Compliance Week November 7-11, 2022

Welcome to Compliance Week 2022! The daily focuses will help keep you on track, test your knowledge and increase your compliance capacity.

  • Monday
    7
    • Compliance All Over the “U”: policies, policies, policies
  • Tuesday
    8
    • Coffee with Compliance at Coffman Union: Trivia, coffee cards, and popcorn
  • Wednesday
    9
    • Compliance with Conflict of Interest
  • Thursday
    10
    • Research Compliance
  • Friday
    11
    • Compliance Challenge

Expand All / Collapse All

Did you know? The University has several Compliance programs located within departments and campuses. These programs offer resources specific to the areas they support. Policies guide compliant behavior. Here are a few of the programs, associated policies and other compliance related information.

Check your compliance

  • Have you completed all training assigned to you?
  • Is your employee or student profile accurate?
  • Do the proper persons have access to Google drives, shared folders, and printers?

Join us today at Coffman Union from 9-1 on the ground floor near dining options for Compliance Program information. “Spin the Wheel” for a chance to win a prize and learn more about staying Compliant at the “U”!

The COI Program is responsible for identifying and managing individual and institutional conflicts of interest created through external financial or business interests related to University research. We encourage faculty and staff to contact our office before accepting start-up or consulting roles so we can talk about potential COI implications.

Research Compliance

Human Research Protection Program

The Human Research Protection Program (HRPP) is a system of interdependent groups and individuals interacting to achieve a common aim to protect research participants in the conduct of human research. The program's primary function is to develop and implement policies and practices that ensure the adequate protection of research participants. The group within the HRPP that carries out each function may vary according to the specifics of the research protocol:

  • comprehensive review of protocols
  • ethically sound participant-investigator interactions
  • ongoing (and risk-appropriate) safety monitoring
  • quality improvement (QI) and compliance activities

The Institutional Review Board (IRB) reviews research projects involving human participants, working with investigators to ensure adequate protection and informed, uncoerced consent. The Community Oversight Board provides guidance in the protection and engagement of research participants. Additional components of HRPP include Quality Assurance, Investigational New Drug/Device, and Education/ Training. For more information, visit the Human Research Protection Program.

The Office of Biotechnology Activities Oversight (OBAO)

The Office of Biotechnology Activities Oversight provides administrative support to the University community and the committees responsible for the oversight of research and teaching with safety, scientific, ethical, and social implications. Oversight areas include: biosafety (IBC), pluripotent stem cell and embryo use (SCRO), fetal tissue use (FTR), and specific types of life sciences research where knowledge, information, products, or technologies could be directly misapplied to pose a significant threat with broad potential consequences (DURC). For more information on these oversight groups, please visit the Office of Biotechnology Activities Oversight

Institutional Animal Care and Use Committee

The Institutional Animal Care and Use Committee (IACUC) reviews all projects involving animals to ensure that they are justified by their benefits and minimize any animal pain or suffering that might occur. This includes research teaching and display of University of Minnesota-owned animals. The IACUC regularly inspects all projects using animals and all projects housing animals along with the University's Research Animal Resources staff. RAR provides for and disseminates information on the care, health and well-being of animals at the University. For more information, please visit the Institutional Animal Care and Use Committee.

Risk Intelligence and Compliance Team

The Risk Intelligence and Compliance Team (RIACT) supports the research community by facilitating the investigation of research compliance concerns, overseeing research ethics and compliance education, and assisting other ethics, regulatory, and financial compliance programs across the University. For more information, visit the Risk Intelligence & Compliance Team.

Sponsored Financial Reporting

Sponsored Financial Reporting (SFR) is one of the units within the Controller's Office. For all sponsored awards issued to the University, and in cooperation with University departments, SFR has the overall responsibility for:

  • Preparing and submitting to sponsors required financial reports and invoices by the sponsors' due dates.
  • Receiving payments from sponsors, including following up on those that are past due.
  • Closing awards in the PeopleSoft Enterprise Financial System (EFS) when they have ended, all spending is complete, and all payments have been received.
  • Handling sponsor, state, and federal financial audits, including the annual Single Audit of expenditures on federal awards.

The SFR team also provides data sets/information for oversight of these tasks as well as for the various audits and manage the award setup process in partnership with Sponsored Projects Administration (SPA).

Office of Cost Analysis

The Office of Cost Analysis (OCA) supports the research mission of the University by providing analytical, cost accounting, and effort reporting expertise. OCA ensures that sponsored activity at the University is in compliance with federal principles and standards.

Technology Commercialization

University of Minnesota Technology Commercialization facilitates the transfer of University technology and ideas to licensee companies--both established and startup--for the development of new products and services that benefit the public good, foster economic growth, and generate revenue to support the University's mission. Technology Commercialization supports compliance with the Commercialization of Intellectual Property Policy (.pdf) and the Reporting Inventions or Software policy.

Now that you’re on your way in Compliance Week, let’s test your knowledge of Institutional Compliance. Do some online digging to answer the questions in the challenge for a chance to win a prize.

Contact us (ucomply@umn.edu) for additional tips or for compliance related materials to share in your office!