Research Lifecycle: Compliance Guidance

Education and training is an important pillar of a robust compliance program. To support that goal, OCEC developed this one-sheet guidance library in partnership with the research community to provide targeted and issue-specific guidance regarding key compliance obligations in order to assist researchers and administrators in our shared endeavor to promote the ethical and compliant conduct of research at USC. Each one-sheet provides an overview of the most important requirements to keep in mind, links to relevant university resources where additional information can be found, and key contacts to reach out to in the event you have additional questions.

In order to make the most effective use of the library, follow the steps below:

Select the stage in the research cycle you are interested in: The stages listed are Proposal Submission, Award and Account Establishment, After Research Commences, Closeout, Scientific Integrity, and Education Requirements. You can select more than one option.

Identify your position: Select the type of position from the “Select Your Role” dropdown menu to identify relevant guidance. You can select more than one option.

Select your one-sheet: You can either see a preview of the one-sheet or download it to your computer by selecting the “Click to Download” option.

You may also use the search box to look for one-sheets of interest.

If you have any questions, please do not hesitate to contact our office at compliance@usc.edu, and if you have suggestions for additional one-sheet topics, please submit your idea via the Research Compliance Suggestion Box.

One-sheet TopicResearch Project – StageRecommended AudiencesPreviewDownload
01Who May Be a Principal Investigator on Sponsored Research Projects at USC
  • Proposal Submission
  • Award and Account Establishment
  • Principal Investigator
  • Postdoc
  • Student
  • Research Coordinator
  • Administrative Staff
Who May Be a Principal Investigator on Sponsored Research Projects at USCClick to Download
56Conflicts of Interest in Research - What to Disclose
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
What to disclose ONE PAGER RESEARCHClick to Download
57  Conflicts of Interest in Research - General Disclosure
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
General-disclosure-one-pager-FINAL (RESEARCH)Click to Download
49      Quick Guide on Federal Mandate to Disclose Foreign Research Relationships
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Postdoc
Quick Guide on Disclosure of Foreign Relationships {Federal Mandate For You To Disclose International Collaborations}Click to Download
14    Recharge Centers and Specialized Service Facilities 
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Technician
  • Research Coordinator
  • Administrative Staff
Recharge CentersClick to Download
21Training: Human Subjects Education / Animal Use / Radiation Safety / Institutional Biosafety
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
Training - Human Subjects Education, Animal Use, Radiation Safety, Institutional BiosafetyClick to Download
22Training: Good Clinical Practice (GCP)
  • Award and Account Establishment
  • After Research Commences
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
Training - Good Clinical PracticeClick to Download
23Steps to Setting Up a Lab (Biosafety/Compliance) Overview
  • Award and Account Establishment
  • After Research Commences
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Technician
  • Research Coordinator
Steps to Setting Up A Lab OverviewClick to Download
26Repositories: Biospecimens and Data
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
Biospecimens and Data RepositoriesClick to Download
27Research Integrity
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
Research IntegrityClick to Download
28Setting Up Outgoing Subawards
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Setting up Outgoing SubawardsClick to Download
29Consultants, Independent Contracts and AB5
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Independent Contractors, Consultants & AB5Click to Download
30Processing Professional Service Agreements
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Service AgreementsClick to Download
17Graduate Student Tuition Remission
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Graduate Student Tuition RemissionClick to Download
10Intellectual Property Assignment / Intellectual Property/Invention Disclosure
  • Proposal Submission
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Student
  • Research Coordinator
  • Administrative Staff
Intellectual Property Assignment & Invention DisclosureClick to Download
11Material Transfer Agreements (MTAs) and Data Transfer Agreements (DTAs)/Non-Disclosure Agreements (NDAs/CDAs)
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout

  • Principal Investigator
  • Postdoc
  • Research Coordinator
Material Transfer Agreements (MTAs), Data Transfer Agreements (DTAs), and Non-Disclosure Agreements (NDAs-CDAs)Click to Download
08Data Management
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
Data ManagementClick to Download
02Regulatory Research Committees  
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
Research-CommitteesClick to Download
04Cost Transfers 
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Cost TransfersClick to Download
05        Cost Sharing 
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Cost SharingClick to Download
54International Research Collaborations
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Education Requirements
  • Principal Investigator
International Research CollaborationsClick to Download
50Foreign Relationship Reporting Guidance: When and Where to Report
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Postdoc
Foreign Relationship Reporting Guidance - When and Where to ReportClick to Download
51NIH Disclosure Requirements Related to Foreign Research Activities
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
NIH One-Pager On Disclosure Requirements {Important Changes to NIH Biographical Sketch and Other Support Documents}Click to Download
52Export Controls: Research that Requires a License – Decision Tree
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
Research that Requires a License {Export Controls Decision Tree}Click to Download
15Clinical Trials Registration Requirements
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
ClinicalTrials.gov-RegistrationClick to Download
16Closeout Reporting 
  • Closeout
  • Principal Investigator
  • Research Coordinator
  • Administrative Staff
Closeout ReportingClick to Download
19Training: Grants Management 
  • Award and Account Establishment
  • Education Requirements
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
Grants Management TrainingClick to Download
24    Travel and Fly America Act
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
Travel and Fly America ActClick to Download
56Sponsored Research Travel Checklist
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
Sponsored Research Travel Checklist REVISED 2024-04-11Click to Download
32    Sponsored Research Travel
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Principal Investigator
  • Postdoc
  • Research Coordinator
  • Administrative Staff
Sponsored Research TravelClick to Download
33    No TikTok on Federal Contracts
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
TikTok BanClick to Download
35NIH Data Management and Sharing: Data Sharing Plans (Additional Considerations for Human Subjects Data)
  • Proposal Submission
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
NIH DMS Data Sharing Plans (Additional Considerations for Human Subjects Data)Click to Download
36NIH Data Management and Sharing: Allowable Costs for Data Management and Sharing
  • Proposal Submission
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
NIH DMS Allowable Costs for Data Management and SharingClick to Download
38NIH Data Management and Sharing: Selection of a Data Repository (Additional Considerations for Human Subjects Data)
  • Proposal Submission
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
NIH DMS Selection of a Data Repository (Human Subjects Data)Click to Download
39NIH Data Management and Sharing: Method of Submission of Data Sharing Plans
  • Proposal Submission
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
NIH DMS How to Submit a DMS PlanClick to Download
40NIH Data Management and Sharing: Benchmarking of Available Third-Party Repositories
  • Proposal Submission
  • Scientific Integrity
  • Principal Investigator
  • Research Coordinator
NIH DMS Available Generalist Repository BenchmarkingClick to Download
43Export Controls: Projects with Publication and/or Personnel Restrictions
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
Projects with Publication and-or Personnel RestrictionsClick to Download
45Export Controls: Research Activities in Iran
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
  • Postdoc
  • Technician
  • Student
  • Research Coordinator
  • Administrative Staff
Guidance on Iran and OFACClick to Download
48Export Controls: Temporary Exports of Research Equipment
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Principal Investigator
  • Postdoc
  • Student
  • Research Coordinator
  • Administrative Staff
Temporary Exports of Research EquipmentClick to Download
53Clinical Trials Reporting Requirements
  • After Research Commences
  • Closeout
  • Principal Investigator
ClinicalTrials.gov Reporting RequirementsClick to Download
59NIH Controlled Access Data Repositories
  • Proposal Submission
    • Principal Investigator
    • Research Coordinator
    NIH Controlled Access Data RepositoriesClick to Download
    34NIH Data Management and Sharing: Required Elements of a Data Sharing Plan
    • Proposal Submission
    • Scientific Integrity
      • Principal Investigator
      • Research Coordinator
      Required ElementsClick to Download
      37NIH Data Management and Sharing: Selection of a Data Repository
      • Proposal Submission
      • Scientific Integrity
      • Principal Investigator
      • Research Coordinator
      NIH DMS Selection of a Data Repository - Desirable CharacteristicsClick to Download
      41Export Controls: International Travel and Export Controls
      • Proposal Submission
      • Award and Account Establishment
      • After Research Commences
      • Principal Investigator
      • Postdoc
      • Technician
      • Student
      • Research Coordinator
      • Administrative Staff
      International Travel & Export ControlsClick to Download
      42Export Controls: Technology Control Plans
      • Proposal Submission
      • Award and Account Establishment
      • After Research Commences
      • Principal Investigator
      • Postdoc
      • Technician
      • Student
      Technology Control PlansClick to Download
      44Export Controls: Equipment Use and Export Controls
      • Proposal Submission
      • Award and Account Establishment
      • After Research Commences
      • Principal Investigator
      • Postdoc
      • Technician
      • Student
      Equipment Use and U.S. Export ControlsClick to Download
      46Export Controls: International Travel Safe Harbors
      • Proposal Submission
      • Award and Account Establishment
      • After Research Commences
      • Principal Investigator
      • Postdoc
      • Student
      • Research Coordinator
      International Travel - Export Control “Safe Harbors”Click to Download
      47Export Controls: Foreign Visitors to Labs
      • Proposal Submission
      • Award and Account Establishment
      • After Research Commences
      • Principal Investigator
      • Postdoc
      • Student
      • Research Coordinator
      Foreign Visitors to LabsClick to Download