Research Topic

Compliance

Description

Sponsored Programs Administration helps ensure university compliance with research-related federal, state, and local regulations. SPA also promotes the ethical and responsible conduct of research and provide assistance to faculty, staff, and students engaged in research to facilitate regulatory compliance.

For full details, please visit the OVCRI regulatory compliance and safety page:

OVCRI Regulatory Compliance and Safety

Overview

Human Subjects

All research involving human subjects that is conducted at or sponsored by the University of Illinois at Urbana-Champaign, whether funded or unfunded and whether conducted by Illinois faculty or others, must comply with applicable policies for the protection of human subjects. Under a formal assurance made by the University of Illinois and approved by the federal Office for Human Research Protections (OHRP), and per federal regulations, the Institutional Review Board (IRB) is given broad authority and wide-ranging responsibilities for ensuring the ethical and legal conduct of human subject research at Illinois. The IRB follows widely accepted ethical principles, legally binding federal regulations, campus policies, procedures, and practices, and other guidelines in carrying out this important responsibility.

OPRS: IRB

Animal Subjects

The USDA Animal Welfare Act and the NIH Public Health Service Policy on the Humane Care and Use of Animals require that institutions conducting research with animals establish an Institutional Animal Care and Use Committee (IACUC). The IACUC provides oversight and helps ensure compliance with all laws, regulations, and policies governing the care and use of research and teaching animals.

IACUC

PHS Regulation on Conflict of Interest (FCOI)

Health and Human Services (HHS) issued a regulation, 42 CFR Part 50 Subpart F, on financial disclosure for Public Health Service (PHS)-funded investigators. Effective August 24, 2012, this regulation requires additional financial disclosure and training for anyone involved in the design, conduct and analysis of PHS-funded research, including PIs, Co-PIs, academic professional research staff, postdoctoral research associates, and graduate research assistants. If your research or employment is funded by the PHS (list of agencies), this regulation will affect you. Training and disclosure are required.

OCVR: FCOI

DOE Regulation on Conflict of Interest (FCOI)

Department of Energy issued a regulation, PF 2022-17 to address both financial and organizational conflicts of interest which will be incorporated through Special Terms and Conditions for DOE awards.  Effective June 17, 2022, this regulation requires additional financial disclosure and training for anyone involved in the design, conduct and analysis of DOE-funded research, including PIs, Co-PIs, academic professional research staff, postdoctoral research associates, and graduate research assistants. If your research or employment is funded by the DOE or DOE Lab, this regulation will affect you. Training and disclosure are required.

 

Biological Safety (Including Select Agents and rDNA)

The Institutional Biosafety Committee (IBC) advises on matters relating to the safe handling, transport, use, and disposal of biological materials, including recombinant DNA molecules and synthetic nucleic acid molecules, on the Urbana-Champaign campus.

DRS: IBC

Conflict of Commitment or Interest

  • All university employees are required to complete a Report of Non-University Activities (RNUA) which is submitted electronically through Start myDisclosures.
  • The OVCRI will help to identify potential conflicts of interest that may require additional management.
  • Certain sponsors like the Public Health Service (PHS) agencies and the National Science Foundation (NSF), have additional financial conflict of interest (FCOI) requirements, focusing on disclosure of significant financial interests or conflicts of interest to protect the objectivity of the research.

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Effort and Compensation on a Sponsored Project

View Policy

Export Control

Export control refers to the federal laws and regulations that deal with the distribution of strategically important technology and information to, and certain financial transactions with, foreign nationals in the United States and persons and entities in foreign countries. Federal export control laws impact many activities on campus, including research, purchasing equipment and materials, international travel, hiring, and collaboration with colleagues in other countries. Export control laws may require obtaining special approval from the government prior to engaging in these activities, and in some cases may be prohibited altogether.

Export Compliance Officer

Export Control Policy (CAM)

Export Compliance Screening with Visual Compliance

It is the responsibility of any US entity when performing a transaction with a non-US entity to ensure that export controls are followed. Transactions with a non-US entity on the lists of concern can result in penalties and jail time when export controls are violated.

Visual Compliance is a software program that allows the University to conduct screening of the various lists administered by government agencies that control export regulations and compliance. It allows both initial and dynamic screening. This means, as the lists change, any screening completed by the University will be re-screened to capture additions to the lists. The University has a license for unlimited users, however, each department should determine who in their unit will conduct screening to avoid duplication of effort.

Any transaction conducted with a non-US entity should be screened to ensure that the entity or affiliate is not on a list of concern. This screening should take place BEFORE the transaction is initiated, preferably at the point of contact. Visitors (including conference and seminar attendees) and speakers should be screened at the department level; visiting scholars and faculty at the HR level.

Visual Compliance Screening - Quick Instructions

Visual Compliance Screening - Complete Guide

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