Research Service Center

Compliance and Auditing

Both the RSC and the Office of Research Integrity and Outreach are a phone call away to ensure that your research project complies with all applicable regulatory standards.

Research activities at the University of Southern Maine are governed by federal and state regulations, as well as University policies which have been instituted to ensure scientific integrity, safeguard the welfare of animal and human subjects, and protect the health and safety of faculty and staff, students, and visitors to campus.

You as Principal Investigator are responsible for familiarizing yourself and complying with all applicable regulations and policies so that the University and individual staff members are not at risk for violations that could result in substantial administrative, civil and criminal fines and penalties.

The Office of Management and Budget (OMB) works with federal grant-making agencies and the grantee community to establish government-wide grants management policies and guidelines to assure that grants are managed properly and that federal dollars are spent in accordance with applicable laws and regulations.These policies and guidelines are outlined in OMB circulars and common rules which are incorporated into each federal grant-making agencies’ respective sets of regulations.

OMB’s most recent guidance regarding research consolidated, updated, and replaced some OMB circulars. The new Uniform Guidance administrative requirements and cost principles apply to new and incremental funding issued on or after December 26, 2014; awards issued prior to December 26, 2014 remain subject to the old guidance.

University of Maine system policies regarding fiscal accountability for all sponsored projects proceed from these federal regulations.

  • Principal Investigators (PIs) are responsible for understanding and fulfilling their fiscal obligations accordingly and are expected to exercise proper fiscal oversight for each sponsored project they are awarded. 
  • This oversight includes, but is not limited to, performing monthly reviews of project budgets, addressing budget discrepancies and errors promptly, and filing time and effort reports in a timely manner. 
  • In addition, PIs are responsible for ensuring that only costs which are allowable (i.e., allocable, collectible, consistent and reasonable) are charged to projects. All other charges, whether made willfully, or through ignorance or negligence, are violations of federal law which could result in penalties to the University and the individual PI.

 Click here for more information about University Administrative Practice Letters (APLs).


Financial Conflicts of Interest

Researchers are obligated to disclose significant financial interests upon submitting a proposal for external funding or upon a change in financial interest which creates the possibility of a conflict of interest in regard to a research proposal. Please visit the Office of Research Integrity and Outreach (ORIO) website for more information about the financial conflict of interest policy and how to meet these requirements.