If a grantee wishes NSF to defer independent inquiry or investigation, NSF expects it to:
1. inform NSF immediately if an initial inquiry finds substance;
2. keep NSF informed during such an investigation;
3. notify NSF even before deciding to initiate an investigation or as required during an investigation:
(a) if the seriousness of apparent misconduct warrants;
(b) if immediate health hazards are involved;
(c) if NSF's resources, reputation, or other interests need protecting;
(d) if Federal action may be needed to protect the interests of a subject of the investigation or of others potentially affected; or
(e) if the scientific and engineering community or the public should be informed; and
4. provide NSF with the final report from any investigation.
c. If a grantee wishes NSF to defer independent inquiry or investigation, it should complete any inquiry and decide whether an investigation is warranted within 90 days. It should similarly complete any investigation and reach a disposition within 180 days. If completion of an inquiry or investigation is delayed, but the grantee wishes NSF deferral to continue, NSF may require submission of periodic status reports.
d. Grantees should maintain and effectively communicate to their staffs appropriate policies and procedures relating to misconduct, which should indicate when NSF must or should be notified.
933 Reporting Possible Misconduct
Possible misconduct in activities funded by NSF should be reported to the Office of Inspector General, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, (703) 306-2006 or e-mail at oig@nsf.gov.