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Compliance Program Overview

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Guide to Research Compliance banner.

Research Classification

Check box.
Compliance Item
Resource
RESEARCH FUNDING
Check box.
Have you properly classified the funding for your research as either a gift, grant, contract, or external sale?
GRANT/CONTRACT
Check box.
If your funding comes from a grant or contract (see glossary for definitions), have you notified Sponsored Projects Administration (SPA)?

SPA

Check box.
If your research is a sponsored project, have you properly classified the type of sponsored project; research, outreach, public service, or training?

SPA

EXTERNAL SALES
Check box.
If your research involves external sales (see glossary for definition), have you notified External Sales in the Controller's Office?
Check box.
Do you have authority to execute the sales contract?
Check box.
Are you using a University standard contract or are you contacting the Office of the General Counsel for changes?
Check box.
Are you aware the University has responsibility to retain and remit taxes for most external sales?
Check box.
Have you clarified ownership of intellectual property (IP) developed before, during, after, and ancillary to the project in the sales agreement?
Check box.
Will you provide your research materials (biologicals, datasets, cell lines, seeds, plants, germplasm release, etc.) to an external source? If so, and you believe the materials have commercial significance, contact OTC. If your research materials are agricultural related, you must contact the appropriate review committee.
GIFTS
Check box.
If the funding for your research is a gift, have you notified the University Foundation of the proposed gift?
Check box.
Have you confirmed with the donor that the project is truly a gift? Meaning, for example, the results of your work have no commercial value to the donor and the donor retains no rights to the IP?
OUTSIDE CONSULTING
Check box.
Have you requested and received prior approval from your dean or chair for outside work and completed the Request for Outside Consulting (ROC) form?
Check box.
Is the project consistent with the University’s outside consulting policies?

Department chair or dean

Outside Consulting Policy

Check box.
Have you ensured that you are not using University staff or resources?

Department chair or dean

Outside Consulting Policy

Check box.
Are you confident that you have not implied University endorsement of the consulting project?

Department chair or dean

Outside Consulting Policy

Check box.
Have you identified and disclosed potential conflicts of interest associated with the consulting arrangement?
Check box.
Did you include contract terms to protect any IP you bring to the project, create outside the project scope, or create after the contract term ends?
CLINICAL TRIALS
Check box.
Are you aware of the additional compliance obligations associated with clinical trials?
Check box.
Have you contacted the AHC’s Research Services Organization for additional support services your project may require?
RSO
FIXED PRICE AGREEMENTS
Check box.
Are you aware of the financial risks and special closeout requirements for fixed price agreements?

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