CRITERION V: Integrity


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Integrity in the Grant Process and Ethics in Research

The Grants and Contracts unit of the Graduate College has responsibility for managing the business and financial aspects of sponsored project agreements and for authorizing submission of proposals to, and acceptance of, awards from external funding agencies. Applications and proposals prepared by faculty and staff are subject to an internal review procedure, evidenced by signatures on a Request for External Funds (REF) Form. The staff member's department head, college dean and administrative unit head(s), as applicable, must provide standard approvals. Special reviews and approvals are required when projects involve the use of human and animal subjects.

All grants and contracts are assigned an account with the Controller's Office to which expenditures are charged and sponsor payments deposited. This segregation of accounts provides an audit trail for sponsor-paid financial transactions. All sponsored project spending is subject to the University's financial policies and procedures, which are consistently applied. The Grants and Contracts unit monitors cases that involve more restrictive financial terms and conditions. Unallowable expenditure object codes are omitted from the account setup.

Scientific misconduct is a concern of the entire scientific community. The University of Northern Iowa's Policy for Responding to Allegations of Scientific Misconduct provides clear procedures that address scientific misconduct, safeguard the rights of all concerned, ensure due process for a respondent, and protect from retaliation a complainant who makes an allegation in good faith. The policy applies to all persons engaged in or associated with research funded by the Public Health Service or National Science Foundation. The policy applies to any person paid by, under the control of, or affiliated with the University of Northern Iowa, such as scientists, trainees, technicians and other staff members, students, fellows, guest researchers, or collaborators at the University.

Members of the University community who suspect that scholarly pursuits have been compromised by dishonesty are encouraged to communicate their concerns, informally or formally to the appropriate administrative official(s).

Internal Audit
All sponsored project accounts are subject to the University's annual audit conducted by the Auditor of State. In addition, the Auditor of State performs a special audit of federally funded grant and contract accounts active during the fiscal year being reviewed. This audit is conducted under the guidelines of OMB Circular A-133, "Audits of States, Local governments and Nonprofit Organizations."


Criteria I
Criteria II
Criteria III
Criteria IV
Criteria V
Summary &
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