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Compliance Support

Compliance policy at The Rockefeller University is coordinated by multiple offices as a means of ensuring research compliance. Office of Sponsored Programs Administration works closely with our campus compliance officers to ensure all sponsored research (including awards under no-cost extension) complies with applicable sponsor, federal, state, and University requirements. Upon learning of noncompliance, OSPA must promptly contact, Finance, the principal investigator and cc OSPA Director, as well as the head of the specific compliance area.  Awarded funds may be placed on hold until compliance is in place.

Professional Conduct
University Policies
Code of Conduct p. 6-7
Reporting Possible Violations of the Code of Conduct p. 8-9
Financial Conflict of Interest University Policies
Research Misconduct Policy and Procedure University Policies p. 34
Human Resources Forms, Policies, and Guidelines

Research Subjects
Institutional Animal Care and Use Committee (IACUC)
Institutional Review Board (IRB)
Training for Research Involving Human Subjects
Embryonic Stem Cell Research Oversight (ESCRO)

Public Access
Markus Library PubSubmit
NIH Public Access Policy

Biohazards and Biosafety
Laboratory Safety Committee
Institutional Biosafety Committee

Dual Use Research of Concern

Responsible Conduct of Research
Responsible Conduct of Research (RCR)
TCN Seminar on RCR

Export Control
Export Control Guide

Other RU Compliance Resources
Effort and Time Reporting (Finance)
Financial Practices
Technology Transfer
Intellectual Property (IP) Policy
IP Agreement (PDF)
NIH Public Access Policy (Markus Library)
Recombinant DNA 
Radioactive Materials (PDF)
Procurement Policies and Procedures
Acknowledgement of Support

Other Compliance Resources
NIH Research Integrity
Medical Research with Animals
NIH Financial Conflict of Interest
NSF Conflict of Interest Policies
NIH Public Access Policy
NIH Guidelines for Human Stem Cell Research
HHS Office of Research Integrity (ORI)
The Lab: Avoiding Research Misconduct (ORI Training Video)

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