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Compliance and Other Considerations

There are many areas of compliance that intersect with the development of proposals and management of sponsored projects. These areas of regulatory compliance include following protocols for research involving human subjects or animals subjects, export control considerations, intellectual property requirements, responsible conduct of research requirements, and financial conflict of interest. 

The following is information on Financial Conflict of Interest, Research Security, and Responsible Conduct of Research for those sponsors that require disclosure at the time of the proposal.

Financial Conflict of Interest (COI)

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  • National Institutes of Health (and selected other PHS sponsors including IHS, HRSA)

    If your proposal will be submitted to the NIH, one of the PHS sponsors that follows the PHS Financial Conflict of Interest regulations (), you are required to disclose significant financial interests by completing a Financial Conflict of Interest Disclosure Form before your proposal may be submitted. This is in keeping with federal regulations and 爆料社区/爆料社区 Corporations COI Policy.  Full list of

    Additionally, if the project is funded you will be required to submit the disclosure form annually (and in the event of changes to your disclosures).  Any investigator responsible for the design, conduct, and reporting of research must complete a disclosure (includes consultants and senior personnel, as well as subrecipient personnel).

    NEW 鈥 DISCLOSURE IN CAYUSE

    爆料社区 is adopting Cayuse, a research administrations software. Conflict of Interest disclosure will now be done in the Cayuse Other Interests Module. Visit and use your 爆料社区 credentials to get started.  View the Guide for Research-Based Disclosure for instructions. 

    TRAINING

    As you may have questions about what interests should be disclosed, we are strongly encouraging investigators to complete the Financial Conflict of Interest training now. It will be required of you in the event of a NIH award and should be renewed at least every four years. The FCOI training is available in CITI (steps listed below). You may upload your training certificate to Cayuse. 

    Training is completed in . 

    1. When you log in, Go to 鈥淰iew Courses鈥
    2. Scroll down and click 鈥淎dd a Course鈥
    3. Scroll to the bottom of that page and click 鈥淐ontinue to Question 1 at this time鈥
    4. The COI item is Question 8.

    REFERENCES/RESOURCES

  • National Science Foundation

    The National Science Foundation鈥檚 Proposal and Awards Policies and Procedures Guide () discusses institutional and investigator responsibilities regarding the financial conflicts of interest. As an investigator, you are required to disclose significant financial interests (which also includes those of your spouse or dependents) by completing a Financial Conflict of Interest Disclosure Form before your proposal may be submitted. The significant financial interests that should be disclosed are those (i) that would reasonably appear to be affected by the research or educational activities funded or proposed for funding by NSF; or (ii) in entities whose financial interests would reasonably appear to be affected by such activities.

    The term "investigator" means the PI/PD, co-PI/co-PDs, and any other person identified on the proposed project who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for funding by NSF.

    NEW 鈥 DISCLOSURE IN CAYUSE  

    爆料社区 is adopting Cayuse, a research administrations software. Conflict of Interest disclosure will now be done in the Cayuse Other Interests Module.  Visit and use your 爆料社区 credentials to get started. View the Guide for Research-Based Disclosure for instructions. 

    Training 

    As you may have questions about what interests should be disclosed, we are strongly encouraging investigators to complete Financial Conflict of Interest training. This training is specifically designed for those proposed to the NIH, however there is much in common in terms of what should be disclosed (threshold difference with the NSF is $10K rather than $5K).

    Training is completed in . 

    • When you log in, Go to 鈥淰iew Courses鈥
    • Scroll down and click 鈥淎dd a Course鈥
    • Scroll to the bottom of that page and click 鈥淐ontinue to Question 1 at this time鈥
    • The COI item is Question 8.

    References/Resources

  • Non-Governmental Sponsors

    If your proposal will be submitted to a non-governmental sponsor, as the PI, you must complete a 700U Conflict of Interest Disclosure Form in accordance with the . This is required of the PI employed by the CSU who has principal responsibility for a research project if the project is to be funded or supported, in whole or in part, by a contract or grant (or other funds earmarked by the donor for a specific research project or for a specific researcher) from a nongovernmental agency. Disclosure is required prior to final acceptance of a contract or grant, or within 30 days after funding is renewed.

    Our procedure is to collect this form electronically now at the time the proposal is in development, and in the event of an award, you will need to submit a hard copy of the 700U to Human Resources. Additionally, at the time of an award, you will be required to complete Conflict of Interest Training through CSU Learn. 

    NEW 鈥 DISCLOSURE IN CAYUSE

    爆料社区 is adopting Cayuse, a research administrations software. Conflict of Interest disclosure will now be done in the Cayuse Other Interests Module.  In the case of the 700U, the Form 700U will be uploaded in Cayuse. Visit and use your 爆料社区 credentials to get started. View the Guide for Research-Based Disclosure for instructions. 

    References/Resources


Research Security Training

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  • National Institutes of Health

    To comply with federal requirements under the CHIPS and Science Act and NSPM-33, all senior/key personnel listed on NIH proposals鈥攁nd other federally funded research projects鈥攎ust complete approved research security training. This training promotes awareness of disclosure responsibilities, foreign influence risks, and best practices for safeguarding research integrity.

    Training 

    Our institution uses the SECURE Center Consolidated Training Module (CTM), a federally recognized, one-hour online course that satisfies NIH鈥檚 requirement and other agency mandates.

    Training is completed in .

    Upon completion of the training, a certificate will be issued in CSU Learn. PI/PD/Senior/Key Personnel will upload this certificate in the Cayuse Proposal Record and use the 

    References/Resources

  • National Science Foundation

    To comply with federal requirements under the CHIPS and Science Act and NSPM-33, all senior/key personnel listed on NSF proposals鈥攁nd other federally funded research projects鈥攎ust complete approved research security training. This training promotes awareness of disclosure responsibilities, foreign influence risks, and best practices for safeguarding research integrity.

    Training 

    Our institution uses the SECURE Center Consolidated Training Module (CTM), a federally recognized, one-hour online course that satisfies NSF鈥檚 October 2025 requirement and other agency mandates.

    Training is completed in .

    Upon completion of the training, a certificate will be issued in CSU Learn. PI/PD/Senior/Key Personnel will upload this certificate in the Cayuse Proposal Record and use the 

    References/Resources

  • Department of Defense

    To comply with federal requirements under the CHIPS and Science Act and NSPM-33, all senior/key personnel listed on DoD proposals鈥攁nd other federally funded research projects鈥攎ust complete approved research security training. This training promotes awareness of disclosure responsibilities, foreign influence risks, and best practices for safeguarding research integrity.

    Training 

    Our institution uses the SECURE Center Consolidated Training Module (CTM), a federally recognized, one-hour online course that satisfies DoD's research security requirement and other agency mandates.

    Training is completed in .

    Upon completion of the training, a certificate will be issued in CSU Learn. PI/PD/Senior/Key Personnel will upload this certificate in the Cayuse Proposal Record and use the 

    References/Resources

  • Department of Energy

    To comply with federal requirements under the CHIPS and Science Act and NSPM-33, all senior/key personnel listed on DoE proposals鈥攁nd other federally funded research projects鈥攎ust complete approved research security training. This training promotes awareness of disclosure responsibilities, foreign influence risks, and best practices for safeguarding research integrity.

    Training 

    Our institution uses the SECURE Center Consolidated Training Module (CTM), a federally recognized, one-hour online course that satisfies DoE鈥檚 research security requirement.

    Training is completed in .

    Upon completion of the training, a certificate will be issued in CSU Learn. PI/PD/Senior/Key Personnel will upload this certificate in the Cayuse Proposal Record and use the 

    References/Resources


Responsible Conduct of Research (RCR)

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