Compliance

The White House Office of Management and Budget (OMB) Dec. 26, 2013 released its final guidance on "Uniform Guidance: Cost Principles, Audit, and Administrative Requirements for Federal Awards." The Uniform Guidance which will supersede requirements set forth in Office of Management and Budget (OMB) Circulars A-21 , A-110, and A-133; has an effective date of December 26th, 2014.  WUSTL's website


Learn@Work—the new cloud based, WUSTL Key enabled University learning management system—is now available. Designed to provide a more consolidated and streamlined training experience, Learn@Work helps you complete and track compliance-related training activities in a single application. The dashboard view and personalized monthly email digests help you keep track of your progress while the mobile app makes it easy for you to access your profile.

WUSTL Research Policies & GuidelinesThis page provides a consolidated list of key WUSTL research policies, procedures, and other guidance.

WUSTL Research Compliance - You will find a whole list of the compliance area at WUSTL including but not limited to conflict of interest, effort reporting, human research, responsible code of research. etc.  Please see site for full list of compliance.  2015 guide

To directly find compliance areas: 

  • Animal WelfareFederal regulations require the review of all projects (research, teaching, or other) involving the use of vertebrate animals by an Institutional Animal Care and Use Committee (IACUC). At Washington University, the Animal Studies Committee (ASC) fulfills this responsibility. The ASC oversees and evaluates animal care and use programs, procedures, and facilities at Washington University, including provisioning of animal care education, certification, and protocol approval.
  • Code of ConductAs members of the WUSTL community, we are all responsible for maintaining the highest ethical standards in our community and our professions, and for complying with all relevant laws and regulations. In April 2000, the university, with the encouragement and guidance of the Board of Trustees, established a University Compliance Office. As part of this effort, a WUSTL Code of Conduct has been created. The Code of Conduct is not a list of rules. It is a statement of the ethical and legal standards we use as the basis for our decisions and actions. All members of the university community should integrate these standards into their daily university activities.
  • Conflict of Interest -WUSTL is firmly committed to the responsible and ethical conduct of research. Members of the WUSTL community, including faculty, staff, students, and other trainees, are obligated with a shared responsibility to conduct themselves in a responsible, ethical, and unbiased manner while serving the research goals of the University.
  • Effort Reporting ePARS (Electronic Personnel Activity Reporting System) is the new electronic web-based effort reporting system that will replace the current paper-based PAR system. Faculty, staff and students that work on sponsored projects will utilize ePARS to certify the effort they contributed to those projects. ePARS will also provide information during the course of the fiscal year to assist faculty and staff in monitoring effort, so that adjustments to salary distributions are made on a timely basis.
  • Environmental Health and SafetyProviding compliance oversight and consulting help in all areas of safety, health and environmental compliance.
  • Export ControlsUS export control laws and regulations govern the export of information, software, commodities (including test equipment and materials) or services (including furnishing assistance or training). Because the term “export” covers not only the shipment of information or materials to another country but also the release or disclosure of information or materials to foreign nationals on US soil (“deemed export”), export controls may affect many aspects of your research. Restrictions are imposed on shipments abroad, on travel and on the participation of foreign nationals in projects on our campus.
  • Human ResearchFederal regulations require the review of all projects (research, teaching, or other) involving the use of human participants by an Institutional Review Board (IRB). At Washington University, the Human Research Protection Office administers ten independent Institutional Review Boards (IRBs), which review and approve protocols for all research involving human participants. 
  • Human Research Protection Office (HRPO) - The mission of the IRB is to protect the rights and welfare of participants in “human research” as defined in 45 CFR 46.102(d) and (f) and “clinical investigations” as defined in 21 CFR 50.3(c).  SWAT Service (on-call HRPO services) 
  • Material Transfer Agreement (MTA) - a contract that governs the transfer of tangible research materials between two organizations. MTAs set out the protections, rights, and obligations of both parties. Such issues as confidentiality, publication rights, ownership and licensing rights of any intellectual property, limitations on use of the requested materials, liability and indemnification are often addressed in an MTA. The terms of an MTA can impact your research in unforeseen ways.
  • Research IntegrityWUSTL's Research Integrity policy provides a framework to resolve allegations of research misconduct as rapidly and fairly as possible and protect the rights and integrity of all individuals involved. Federal regulations require that institutions applying for and receiving federal funds have an established process in place for reviewing, investigating and reporting allegations of research misconduct.
  • Responsible Conduct of ResearchResearchers have important professional and regulatory responsibilities related to the responsible conduct of research (RCR), which is broadly defined as the practice of scholarship and scientific investigation with integrity. This site is a consolidated source for information and resources to help WUSTL research faculty and staff navigate and fulfill these important responsibilities.
  • WUSTL compliance WUSTL has established the University Compliance Office, reporting to the Chancellor and to the Audit Committee of the Board of Trustees. This office monitors and coordinates the university’s many existing compliance efforts, assesses university-wide performance and provides senior leadership and the Audit Committee with an independent, comprehensive view of the university’s compliance activities. The university’s many area-specific compliance offices are subject matter experts and report to various members of senior administration, as appropriate. The university is committed to the highest ethical and professional standards of conduct, and intends to operate in full compliance with all applicable laws and policies.
 
 

 

 

 

Amanda Heitkoetter, 352 McMillan Hall  
Financial and Grants Specialist
Campus Box 1088

aheitkoetter@wustl.edu    314-935-3044


2015 Research Compliance Guide

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HRPO SWAT office hours on the Danforth Campus are typically available in Psychology Building, Room 202 on Mondays & Thursdays from 1pm to 4pm.  
Or questions can be answered by calling 314-747-6800 between 8am - 4pm daily. 

Learn@work helps you complete & track compliance-related training activities in a single application.


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