Compliance Requirements (Non-Financial)

Throughout the research, or the Manage stage, researchers and their teams should be aware of, and prepared for, review or renewal mandates in the non-financial compliance requirements and policies which apply to their research. Being mindful of these ongoing administrative requirements and planning ahead in the Setup stage will reduce the administrative burden of these tasks while the research is ongoing. The risks of noncompliance with sponsor requirements for externally funded research, University of Washington policies, and state and federal regulations, will be mitigated.

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

• Identify or confirm review and renewal provisions in sponsor requirements or approved university agreements or protocols. Assign a team member to be responsible for reminders for, or submission of, relevant forms.
• Determine the types of revisions to agreements or protocols that will require prior approval. Plan to submit these requests ahead of implementing the corresponding changes to the research project or program; these reviews can take time, especially in cases where committee meetings must be held.
• Identify or confirm department or university contacts that serve as resources for non-financial compliance requirements that apply to your research, work with them early in cases where compliance with a non-financial requirement requires assistance, explanation, or management.
• 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.