NATIONAL SCIENCE FOUNDATION Office of the Director WASHINGTON, D.C. 20550 Notice No.106 April 17, 1989 IMPORTANT NOTICE TO PRESIDENTS OF COLLEGES AND UNIVERSITIES AND HEADS OF OTHER NATIONAL SCIENCE FOUNDATION GRANTEE ORGANIZATIONS SUBJECT: RESPONSIBILITIES OF INSTITUTIONS AND INVESTIGATORS IN THE CONDUCT OF RESEARCH This Important Notice implements the major findings and recommendations contained in the National Science Board report "Openness of Scientific Communication" (NSB 88-215) approved in December 1988. The purposes of this Notice are: (1) to reaffirm NSF's commitment to open, rapid dissemination of research performed under its sponsorship, and (2) to strengthen policies and procedures to assure maximum openness of scientific and technical communication. 1. Open Scientific and Engineering Communication The NSF advocates and encourages open scientific communication. The NSF expects significant findings from research it supports to be submitted promptly for publication, with authorship that reflects accurately the contributions of those involved. It expects investigators to share with other researchers, at no more than incremental cost and within a reasonable time, the primary data, samples, physical collections, and other supporting materials created or gathered in the course of the research. It also encourages awardees to share software and inventions or otherwise act to make such items or products derived from them widely useful and usable. NSF will implement these policies in ways appropriate to the field of science and circumstances of research through the proposal review process; through award negotiations and conditions; and through appropriate support and incentives for data cleanup, documentation, dissemination, storage, and the like. Adjustments and, where essential, exceptions may be allowed to accommodate the legitimate interests of investigators and to safeguard the rights of individuals and subjects, the validity of results, and the integrity of collections. 2. Policies for Openness Appropriate commercialization of the results of research will continue to receive encouragement by permitting grantee institutions to keep principal rights to intellectual property conceived under NSF sponsorship. The Foundation emphasizes, however, that retention of such rights does not reduce the responsibility of researchers and institutions to make research results and supporting materials openly accessible. The Foundation strongly recommends that all NSF grantee institutions develop, implement, and publicize comprehensive policies for dealing with potential restrictions on openness arising from concurrent private sector support. Such policies and related procedures should preserve the prime function of academic institutions as creators and transmitters of knowledge, while safeguarding the independence of the faculty and the interests of the students. 3. Policies for alleged fraud and misconduct Open scientific communication demands and encourages responsible, ethical behavior on the part of those who conduct, manage, and sponsor research. Everyone in science and engineering must guard against fraud and misconduct. NSF expects all grantee institutions to comply fully with its current requirements for formulating and implementing policies to deal with alleged incidents of scientific fraud and misconduct. These policies should insure due process for those accused, provide for effective and impartial investigation and resolution of charges, specify appropriate disciplinary actions for those found to have committed offenses, protect from adverse actions those who bring charges in good faith, and insure prompt reporting of all cases in which fraud or misconduct are proven to exist to parties with a legitimate need to know. Primary responsibility for investigation, enforcement, and reporting when fraud or misconduct is alleged rests with the grantee institution. NSF takes responsibility for monitoring the process and for satisfying itself and the public, if necessary by independent investigation, that any alleged misconduct is dealt with promptly, fairly, and forcefully. Erich Bloch Director