Research Compliance

As a recipient of funds that support research, UWM must monitor compliance with various federal and state laws as well as sponsor policies and regulations.  An overview of the various compliance offices, functions, and roles across campus appear below.

Animal Care Program

What is it?
Provides for the care, health, and well-being of animals used for research and education at UWM.

What do I need to do?
If you intend to work with vertebrate animals, you will need to complete Animal Care Training and submit the required Animal Care Training Forms

Contact:
Berri Forman, D.V.M. Assistant Director Research Animal Veterinarian, University Safety and Assurances
Animal Care Website

Biological Safety Program

What is it?
Protects the health of the UWM community by identifying and managing biohazardous materials and recombinant DNA used in campus activities.

What do I need to do?
Biosafety Training
Biosafety Forms
You must complete specific training programs and registration forms when working with certain biological materials. Click on each link above to identify the biological safety training program(s) and form(s) required for your research.

Contact:
Biological Safety Program Website

Effort Reporting

What is it?
Effort reporting is the method of certifying to federal granting agencies that the effort required as a condition of the award has actually been completed. Federal regulation requires individuals who expend committed effort on a sponsored project or are paid from a sponsored project to certify their effort.Effort certification assures award sponsors that (1) investigators have met their commitments and (2) sufficient effort was devoted to justify salary charges to sponsored awards.

What do I need to do?
If you receive compensation from a sponsored award or you have committed effort on a sponsored project:

  1. Register in the CITI system; select University of Wisconsin-Milwaukee from the dropdown menu.
  2. Complete the Effort Reporting training.
  3. Certify your effort semi-annually using the ECRT effort certification system.

The Office of Sponsored Programs will ensure all individuals subject to the UWM Effort Policy have certified their outstanding effort statements and completed effort training prior to setting up new sponsored awards.

The UWM Guidelines for Effort Reporting is a comprehensive desk reference that provides detailed instructions for certifying effort.

ECRT was upgraded to the latest version in December 2015. This upgrade will improve our effort reporting process. Certifiers will “click” fewer times to get to certification, and certification will take fewer “clicks” to complete. For assistance certifying in the upgraded ECRT system, here are two helpful references:

  1. How to Certify Effort for Faculty and Staff.
  2. Certifiers Quick-Start Guide (abbreviated version of “How to Certify Effort for Faculty and Staff”).

Contact:
Carla Durand

Export Controls

What is it?
Export controls primarily refers to the federal International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR).The ITAR govern the export of “defense articles” and “defense services”. The term “export” means the transfer of items, information or services overseas, or their provision to a foreign person inside the U.S. (including, for example, a student in a classroom or a colleague in a research lab).The EAR govern the export of “dual-use” technologies—items that are used, or have the potential to be used, for military and non-military purposes if such export could adversely affect the national interests of the U.S. The definition of “export” under the EAR is very similar to the definition under the ITAR. Both sets of regulations apply only to items and information that are not publicly available; therefore, the results of academic research are generally exempt from both the ITAR and the EAR provided that the results have been published (ITAR) or are intended for publication (EAR).Export controls are most likely to apply in a university setting if:

  • Research results cannot be published until approved by the sponsor, or
  • Items or information have been received from an outside source under a confidentiality agreement.

In such circumstances, if the information is export-controlled it cannot be shared with certain “foreign persons” (i.e., a person who is not a U.S. citizen or a permanent resident) unless a license is first obtained from the U.S. government.

What do I need to do?
If you are not sure if a program solicitation has export control implications, contact Tom Marcussen, Director.

If an existing sponsored project may have export control implications, contact Tom Marcussen, Director.

Contact:
Tom Marcussen, Director, Office of Sponsored Programs

Financial Conflict of Interest

What is it?
The UWM COI Program protects employees and the institution by identifying and preventing situations in which there is a conflict between an employee’s personal interests and that employee’s public responsibilities to the UWM. In response to federal regulations, state laws, and UW System policy, individuals at UWM must disclose their outside financial interests annually and must update their disclosure throughout the year as their outside interests change.For PIs, co-investigators, and key personnel on PHS-funded awards, the UWM PHS FCOI Program promotes objectivity in research by ensuring research is free from bias resulting from investigator financial conflicts of interest.

What do I need to do?
Complete the Outside Activities Disclosure Report. This form is required for all UWM PIs and co-investigators on federal grants, UWM faculty, academic staff and limited appointees with appointments of 50% or greater, and all individuals with active management plans from the UWM Conflict of Interest Committee.If you are PI, co-Investigator, or key person on a Public-Health Service (PHS)-funded award, complete the Significant Financial Interest Disclosure Form and FCOI Training.

Contact:
Tom Marcussen

Human Subjects Protection

What is it?
The HRPP is the home of the Institutional Review Board (IRB) for the protection of human subjects. The IRB holds autonomous decision making when reviewing human subject research studies at UWM. The mission of the IRB is to ensure the adequacy of the research plan, to minimize risks, and to maximize the potential for benefit for human subjects who participate in research.

What do I need to do?
Sponsored projects that involve human subjects are required to be approved by the UWM Institution Review Board (IRB).

Contact:
Melissa Spadanuda, IRB Administrator, University Safety and Assurances

Laboratory Safety

What is it?
Promotes safety, compliance, and environmental health in UWM laboratories, shops, and studios.

What do I need to do?
Principal investigators, lab supervisors, or individual departments must prepare a Chemical Hygiene Plan and standard operating procedures for their laboratories.

Contact:
For training and plan preparation support, Jennifer Herriges, Chemical Hygiene Officer, University Safety and Assurances

Radiation Safety

What is it?
The UWM Radiation Safety Program manages the safe use of radioactive material on campus through training, laboratory audits, laboratory surveys, radionuclide control and inventory, personal dosimetry and waste disposal.

What do I need to do?
Principal investigators are responsible for ensuring their personnel are properly trained in radiation safety techniques as described in the UWM Radiation Safety Manual.Use of byproduct radioactive materials, accelerator produced radionuclides, naturally occurring radionuclides, and machine produced radiation requires authorization. To obtain authorization, you must complete and submit the required forms to the Radiation Safety Program.

Contact:
University Safety and Assurances

Responsible Conduct of Research


What is it?
The National Science Foundation (NSF) and the National Institutes of Health (NIH) require that all undergraduate students, graduate students, and post-doctoral researchers who receive financial support for research through NSF or NIH must receive training and oversight in the responsible and ethical conduct of research (RCR). UWM uses CITI training for its basic RCR training; in addition, UWM can work with researchers to provide supplemental training for RCR topics on request; contact Kari Whittenberger-Keith, RCR Co-Director (kariwk@uwm.edu), for more information.

What do I need to do?
You can access CITI RCR training here. Contact Kari Whittenberger-Keith if you have questions.

Contact:
Kari Whittenberger-Keith, RCR Co-Director.