Research Compliance

Key Research Compliance Issues in Proposal Development

Throughout the lifecycle of a sponsored project, principal investigators and administrators are expected to comply with an array of policies and regulations. Start by identifying compliance issues at the time of proposal development.

  • Animal care and use — Policies and procedures for use of animals in research
  • Clinical study/clinical trial — Required clinical billing analysis and other procedures
  • Conflict of Interest— Potential, actual, or perceived conflict between University research activities and personal finances.
    • NIH-Required Financial Conflict of Interest training and disclosure
  • Cost sharing and over-salary-cap
  • Effort reporting — Commitment of and reporting on project effort
  • Environmental Health and Safety issues — Recombinant DNA or RNA, select agents, bloodborne pathogens, material of human origin including blood, tissue or cell culture, pathogenic microorganisms or toxins, radiation safety, toxic chemicals.
  • Export compliance — Sanctions and export restrictions that apply both within the U.S. and across the border
  • Human subjects research — Policies and procedures for use and protection of human subjects in research
  • Intellectual property issues — Inventions, copyrights, material transfer agreements (MTAs), proposed research with a new technology