Research Compliance

Mission: To serve as a resource to university leadership, university enterprises (Knowledge, Learning and Academic), ASU faculty and staff by managing external funded and unfunded research compliance risks through the following:

• Education and outreach on compliance areas.
• Efficient processes to make compliance as easy as possible for the regulated community.
• Support institutional compliance committees.
• Provide institutional oversight.
• Supporting the ethical conduct of research in compliance with federal, state, and university regulations.

Vision: To provide resources to ASU faculty, staff and students ensuring research is performed with the highest ethical standards, safely and in compliance with all applicable regulations and policies.

---

What’s new in Research Compliance

Research Compliance that works for you!

At Research Compliance, our goal is simple: make compliance easier, keep research moving forward, and support your success.

Recent Updates

• New Faculty Welcome Packet – New to ASU? Our Welcome Packet introduces key research compliance offices, resources, and responsibilities to help you get started.
• NSF Research Security Requirements (Coming FY2027) – The National Science Foundation (NSF) has announced forthcoming research security requirements, expected to take effect in Fiscal Year 2027. The requirements will prohibit the use of NSF funds for certain collaborations with entities identified on specified U.S. restricted party lists. Once implemented, NSF senior/key personnel will also be prohibited from collaborating with, holding appointments at, or receiving research support from these restricted entities during the period of an NSF award. Institutions and researchers will be required to certify compliance at the time of proposal submission.  Researchers planning NSF proposals are encouraged to review their current collaborations, affiliations, appointments, and sources of research support to identify any relationships that may be affected by these requirements.
• Publication Submission Compliance Checklist – A new checklist is available to help researchers address authorship, funding acknowledgments, disclosure requirements, data sharing expectations, and other compliance considerations before submitting manuscripts.
• Visual Compliance Guidance – A  Visual Compliance (VC) Guideline is now available on the Research Compliance Regulations and Resources webpage to support restricted party screening and vetting. Faculty and staff seeking access to Visual Compliance or assistance with screening may contact [email protected].

• Foreign Ownership, Control, or Influence (FOCI) Resources – New guidance is available to help researchers understand foreign affiliation, collaboration, and support disclosure requirements. 
• Foreign National Restrictions Training – A new microlearning module Foreign National Restrictions in Research explains foreign national restrictions commonly found in federally sponsored research involving sensitive technologies or controlled information.
• Critical Mineral Research Guidance – Researchers working with critical minerals can access new guidance addressing export controls, research security, and international collaboration considerations.  Click here.
• Quantum Medical Technology Research Resources – Explore new compliance guidance developed to support researchers conducting quantum medical technology research. Click here.
• Subrecipient Cybersecurity & Research Security Form – A new form and help guide (Click here) simplify collection of cybersecurity and research security information during proposal development and award management for federally sponsored projects.

What We Are Tracking for You

Research Compliance is monitoring federal requirements and changes that may affect your federally funded research. This includes tracking:

• Collaborations and research relationships with entities that may appear on U.S. restricted or sanctioned party lists.
• Foreign affiliations and appointments that may create research security or disclosure concerns.
• Research support and funding relationships involving foreign or restricted entities.
• Subrecipients, contractors, and other research partners that may be subject to federal restrictions.
• Co-authorships and other research collaborations that may require additional review or disclosure.
• Changes in federal requirements and restricted-party lists that could affect an existing award or a future proposal.
• Required certifications and disclosures associated with federal proposals and awards.
• Research activities that may fall within newly defined high-risk areas, including research subject to federal funding prohibitions.

Our goal is to identify potential impacts early and provide researchers with guidance before additional review or action is required. Researchers will be contacted if their research may be affected.

DOE-Funded Research: Conflict of Interest and Conflict of Commitment Requirements

The Department of Energy (DOE) recently finalized new Conflict of Interest (COI) and Conflict of Commitment (COC) requirements for individuals participating in DOE-funded projects.  The new requirements reinforce the importance of identifying and addressing outside activities that may create actual, apparent, or potential conflicts of commitment.

Under ACD 510-01, ASU faculty and academic professionals must provide advance notice and obtain approval before engaging in certain consulting and other outside business activities or arrangements.  This process allows ASU to evaluate proposed outside activities for potential conflicts of interest or commitment and address any concerns before the activity begins.

Faculty are reminded of their responsibility to obtain required approvals for outside activities and to keep their information current, particularly when participating in DOE-funded research.

For more information, visit: ASU’s Notice of Consulting page.

Generative AI and Research Integrity: What Researchers Need to Know

Generative artificial intelligence (AI) is rapidly becoming part of the research landscape. From developing ideas and drafting text to supporting analysis and preparing grant applications, AI tools can offer researchers new ways to work more efficiently and explore new possibilities. At the same time, the use of these tools raises important questions about research integrity. The Office of Research Integrity (ORI) recently released guidance  addressing the use of generative AI in the context of research misconduct. The guidance provides an important reminder:

The use of generative AI is not inherently research misconduct, but researchers remain responsible for the integrity and accuracy of their work including proposing, performing and reporting research including publishing the results.

What does this mean for ASU researchers?

As the use of AI continues to evolve, researchers should approach these tools thoughtfully and transparently. This includes understanding how AI is being used in the research process, verifying information and outputs, appropriately acknowledging sources, and following applicable requirements from institutions, sponsors, journals, and research communities.

Researchers should also recognize that AI tools can produce inaccurate information, fabricated references, or content that may not be appropriately attributed. Human oversight and judgment are the responsibility of the faculty and researchers and remain essential.

Expectations around AI use may differ across disciplines and research settings. Researchers should be familiar with the standards and practices applicable to their work and consider whether and how AI use should be disclosed or documented.

Looking ahead

Generative AI will continue to evolve, and so will expectations for its responsible use in research. ASU researchers do not need to avoid these tools, but they should use them in ways that support research integrity.

It is important to be mindful as researchers work through the appropriate and responsible use of AI tools in performing and reporting research outcomes they consider the core responsibility for understanding that:

• AI is not eligible for authorship contributions because it cannot provide individual intellectual responsibility for the research being published.
• Faculty are responsible for verifying all research outcomes including any AI generated text, data analysis, and citations.
• Use of generative AI for text, table or figure generation require reporting in the publication acknowledgment and/or methods section.

Takeaway: Use AI thoughtfully. Verify the results. Be transparent about its use. And continue to apply the same standards of integrity to AI-assisted research as you would to any other research activity.

See ORI’s Guidance on Generative Artificial Intelligence.

 If any questions about the above, please reach out to [email protected]

Training Opportunities

Research Security 101 September NCURA Training

Research Security 101: What Every Research Administrator Needs to Know

September 17, 2026
11:00 – 12:30 pm AZ Time

Research security has become an increasingly important part of the research enterprise, but many research administrators are still asking: What exactly is research security, why is it receiving so much attention, and what does it mean for my day-to-day work? 

This introductory webinar will provide a practical overview of the current research security landscape and explain the factors driving new requirements from federal agencies and institutions. Designed for research administrators who work directly with principal investigators and research teams, this session will demystify key concepts, terminology, and expectations. 

Participants will gain a foundational understanding of research security, learn how it supports the protection of research integrity and national interests, and identify the role research administrators play in helping investigators navigate evolving requirements.

Learning Objectives

By the end of this webinar, participants will be able to: 

• Define research security and its purpose within the research enterprise.
• Understand the federal and institutional drivers behind current research security requirements.
• Recognize common research security topics, including foreign influence, international collaborations, disclosure requirements, and research integrity.
• Identify the role research administrators play in supporting investigators and promoting compliance.
• Navigate conversations with researchers about research security requirements with greater confidence.

RCR Workshops

Workshop Schedule

Have ideas for us? Let us know

Your input matters! We’d love to hear your thoughts on how we’re doing and what we could do better. Please share your feedback by completing this Research Compliance Survey

For Other Research Compliance news and announcements click here.

---

Through key committees, related programs and activities, Research Compliance personnel coordinate the development of, implement and oversee university policies related to research compliance and provides support for the responsible conduct of research for the following areas: