University Policies Pertaining to Research
As an institution, NC State University needs to follow federal, state, and local guidelines; therefore, NC State has policies, rules, and regulations that guide activities in all facets of university life. Here are the major policies, rules, and regulations regarding research activities. It is important that everyone who conducts research or engages in scholarly activity while at the university is aware of these. Policies, rules and regulations differ in the following ways:
Policy: A “policy” is any standard, statement, or procedure of general applicability adopted by the Board of Trustees pursuant to authority delegated by law or the Board of Governors.
Regulation: A “regulation” is any standard, statement (which may include a policy statement), or procedure of general applicability adopted by the chancellor or chancellor’s delegee that addresses any of the following matters: (1) compliance with fiscal, academic, research, human relations, or other management standards and requirements imposed by federal or state laws or implementing regulations; (2) procedures and reporting requirements related to implementation or compliance with policies of the Board of Governors or Board of Trustees, or regulations of the Office of the President; or (3) matters not specifically addressed in Board of Governors or Board of Trustees policies or regulations of the Office of the President that are within the general nature of the chancellor’s delegated responsibilities to administer the institution.
Rule: A “rule” is a standard, statement, or procedure, other than a policy or regulation, adopted by an academic or administrative unit of NC State University to implement an NC State University Policy or Regulation or address matters within the operational authority of the unit. A rule may supplement but not conflict with policies and regulations. Academic unit rules other than those that are required to be established by UNC or NCSU policies or regulations must be approved by the dean of the applicable college or the vice provost of the applicable academic unit. All other rules, i.e. issued by administrative units, must be approved by the unit administrator and the executive officer to whom the unit reports.
University’s Research Policy (POL 10.00.2)
First and foremost, for all who engage in research, is being aware of NC State University’s Research Policy. The university has a policy on research which outlines the development and process of scholarly inquiry. More information about scholarly and research integrity is also available; this website includes information on the university’s policies and guidelines, training and awareness, primary sources of public expectations, links to Federal agencies involved in research integrity activities, and links to science management and lab notebooks guides. Questions related to research integrity:
The purpose of this rule is to establish the requirement for responsible conduct of research (RCR) education for individuals required to have such education prior to working on federally-sponsored projects where the federal sponsor has mandated such education. Questions regarding training in RCR should be addressed to:
If one is involved in an allegation of research misconduct, the Regulation on Responding to Allegations of Research Misconduct outlines the procedures associated with these situations as well as how research misconduct is defined. The contact for reporting allegations of research misconduct is the Research Integrity Officer:
Federal law and University policy require that all research involving human subjects, conducted by NCSU researchers (faculty, staff, or students) must be reviewed and approved by the NCSU Institutional Review Board (IRB) for the Use of Human Subjects in Research. These rules are in place to protect the human subjects, the researchers, and the institution. The university also has a Human Subjects Division that provides more information regarding the use of human subjects in research. Main contact information for the Institutional Review Board (IRB):
North Carolina State University Policy requires an approved Application for Vertebrate Animal Use (AVAU) for all activities involving the use of animals (research, teaching, or public service; intramurally or extramurally funded regardless of source or amount; and including animals being bred, conditioned, or held for future use). Main contact information for the Institutional Animal Care and Use Committee is:
This regulation is promulgated for the purpose of implementing the Board of Governors’ (BOG) Policy on Conflicts of Interest and Commitment Affecting Faculty and Non-Faculty EPA Employees, and federal law and regulations applicable to all NC State employees or any individuals involved in the design, conduct, or reporting of research at NC State. In addition, further information regarding the disclosure system for conflicts of interest, regulations and guides, external rules and expectations, and external activities for pay can be found at the Sponsored Programs and Regulatory Compliance website. The main contact information for the COI Office is:
Federal export control laws restrict, for reasons of national security and foreign policy, the shipment, transmission, or transfer of certain items, software, technology, and services from the U.S. to foreign countries, as well as “deemed exports,” which are releases of controlled technology and software source code to foreign nationals located in the U.S. Although many of the University’s activities are exempt from export control laws, some activities may be restricted, and more information about this can be found in the Export Control Compliance Regulation 10.00.05. More information regarding export controls management can be found on the Sponsored Programs and Regulatory Compliance website. The main contact information for the export control office is: