Completing the Compliance Review Page for Funding Proposals
- Joseph Nyachae
The following are compliance review questions for a funding proposal. Answer these questions carefully to ensure your proposal meets all necessary compliance requirements.
Add additional WVU resources & links to the compliance review
Instructions:
Read each question thoroughly.
For Yes/No questions, select the appropriate answer based on whether it applies to your project.
If you answer "Yes" to a question, be prepared to provide additional information as requested.
For questions with checkboxes, select all options that apply to your project.
Some selections may trigger automatic Ancillary Reviews (AR) or reports, so answer accurately. Tell users which selections trigger
Compliance Review
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Indicate if human subjects are involved in the project (Yes/No). If Yes:
Specify if it is a clinical trial
Select the IRB review status of this research. Provide relevant dates and protocol numbers based on the status.
Approved – If Approved is selected you need to provide:
*IRB approval date
*Primary IRB protocol number
Additional IRB protocol numbers
Pending - If Pending is selected you need to provide:
*Date protocol submitted to IRB
Primary IRB protocol number
Additional IRB protocol number
Exempt - If Exempt is selected you need to provide:
IRB approval date
Date protocol submitted to IRB
If NIH-funded, select the appropriate IRB exemption codes
Primary IRB protocol number
Additional IRB protocol numbers
Type any additional information that might be useful for this review
Not Yet Submitted
Type any additional information that might be useful for this review.
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Indicate if laboratory animals are involved in this project (Yes/No). If Yes:
Provide the approval date, protocol numbers, and other requested information.
Select the IACUC review status
Approved – If Approved is selected you need to provide:
* IACUC approval date
* Primary IACUC protocol number
Additional IACUC protocol numbers
Pending - If Pending is selected you need to provide:
* Date protocol submitted to IACUC
Primary IACUC protocol number
Additional IACUC protocol numbers
Not Yet Submitted
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Indicate if these are involved (Yes/No) If Yes:
Select the IBC review status. Provide approval date, protocol numbers, and other requested information
Approved – If Approved is selected you need to provide:
* IBC approval date
* Primary IBC protocol number
Additional IBC protocol numbers
Pending - If Pending is selected you need to provide:
* Date protocol submitted to IBC
Primary IBC protocol number
Additional IBC protocol numbers
Not Yet Submitted
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Indicate if these are required (Yes/No). If Yes:
Select the Safety committee review status of this research. Provide approval date, and registration number
Approved – If Approved is selected you need to provide:
* Safety committee approval date
* Registration number
Pending - If Pending is selected you need to provide:
* Safety committee submission Date
Registration number
Not Yet Submitted
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Indicate if these are involved (Yes/No)
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Indicate if these are involved (Yes/No)
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Indicate if these are involved (Yes/No). If Yes:
Specific stem cell cannot be referenced at this time, one from the registry will be used:
List the embryonic stem cell lines
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Select all applicable international aspects of the project.
Note: If any box other than ‘None of the above’ is selected: a. Identify all countries involved b. Provide details about the foreign activity c. Provide foreign component justification
Export Administration Regulations (EAR) / International Traffic in Arms (ITAR)
International Travel – Remember to Register in Terra Dotta Travel Registry
Foreign Subawardee or Vendor (entity or person)
Foreign Person (including faculty, student, visiting scholar, unpaid collaborator)
Financial or in-kind support from a foreign entity
Sponsor or Collaborator to loan or provide equipment to the University
Sponsor Requires foreign person approval prior to participation or payment
Research involves Iran, Cuba, North Korea, Syria, Russia, Crimea, or Occupied Regions of Ukraine (e.g., entities associated with or travel to one of these countries)
None of the above
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Select all applicable sponsor-specific requirements. If any box other than ‘None of the above’ is selected, provide a description
Does the federal funding agency require an assertion of rights to inventions, technical data, and/or computer software or an intellectual property management plan as part of the proposal?
The Sponsor requires annual invention reporting
A PI may not publish research results without the Sponsor’s approval, except for the Sponsor’s right to review and exclude their proprietary data from publication.
A Diversity Equity Inclusion & Belonging Plan is required. (Add a DEI Ancillary Review)
This is an NSF proposal that will include off-site/off-campus research or activities requiring a SAIF plan.
This is an NSF or USDA NIFA proposal, and a Mentor Training Plan or an RCR Training Plan is required.
None of the Above
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Select all applicable institutional policy considerations. If any box other than ‘None of the above’ is selected, provide a description
Background Intellectual Property (IP) will be used
There is a high probability that Foreground Intellectual Property (IP) will be generated
The Research will be conducted in locations not owned or managed by the University or the Health System
The research will be conducted at a WVU Farm or Forest (e.g., J.W. Ruby Research Farm, Willow Bend Demonstration Farm, University Forest).
The research requires renovation, alteration, or unassigned space, expanded utility services (e.g., fume hoods, air conditioning, the purchase or installation of major equipment)
This proposal involves a clinical trial or a prospective clinical observational study.
This proposal involves third parties accessing WVU Health System (hospital) software or networks or installing/using new software or technology components (cameras, iPads, etc.) on WVU Health System networks or technology environments.
None of the above
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Mouse/Rat
Rabbit
Pigeons
Zebrafish
Other (Add an Office of Lab Animals Resources Ancillary Review)
If "Other" is selected, specify the species
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Select all applicable data management & protection compliance and technology budget considerations
The dataset is estimated to be over 2 Terabytes and is high-risk according to WVU policy.
WVU baseline data storage services cannot be used.
Approved baseline technology (hw/sw/services) cannot be used (including HPC services) and new technology will be purchased or used.
The data has regulatory requirements not supported by WVU (CUI, NIST 800/171, CMMC.)
The funding agency has specific cybersecurity requirements (an SSP, a form, a Cybersecurity Plan, etc.).
This proposal requires information related to Covered Defense Information Controls and Compliance including DFARS 252.204-7020 or DFARS 252.239.7010.
This proposal requires a Data Management & Sharing Plan to comply with Public Access policies.
The PI requires assistance with the Data Management and Sharing Plan budget (storage, results repository, curation, and other costs).
This proposal involves third parties accessing WVU (University) software or networks or installing/using new software or technology components (cameras, iPads, etc.) on WVU networks or technology environments.
The research will produce scientific data
None of the above
Note: For each section, pay attention to the specific instructions and provide all requested information. Some selections may trigger automatic Ancillary Reviews (AR) or reports.