1. Research Ethics

All members of the faculty are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, truth, and accuracy. Any instance of suspected academic fraud or misconduct should be reported to the dean of the relevant school and the Provost. In accordance with federal regulations, the University has established policies and procedures for responding to allegations of research misconduct. The policies and procedures describe the University process for conducting resulting inquiries and investigations. Faculty and students are required to cooperate fully in any inquiry or formal investigation of such allegations, e.g., by providing requested documents and information.

2. Openness of Research
The University does not conduct or permit its faculty to conduct secret or classified research. This policy arises from concern about the impact of such restrictions on two of the University’s essential purposes: to impart knowledge and to enlarge humanity’s store of knowledge. Both are clearly inhibited when open publication, free discussion, or access to research are limited. For the same reasons, the University requires that investigators be able to publish the results of their research without prior approval of a sponsor. Agreements may, however, permit sponsors a brief period to review proposed publications and presentations to identify 1) proprietary information that may require patent or copyright protection, or 2) information confidential to the sponsor that must be removed. In general sponsors are granted review periods of 30 to 45 days prior to submission for publication, but review and delay periods should total no more than 90 days.

3. Data Management
The University requires that all documents related to federally sponsored projects, including primary research data, be available to federal auditors for the period specified by federal regulation – in most cases, a period of three years from the filing of the final financial report. NYU expects faculty members to retain all research data, whether resulting from federal sponsorship or not, in their laboratories or other bona fide research locations, and to provide access to the data when requested to do so by authorized institutional officials. Requests from sponsors for access to research data should be forwarded to the appropriate Offices of Sponsored Programs before a response is made. Subpoenas for research data should be promptly forwarded to the Office of General Counsel for review.

4. Principal Investigator Status
In order to ensure that research is conducted by those who have the requisite training and skill, as well as the appropriate relationship to NYU, the University will normally sponsor proposals only when the principal investigator or project director is employed full-time by the University and holds an appointment as assistant professor, associate professor or professor. For the special case of training grants clinical professors, clinical associate professors and clinical assistant professors are permitted to serve as Principal Investigators with the approval of the department chair and the dean. For research scientists/scholars or senior research scientists/scholars, requests for Principal Investigator status must come from the department chair and be directed to the Provost or, where appropriate, the dean of the relevant professional school.

PI status requests for, as well as for those individuals whose appointments do not fall within the above-stated categories, may be requested by following the guidance in the Policy on Principal Investigator/Project Director Status. Consistent with University policy, exceptions cannot be made for those with the status of Visiting Faculty or Instructor.

5. Intellectual Property
It is University policy to take title to patents that result from the research activities of faculty, staff and students. In contrast, faculty may retain copyright of their lecture notes, manuscripts and other writings, subject to certain well-defined exceptions [See the Statement of Policy on Patents, Statement of Policy on Copyrights]. The University has created the Office of Industrial Liaison [http://oil.med.nyu.edu/] whose mission is to manage all activities relating to the protection and commercial promotion of intellectual property and to assist faculty in such commercialization.

6. Research Involving Human Subjects
In accordance with federal regulations and University policy, the University has negotiated a Federal Wide Assurance, filed with the U.S. Department of Health and Human Services, which requires that every NYU investigator conducting human subjects research, whether or not funded by a federal sponsor, must submit a proposed research plan to the appropriate NYU institutional review board (IRB) for review. In addition, investigators who participate in human subjects research must complete training in human subjects research, and otherwise must comply with IRB policies and procedures. Research may not begin until the IRB has fully approved the research plan and all related consent documents, and the required training has been completed. Further information and a full statement of applicable University policies and procedures are available on the Research page of the University’s website (at Washington Square: http://www.nyu.edu/ucaihs/ and at the School of Medicine: http://www.med.nyu.edu/irb/).

7. Research Involving Animals
The study of live vertebrate animals is an integral part of the University’s research and teaching missions and is a privilege regulated by legal, state, and federal agencies. Faculty members contemplating using live vertebrate animals in research, teaching, or testing should refer to the websites for the University Animal Welfare Committee (UAWC), at Washington Square: http://www.nyu.edu/uawc/ and the Division of Laboratory Animals at the School of Medicine, http://www.med.nyu.edu/DLAR/. Work with live vertebrate animals may not begin until all required training and approvals are obtained.

8. Environmental Safety
The University has developed guidelines and procedures for handling radioactive materials, hazardous chemicals, potentially hazardous biological materials, and controlled substances, as well as for other aspects of research relating to occupational and environmental safety. These policies are generally administered by the Office of Environmental Services (OES). Any investigator planning to use such materials must consult with OES for guidance on required training, required protocol review, proper handling, state and federal safety regulations, proper procedures in the event of spillage, etc., prior to initiating a study or bringing such materials into a laboratory. In most instances, a laboratory must be inspected and approved by OES before hazardous substances are brought to that location at the University. Protocols calling for the use of certain substances must receive prior review by the cognizant Safety Committee.

All research that involves recombinant DNA must be conducted in accordance with the NIH Guidelines for Research Involving Recombinant DNA Molecules. All non-exempt rDNA research at both Washington Square and the Medical School must be approved by the University's Institutional Biosafety Committee, http://ibc.med.nyu.edu/.  

For more information, see the OES website,  http://www.nyu.edu/ehs/programs/biosafety.html .

Excellence in research and scholarship is expected of persons holding tenure, tenure-track and research faculty appointments. It is University policy to encourage and assist research and scholarship that are essential to the training of students, to the advancement of knowledge, and to the intellectual growth of the faculty. To this end, the University will help faculty to secure appropriate research support from outside sources. Clinical activities (which occur primarily in the Schools of Medicine and the Colleges of Dentistry and Nursing) are also covered by the policies and procedures below. 

This policy applies to the NYU academic and research community. 

  1. Dates of official enactment and amendments: Not Available
  2. History: N/A
  3. Cross References: N/A