Compliance Requirements (Non-Financial)
Efforts to address non-financial compliance requirements will likely have been initiated during the Plan/Propose stage. By careful planning and review of sponsor requirements for externally funded research, as well as relevant regulations and University of Washington policies, researchers and their teams will have fewer outstanding administrative requirements to address in the Setup stage. This preparation will save the team time and will help to ensure that research may begin as planned and on time. Non-financial compliance areas common in UW research include, but are not limited to, security and export controls, environmental health and safety concerns, and the use of human subjects, animals, or stem cells. At time of award, some information on an eGC1 in SAGE will place the Funding Action (FA) on HOLD to allow necessary compliance review.
- It is the responsibility of the Principal Investigator (PI) to meet non-financial compliance requirements associated with their research programs and projects.
- Lab, department, or school/college research administrators may assist the PI with many administrative and compliance requirements.
- Central UW research administration and compliance offices provide guidance, institutional management, and oversight.
- Read and confirm all sponsor requirements for non-financial compliance are being met. This may include approval of protocols, use of materials, data sharing and release agreements, and other requirements.
- Identify university policies or procedures that apply to your research and the corresponding university department, office, or contact that serves as a resource for the requirement. Outstanding requirements for compliance should be resolved at this time to ensure research begins on time.
- Schedule or plan for upcoming renewals or reviews that will be required for maintenance of non-financial compliance. Organize protocol names, approval dates, and other relevant information or identifiers; identify and understand sponsor and/or university systems and portals that will be utilized.
- Contact your department research administrator for questions related to university policies and procedures concerning non-financial compliance for your research.
- Work with your Office of Sponsored Programs (OSP) reviewer for questions or concerns related to sponsor guidelines or specific requirements for externally funded research.
- Coordinate with university departments and offices as appropriate for other non-financial compliance requirements for your program or project.
Forms, Tools, and Resources
Policy, Regulation, and Guidance
- GIM 36 – Human Embryonic Stem Cell Research Policy and…
- GIM 37 – Research Data
- GIM 10 – Financial Conflict of Interest Policy
- Export Control Measures
- Embryonic Stem Cell Research Oversight (ESCRO)
- Executive Order 24: Research with Human Participants
- EO 53 Use of Experimental Animals
- Executive Order 32: Employee Responsibilities and Employee Conflict of Interest
- Executive Order 8: Classified, Proprietary, and Restricted Research
- APS 2.4 Information Security and Privacy Roles, Responsibilities, and Definitions
- Executive Order 36: Patent, Invention, and Copyright Policy