Research Compliance

Research is heavily regulated.  One way of understanding how research is regulated is to consider the type or class of research:

  1. Research involving external funding.
    Regulations relate to research integrity, cost accounting and cash management, and conflicts of interest -- among other matters.  Information on institutional research compliance is provided by the Office of Sponsored Programs.  The Vice Provost for Research (VPR) is the institutional official charged with ensuring that throughout all Schools of the College, the university’s research enterprise is managed in accordance with federal, state, and institutional regulations and guidelines.  
  2. Research involving (a) live human subjects, (b) radioactive materials, (c) vertebrate animals, or (d) recombinant DNA, infectious agents (including wild-caught animals that may harbor infections agents), or human fluid or tissue.  
    These four classes of research may be performed only subject to specific protocols subject to advance review and approval by specific university committees.  Information is available through the Office of Sponsored Programs.   
  3. Research involving Select Agents and Toxins (chemicals), high levels of noise, hazardous waste, and other workplace hazards.
    This type of research may require compliance activities related to OSHA and other workplace safety laws.  Guidance and protocols are available from the W&M Office of Environmental Health & Safety.

  4. Research involving work with certain foreign nationals, travel to certain foreign countries, release of certain information to foreign nationals, or research involving technology or devices that may have a military or intelligence application.
    These research activities may be regulated under Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), or Office of Foreign Assets Control (OFAC) restrictions.  Visit the Office of Sponsored Programs' website for guidance about export controls.

In addition, restrictions on use of intellectual property and copyrighted materials, and on conflicts of interest, are applicable to all researchers.  Guidance on these restrictions is found in university policies.

This page last updated August 2016.