Research Compliance

Compliance and Integrity Committees

Getting Started (IRBNET)

Within IRBNet, there is a library for each integrity committee (IRB, IACUC, and Biosafety) that contains forms, instructions, and documents specific to each committee.

Ethics in Research and Financial Disclosure

ISU is committed to the highest ethical standards in research. As part of our efforts, all grant writers are expected to disclose any and all financial interests annually. Additionally, the University has implemented a plan to ensure Responsible Conduct in Research. Finally, all university researchers are governed by the University's Research Misconduct policy.

Certification and Assurances

OSP complies with state and federal regulations that govern the administration and conduct of research activities, including: 

Debarment and Suspension

Awardees are prohibited from procuring entities through grant, subaward, and/or contract funding who are identified as Debarred or Suspended (or otherwise excluded from Federal procurement). The Office of Sponsored Programs, as well as the Office of Contracts and Grants, can assist in identifying debarred, suspended, and other excluded entities by conducting thorough searches in both eCustoms’ Visual Compliance and on the System for Award Management. These screenings allow the institution to comply with regulations and legislation outlined in the Federal Register, Title 2 CFR § 200.212, applicable Executive Orders, and 2 CFR Pt. 200, Appendix II to Part 200—Contract Provisions for Non-Federal Entity Contracts Under Federal Awards, which states: “(I) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the governmentwide Excluded Parties List System in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR Part 1986 Comp., p. 189) and 12689 (3 CFR Part 1989 Comp., p. 235), “Debarment and Suspension.” The Excluded Parties List System in SAM contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.”

Export Control

Exports and Regulatory Agencies. In the Introduction to Commerce Department Export Controls, the U.S. Department of Commerce identifies ‘any item that is sent from the U.S. to any foreign destination is considered to be an export.’ Exported items are widely diverse in nature, and may include “commodities, software or technology, such as clothing, building materials, circuit boards, automotive parts, blue prints, design plans, retail software packages and technical information.” Three principal government agencies administer export control regulations, each having specific and enforceable regulations:

  • The U.S. Department of Commerce-Bureau of Industry and Security (BIS) administers the Federal Export Administration Regulations (EARs). The EARs regulate the transfer of items considered to have largely commercial uses. The regulations also highlight items known for dual-use, having a unique military and commercial application. 
  • The U.S. Department of State administers the import and export of items largely specific to military and national defense. The DOS administers the Arms Export Control Act, Executive Order 13637, and the International Traffic in Arms Regulations (ITAR, 22 CFR 120-30).
  • The U.S. Department of Treasury administers and enforces economic sanctions and trade embargos through the Office of Foreign Assets Control (OFAC). These regulations assist in regulating specific foreign countries due to terrorism, trafficking, the proliferation of weapons of mass destruction, and other national security threats.

ISU Faculty, Staff, and Students. International travel, import, export, and/or research by ISU personnel on behalf of the university must have appropriate institutional approval and, as required by Federal law, appropriate certifications and licenses (which may take up to six months to obtain from the government). Such activities (regardless of whether the funding originates from internal or external sources) must be reported and disclosed for review and approval to ensure ISU’s compliance with Federal regulations and security issues that have the potential to compromise our personnel, institution, and security interests.

International Academic Research Collaborations. Academic research interests are recognized as being largely unique from those of commercial entities. As such, National Security Decision Directive No. 189: The National Security Policy on the Transfer of Scientific, Technical and Engineering Information was established for “controlling the flow of science, technology, and engineering information produced in federally-funded fundamental research at colleges, universities, and laboratories.”  NSDD 189 respects and allows for basic and applied research in the sciences to be published and shared within the global scientific community. However, regulations outlined within ITAR would continue to prevent, for example, foreign researchers from collaborating with domestic researchers on matters involving any item(s) identified within the U.S. Munitions List without having first obtained the appropriate federal license(s) and approvals. ISU maintains a license to eCustoms Visual Compliance, which provides research administration personnel during all screening processes. For more information or assistance in any research-related export matter, please contact RESEARCH@indstate.edu.