Federal Awards
| Name | Description |
|---|---|
| Uniform Guidance (2 CRF 200) | Uniform administrative requirements, cost principles, and audit requirements for Federal awards to non-Federal entities. In 2024, OMB released an updated version of the Uniform Guidance, a redline document showing the 2024 revisions, and issued an accompanying implementation memorandum as well as reference guides. The updated guidance goes into effect October 1, 2024. |
National Institutes of Health (NIH)
| Name | Description |
|---|---|
| Notice of NIH Policy Changes | Policy notices published in the NIH Guide for Grants and Contracts supersede information in the NIH Grants Policy Statement. Compliance with these policy updates become a term and condition of award acceptance. NIH incorporates these notices into the annual update of the NIH Grants Policy Statement. Also see: NIH Grants and Funding Information |
National Science Foundation (NSF)
| Name | Description |
|---|---|
| NSF Proposal & Award Policies and Procedures Guide (PAPPG) | The Proposal & Award Policies & Procedures Guide (PAPPG) is the source for information about NSF's proposal and award process. Each version of the PAPPG applies to all proposals or applications submitted while that version is effective. Summary of changes to the PAPPG (NSF 24-1). Also see: Funding at NSF |
Regulatory References
Research Security
| Title | Description |
|---|---|
| National Security Presidential Memorandum (NSPM)-33 | This memorandum directs action to strengthen protections of United States Government-supported Research and Development (R&D) against foreign government interference and exploitation. |
| NSMP-33 Implementation Guidance | Provides additional information regarding research security program requirements, how research organizations will be expected to satisfy the requirement, and how agencies will contribute to program content development. |
| Enhancing the Security and Integrity of America's Research Enterprise | The White House Office of Science and Technology Policy PowerPoint. |
| NIH Foreign Interference | This page describes actions that NIH, institutions, and researchers can take to protect against inappropriate foreign interference. |
| NSF Research Security | This page describes NSF's ongoing initiatives aimed at clarifying proposal preparation and award administration requirements, as well as the issuance of new policies and directives in the proposal and award process. |
| DoD Academic Research Security | This site is a resource for the actions that the Department and the interagency are taking to ensure the integrity of fundamental research in academia as well as steps that the academic community has taken. This site does not cover security measures for research that is not designated as fundamental research, which may include CUI or classified research that require additional protection. |
| Research Security Training | The U.S. National Science Foundation, in partnership with the National Institutes of Health, the Department of Energy and the Department of Defense, is sharing online research security training for the research community. This training provides recipients of federal research funding with information on risks and threats to the global research ecosystem — and the knowledge and tools necessary to protect against these risks. |
Human Subjects
| Title | Reference | Description |
|---|---|---|
| Part 46 — Protection of Human Subjects | 45 CFR Part 46 | Applies to research involving human subjects conducted, supported, or otherwise subject to regulation by any Federal department or agency. |
| Part 50 — Protection of Human Subjects | 21 CFR Part 50 | Applies to all clinical investigations regulated by the Food and Drug Administration under sections 505(i) and 520(g) of the Federal Food, Drug, and Cosmetic Act, as well as clinical investigations that support applications for research or marketing permits for products regulated by the Food and Drug Administration. |
| Part 56 — Institutional Review Boards | 21 CFR Part 56 | General standards for the composition, operation, and responsibility of an Institutional Review Board (IRB) that reviews clinical investigations regulated by the Food and Drug Administration. |
Research Misconduct
| Title | Reference | Description |
|---|---|---|
| Federal Policy on Research Misconduct | Office of Science and Technology Policy (OSTP), Executive Office of the President at 65 FR 76260 | Applies to federally-funded research and proposals submitted to Federal agencies for research funding. It thus applies to research conducted by the Federal agencies, conducted or managed for the Federal government by contractors, or supported by the Federal government and performed at research institutions, including universities and industry. |
| Public Health Service Policies on Research Misconduct | 42 CFR Part 93 | Each institution that applies for or receives PHS support for biomedical or behavioral research, research training or activities related to that research or research training must comply with this regulation. |
| VA Research Misconduct | VHA Directive 1058.02 | Establishes procedures for institution allegations of research misconduct inquiries and investigations involving Department of Veterans Affairs (VA) research for which it has been determined that a VA medical facility and a non-VA institution have joint jurisdiction over the research misconduct allegation(s). |
| NASA Investigation of Research Misconduct | 14 CFR 1275 | Establishes procedures to be used by NASA and the awardee institution in determining whether research misconduct by a person or institution has occurred in proposing, performing, reviewing, or reporting results from research activities funded or supported by NASA. |
| National Endowment for the Humanities (NEH) Research Misconduct Policy | NEH Research Misconduct Policy | Establishes procedures for handling allegations of research misconduct applicable to both internal and external research programs supported by NEH. |
| NSF Research Misconduct | 45 CFR Part 689 | Establishes role of awardee institution, NSF, and OIG in prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of alleged research misconduct. |
| Environmental Protection Agency Policy and Procedures for Addressing Research Misconduct | EPA Order 3120.5 | Applies to all research conducted, sponsored or funded, in whole or in part, by EPA and to research proposals submitted to EPA. It thus applies to research conducted by EPA, conducted or managed for EPA by contractors, and funded by EPA and performed at research institutions, including universities and industrial facilities. |
Privacy
| Title | Reference | Description |
|---|---|---|
| Freedom of Information Act (FOIA) | 5 USC 552 | The FOIA provides a right of access to records, except to the extent that any portions of the records are protected from public disclosure by an exemption or exclusion in the statute. |
| Privacy Act of 1974 | 5 USC 552a | Establishes a code of fair information practices that governs the collection, maintenance, use, and dissemination of information about individuals that is maintained in systems of records by federal agencies. |
| Family Educational Rights and Privacy Act (FERPA) | 34 CFR Part 99 | Sets out requirements for the protection of privacy of parents and students. |
| The Health Insurance Portability and Accountability Act of 1996 (HIPAA) | 45 CFR Part 160 and 45 CFR Part 164 | The HIPAA Privacy Rule establishes national standards to protect individuals' medical records and other individually identifiable health information (collectively defined as “protected health information”). |
| DoD Instruction 5200.48 Controlled Unclassified Information (CUI) | DoDI 5200.48 | Describes requirements for DoD Contractors. |
Conflicts of Interest
| Title | Reference | Description |
|---|---|---|
| Promoting Objectivity in Research | 42 CFR Part 50 Subpart F | Establishes standards that provide a reasonable expectation that the design, conduct, and reporting of research funded under Public Health Service (PHS) grants or cooperative agreements will be free from bias resulting from Investigator financial conflicts of interest. |
| Responsible Prospective Contractors | 45 CFR Part 94 | Learn how to find and apply for grant funding, learn about policy and compliance, pre-award and post-award processes, and more. |
| Department of Energy (DOE) Intrim Conflict of Interest Policy | Based on Requirements found at 2 CFR Part 910 | Establishes standards that provide a reasonable expectation that the design, conduct, and reporting of projects wholly or in part funded under DOE financial assistance awards (e.g., a grant, cooperative agreement, or technology investment agreement) will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest. |
| NASA Grant Information Circular (GIC) 23-07 | Based on Federal Register 88 FR 60243 | Implements a conflict of interest (COI) disclosure policy for NASA grant and cooperative agreement recipients. |
Export Control
| Title | Description |
|---|---|
| Sanctions Programs and Country Information: Office of Foreign Assets Control (OFAC) | OFAC administers a number of different sanctions programs. The sanctions can be either comprehensive or selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national security goals. |
| The US Munitions List: 22 CFR Part 121 | List maintained by the US Department of State that describes defense articles that provide a critical military or intelligence advantage or, in the case of weapons, perform an inherently military function and thus warrant export and temporary import control on the USML. |
| International Traffic in Arms Regulations (ITAR): 22 CFR Part 120-130 | Governs the manufacture, export, and temporary import of defense articles, the furnishing of defense services, and brokering activities involving items described on the USML. |
| Bureau of Industry and Security (BIS) | BIS Mission: Advance U.S. national security, foreign policy, and economic objectives by ensuring an effective export control and treaty compliance system and promoting continued U.S. strategic technology leadership. |
| Commerce Control List (CCL) | A key in determining whether an export license is needed from the Department of Commerce is knowing whether the item you intend to export has a specific Export Control Classification Number (ECCN). The ECCN is an alpha-numeric code, e.g., 3A001, that describes the item and indicates licensing requirements. All ECCNs are listed in the Commerce Control List (CCL). |
| Deemed Exports and Fundamental Research for Biological Items | FAQ Page - Many people have questions on what triggers a requirement for a deemed export license in the Export Administration Regulations (EAR) for biological research. |
| Export Control Administration Regulations (EAR) | Consult the EAR to understand and comply with U.S. Export Administration Regulations. |