Coordinate Pre-Award Compliance Components
The University is committed to upholding the highest standards of regulatory compliance across all sponsored projects. Pre-award compliance ensures that proposed research meets federal, state, and institutional requirements related to:
- Protection of human subjects (IRB)
- Care and use of animals in research (IACUC)
- Biosafety and recombinant DNA oversight
- Safe handling of hazardous, toxic, or radioactive materials
- Conflicts of interest
- Research ethics and integrity
- Restrictions related to foreign influence, export controls, and international collaborations
- Allowability and allocability of costs and accurate documentation of cost sharing
These areas are routinely reviewed during federal and institutional audits, making early coordination essential to a successful proposal submission.
Informing the University of Compliance Needs
Principal Investigators must notify the University if their proposed project involves any activities requiring compliance review. The Document Summary Sheet (DSS) plays a key role in this process by asking targeted questions about potential compliance requirements. The DSS must be completed accurately and thoroughly to ensure that all required reviews are initiated promptly.
Depending on your project, you may need to coordinate with one or more compliance offices before submission.
Common Pre-Award Compliance Areas
Research Security
Pre-Award Research Security Compliance Areas
- Foreign affiliations & support disclosures
- MFTRP prohibition and certification
- Research security training
- COI/COC and outside activity reviews
- Current & Pending Support review
- Cybersecurity requirements
- Foreign travel security measures
- High‑risk collaboration risk assessments
- Transparency of Foreign Connections disclosures
- Institutional research security program compliance
For more information about these requirements, please contact the Research Security Office (RSO).
Research Integrity and Compliance
The University’s Office of Research Integrity & Compliance (ORIC) maintains a comprehensive directory of compliance programs, requirements, and contacts, including biosafety, radiation safety, and responsible conduct of research.
Conflict of Interest (COI)
Investigators must disclose financial and outside interests in accordance with University and sponsor requirements. Some sponsors require Conflict of Interest (COI) review before submission, while others require approval before award.
Use of Animals in Research or Testing
Proposals involving vertebrate animals must meet all oversight requirements of the Institutional Animal Care and Use Committee (IACUC).
Human Research Protections
Projects involving human subjects—including surveys, interviews, interventions, or identifiable private information—must receive approval or determination from the Institutional Review Board (IRB).
Why Early Coordination Matters
Identifying compliance needs early helps:
- Prevent delays in submission
- Ensure required approvals or determinations are obtained in time
- Avoid administrative or regulatory issues during award negotiation
- Reduce the risk of noncompliance findings during audits
Working proactively with compliance offices—and accurately completing the DSS—supports a smooth and timely proposal review by OSP.
