Tools
The Office of Institutional Compliance, in partnership with responsible
offices, has produced several tools that are targeted to specific
compliance areas. These tools are educational and highlight common
compliance concerns in the particular area addressed. Feel free
to print any of these materials if they cover responsibilities in
your area.
> Guide to Research Compliance
> Compliance Overview
Guide to Research Compliance
 The
Guide to Research Compliance has recently been published by the Offices
of Institutional Compliance and the Vice President for Research. The
targeted audience of the Guide is Principal Investigators who have
each received a paper copy. An on-line version of the Guide is located
here.
At the heart of the Guide is a series of checklists. The Guide
is not intended to be a one-stop resource to answer all research
compliance questions. Instead, the goal of the Guide is to act as
a clearing house to help our research teams confirm they have covered
common issues, identify issues they may not have considered, and
to provide them a single reference/link to the appropriate resource
and contact information if they have questions.
This Guide represents an initial effort from each of the many offices
that support research to identify common issues our researchers
face during the “lifecycle” of a project and present
those in a more unified framework.
Compliance Overview
• Purchasing
Purchasing Services has highlighted 12 topics related to purchasing
that are important for departments to know including allowable expenses,
expense payment grid, and the Gramm-Leach-Bliley Act. Click here
to access that Web page.
In addition, the Web site contains a two-page document that outlines
frequent activities related to purchasing such as purchases under
$10,000, travel expenditures, and signing documents on behalf of
the University. FAQs are also included. Click here
(PDF) to view it.
• Hiring
The Office of Human Resources has created an overview of required
activities for supervisors when hiring a new employee. The information
is categorized by employee type: Faculty/Professional and Administrative,
Civil Service and Union represented, Graduate Assistantships, and
Students. To access this Web page click here.
A single-page document that briefly covers the compliance issues
when hiring a new employee, including FAQs, can be found here
(PDF).
• Conflict of Interest
Every year many faculty and staff are required to submit a Report
of External and Professional Activities (REPA) to disclose potential
conflicts of interest. This two-page document provides an overview
of the REPA reporting process and includes FAQs. Click here
(PDF) to view it.
• Code of Conduct
The Regents Code of Conduct is a statement of the University’s
high standard of ethics, integrity, and responsibility. This one-page
document takes those principals and applies them to everyday activities
all employees engage in. Click here
to view it.
• Campus Safety
The Safety & Security Compliance Committee created a one-page
brochure that lists 10 different offices responsible for safety
on campus. Also included is a list of safety tips when on campus.
Click here (PDF) to download
this brochure.
• Copyrights
University Libraries has produced a brochure that introduces faculty
and staff to the basics of copyright requirements and to resources
the University offers in this area. To view the brochure click here.
(PDF)(the file may take a while to open due to its size)
• Ten Reminders to Reduce Compliance Headaches for
Researchers
This one-page document offers reminders on how to promote compliance
in a research setting. Topics range from discussing authorship and
intellectual property concerns with your research team to asking
yourself three questions before signing anything. Click here
to view it.
• Top 10 Compliance Training for Managers
Managers, regardless of their unit or department, share a variety
of compliance responsibilities. Click here
to view a list of 10 activities that carry compliance risks.
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