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Research Compliance

Conflict of Interest

A conflict of interest exists if financial interests or other opportunities for tangible personal benefit may exert a substantial and improper influence on an employee's professional judgment in exercising any university duty or responsibility, including designing, conducting, or reporting research. A conflict of interest is not an accusation and does not imply that an employee's judgment has been compromised.

Key personnel on specific federal and other sponsored research projects must complete this Financial Conflict of Interest Form assessing their significant financial interests and disclose any potential conflicts to LMU. This is the first step in identifying, evaluating, and managing situations involving a conflict of interest.

The Collaborative Institutional Training Initiative (CITI) provides a general overview of the conflict of interest policies and regulations, and is designed to assist faculty, staff and students with acquiring a basic level of understanding. The module takes approximately 45 minutes, and includes a brief series of questions. If additional information is needed please contact Natalie Sweet, Executive Director of the Office of Research, Grants and Sponsored Programs at 423-869-6607 or [email protected].

Research Misconduct

 Research misconduct means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

Fabrication is making up data or results and recording or reporting them.
Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
Research misconduct does not include honest error or differences of opinion.

Allegations involving possible misconduct in research should be brought to the attention of the Vice President for Academic Affairs.

Responsible Conduct of Research

Lincoln Memorial University shares responsibility with its senior researchers, course instructors and other mentors for ensuring that our students, trainees and faculty at all career levels have formal and informal opportunities to observe, model, evaluate and discuss responsible research behaviors during their time at LMU. LMU's policy on Responsible Conduct of Research can be found here. RCR training is strongly recommended for all graduate students, postdoctoral fellows, other postgraduate trainees and junior faculty, as well as undergraduate students engaged in research. LMU has an online module provided by the Collaborative Institutional Training Initiative (CITI). Contact Natalie Sweet, Executive Director of the Office of Research, Grants and Sponsored Programs at 423-869-6607 or [email protected] with any questions related to RCR.

Export Controls

Any Lincoln Memorial University faculty, staff, or student researcher engaging in international collaboration must submit an Export Control Questionnaire prior to signing a research contract with a foreign entity.

Export control laws are federal regulations that govern how certain information, technologies, and commodities can be transmitted overseas to anyone - including U.S. citizens - or to foreign nationals on U.S. soil.

Export Control regulations are federal laws that prohibit the unlicensed export of certain commodities or information for reasons of national security or protections of trade. Export controls usually arise for one or more of the following reasons:

  • The nature of the export has actual or potential military applications or economic protection issues;
  • Government concerns about the destination country, organization, or individual, and
  • Government concerns about the declared or suspected end use or the end user of the export

What is an Export?

An export is any oral, written, electronic or visual disclosure, shipment, transfer or transmission of commodities, technology, information, technical data, assistance or software codes to

  • anyone outside the U.S. including a U.S. citizen
  • a "foreign national" wherever they are (deemed export)
  • a foreign embassy or affiliate

Who is a Foreign National?

A "Foreign National" is any person who is NOT a:

  • U.S. Citizen or National
  • U.S. Lawful Permanent Resident
  • Person Granted Asylum
  • Person Granted Refugee Status
  • Temporary Resident

"Foreign Nationals" include:

  • Persons in the U.S. in non-immigrant status
  • Persons unlawfully in the U.S.

Why are Certain Exports Controlled?

Exports may be controlled due to any of the following factors:

  • National Security
  • Proliferation of chemical and biological weapons
  • Nuclear Nonproliferation
  • Missile Technology
  • Anti-Terrorism (Cuba, Iran, North Korea, Libya, Sudan and Syria)
  • Crime Control
  • High Performance Computer
  • Regional Stability
  • Short Supply
  • U.N. Sanctions