{"id":13402,"date":"2017-03-01T16:20:14","date_gmt":"2017-03-02T00:20:14","guid":{"rendered":"https:\/\/www.washington.edu\/research\/?page_id=13402"},"modified":"2026-03-30T16:44:59","modified_gmt":"2026-03-30T23:44:59","slug":"compliance-proposals-and-agreements","status":"publish","type":"page","link":"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/plan-and-propose\/compliance-proposals-and-agreements\/","title":{"rendered":"Compliance for Proposals and Agreements (Non-Financial)"},"content":{"rendered":"<h2>Contents<\/h2>\n<div class=\"table-of-contents\">\n<ul>\n<li><a href=\"#hsr\">Does your project involve Human Subjects Research?<\/a><\/li>\n<li><a href=\"#animals\">Does your project involve Animals?<\/a><\/li>\n<li><a href=\"#ehs\">Are there Environmental Health &amp; Safety Considerations?<\/a><\/li>\n<li><a href=\"#e2\">Will the project involve Equipment &amp; Materials?<\/a><\/li>\n<li><a href=\"#data-and-tech\">What about Data &amp; Technology in projects?<\/a>\n<ul>\n<li><a href=\"#proprietary\">Proprietary Information<\/a><\/li>\n<li><a href=\"#classified-or-restricted\">Classified or Restricted Research<\/a><\/li>\n<li><a href=\"#publications-or-participation-restrictions\">Restrictions on Publications or Foreign National Participation<\/a><\/li>\n<li><a href=\"#military-or-space\">Projects with Military or Space Applications or Sanctioned Countries<\/a><\/li>\n<\/ul>\n<\/li>\n<li><a href=\"#personnel\">What are non-fiscal compliance requirements impacting Personnel?<\/a><\/li>\n<\/ul>\n<\/div>\n<p>Understanding the potential impacts of non-fiscal regulatory compliance to specific projects at time of proposal or when reviewing agreements can help streamline eGC1 review and processing.<\/p>\n<p>The eGC1 in SAGE requires eGC1 preparers to provide responses to a variety of non-fiscal compliance topics. OSP refers to campus responses to these questions during proposal and award review to ensure  91探花compliance with regulations and sponsor policies.<\/p>\n<p>We highly recommend eGC1 preparers coordinate all responses to the non-fiscal compliance questions with the Principal Investigator and other members of the project team as needed. The eGC1 also allows you to <a href=\"\/research\/tools\/sage\/guide\/egc1-forms\/non-fiscal-compliance-page\/\" target=\"_blank\" rel=\"noopener\">send a direct link to sections of an eGC1<\/a> with the PI and Reviewers who have access to the eGC1.<\/p>\n<p>The following compliance information was designed to help those preparing proposals and After-the-Fact eGC1s understand how to navigate specific non-fiscal compliance areas.<\/p>\n<h2 id=\"hsr\">Does your project involve human subjects research?<\/h2>\n<p>Activities that meet the regulatory definition of human subjects research require either IRB review or a determination of exempt status. Information about the review process and requirements can be found on the <a href=\"\/research\/hsd\">Human Subjects Division website<\/a>. Visit HSD\u2019s <a href=\"\/research\/hsd\/getting-started\/\">Getting Started<\/a> page if you have questions about whether review is required, you are new to human research, or you are new to the 91探花.<\/p>\n<p>Although most sponsors do not require IRB approval at the proposal stage, there are some human subjects requirements that are important to consider at this time:<\/p>\n<ul>\n<li><a href=\"\/research\/hsd\/single-irb\/\">Use of a single IRB for multi-site or collaborative research<\/a> requires prior approval and a letter of support from HSD. To request a letter of support, email hsdrely@uw.edu<\/li>\n<li>The <a href=\"\/research\/hsd\/guidance\/\"> 91探花Diversity in Clinical Trials policy<\/a> applies to <a href=\"\/research\/hsd\/clinical-trials\/#what\">clinical trials<\/a> submitted to HSD for either  91探花IRB or external IRB review on or after January 1, 2026, with <a href=\"\/research\/hsd\/guidance\/dct\/#3\">some exceptions<\/a>. The requirements of this policy will necessitate additional staff time and financial resources. It is important that you plan and budget for these.<\/li>\n<li><a href=\"\/research\/hsd\/clinical-trials\/\">Other requirements for clinical trials<\/a> also necessitate advance planning, such as data and safety monitoring, dissemination of clinical trial results, and special requirements for emergency medicine research for which consent is not possible.<\/li>\n<\/ul>\n<p>Consult with the Human Subjects Division by emailing <a href=\"mailto:hsdinfo@uw.edu\">hsdinfo@uw.edu<\/a> or by contacting the <a href=\"\/research\/contact-us\/?keyword=508\">HSD staff team that serves your department<\/a>.<\/p>\n<h3>Human Subjects Research and the eGC1 Questions<\/h3>\n<p>If you will have Human Subjects you must mark the <a href=\"\/research\/tools\/sage\/guide\/egc1-forms\/non-fiscal-compliance-page\/human-subjects\/\" target=\"_blank\" rel=\"noopener\">Human Subjects question on the eGC1<\/a> (HS-1) with [YES].<\/p>\n<p>At the proposal stage most sponsors do not require IRB approval.<\/p>\n<p>Review guidance on <a href=\"\/research\/hsd\/guidance\/delayed-onset-human-research-dohr\/\">Delayed Onset Human Research (DOHR)<\/a>. Answer [YES] to HS-1A on the eGC1, If the human subjects research:<\/p>\n<ul>\n<li>Will depend upon completion of significant pre-human subjects work<\/li>\n<li>For a clinical research that plans to add new protocols over the course of the award<\/li>\n<li>The award will fund specific projects that will be selected and funded by the awardee (e.g., a pilot project program; some training grants).<\/li>\n<\/ul>\n<p>In most cases you can indicate IRB approval is pending on your eGC1 on HS-1B of the eGC1.<\/p>\n<p>For federal and non-federal <a href=\"\/research\/myresearch-lifecycle\/setup\/sponsor-requirements\/clinical-research\/\">clinical trials<\/a>: will the project involve use of  91探花Medicine clinical services or clinical space as a site of patient care, or include medical treatment of a patient by a  91探花Physicians provider? Mark eGC1 HS-1C [YES].<\/p>\n<p>We recommend using the institutional <a href=\"https:\/\/www.iths.org\/ctms\/ctms-submissions\/new-study-submissions\/\" target=\"_blank\" rel=\"noopener\">REDCap Study Intake Form<\/a> prior to completing the eGC1.<\/p>\n<p>Benefits of using the Study Intake Form include:<\/p>\n<ul>\n<li>Determining if study entry into the OnCore Clinical Trial Management System (CTMS) is required for sponsor invoicing purposes, which helps answer the related eGC1 question correctly.<\/li>\n<li>Creating a study identifier number with the prefix \u201cRG\u201d that can be used in your eGC1 short title to help link up the study records.<\/li>\n<li>Helping to identify whether CTO review for budgeting and billing compliance purposes is required, and if so, to coincide with the study contract review.<\/li>\n<li>Connecting to additional clinical research resources (e.g., Investigational Drug Services, CTO Translational Research Unit, CTO Study Budget Negotiation, etc.), some of which may have an impact on contractual terms.<\/li>\n<\/ul>\n<p>If human embryonic stem cells (hESC) will be used in the research, mark HS-2 [YES]. Review guidance from the <a href=\"\/research\/embryonic-stem-cell-research-oversight-escro\/\">Human Embryo and Embryonic Stem Cell Research Oversight Committee<\/a> (ESCRO).<\/p>\n<p>The hESC Committee provides scientific and ethical review of proposed human embryo and hESC research including compliance with applicable regulatory requirements and  91探花policies.<\/p>\n<hr \/>\n<h2 id=\"animals\">Does your project involve animals?<\/h2>\n<p>Consult with the <a href=\"https:\/\/sites.uw.edu\/oawrss\/\" target=\"_blank\" rel=\"noopener\">Office of Animal Welfare (OAW)<\/a> by emailing <a href=\"mailto:oawrss@uw.edu\">oawrss@uw.edu<\/a> to discuss:<\/p>\n<ul>\n<li>Capacity to work with the species of animal(s) that are identified in your research.<\/li>\n<li>Assistance in identifying and meeting space requirements for your animal work.<\/li>\n<li>Assistance with setting up protocols. The timeframe for approval of a new protocol is on average 3-4 months from submission.<\/li>\n<\/ul>\n<p>If the project involves work with vertebrate animals, cephalopods, or their tissues at  91探花or another performance site, Question AU-1 on the SAGE eGC1 must be marked [YES]. You will also need to identify whether the project is associated with a new Institutional Animal Care and Use Committee (IACUC) protocol or an existing one, and if an amendment to an existing protocol(s) is needed. Review <a href=\"\/research\/tools\/sage\/guide\/egc1-forms\/non-fiscal-compliance-page\/animal-use\/\">Animal Use<\/a> for assistance completing this section of the eGC1.<\/p>\n<p>Note: All animal work must be approved on an IACUC protocol at the time of award for funds to be released. When an award is made:<\/p>\n<ul>\n<li>OAW uses this information to facilitate the required congruence review and establish any necessary agreements with collaborating institutions. Reach out to OAW if you have questions about what constitutes animal work or need assistance with protocol development.<\/li>\n<li>OSP uses this information to confirm there is an approved IACUC protocol(s) in place that applies to the project.<\/li>\n<\/ul>\n<hr \/>\n<h2 id=\"ehs\">Are there Environmental Health &amp; Safety Considerations?<\/h2>\n<p>There will be institutional and sponsor requirements involving Environmental Health &amp; Safety. Review the <a href=\"https:\/\/www.ehs.washington.edu\/research-lab\/laboratory-safety\/introduction-research-safety\" target=\"_blank\" rel=\"noopener\">EH&amp;S Introduction to Research Safety<\/a> to understand important elements required for safety and compliance in your research space. Researchers and their teams should plan and apply for all necessary authorizations:<\/p>\n<ul>\n<li><a href=\"http:\/\/www.ehs.washington.edu\/biological\/biological-research-approval\" target=\"_blank\" rel=\"noopener\">Biological Use Authorization<\/a><\/li>\n<li><a href=\"http:\/\/www.ehs.washington.edu\/biological\/bloodborne-pathogens-bbp-program\" target=\"_blank\" rel=\"noopener\">Bloodborne Pathogen Program<\/a><\/li>\n<li><a href=\"http:\/\/www.ehs.washington.edu\/research-lab\/animal-use-medical-screening-aums\" target=\"_blank\" rel=\"noopener\">Animal Use Medical Screening (AUMS)<\/a><\/li>\n<li><a href=\"http:\/\/www.ehs.washington.edu\/radiation\/radiation-use-authorization-rua\" target=\"_blank\" rel=\"noopener\">Radiation Use Authorization<\/a><\/li>\n<li><a href=\"https:\/\/www.ehs.washington.edu\/radiation\/radiation-producing-devices\" target=\"_blank\" rel=\"noopener\">Radiation Producing Devices<\/a><\/li>\n<li><a href=\"https:\/\/www.ehs.washington.edu\/radiation\/laser-safety\" target=\"_blank\" rel=\"noopener\">Laser Safety<\/a><\/li>\n<\/ul>\n<p>Review the <a href=\"https:\/\/www.ehs.washington.edu\/system\/files\/resources\/piguide.pdf\" target=\"_blank\" rel=\"noopener\">EH&amp;S Guide for Principal Investigators<\/a> for more information.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Research Involving Biological Agents and Toxins for Dual Use Research of Concern (DURC) or Pathogens with Enhanced Pandemic Potential (PEPP)<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>The federal government regulates federally funded research that involves certain biological agents and toxins, or modification of pathogens.<\/p>\n<p>Principal investigators (PIs) are required to self-assess at the proposal stage and throughout the research lifecycle for changes that may influence whether their research is <a href=\"https:\/\/www.ehs.washington.edu\/biological\/biological-research-approval\/durc-pepp?_gl=1*17gael6*_ga*MTk1MjA3OTgyNS4xNzE4NjQyODEx*_ga_3T65WK0BM8*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.*_gcl_au*Mjk4NDExNjcuMTc1MTQxMTMzNC4yODExODk5OTcuMTc1ODg0NzU0MC4xNzU4ODQ3OTU2*_ga_JLHM9WH4JV*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.\" target=\"_blank\" rel=\"noopener\">Category 1 (DURC)<\/a> or <a href=\"https:\/\/www.ehs.washington.edu\/biological\/biological-research-approval\/durc-pepp?_gl=1*17gael6*_ga*MTk1MjA3OTgyNS4xNzE4NjQyODEx*_ga_3T65WK0BM8*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.*_gcl_au*Mjk4NDExNjcuMTc1MTQxMTMzNC4yODExODk5OTcuMTc1ODg0NzU0MC4xNzU4ODQ3OTU2*_ga_JLHM9WH4JV*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.\" target=\"_blank\" rel=\"noopener\">Category 2 (PEPP)<\/a>. EH&amp;S has developed a <a href=\"https:\/\/www.ehs.washington.edu\/biological\/biological-research-approval\/durc-pepp?_gl=1*17gael6*_ga*MTk1MjA3OTgyNS4xNzE4NjQyODEx*_ga_3T65WK0BM8*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.*_gcl_au*Mjk4NDExNjcuMTc1MTQxMTMzNC4yODExODk5OTcuMTc1ODg0NzU0MC4xNzU4ODQ3OTU2*_ga_JLHM9WH4JV*czE3NTkxNzU1MzEkbzgwMiRnMSR0MTc1OTE3NzYwNCRqMzUkbDAkaDA.\" target=\"_blank\" rel=\"noopener\">self-assessment worksheet<\/a> for this purpose. If identified, PIs may not proceed with the research, should it be funded, and must contact the  91探花Institutional Review Entity (IRE). IRE can advise on next steps. Questions? Please contact EH&amp;S at <a href=\"mailto:ehsdept@uw.edu\">ehsdept@uw.edu<\/a>\u00a0 or (206) 543-7262.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Hazardous Materials<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Calculate the quantity of hazardous materials needed for your research project early and determine whether the amounts needed are within the acceptable threshold on the eGC1.<\/p>\n<p>Work with EH&amp;S for evaluation and submission of animal research protocols and protocols involving biohazards for evaluation to determine any medical surveillance and vaccination requirements of research staff.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Review Questions Department Administrators and EH&amp;S Can Help You Answer<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<ul>\n<li>What decisions need to be made before you start the research?<\/li>\n<li>What are your space needs? Planning for facilities is essential, especially if you require a lab, biological safety cabinet, chemical fume hood, insectary, animal cages, containers for materials, storage, etc.<\/li>\n<li>Does your research involve hazardous materials? Do you require personal protective equipment? Are there medical requirements for your research staff? Are you working with biosafety, chemical, radioactive, or physical hazards?<\/li>\n<li>What <a href=\"https:\/\/ehs.washington.edu\/training\" target=\"_blank\" rel=\"noopener\">training<\/a> will be required for my research?<\/li>\n<li>Do you have standard operating procedures (SOPs) and research protocols?<\/li>\n<li>What are the requirements for <a href=\"https:\/\/www.ehs.washington.edu\/research-lab\/field-operations-safety\" target=\"_blank\" rel=\"noopener\">fieldwork<\/a>?<\/li>\n<li>Are permits required? Contact agencies such as United States Fish and Wildlife, United States Department of<\/li>\n<li>Agriculture, Centers for Disease Control and Prevention, and\/or the Department of Energy who will require permits for various research activities.\n<\/div>\n<\/div>\n<\/li>\n<\/ul>\n<\/div>\n<hr \/>\n<h2 id=\"e2\">Will the project involve Equipment &amp; Materials?<\/h2>\n<h3 id=\"fabrication\">Will there be Equipment Fabrication?<\/h3>\n<p>Will the project involve <a href=\"https:\/\/finance.uw.edu\/eio\/equipment-lifecycle\/acquisitions\/equipment-fabrication\" target=\"_blank\" rel=\"noopener\">equipment fabrication<\/a> at the UW? You will need to identify equipment fabrication on the eGC1 in SAGE. Typically, equipment fabrication is exempt from F&amp;A (F&amp;A charged to individual line items for equipment fabrication are 0%).<\/p>\n<ul>\n<li>Definition of <a href=\"\/research\/policies\/gim-13\/#equipment\">equipment<\/a><\/li>\n<li><a href=\"https:\/\/uwconnect.uw.edu\/finance?sysparm_article=KB0033527&amp;id=kb_article_view&amp;sysparm_rank=1&amp;sysparm_tsqueryId=9985c2e2c324b2184b2073bdc00131bf\" target=\"_blank\" rel=\"noopener\">Fabrication Projects Job Aid<\/a>: Job aid on Fabrication Projects in Workday specifically outlines responsibilities of key contacts and roles within the Workday Fabrication Project lifecycle.  91探花Net ID required to access.<\/li>\n<\/ul>\n<h3 id=\"export-materials\">Are you Exporting Items and\/or Materials?<\/h3>\n<p>Will the project involve physically sending or taking hardware, equipment, specimens, goods, software, monies, biological or chemical materials out of the U.S. (excludes  91探花owned laptops and cell phones)? If Yes, you will need to describe the items\/materials and list the destination country (or countries). This information will help the Export Controls Office determine if an export license may be required prior to being able to send or take the items\/materials out of the U.S. Please reach out to <a href=\"mailto:exports@uw.edu\">exports@uw.edu<\/a> if you have any questions about export compliance.<\/p>\n<p>Are biological materials being provided to the sponsor or other non- 91探花parties? Materials include, but are not limited to, biological and related research materials such as cell lines, cultures, bacteria, nucleotides, proteins, transgenic animals, pharmaceuticals, or chemicals, and any associated data. Please review <a href=\"\/research\/myresearch-lifecycle\/setup\/collaborations\/sharing-material\/\">Sharing Material<\/a>.<\/p>\n<p>Sharing of any materials and\/or data may require Material Transfer Agreements. Review <a href=\"\/research\/myresearch-lifecycle\/setup\/collaborations\/agreement-types\/\">Agreement Types<\/a>.<\/p>\n<p>Sharing proprietary or otherwise restricted information, technology or software with a foreign national may be subject to export control regulations and can occur at any time during your research. (Such as items found on a UW-owned laptop or cellphone). Please follow guidance found in the Data &amp; Technology section that follows.<\/p>\n<h2 id=\"data-and-tech\">What about Data &amp; Technology?<\/h2>\n<p>There are various regulatory requirements, sponsor restrictions, &amp;  91探花policies to consider when data &amp; technology are involved in sponsored projects. When these requirements are part of a proposal, you will need to provide more information explaining or describing what is involved in the project. The following sections provide basic information about some of these Data &amp; Technology topics along with guidance on responding to the related eGC1 non-fiscal compliance questions.<\/p>\n<p>Review More information on the following topics<\/p>\n<ul>\n<li><a href=\"#proprietary\">Proprietary Information<\/a>\n<ul>\n<li><a href=\"#confidential\">Confidential Information<\/a><\/li>\n<li><a href=\"#ip\">Use of Intellectual Property (IP)<\/a><\/li>\n<li><a href=\"#uw-bip\"> 91探花Background IP<\/a><\/li>\n<li><a href=\"#project-ip-wiap\">Project IP and use of WIAP terms<\/a><\/li>\n<\/ul>\n<\/li>\n<li><a href=\"#classified-or-restricted\">Classified or Restricted Research<\/a><\/li>\n<li><a href=\"#publications-or-participation-restrictions\">Restrictions on Publications or Foreign National Participation<\/a><\/li>\n<li><a href=\"#military-or-space\">Projects with Military or Space Applications<\/a><\/li>\n<\/ul>\n<h3 id=\"proprietary\">Proprietary Information<\/h3>\n<p>Proprietary Information is information that a party or parties want to protect from disclosure and may involve Confidential Information and Intellectual Property (IP).<\/p>\n<p>We need accurate details about Proprietary Information that will be shared or created on a project, however, information and documents included on an eGC1 are subject to public records requests.<\/p>\n<p>When Proprietary Information is involved in a project, you must select either of the following on question D-1 of the eGC1:<\/p>\n<ul>\n<li>Proprietary non-technical information shared with the 91探花.<\/li>\n<li>Export controlled\/proprietary technical information or source code shared with the 91探花 that is not intended for publication.\n<ul>\n<li>Select this if  91探花may receive proprietary technical information or source code.<\/li>\n<li>This is technical information or source code that is not the result of fundamental research \/ is not intended for publication or broad sharing within the research community.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<h4 id=\"confidential\">Confidential Information:<\/h4>\n<p>If the project includes confidential information select the appropriate \u201cProprietary Information\u201d checkbox on question D-1 on the eGC1.<\/p>\n<p>Sharing confidential information, whether incoming or outgoing, will require terms in an agreement that protect the confidentiality of that information.<\/p>\n<h4 id=\"ip\">Use of Intellectual Property (IP):<\/h4>\n<p>At the proposal stage, the PI may be aware that the:<\/p>\n<ul>\n<li>Project will involve  91探花<a href=\"\/research\/glossary\/background-intellectual-property\/\">Background IP<\/a>.<\/li>\n<li> 91探花will receive access to or make use of intellectual property (patent, copyright, or tangible property) from the sponsor or another party participating in the project.<\/li>\n<\/ul>\n<h4 id=\"uw-bip\"> 91探花Background IP:<\/h4>\n<p>When  91探花Background IP is part of a project, you must select \u201c 91探花Background IP\u201d on eGC1 question D-1. Projects that involve  91探花Background IP may influence whether the proposal can be submitted, or if submitted, what rights are available to the sponsor.<\/p>\n<p>Use the\u00a0<a href=\"https:\/\/research-eval.ui.oris.washington.edu\/research\/policies\/checklist-background-ip\/\">Checklist: Background IP<\/a>\u00a0to help you determine whether Background IP will be used in your project.<\/p>\n<p>Background IP should not be used on the project unless:<\/p>\n<ul>\n<li>it is <a href=\"https:\/\/depts.washington.edu\/uwc4c\/uwcommunity\/Submit_an_Innovation\/index.php\" target=\"_blank\" rel=\"noopener\">disclosed to CoMotion<\/a> on the record of innovation form;<\/li>\n<li>the proposal specifies what the background IP is;<\/li>\n<li>it is specific to the project and the PI\u2019s lab.<\/li>\n<\/ul>\n<h4 id=\"project-ip-wiap'\">Project IP and use of WIAP terms:<\/h4>\n<p>If the Sponsor Type and\/or Originating Sponsor Type is one of the following:<\/p>\n<ul>\n<li>Private Industry<\/li>\n<li>Private School, College, University<\/li>\n<li>Foreign Private Industry<\/li>\n<\/ul>\n<p>The eGC1 will require you to respond to question T-1: Does the Sponsor wish to obtain an upfront commercial license to Project Intellectual Property (IP) based on the pricing under the <a href=\"https:\/\/comotion.uw.edu\/licensing\/wiap\/\" target=\"_blank\" rel=\"noopener\">Washington Innovation Advantage Program (WIAP)<\/a>?<\/p>\n<p>If an award is made, some industry sponsors may request certain upfront commercial licensing options. If you would consider any of the <a href=\"https:\/\/comotion.uw.edu\/licensing\/wiap\/\" target=\"_blank\" rel=\"noopener\">Washington Innovation Advantage Program (WIAP)<\/a> licensing options to be incorporated into a resulting award, please answer [YES] to eGC1 question T-1.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Questions from OSP Reviewers<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>When Proprietary Information is involved in a project and the eGC1 is marked appropriately, your OSP reviewer may ask some of these follow-up questions:<\/p>\n<ol>\n<li>Are there non- 91探花collaborators participating in the project?<\/li>\n<li>If a third-party\u2019s IP will be used on the project? In some cases, this is not allowed on a project, or if allowed, it may influence the terms and conditions  91探花can agree to.<\/li>\n<li>Is there an associated agreement already in place with the named non- 91探花collaborators regarding this contribution (e.g. MTA or CDA)?<\/li>\n<li>Do you anticipate an outgoing subaward with any of the above non- 91探花collaborators?<\/li>\n<li>Describe the specific contributions of your laboratory, including software, existing  91探花patented inventions, data, or tangible materials, to the project.<\/li>\n<li>If initial  91探花contributions to the project include  91探花intellectual property (patent, copyright, or tangible property) you should provide the  91探花invention number or your  91探花CoMotion contact.<\/li>\n<li> 91探花Medicine maintains a policy on the <a href=\"https:\/\/www.uwmedicine.org\/about\/policies-and-notices\/policy-transfer-of-human-biological-specimens\" target=\"_blank\" rel=\"noopener\">Transfer of Human Biological Specimens<\/a>. The transfer of human biological material to a sponsor are subject to this policy.<\/li>\n<\/ol>\n<p>Your OSP reviewer may also require the PI to complete an IP Questionnaire which they will provide to the PI when appropriate. <\/p>\n<\/div>\n<\/div>\n<\/div>\n<hr \/>\n<h3 id=\"classified-or-restricted\">Classified or Restricted Research<\/h3>\n<p>Review <a href=\"\/research\/forms-and-templates\/terms-in-solicitations\/\">Identifying Key Terms in Solicitations<\/a> for help identifying if Classified, Restricted Information or Restricted Access Data will be part of the project. Some examples to watch for include references to NIST SP 800-171 or Basic Safeguarding of Contractor Information Systems <a href=\"https:\/\/www.federalregister.gov\/documents\/2016\/05\/16\/2016-11001\/federal-acquisition-regulation-basic-safeguarding-of-contractor-information-systems\" target=\"_blank\" rel=\"noopener\">48 CFR 52.204-21<\/a>.<\/p>\n<p><strong>Before<\/strong> you begin preparing a proposal or routing an eGC1 for projects that will:<\/p>\n<ul>\n<li>be handling Restricted Access Data, which can include <a href=\"\/research\/glossary\/federal-contract-information-fci\/\" target=\"_blank\" rel=\"noopener\">federal contract information<\/a>, or <a href=\"\/research\/glossary\/controlled-unclassified-information-cui\/\" target=\"_blank\" rel=\"noopener\">controlled unclassified information<\/a>, you will need to follow the <a href=\"\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/#feasibility-memo\" target=\"_blank\" rel=\"noopener\">feasibility review &amp; memo steps<\/a>.<\/li>\n<li>include classified information please follow the <a href=\"\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/#precontract-reqs-classified-research\">Pre-Contract Requirements for Classified Research<\/a>.<\/li>\n<\/ul>\n<p>Question D-1 in the non-fiscal compliance section of the eGC1 requires you to select<br \/>\nCorresponding checkboxes. This applies to federal or federal flow-through funding from non-federal sponsors.<\/p>\n<p>Review more details on <a href=\"\/research\/myresearch-lifecycle\/plan-and-propose\/sponsor-requirements\/classified-or-restricted-research\/\">Classified or Restricted Research<\/a> in proposals at the UW.<\/p>\n<hr \/>\n<h3 id=\"publications-or-participation-restrictions\">Restrictions on Publications or Foreign National Participation<\/h3>\n<p>request for proposal or project terms &amp; conditions approval the Principal Investigator should complete a request for <a href=\"https:\/\/www.washington.edu\/faculty\/councils\/fcr\/\" target=\"_blank\" rel=\"noopener\">Faculty Council on Research restricted research proposal review<\/a>.<\/p>\n<p>Question D-3 on the eGC1 requires you to indicate if such restrictions exist. FCR approval is required before the  91探花can accept an award.<\/p>\n<hr \/>\n<h3 id=\"military-or-space\">Projects with Military or Space Applications or Sanctioned Countries<\/h3>\n<p>OSP will HOLD Proposal Submission &amp; contact Office of Export Controls if the following eGC1 questions are answered [YES]:<\/p>\n<p>D-2 Does this project or related items have known military\/defense or space applications, or will you assist a foreign country\u2019s military or space activities?<\/p>\n<p>Answer [YES] if related technical information, software or physical items have known military\/defense or space applications, even if all activities will take place in the U.S.<\/p>\n<p>D-4. Will the project involve travel to or collaboration with a person or entity in a sanctioned country or region? (e.g., Cuba; Iran; North Korea; the following regions of Ukraine: Crimea, Donetsk, Luhansk)<\/p>\n<p>Answer [YES] even if:<\/p>\n<ul>\n<li>The project is fundamental research.<\/li>\n<li>The  91探花is receiving items or information.<\/li>\n<li>&#8216;Only&#8217; presenting at a conference.<\/li>\n<\/ul>\n<p>Please contact <a href=\"mailto:exports@uw.edu\">exports@uw.edu<\/a> if you have questions.<\/p>\n<hr \/>\n<h2 id=\"personnel\">What are non-fiscal compliance requirements impacting Personnel?<\/h2>\n<h3>Significant Financial Conflict of Interest<\/h3>\n<p>SFI disclosures are required at the time of proposal for all individuals listed as an investigator on the eGC1. Review more information on <a href=\"\/research\/financial-conflicts-of-interest-fcoi\/\" target=\"_blank\" rel=\"noopener\">Financial Interest Disclosures<\/a>.<\/p>\n<h3>Debarment and Suspensions<\/h3>\n<p>PIs are required to make assurances on the eGC1 which include certifying that the PI and other Key Personnel have not been debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any federal department or agency.<\/p>\n<p>Review <a href=\"https:\/\/www.gsa.gov\/policy-regulations\/policy\/acquisition-policy\/office-of-acquisition-policy\/gsa-acq-policy-integrity-workforce\/suspension-debarment-and-agency-protests\/suspension-debarment-faq\" target=\"_blank\" rel=\"noopener\">GSA\u2019s Suspension &amp; Debarment FAQs<\/a><\/p>\n<h3>Malign Foreign Talent Recruitment Program (MFTRP)<\/h3>\n<p> 91探花individuals are prohibited from participating in Malign Foreign Talent Recruitment Program. Many federal sponsors also require individuals to certify they are not participating in these programs. See <a href=\"\/research\/compliance\/foreign-interests-in-sponsored-programs\/\" target=\"_blank\" rel=\"noopener\">Foreign Interests in Sponsored Programs<\/a> for guidance on <a href=\"\/research\/compliance\/foreign-interests-in-sponsored-programs\/#mftrp\">MFTRP<\/a>.<\/p>\n<h3>Required Training Completion<\/h3>\n<p>Make sure senior\/key personnel named in a proposal have completed or are prepared to complete required training as soon as possible. Examples include:<\/p>\n<ul>\n<li>Research Security Training (when required, must occur before proposal submission)<\/li>\n<li>Other Support &amp; Financial Conflict of Interest<\/li>\n<\/ul>\n<h3>Restricted Parties<\/h3>\n<p>To prevent the unauthorized transfer of sensitive technologies and materials, and play a part in economic &amp; national security efforts, carry out <a href=\"\/research\/compliance\/research-security-at-uw\/#restricted-parties\">Restricted Party Screening (RPS)<\/a> when there is an international collaboration.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Contents Does your project involve Human Subjects Research? Does your project involve Animals? Are there Environmental Health &amp; Safety Considerations? Will the project involve Equipment &amp;&#8230;<\/p>\n","protected":false},"author":13,"featured_media":0,"parent":210,"menu_order":5,"comment_status":"closed","ping_status":"closed","template":"templates\/page-builder-lifecycle.php","meta":{"_acf_changed":false,"footnotes":""},"class_list":["post-13402","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.1.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Compliance for Proposals and Agreements (Non-Financial) -  91探花Research<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/plan-and-propose\/compliance-proposals-and-agreements\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Compliance for Proposals and Agreements (Non-Financial) -  91探花Research\" \/>\n<meta property=\"og:description\" content=\"Contents Does your project involve Human Subjects Research? 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