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
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
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
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
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
51NIH Disclosure Requirements Related to Foreign Research Activities
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Scientific Integrity
  • Education Requirements
  • Principal Investigator
Important Changes to NIH Biographical Sketch and Other Support Documents – a Summary​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
15Clinical Trials Registration Requirements
  • Proposal Submission
  • Award and Account Establishment
  • After Research Commences
  • Closeout
  • Principal Investigator
Slide1Click 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
34NIH Data Management and Sharing: Required Elements of a Data Sharing Plan
  • Proposal Submission
  • Scientific Integrity
    • Principal Investigator
    • Research Coordinator
    Required ElementsClick 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
    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
    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
    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
    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
    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
    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
    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
    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