À¶Ý®ÊÓÆµ

Research Compliance and Integrity

Research Compliance and Integrity is part of the À¶Ý®ÊÓÆµ Office of Grants and Research Administration (OGRA), overseen by the Associate Provost of Research and Grants Administration, who is also the Research Integrity Officer (RIO) appointed by the President. À¶Ý®ÊÓÆµ's RIO is Dr. Edmundo Garcia-Solis.  Dr. Garcia-Solis manages reports of potential research misconduct carried out by À¶Ý®ÊÓÆµ faculty, staff, and students. He may be contacted at egarcia@csu.edu.

Research Integrity Officer (RIO)

The RIO assures research integrity and addresses research misconduct on campus according to Federal guidelines. RIO supports the committees responsible for the review and oversight of research. These committees assist faculty, staff, and students in complying with the complex research regulatory requirements and University policies through participant training activities. Their mission is to ensure the highest ethical standards in research.

Assurance

Research Compliance is assured through several groups working in collaboration with the Office of Grants and Research Administration and the Office of the Provost. These groups address research integrity, safety of research staff and the environment in which research is conducted, protection of research participants (IRB), animal participants (IACUC), and biosafety (IBC).

Research Compliance and Integrity

À¶Ý®ÊÓÆµ requires all its faculty, staff, and students to conduct research activities honestly and professionally while complying with all Federal, State, and University research regulations. The Office of Grants and Research Administration supports the committees responsible for reviewing and overseeing research. Together, these multiple units assist faculty, staff, and students in complying with the complex research regulatory requirements, laws, and University policies through review and training activities.   The mission of these units is to ensure the highest ethical standards in the conduct of all the research undertaken, whether in-house or externally funded.

À¶Ý®ÊÓÆµ complies with all the requirements of the Public Health Service (PHS) policies on the humane care and use of laboratory animals. It is regulated by the Office of Laboratory Animal Welfare () of the National Institutes of Health. The Institutional Animal Care and Use Committee (IACUC) oversees the University's animal programs, facilities, and procedures. All protocols describing the use of animals in research, teaching, and/or display must be submitted in advance and approved by this IUCAC. The À¶Ý®ÊÓÆµ IUCAC is appointed in accordance with the ,  and is qualified through the experience and expertise of its members to oversee the institution's animal care and use program and facilities. It consists of at least five members, and its membership meets the composition requirements set forth in the PHS Policy at IV.A.3.b.  The President appoints members of the IACUC and assure that animal use is justified by benefits and minimize animal pain or suffering. For more information about the IACUC, please contact the IACUC Chair, Dr. Mark Erhart, at merhart@csu.edu or call (773) 995-2432.

The Institutional Biosafety Committee (IBC) is committed to the safe transportation, storage, and usage of biological materials. For more information about the IBC, please contact the IBC CO-Chairs Dr Molly McDonough or Dr. Andrew Maselli.

The IBC has a set of forms that investigators complete and submit prior to review. In addition, investigators are required to complete suitable training. The Biosafety Training courses on the website for the Collaborative Institutional Training Initiative () are suitable to satisfy this requirement, and a copy  the Completion Certificate generated by the course should be attached at the end of any research protocol submitted to the IBC.

Research involving radioactive isotopes, embryonic stem cells, or chemical hazards are outside  the purview of the À¶Ý®ÊÓÆµ-IBC, and questions about these should be referred to the À¶Ý®ÊÓÆµ Research Integrity Officer (RIO)

Minutes for IBC meetings occurring on or after June 1, 2025

IBC Meeting, Fall meeting

À¶Ý®ÊÓÆµ is committed to the basic values of openness, academic and scholarly integrity, and  safe and ethical research. Investigators applying to, or funded by federal agencies agencies such as the National Institutes of Health (NIH), the National Science Foundation (NSF), and private sponsors are required to complete the NIH Financial Conflict of Interest . Upon successful completion of this tutorial, print and save the Certificate of Completion and append it to your grant application to the prospective funding agency.

Faculty and Staff of the University have a professional obligation to act in the best interests of the University. The Financial Conflict of Interest Policy for Research delineates the requirements for disclosing significant financial interests that may constitute financial conflicts of interest, regardless of whether the Faculty or Staff is performing research under U.S. Public Health Service grants and cooperative agreements.

Faculty or Staff involved in a research project at À¶Ý®ÊÓÆµ must understand the Financial Conflict of Interest Policy, complete the training related to the policy, and fulfill, sign, and submit a Conflict of Interest Disclosure Form. In addition, Faculty and Staff must report to the Research Integrity Officer if they are aware of any not-disclosed financial conflicts of interest of other personnel of the University.

Financial Conflict of Interest for Research documents:

pdf Policy

pdf Training

pdf Disclosure Form

 

Effective January 2023 both the National Institutes of Health (NIH) and the National Science Foundation (NSF) are implementing a new Data Management and Sharing Policies. After that date, applications for funding must include:

  • A Data Management and Sharing Plan which outlines how scientific data, and any accompanying metadata, will be managed and shared, considering any potential restrictions or limitations.
  • Budgeting information for managing, preserving, and sharing data.

Outline instructions for the NIH may be found at Notice ,  and for NSF see NSF .   .

Faculty with research protocols involving the use of human embryonic stem cells (hES) should contact Nadeem Fazal, MD., Ph.D., the chair of the Embryonic Stem Cell Research Oversight (ESCRO) Committee.

Environmental Health & Safety provides compliance oversight and consulting help in all areas of research safety, including:
  • Lab Safety
  • Hazardous Material Management
  • Biological and Chemical Safety Laboratory Inspections
  • Biological and Chemical Safety Clinic Inspections
For inquiries, please contact the Associate Provost of Research and Grants Administration, Dr. Edmundo Garcia

À¶Ý®ÊÓÆµ's responsibility to protect the national security and economic interests of the United States is balanced against its commitment to advancing knowledge through open research that is freely shared with the public. À¶Ý®ÊÓÆµ achieves this by establishing mechanisms that comply with all U.S. export control laws and regulations.

Although research generally conducted on campus is not subject to export restrictions, it is important for the À¶Ý®ÊÓÆµ community to be aware that these activities may potentially become controlled.

In this context, "exports" refer to shipments of tangible commodities and software to recipients outside the United States and to disclosures to foreign persons wherever located, including faculty, staff, and students in the US. The term "export controls" refers to the federal laws and regulations that deal with the distribution of strategically important technology and information to foreign persons in the US and abroad.

All questions concerning export controls and the need for export control license applications should be coordinated through the Office of Grants and Research Administration  and the Office of Legal Affairs.

Foreign Government Interference and Research Security

À¶Ý®ÊÓÆµ supports an open, collaborative, and internationally engaged research community. International research, academic partnerships, visiting scholars, and travel are valuable parts of scholarly work. The University also has a responsibility to protect research integrity, confidential information, intellectual property, and federally supported research.

À¶Ý®ÊÓÆµâ€™s Foreign Government Interference (FGI) and Research Security Policy describe disclosure and review expectations for faculty, staff, students, postdoctoral researchers, visiting scholars, and others who participate in research or sponsored activities when they are subject to federal or University research-security requirements.

Faculty and staff are directed to the January 21, 2021, and the on National Security Strategy for United States Government-Supported Research and Development for more information about federally mandated changes to outside-activity disclosures and sponsored-project applications and reporting.

À¶Ý®ÊÓÆµâ€™s policy also recognizes that legitimate international collaboration is supported. Reviews are based on relevant activities, relationships, disclosures, contractual obligations, sponsor requirements, and other objective factors—not an individual’s national origin, citizenship, or ethnicity.

The policy and disclosure form can be found here:

PDF Icon Foreign Government Interference (FG) and Research Security Policy

PDF Icon FGI and Research Security Disclosure Form

Anyone with involvement in a foreign entity must complete the Foreign Government Interference and Research Security Disclosure Form and email it to the Office of Grants and Research Administration. Disclose the involvement even if you are unsure whether it is relevant; the Office can advise whether additional information or review is needed. This form does not replace any separate sponsor, University, conflict-of-interest, export-control, or other required disclosure. 

How to proceed

  1. Review the policy and disclosure form. Read the À¶Ý®ÊÓÆµ FGI and Research Security Policy and the Foreign Government Interference and Research Security Disclosure Form.
  2. Identify relevant activities and relationships. Consider current and proposed support, affiliations, appointments, collaborations, foreign components, travel, talent recruitment programs, and other research-related commitments.
  3. Make or update required disclosures. Use the University and sponsor systems and forms applicable to your activity. The FGI form is an acknowledgment and certification; it does not replace conflict-of-interest, conflict-of-commitment, export-control, travel, foreign-support, foreign-component, or sponsor-specific disclosures.
  4. Ask before proceeding if you are unsure. Contact the Office of Grants and Research before starting a significant international research activity, accepting foreign research support, joining a talent recruitment program, establishing a foreign component on a federally funded project, or transferring potentially controlled research information or technology internationally.
  5. Obtain required review or approval first. Do not begin an activity that requires University review or sponsor approval until the necessary review or approval has been obtained.
  6. Keep disclosures current. Submit updates when circumstances change and complete required research-security training. Report suspected research-security concerns promptly. 

For each relationship that needs to be disclosed, be prepared to provide details such as the foreign entity and country, the nature and dates of the activity, compensation or resources, its relationship to À¶Ý®ÊÓÆµ research, and whether it has been disclosed through required systems. Supporting documents may include agreements, appointment letters, award information, or a research description.

What should I disclose?

Depending on your role, research, and sponsor requirements, disclosures may include: 

  • Foreign research or financial support, including in-kind resources such as equipment, space, personnel, or materials
  • Foreign employment, appointments, academic or professional affiliations, and other commitments
  • International research collaborations and foreign components of federally funded projects
  • Participation in foreign talent recruitment programs
  • Foreign-sponsored or reimbursed travel
  • Contracts, agreements, or other commitments with foreign entities
  • Potential conflicts of interest or commitment, scientific or budgetary overlap, or access to research data and intellectual property 

Disclosure requirements vary by sponsor and award. Federal sponsor requirements may be more restrictive than University policy and take precedence when applicable. 

Questions or need guidance?

For any questions or guidance, contact: 

Edmundo Garcia-Solis 
Associate Provost for Grants and Research Administration 
Office of Grants and Research Administration 
À¶Ý®ÊÓÆµ 
9501 South King Drive, ADM 303 
Chicago, Illinois 60628 
edmundo.garcia@csu.edu

The Mission of the Institutional Review Board (IRB) is to protect the rights and welfare of research subjects at À¶Ý®ÊÓÆµ through a review of research involving human subjects. It is congruent with the University's mission of academic excellence, which encompasses teaching, research, service, and community development, including social justice, leadership, and entrepreneurship. For more information about the IRB, please contact the À¶Ý®ÊÓÆµ IRB Administrator, Dr. Warren V. Sherman, at irb@csu.edu or (773) 995-2322. 

The IRB requires all investigators and personnel (including students) on research projects involving human subjects to complete online training provided by the CITI Consortium at . The specific courses are Social and Behavioral-Basic or Biomedical Basic. No other Human Subjects training will be accepted. For more information, refer to.

À¶Ý®ÊÓÆµ (À¶Ý®ÊÓÆµ) fosters innovation, research, scholarship, and creative activity across all disciplines. To support these efforts, À¶Ý®ÊÓÆµâ€™s Intellectual Property Policy defines the ownership, use, and commercialization of intellectual property created by À¶Ý®ÊÓÆµ employees, students, and others using À¶Ý®ÊÓÆµ resources.

Goals of the Policy

The policy is designed to:

  • Encourage innovation and knowledge sharing by supporting the creation and dissemination of new ideas.

  • Protect the rights of creators while ensuring that À¶Ý®ÊÓÆµâ€™s institutional interests are preserved.

  • Promote technology transfer and the use of discoveries for the benefit of society.

  • Ensure compliance with federal regulations and sponsor requirements.

  • Recognize and reward creators while generating potential revenue for both inventors and the University.

Responsibility

The relevant À¶Ý®ÊÓÆµ employees are required to:

  • Review and understand the Intellectual Property Policy.

  • Certify their acknowledgment of the policy.

pdf Intellectual Property Policy

pdf Access the Certification Form

For any questions contact the Office of Grants and Research Administration.

All research data generated within À¶Ý®ÊÓÆµ or on behalf of À¶Ý®ÊÓÆµ is owned by À¶Ý®ÊÓÆµ. This data should be housed at À¶Ý®ÊÓÆµ or on a password-protected À¶Ý®ÊÓÆµ-owned device. À¶Ý®ÊÓÆµ researchers should travel with a password-protected device that is swept clean of everything but typical software and minimal data. International travel by À¶Ý®ÊÓÆµ researchers with À¶Ý®ÊÓÆµ-owned electronic equipment with original unpublished data  must receive prior  authorization by the Associate Provost of Research and Grants Administration. Additional data security rules may also apply and researchers are referred to OGRA and the Office of Legal Affairs. 

À¶Ý®ÊÓÆµ is committed to fostering a research enterprise that provides a safe and professional environment at all organizational levels for learning, conducting research, and reporting research results with integrity, respect, fairness, and transparency 

Research Misconduct violates these principles and negatively impacts the work of other researchers who rely on their colleagues to provide honest accounts of their research methods and findings. It includes fabrication, falsification, or plagiarism in proposing, performing, or reporting research, or in reporting research results. Fabrication is making up data or results and recording or reporting them. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that research is not accurately represented in the research record. Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit. In addition, Research Misconduct erodes the public trust in researchers and the institutions for which they work.

À¶Ý®ÊÓÆµ's Integrity Officer (RIO),Dr. Edmundo Garcia manages reports of potential research misconduct carried out by À¶Ý®ÊÓÆµ faculty, staff, and students. To report alleged research misconduct, please contact him at egarcia@csu.edu.

Responsible Conduct of Research (RCR). Research grants funded by the Federal Government require RCR training for all participants:

  • National Institutes of Health (NIH). All participants are required to attend appropriate RCR face-to-face training in compliance with NIH Notice # .
  • National Sciences Foundation (NSF). RCR training is required for all undergraduate students, graduate students, and postdoctoral researchers. However, NSF does not specify any required RCR training methods (see ). This training can be delivered in a face-to-face setting (such as group or lab meetings, seminars, or courses), or online.
  • US department of Agriculture (USDA). For grants from the USDA, each institution is responsible for developing its own system - either on-campus or off-campus. For the latter USDA recommends the .