Bars to Grant Awards—Research Misconduct

Purpose

To prevent NIAID from making an award before an institution has its research misconduct documentation in place.

Procedure

To receive funding for any grant except a conference grant, institutions have to establish and maintain an assurance that certifies they have a process for responding to allegations of research misconduct as described in federal regulation 42 CFR Part 93.

Institutions establish their assurances the first time their institutional business officials sign the SF 424 Cover page (for an electronic application) or the Face Page (for a paper application). The grants management specialist forwards the cover pages to the Office of Research Integrity (ORI), who establishes a record for each institution and sends a welcome letter.

ORI will impose a bar to award for any institution that has not submitted its annual report.

Grantee Institutions

• File an Annual Report on Possible Research Misconduct through ORI's Assurance Program - Annual Report System.
• Keep policies and procedures updated at all times.
• If contacted by ORI, produce compliance documents immediately.
• For more on institutional responsibilities, see NIH's Research Integrity portal.

Grants Management Specialists

• Look out for red bars and yellow warnings in IMPAC.
  • Yellow warning means an institution has not established an assurance with ORI but should still receive its award. These warnings are most often used for new institutions.
  • Red bar means an institution failed to update its ORI research misconduct assurance or make required modifications to its institutional policy. Do not issue its award.
• To lift a bar or warning, email ORI's assurance program manager. Follow instructions in the Office of Research Integrity (ORI)—Misconduct in Science SOP.
  • ORI collects the documents necessary to lift the bar or remove the warning, then updates IMPAC and notifies NIAID.
• Terminate an award if directed by ORI.

Contacts

ORI's assurance program manager—Contact for NIAID Staff

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.

Links

Bars to Grant Awards SOP

NIAID's Application portal

ORI's Assurance Program

Allegations of Research Misconduct SOP