9.4 Research Misconduct Policy
Related Minnesota State policy: 1C.2 Fraudulent or Other Dishonest Acts https://www.minnstate.edu/board/policy/1c02.html
Related Code of Federal Regulations (National Science Foundation): 45 CFR 689 https://www.ecfr.gov/current/title-45/subtitle-B/chapter-VI/part-689
Related Code of Federal Regulations (US Department of Health and Human Services): 42 CFR Parts 50 and 93 https://www.ecfr.gov/current/title-42/chapter-I/subchapter-H/part-93
Purpose: To ensure ethical research activities at Normandale and describe processes for addressing allegations of research misconduct and for promoting the importance of preventing research misconduct, including training and certification for grant-funded personnel. Normandale Community College is committed to ensuring the integrity of all its grant-funded research activities. This policy establishes institutional standards and procedures for preventing, reporting, assessing, and investigating allegations of research misconduct. It ensures compliance with Federal regulations, including:
- Public Health Service (PHS) Policies on Research Misconduct, 42 CFR Part 93, applicable to allegations received on or after January 1, 2026.
- National Science Foundation (NSF) Research Misconduct Regulation, 45 CFR 689, and NSF Responsible and Ethical Conduct of Research (RECR) training requirements.
- Federal Research Misconduct Policy (FFP) adopted by all Federal agencies including the Department of Education and Department of Labor.
- Uniform Guidance (2 CFR 200) and DOL adoption at 2 CFR 2900, establishing internal control expectations for Federal awards.
Principal Investigators (PIs), Co-Principal Investigators (co-PIs), and Senior Personnel who are funded by Federal awards with activities that include a research component are expected to assist in Normandale’s prevention and detection of research misconduct activities, including training on, and certifying of, research misconduct information, violations and notifications. The Office of Grants & Sponsored Projects will coordinate these efforts.
Part 1: Definitions
1. Fabrication: Making up data or results and recording or reporting them.
2. Falsification: Manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
3. Finding of research misconduct: Means that the research:
a. Is a significant departure from accepted practices of the relevant research community;
b. Was committed intentionally, knowingly, or recklessly; and
c. The allegation can be proven by a preponderance of the evidence.
4. Inquiry: Consists of preliminary information gathering and preliminary fact finding to determine whether an allegation or apparent instance of research misconduct has substance. If the inquiry establishes that there is a reasonable basis for concluding that the allegation or apparent instance of research misconduct has substance, an investigation is warranted.
5. Institutional record: All records compiled or generated during assessment, inquiry, investigation, and adjudication, including evidence indices, transcripts, and reports, maintained consistent with 42 CFR Part 93.
6. Intent standards: A finding requires that the misconduct be committed intentionally, knowingly, or recklessly.
7. Investigation: A formal development, examination and evaluation of a factual record to determine whether misconduct has taken place or, if research misconduct has already been confirmed, to assess its extent and consequences or determine appropriate action.
8. Plagiarism: The appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
9. Preponderance of the evidence: The standard of proof required for a finding of research misconduct.
10. Research: As defined by HHS: systematic investigation designed to contribute to general or specific knowledge. NSF also includes research proposals, reviews, and outcomes.
11. Research misconduct: Fabrication, falsification, or plagiarism in proposing, performing, reviewing, or reporting research. Research misconduct does not include honest error or differences of opinion.
Part 2: Responsibilities
Grants & Sponsored Projects is responsible for identifying training on responsible and ethical conduct of research, ensuring that individuals working on grant-funded research have successfully completed training, and coordinating investigation into allegations of research misconduct.
PIs, co-PIs, and other senior personnel working on grant-funded projects that include research and education activities are required to complete training on responsible and ethical conduct of research and certify that they have taken the training. Grants & Sponsored Projects will maintain the signed certifications in the grant project files.
Policy History:
Date of Adoption: 4/2/2019
Department Owner: Grants
Date and Subject of Revisions:
Next Review Date: 2029-2030