UW Research

Compliance

Human Subjects

Protocol Approval

All research involving human subjects requires review by the Human Subjects Division (HSD). If federal training grant funding will support trainees who will do work involving human subjects, the grant PI must provide any formal documentation about human subjects approval (such as a Delayed Onset Human Research determination from HSD) that is required by the funding agency. However, if the documentation is not required by the funding agency, OSP can release the funding if the PI provides OSP with an assurance that no human subjects research will occur without IRB approval.

If a DOHR was required for the initial year of funding, a renewal of the DOHR at the end of the year is required only if the funding agency requires it. To obtain renewal, the PI provides HSD with updated information using the DOHR form.

Progress Reports and Continuation Funding

The progress report typically includes all protocol numbers for a faculty mentor’s research under which a trainee participates. Because NIH may ask for this information, early collection and updating of all relevant IRB protocol numbers tied to the training grant is recommended. Due to database limitations, HSD is not able to provide this information to the PI. When the continuation funding is received by OSP they will verify that the DOHR determination is current.

Human Subjects Training

Individuals who are engaged in federally-funded research that involves human subjects must complete training on the Protection of Human Research Subjects (PHRS). The requirement is described on the HSD training webpage.

Animal Use

Protocol Approval

If, at the proposal stage, animal involvement is anticipated within the period of award, but plans are indefinite and it is not possible to describe the use of animals, the PI checks “Yes” to animal use and in the Research Plan, Item 12, provides an explanation and when it is anticipated that animals will be used.

Before activities with animals begin, the applicant must provide all of the information required by 5.5, Research Plan, Item 12, Vertebrate Animals, with verification of current IACUC approval, to the awarding component for prior approval. IACUC approval must have occurred within the past three years to be considered current.

If a PI does want to include in the grant proposal a list of the faculty mentors who might take trainees and the associated IACUC (Institutional Animal Care and Use Committee) protocol numbers and approval dates, the PI ensures that the Office of Animal Welfare (OAW) is able to review the institutional training grant proposal alongside the listed protocols before the proposal is finalized and submitted.

Once the PI has a potentially fundable score, the PI needs to provide OAW:

  1. a copy of the proposal
  2. a copy of the eGC1 (or simply add “animal subjects” as a watcher in SAGE)
  3. a list of the pertinent IACUC protocols
  4. new IACUC protocol requests if needed, or changes to approved protocols that are necessary for covering the work described in the proposal

If OAW reviewed the proposal at submission time per a PI request, then at the time of fundable score, notify OAW and they will update the approval dates or list and provide a letter.

Protocol Numbers for Noncompeting Continuation Progress Reports

As part of the non-competing progress report for continuation funding, NIH requires the identification of, and IACUC review dates for, NRSA institutional grants. NIH specifies that Identification means grant number, PI, and project title. In addition to the NIH required information, OSP requires PIs to provide UW protocol numbers when completing the new eCG1 that is part of the progress report.

The eGC1 for the progress report must include all IACUC protocol numbers for a faculty mentor’s research under which a trainee has participated in the last year, or will participate in during the next award period. Early collection and updating of all relevant IACUC protocol numbers and approval dates is recommended. It is a good idea to maintain a spreadsheet with all protocol numbers recorded.

Animal Use Training Program

For individuals who will be engaged in research that involves animals, the mentor submits a request to the IACUC to add the trainee to their protocol. Certain training requirements and enrollment in the Occupational Health Program for animal users must be completed prior to approval to work with animals. Contact OAW staff for advice regarding specific courses and/or certifications needed for the planned animal work.

Financial Conflict of Interest (FCOI)

As with all research activities at UW, Investigators on NIH Institutional Training Grants are required to be in compliance with the Financial Conflict of Interest Policy, GIM 10. This includes completing the online FCOI training and disclosing Significant Financial Interests (SFIs) in the Financial Interest Disclosure System (FIDS).

Supporting GIM 10 compliance on Training Grants can be challenging because they are more likely to have personnel changes than other grant types, including within individual project periods. Specifically, trainees that the Principal Investigator may designate as Investigators, those responsible for design, conduct, or reporting of the research (see GIM 10 for complete definition), will need to be added to the PI, Personnel & Organizations page of the eGC1 for the current period and complete the associated requirements prior to beginning their research activities. This applies to Mentors added to the Grant as it is ongoing, as well, or may require updating the Investigator status on the eGC1 for Mentors identified at time of application on the eGC1, as they are paired with Trainees.