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Federal Compliance Policies

Contact the Research & Grants Center if you have questions on any of the information provided below.


 Animal Care and Use - ESU Policy on the Humane Care and Use of Vertebrate Animals in Research


Financial Conflict of Interests (FCOI) - Training Module

Principal investigators submitting proposals to the National Science Foundation (NSF) or the Public Health Service (i.e. NIH) must view this training module, complete the required tutorials, and submit a disclosure statement at the time of application to the granting agency. This policy complies with federal regulations related to financial conflicts of interest. Co-PI's involved with the grant proposal must also comply with these federal regulations.  The disclosure form is available from the training module or on the Forms site.

NIH FCOI Tutorial - required for proposals to Public Health Service, i.e. NIH

National Center for Professional & Research Ethics (Module 1) - required for proposals to the National Science Foundation

Disclosure Statement Regarding Conflicts of Financial Interests - must be submitted to the Research & Grants Center at time of grant submission

 Human Subjects Training - Guidelines for Research, Demonstration and Related Activities Involving Human Subjects

All ESU faculty, staff, and students seeking approval to use human subjects in research must register with the CITI (Collaborative Institutional Training Initiative) Program and successfully pass the Human Subjects Research (HSR) Training course applicable to their discipline.  Instructions are available at

 Responsible Conduct of Research (RCR)

In January of 2010, The National Science Foundation (NSF) implemented Section 7009 of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science (COMPETES) Act (Public Law 110-69-August 9, 2007). Section 7009 (42 U.S.C. 1862o-1) requires that "each institution that applies for financial assistance from the National Science Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project."

In implementing the above, NSF requires an institution to "have a plan in place to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research." The training plan does not have to be submitted to NSF with a grant proposal, but the plan must be in place and the institution must verify that undergraduate students, graduate students, and postdoctoral researchers supported by NSF complete the training.

To be in compliance with the above requirement, Emporia State University will use the free education training site provided by the NSF Ethics Core Digital Library.  The RCR training modules are provided free of charge to registered users.  The web site (url follows) will allow us to track the individuals who have completed the training.

Users will first need to set up an Ethics Core account at  Once you've created an account, you access the RCR training modules at:  On the new user registration page, you can select Emporia State University from the list of registered groups.  After you have affiliated with Emporia State University, you can complete the three RCR training modules.  You may contact Pam Fillmore in the Research and Grants Center if you have questions.

Responsible Conduct of Research and Research Ethics: An Overview - Presented by William Sharp, Assistant Director, Research Administration, Office of the Vice Provost for Research, University of Kansas, October 26-27, 2011.  Slide presentation in pdf


Uniform Guidance regulations on federal grant purchases

Grant directors should be aware of the Uniform Guidance regulations effective December 26, 2014 regarding purchases from federal grant funds (2 CFR 200.317-324).  Contact the Research and Grants Center for additional information.  Summary


Scientific Misconduct - ESU Policy for Responding to Allegations of Scientific Misconduct

The Lab: Avoiding Research Misconduct (DVD)

The Lab is an interactive movie that allows viewers to make ethical and life decisions as one of four characters. The outcome of the film is determined by the decisions, good or bad, made by the learner.  It was produced by the Office of Research Integrity, U.S. Department of Health and Human Services.  The DVD is available in the Research and Grants Center and can be used in your classes. It is also available online.