Culture of Compliance
Access resources below for best practices and guides for upholding the highest standards in the responsible and ethical conduct of research.
University Research Compliance Guide
Locate resources and expertise supporting the university’s culture of compliance.
University Code of Conduct
Ethical and legal standards we use as the basis for our decisions and actions as a university community.
Research Roles & Responsibilities
Duties of key individuals and organizational units involved in WU research activities.
University Research Policies
Policies, procedures and other guidance applicable to the performance of research.
A robust culture of responsible conduct of research is one of Washington University’s greatest assets, which is only made possible by every community member’s commitment to upholding the highest ethical, legal and regulatory standards. It is with this in mind that we will continue to work with integrity as we further our mission of discovering and sharing new knowledge in service to, and for the benefit of, our community, country and world.
Mark Lowe, MD, PhD, Interim Vice Chancellor for Research, WUSTL, Research Compliance Guide, 2022
Resource List
Research Compliance Guide
Locate resources and expertise in support of Washington University’s culture of compliance
Stem Cell Research
Oversight of human embryonic stem cell research and certain uses of human pluripotent stem cells
Animal Care & Use
Click on the Education and Training accordion for a list of trainings related to animal research.
Division of Comparative Medicine (DCM)
Animal procurement, husbandry, facility operations, technical and veterinary support
Institutional Animal Care and Use Committee (IACUC)
Guidelines and Tools for the appropriate, ethical and safe conduct of research involving vertebrate animals. Log in with WUSTL Key.
LAMPS: Lab Animal Management & Protocol System
System for processing WU animal protocols and hazardous materials
COI.WUSTL.EDU
Resource page for disclosure of Financial and Research Conflicts of Interest
Applicability: All faculty members with an academic appointment of instructor or higher, or any individual having independent responsibility for the design, conduct, or reporting of research.
Conflict of Interest – OVCR Resources
Admin resource page for Conflicts of Interest.
Addresses various COI types, forms, committees
Financial Conflicts of Interest (FCOI) Education
Training required for all individuals who must complete a Financial Disclosure Statement.
HIPAA Policies & Procedures
WU policies and procedures for compliance with the Health Information Portability and Accountability Act
HIPAA Privacy Office
Resources for compliance with the Health Information Portability and Accountability Act
Information Security Policies
WU Infosec policies and guidelines for use of WU systems and data security
Joint Research Office for Contracts
JROC
The mission of JROC is to provide high quality customer service to principal investigators, administrators, and sponsors by drafting, reviewing, negotiating and signing research-related agreements on a university-wide basis. JROC facilitates the timely execution of federal and foundation subawards and contracts, industry-supported research agreements, industry supported clinical trials, data transfers, service agreements, and other research-related agreements.
Securing Controlled Unclassified Information (CUI)
Considerations for proposals and awards with terms related to CUI. Guide by JROC.
The EU’s General Data Protection Regulation (GDPR)
Privacy for individuals protected under the EU’s GDPR
Material Transfer Agreements (MTAs)
Guide and procedures to sharing materials with partner institutions and researchers
Office of Technology Management
Mission: Pair cutting-edge WU research with expertise and exceptional service in order to create a pipeline of opportunities that can benefit society.
OTM acts as a resource for faculty in the areas of copyrights; patent prosecution; material transfer agreements; consulting agreements; marketing; licensing
Effort Reporting – Sponsored Projects
Policies and procedures for reporting effort on sponsored projects
Review Effort for One Award Split Across Multiple Lines
Workday guide for effort split on multiple grant lines
Reviewing and Certifying Your Effort
Workday guide to reviewing and certifying your university effort
Controlled Substances
Approval, acquisition, storage, and disposal of DEA-controlled substances used in laboratory and animal research
Controlled Substances Overview
Flow chart indicating the acquisition process and resposibilities by types of research and location
Division of Comparative Medicine (DCM)
Animal procurement, husbandry, facility operations, technical and veterinary support
Emergency Information
Sign up for WUSTL emergency alerts and learn more about emergency preparedness and programs on campus.
Environmental Health and Safety (EHS)
Explore training for lab safety protocols involving hazardous and regulated materials, equipment, and environment. Megan Flake is the McKelvey liaison with the staff from the EH&S department of the University.
Institutional Biological and Chemical Safety
Oversight of research involving recombinant or synthetic nucleic acids, infectious or potentially infectious agents, and/or hazardous chemicals
LAMPS: Lab Animal Management & Protocol System
System for processing WU animal protocols and hazardous materials
Radiation Safety
Safe and compliant use of radiation and radioactive materials for research, teaching and medical applications
Stem Cell Research
Oversight of human embryonic stem cell research and certain uses of human pluripotent stem cells
Author’s Checklist for Preparation of Publications
Supporting co-author agreement and shared planning of publications
Avoid Authorship Disputes
Guidelines helping to prevent situations that may lead to new authorship disputes
COI.WUSTL.EDU
Resource page for disclosure of Financial and Research Conflicts of Interest
Applicability: All faculty members with an academic appointment of instructor or higher, or any individual having independent responsibility for the design, conduct, or reporting of research.
Conflict of Interest – OVCR Resources
Admin resource page for Conflicts of Interest.
Addresses various COI types, forms, committees
Financial Conflicts of Interest (FCOI) Education
Training required for all individuals who must complete a Financial Disclosure Statement.
Office of Research Integrity & Ethics (ORIE)
Provides programmatic resources for: Individual and Institutional Conflicts of Interest, Human Stem Cell Research, Research Integrity and Authorship Standards , Human Research Quality Assurance and Improvement, Institutional Animal Care and Use.
PERCSS – Training in the Responsible and Ethical Conduct of Research
WU Curriculum: Program for the Ethical and Responsible Conduct of Science and Scholarship
The PERCSS Core Curriculum features eight web-based learning modules in areas related to ethical and responsible conduct of research. The PERCSS Core Curriculum is available through Learn@Work.
Effort Reporting – Sponsored Projects
Policies and procedures for reporting effort on sponsored projects
Prior Approval Letter Matrix – SPA
Guide to when prior approval letters are required – guide by SPA and OSRS
Prior Approval Matrix – FDP
Matrix depicting when sponsor pre-approval is required on federal funds.
Small Business Subcontracting Plan Guide (OVCR)
Requirement for federal contracts and subawards with over $700,000 total costs.
Sponsored Expenditures Guidelines
Guidance on appropriate budgeting and expenditures of federal and non-federal sponsored funds directed toward research, training, or other purposes
Uniform Guidance (UG)
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Center for Clinical Studies
Provides WU researchers with administrative and clinical research services from the initial proposal phase through study close-out.
Clinical Research Coordinator Orientation Manual
Training manual for staff supporting human subjects research. Produced by the WU OVCR.
Clinical Research Training Center
Provides a cohesive and supportive infrastructure to foster clinical and translational research training and career development for predoctoral students, house-staff, postdoctoral fellows, staff, and faculty.
Clinical Trials Registration and Informed Consent Posting Guideline
WU Guidelines from the Office of the Vice Chancellor for Research
Decision Tool: Am I Doing Human Subjects Research? (NIH)
Complete this questionnaire to determine whether your reserach classifies as human subjects research
Education in Good Clinical Practices Policy
Applicable for faculty and staff involved in the conduct, oversight or management of clinical trials
HIPAA Policies & Procedures
WU policies and procedures for compliance with the Health Information Portability and Accountability Act
HIPAA Privacy Office
Resources for compliance with the Health Information Portability and Accountability Act
HRPO Education Programs
These programs provide a variety of ways to help investigators and research teams navigate the approval and conduct of human subjects research.
Disclosure & Reporting Requirements for International Research
University resources around the government’s concerns and best practices
Export Control
Information and Technology Sharing Regulations
Applies to transfer of technical information or controlled items to foreign nationals or across U.S. boundaries
Foreign Corrupt Practices Act (FCPA) Policy
Regarding improper payment to foreign officials and other improper business payments
Office for International Students and Scholars
WUSTL’s Office for International Students and Scholars enables international students and scholars to thrive academically and socially by meeting their unique needs and engaging them in American life and culture. Please contact your Department Administrator before contacting OISS.
The EU’s General Data Protection Regulation (GDPR)
Privacy for individuals protected under the EU’s GDPR
Avoid Authorship Disputes
Guidelines helping to prevent situations that may lead to new authorship disputes
Clinical Research Coordinator Orientation Manual
Training manual for staff supporting human subjects research. Produced by the WU OVCR.
Education in Good Clinical Practices Policy
Applicable for faculty and staff involved in the conduct, oversight or management of clinical trials
Financial Conflicts of Interest (FCOI) Education
Training required for all individuals who must complete a Financial Disclosure Statement.
HRPO Education Programs
These programs provide a variety of ways to help investigators and research teams navigate the approval and conduct of human subjects research.
Human Subjects Education Policy
Applicable to individuals responsible for the design, conduct and reporting of research involving human participants
PERCSS – Training in the Responsible and Ethical Conduct of Research
WU Curriculum: Program for the Ethical and Responsible Conduct of Science and Scholarship
The PERCSS Core Curriculum features eight web-based learning modules in areas related to ethical and responsible conduct of research. The PERCSS Core Curriculum is available through Learn@Work.