Research Integrity Export Control. Cordell Overby, ScD Associate Vice President for Research and Regulatory Affairs

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1 Research Integrity Export Control Cordell Overby, ScD Associate Vice President for Research and Regulatory Affairs

2 Research Integrity

3 Definition of Misconduct Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Office of Science and Technology Policy (OSTP)

4 Research Misconduct Research misconduct does NOT include honest error or differences of opinion. Office of Science and Technology Policy:

5 For there to be a finding of misconduct There must be a significant departure from accepted of the scientific practices of the relevant research community; and The misconduct is committed intentionally, or knowingly, or recklessly of accepted practices; and The allegation is proven by a preponderance of evidence (OSTP)

6 Where to Report Allegations of research misconduct may be reported to the University of Delaware, Associate Vice President for Research and Regulatory Affairs, Dr. Cordell Overby.

7 Important Players Defined Research Integrity Officer (RIO) Deciding official (DO) Complainant (the accuser) Respondent (the accused)

8 If you report, The University has an obligation to protect whistle-blowers from retaliatory action.

9 When allegations are received The RIO reviews the matter and decides if the allegations meet the definition of research misconduct. If so, An Inquiry Committee is formed to conduct an initial review and determine if, A full Investigation Committee should be formed.

10 Inquiry Committee Performs an initial review of the evidence and meets with the parties. Decides if there is sufficient evidence that misconduct MAY have occurred to warrant a full investigation Delivers recommendation to RIO who forwards to the DO for final disposition.

11 Investigation Committee Meets if the DO decides there is sufficient evidence to move forward Has different members (none the same) from the Inquiry Committee Fully investigates the allegation May recommend that other charges be brought forward

12 Investigation Committee The investigation committee makes a recommendation of finding for or against misconduct Delivered to RIO who reviews and if satisfied that the investigation committee fulfilled its obligations Forwards to the DO

13 Investigation Committee The DO makes the final determination and assesses the institutional penalty The cognizant agency may also assess additional penalties

14 Policy may be found at: ResPolicy_07.pdf

15 Export Controls

16 Export Controls Exports are physical things, electronic information, etc. sent to foreign countries as well as disclosing information to foreign persons in the US (deemed export) Exports are controlled for National Security ITAR (International Traffic in Arms Regulations) EAR (Export Administration Regulations) OFAC (Office of Foreign Assets Control)

17 Fundamental Research Information resulting from basic and applied research in science and engineering conducted at an accredited institution of higher education in the U.S. that is ordinarily published and broadly shared within the scientific community.

18 Fundamental Research Publication restrictions DFARS Disclosure of Information Restrictions on foreign national participation

19 UD Export Control Policy 6-17 Export Controls and Trade Sanctions Export Compliance Manual

20 Is your UD project in compliance with Export Controls? Does the contract restrict publication or presentation or research results? N o Does the contract limit or prohibit foreign nationals from performing work or accessing research results? N o Does the contract prohibit results or deliverables from being disclosed or delivered to any country or persons? N o Will any information to be used in the project obtained from a third party subject to nondisclosure obligations? N o Yes Yes Yes Yes Further review of this contract/project for compliance with export controls is necessary. Please contact Dr. Cordell Overby, Associate Vice President for Research at overbyc@udel.edu Y e s Is any equipment or encryption software required to be delivered as part of the project? N o Yes Is equipment or software listed on an export control list? N o Further review of this contract/project for compliance is not necessary at this time. Changes in the contract/project will require a new review.

21 Points of Contact Cordell Overby, Sc.D. Sean Hayes, J.D., Ph.D. Maria Palazuelos, Ph.D. Gwen Talham, D.V.M. Environmental Health & Safety or x2383 Export Controls Conflict of Interest Material Transfer & Non- Disclosure Agreements Research Integrity General Regulatory Affairs or x7445 Intellectual Property Research-Related Legal Material Transfer & Non- Disclosure Agreements x8619 Responsible Conduct of Research Conflict of Interest Research-Related Training Human Subjects Nicole Farnese-McFarlane, BS, CRA or x1119 x2980 Veterinary Care Animal Regs or Frank Warren, L.A.T. or x2400 Lab Animal Facility Mgt Animal Ops Michael Gladle, M.P.H., C.I.H. or x8475 Biosafety Hazardous Substances Radiation Safety L.A.S.E.R. Chemical Hygiene