Bars to Grant Awards—Research Misconduct SOP

This standard operating procedure (SOP) includes the following sections: Purpose, Procedure, Contacts, and Links.

Some links will work for NIAID staff only.


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


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 NIH 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

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 the ORI 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.


ORI assurance program manager—Contact for NIAID Staff

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Bars to Grant Awards SOP

Apply for a Grant

ORI Assurance Program

Allegations of Research Misconduct SOP

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