Compliance and Training
Explore the policies, offices, and training requirements that support compliant research at Northwestern. Use this page to identify applicable requirements and link to detailed resources across the research lifecycle.
Ready to get started? Follow our Training Completion Guide for step-by-step instructions on accessing platforms and recording your credits.
| Name | Resource Type | Description | |
|---|---|---|---|
| Research Administration Training | Training | An online program that provides an overview of the Office for Research and key concepts for research administrators. Audience: PIs, researchers, students, and staff new to NU. | Financial and Sponsored Research |
| NIH Data Management and Sharing | Policy | Guidelines for NIH-funded investigators on submitting and implementing required plans for the management and public sharing of scientific data. Audience: Investigators and research teams managing and sharing NIH-funded research data. | Financial and Sponsored Research |
| Costing Policies (e.g., Cost Sharing, Cost Transfers, Effort Reporting) | Policy | Financial policies and procedures for managing sponsored projects. Audience: Research, Financial, and ERS Administrators. | Financial and Sponsored Research |
| Conflict of Interest Office | Compliance Office | Oversees and implements the university's institutional and research conflict of interest policies. Audience: PIs and others involved in research. | Financial and Sponsored Research |
| Conflict of Interest in Research Policy | Policy | Manages conflicts of interest to maintain objectivity in research. Audience: PIs and others involved in research. | Financial and Sponsored Research |
| Institutional Animal Care and Use Committee (IACUC) Policies | Policy | Policies ensuring the humane care and use of animals in research. Audience: Every individual listed on an Animal Study Protocol (ASP). | Human and Animal Research |
| Human Research Protection Program (HRPP) Policies | Policy | Policies from the Institutional Review Board (IRB) that protect the rights and welfare of human participants in research. Audience: All individuals involved in the conduct of human research. | Human and Animal Research |
| Human Participant Research | Compliance Office | Dedicated to protecting the rights and welfare of human participants in research, including administrative support for the Institutional Review Board (IRB). Audience: All persons engaged in human research and listed on the eIRB+ study application (includes PIs and Co-PIs). | Human and Animal Research |
| Human Participant Protection Training | Training | Required training for individuals involved in human research, typically through the CITI Program. Audience: Every individual listed on an Animal Study Protocol (ASP). | Human and Animal Research |
| Animal Care and Use Training | Training | Required training for personnel working with animals, covering proper handling and care. Audience: Every individual listed on an Animal Study Protocol (ASP). | Human and Animal Research |
| Animal Care and Use | Compliance Office | Dedicated to protecting the rights and welfare of human participants in research, including administrative support for the Institutional Review Board (IRB). Audience: Every individual listed on an Animal Study Protocol (ASP). | Human and Animal Research |
| Responsible Conduct of Research (RCR) Training | Training | Mandatory training for researchers, including students and staff, to ensure they conduct ethical research. It includes online modules via the CITI Program and instructor-led courses. Audience: All members of Northwestern’s research enterprise. | Research Integrity |
| Policy for Reviewing Alleged Research Misconduct | Policy | Outlines the process for investigating and resolving allegations of research misconduct, defined as fabrication, falsification, or plagiarism. Audience: Faculty, students, other trainees, staff, and all other members of the NU community. | Research Integrity |
| Research Data: Ownership, Retention, and Access Policy | Policy | Guidelines for managing research data, including ownership and retention. Audience: Deans, Directors, and Department Heads. Administrative staff responsible for the maintenance of University records. Anyone accessing University records. | Research Integrity |
| Office for Research Integrity | Compliance Office | Fosters research integrity, promotes responsible conduct of research, and facilitates the review of alleged research misconduct. Audience: All students/trainees, staff, and faculty. | Research Integrity |
| Authorship Guidelines | Policy | Provides guidance on proper attribution of authorship in scholarly works. Audience: Authors and administrators. | Research Integrity |
| Research Security Training | Training | Training to protect against improper foreign influence and other security risks in research. Audience: PIs and research administrators. | Security and Safety |
| Research Security | Compliance Office | Supports the university's core values while protecting against improper foreign interference, conflicts of commitment, and other security issues. Audience: Covered personnel—including PIs and Senior/Key Personnel. | Security and Safety |
| Research Safety Training | Training | Training on safety protocols for laboratory and other research environments. Audience: PIs and researchers working in labs. | Security and Safety |
| Research Safety Policies (e.g., Lab Safety, Chemical Hygiene) | Policy | Policies for a safe research environment. Audience: PIs and researchers working in labs. | Security and Safety |
| Research Safety | Compliance Office | Identifies potential hazards in research and finds solutions to protect individuals, public health, and the environment. Audience: PIs and researchers working in labs. | Security and Safety |
| Protecting Against Improper Foreign Influence in Research | Policy | Provides protocols for disclosing international collaborations and foreign talent programs to comply with federal research security mandates (NSPM-33). Audience: Covered personnel, including PIs. | Security and Safety |
| Export Controls Compliance Policy | Policy | Ensures research activities comply with U.S. laws regulating the distribution of technology and information to foreign entities. Audience: PIs and research administrators. | Security and Safety |
| Export Controls and International Compliance Training | Training | Helps researchers understand and comply with export control regulations. Audience: PIs and research administrators. | Security and Safety |
| Export Controls and International Compliance | Compliance Office | Ensures all university activities comply with U.S. laws and regulations regarding the transfer of technology, services, and information to foreign nationals and countries. Audience: PIs and research administrators. | Security and Safety |