Compliance
Components of Research Administration Compliance in the School of Medicine
The School of Medicine is committed to conducting sponsored research in accordance with all relevant ethical, legal, and regulatory obligations. The SOM has structured a number of compliance programs and initiatives to ensure the effective monitoring, auditing, training, education, and communication regarding compliance issues.
The University’s Conflict of Interest policy (RES-005) defines a COI Investigator as “the project director or principal investigator and any other person, regardless of title or position: (1) who is responsible for the design, conduct, or reporting of research or proposed research, which may include, for example, senior research staff, collaborators, or consultants; and (2) whose research is supported by extramural funding (not internal funds or gifts).”
Administrators can check the compliance status of a single investigator or group of investigators via the QlikSense “Research Conflict of Interest (COI)” report.
INVESTIGATORS – Complete Compliance Requirements here:
| Requirement | Who Needs to Complete | Link | Completion Deadline & Frequency | Action Notes for Research Administrators |
|---|---|---|---|---|
| COI/SFI Disclosure* | All COI Investigators | At Proposal and annually thereafter or within 30 days of discovering or acquiring a new SFI | Check Huron "COI Disclosure Status" on the FP; Trigger action and notification with "Send to COI" activity | |
| Financial Conflict of Interest (COI) Training** | All COI Investigators | At Award and every four (4) years thereafter | Check compliance via UBI Compliance report | |
| Research Security (ResSec) Training*** | All COI Investigators | At Award and annually thereafter; At Proposal for NSF and DOE(nergy) | Check compliance via UBI Compliance report | |
| Responsible Conduct of Research (RCR) Training^ | All NSF and USDA/NIFA Key Personnel | At Proposal and every four (4) years thereafter | Check compliance via UBI Compliance report | |
| NIH Other Support Training^^ | All NIH Key Personnel | At Award, no recurrence | Check compliance via UBI Compliance report | |
| Patent Agreement^^^ | All Key Personnel | At Award, no recurrence | Check compliance via UBI Compliance report | |
| Other research-specific training^* |
*Significant Financial Interest (SFI) Disclosure – RES-005: All Principal Investigators and any other individuals “responsible for the design, conduct, and reporting of research” are required to disclose all Significant Financial Interests or confirm their absence annually using the University’s electronic COI reporting module in ResearchUVA Huron. Investigators are also required to update their disclosure within thirty days of discovering or acquiring a new Significant Financial Interest. More Information. A current disclosure is required prior to submission of any proposal.
**Financial Conflict of Interest (COI) Training – RES-005: All UVA “COI Investigators,” as defined in RES-005, conducting research under external funding mechanisms are required to complete the CITI Conflict of Interest (COI) training prior to commencing this research and at least every four years thereafter. More Information
***Research Security (ResSec) Training – RES-011: All UVA “COI Investigators” as defined in RES-005 and regardless of funding source, must complete the CITI Research Security (UVA) course. All COI Investigators named on an award must have completed their training before an award will be processed by the Office of Sponsored Programs. Any COI Investigator included in a proposal to the National Science Foundation (NSF) or Department of Energy (DOE), must complete ResSec training prior to proposal submission. More Information
^Responsible Conduct of Research (RCR) Training – RES-011: All UVA “COI Investigators,” as defined in RES-005, participating in projects funded by the National Science Foundation (NSF) or the USDA National Institute of Food and Agriculture (NIFA), must complete the CITI Responsible Conduct of Research course prior to proposal submission. NIH Investigators must complete the CITI RCR course per agency and institutional plan requirements. More Information
^^NIH Other Support Training – NOT-OD-25-133: All faculty and researchers identified as Senior/Key Personnel in NIH applications and awards must complete the Workday Learning Module for training on the requirements to disclose all research activities and affiliations (active and pending) in Other Support.
^^^Patent Agreement – RES-006: Any person who may be engaged in University research is required to execute a patent agreement with the University in which the rights and obligations of both parties are defined.
^*Other research-specific trainings (e.g. human or animal subjects, environmental health and safety, reporting, etc) may be required, depending on lab role, access, or functionality.