Guide to Research Compliance : Program Overview

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Program Overview

The University of Minnesota's research compliance activities rely on the combined efforts of researchers, support staff , study participants, and others, as well as collaboration among departmental, collegiate, and central units.

The University's goal is to provide the information, support, and systems of administration needed to meet the laws, rules, and policies governing research in the most efficient and effective way. The University designed its compliance program to be proactive, transparent, and integrated to prevent problems before they happen without impairing research.

The University compliance program is founded upon the following core activities:

Awareness, education, and training Communicating standards, procedures, and responsibilities to researchers, administrators, and others through timely and appropriate education and training	Communication Developing and maintaining effective systems of communication, including resources for promptly responding to compliance questions or concerns
Enforcement and corrective action Enforcing standards fairly and consistently; promptly investigating and resolving compliance breakdowns; evaluating and modifying the compliance program where appropriate to prevent similar problems	Monitoring and audits Implementing monitoring and auditing systems to assure compliance, detect breakdowns, and identify potential problem areas
Policies and procedures Designing standards and policies that effectively enable researchers and others to meet compliance requirements	Program Oversight Assuring compliance through senior leadership and independent oversight
Risk assessment Examining research activities regularly to identify and reduce potential compliance breakdowns	Roles and responsibilities Maintaining clear roles and compliance responsibilities for all parties; using due care and appropriate oversight when assigning compliance responsibilities