UW Research

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 time for the team and will help to ensure that research may begin on time and as planned. 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.

Roles

  • 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.

Plan/Act

  • 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.