Compliance Competencies

Last updated on July 2, 2024. Originally published January 13, 2024.

Our vision at UF is to develop an ever-expanding community that supports excellence in the sponsored programs that enhance the sciences, arts, outreach, and scholarship. We strive toward our vision by intentionally reducing administrative burden on faculty and by reducing risk to UF through supporting sponsored programs administration networking, education, and development of knowledge and skills.

In support of these stated goals, we have developed a competency model that will allow us to strategically target and measure the effectiveness of initiatives designed to obtain our vision. A person considered exceptional in sponsored program administration will be competent in the following compliance topics and display the associated behaviors. Additionally, links may be provided to support development of associated behaviors.

Human Subjects

Institutional Review Board (IRB)

  • Identify if a project includes human subjects research
  • Navigate the Institutional Review Board (IRB) process and ensure it is initiated timely
  • Facilitate compliance and report any potential risks to responsible offices

Animal Subjects

  • Identify if a project includes animal subjects
  • Navigate the Institutional Animal Care and Use Committee (IACUC) process and ensure it is initiated timely
  • Facilitate compliance and report any potential risks to responsible offices

Safety

(lab, chemical, radiation, etc.)

Lab Safety

  • Facilitate compliance with university safety requirements and report any potential risks to responsible offices

Export Controls

  • Identify if a project or activity includes Export Control elements
  • Navigate the export control vetting process and ensure it is initiated timely
  • Name the embargoed countries
  • Facilitate compliance and report any potential risks to responsible offices

International Activities

  • Identify if a project or activity includes international engagement
  • Facilitate compliance and report any potential risks to responsible offices

Outside Activities

University Conflicts of Interest Program

  • Define outside activity
  • Identify where UF guidance is located on reportable activities
  • Explain the unit’s role in the approval process
  • Facilitate compliance and report any potential risks to responsible offices

Conflicts of Interest

University Conflicts of Interest Program

  • Define the elements of a conflict of interest
  • Identify to whom and when to escalate if you have discovered a potential conflict of interest
  • Facilitate compliance and report any potential risks to responsible offices

Clinical Research

  • Explain the federal definition(s) for health-related human subjects research
  • Identify how and when to engage the Office of Clinical Research (OCR), Division of Sponsored Programs (DSP), and IRB
  • Facilitate compliance and report any potential risks to responsible offices

Open Records

  • Explain the difference between State of Florida’s public records laws and Federal Sunshine laws
  • Identify who processes requests for and approves release of public records requests
  • Describe how sponsored programs administration and research records are treated for open records requests

Data Management

  • Define the elements of data (i.e., project activities, results, and findings)
  • Identify if a project or activity necessitates the management of data
  • Facilitate compliance and report any potential risks to responsible offices

IT Security and Data Privacy

(such as The Health Insurance Portability and Accountability Act (HIPAA), The Federal Information Security Modernization Act (FISMA), and The Family Educational Rights and Privacy Act (FERPA))

  • Identify if a Project Includes Sensitive Data
  • Navigate the risk assessment process for sensitive data
  • Facilitate compliance and report any potential risks to responsible offices

Intellectual Property

  • Define intellectual property (IP)
  • Identify if a project or activity necessitates the management of intellectual property
  • Facilitate compliance and report any potential intellectual property risks to responsible offices

Space Allocation

  • Describe how room use allocations are reported
  • Identify the responsible reporting party for the unit and one’s role in the process
  • Explain how space allocations impact the F&A rate proposal

Asset Management

  • Define capital asset and attractive property
  • Explain the processes surrounding the identification of, tagging, tracking, transferring and disposition of capital assets and attractive property
  • Explain the process and restrictions related to off-site certifications and foreign travel requests required for UF-owned capital assets and attractive property
  • Explain the processes for managing and tracking non-UF owned capital assets and attractive property

Record Retention

  • Identify retention requirements of Federal, State, University, Sponsors and Regulatory bodies
  • Define what is a source document
  • Identify who is the responsible party for retention
  • Follow appropriate record retention policies
  • Dispose of records as appropriate
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