Research Compliance Policies and Procedures

ARROW

Application for Review of Research Oversight at Wisconsin (ARROW) is an online system used at the UW to review and track applications for research oversight pertaining to human and animal subjects, stem cell research and biological safety. 

Researchers wishing to submit a protocol application for review must login to ARROW to create and submit an initial review application. Change of protocols and continuing reviews are also submitted through ARROW.

Data Security, Management and Retention

To come

DOM Research Feasibility Attestation Process

The process below is applicable for all PIs and others who submit their projects though the Department of Medicine (DOM).

  1. Complete and submit the online DOM research protocol feasibility intake form prior to submitting a protocol in ARROW. The PI must attest to the questions asked on the form.
  2. ORS staff will review the feasibility intake submission. If it passes review, ORS will populate and sign off on the SMPH protocol attestation form.
  3. The PI and their POC will receive a copy of the signed SMPH protocol attestation form. The PI must upload this form into the ARROW system and include it with the initial IRB application. ARROW applications submitted without the signed protocol feasibility attestation form will be flagged during IRB administrative review and returned to the sender.

If your project is managed through any other UW department or center, they must sign-off on the feasibility review. If the study is managed through the UW Clinical Trials Institute, they will conduct the protocol feasibility review and send it to DOM ORS for sign-off.

If you have any questions, please email ResearchServices@medicine.wisc.edu.

Effort/Payroll Certifications

It is the policy of UW-Madison that all researchers who engage in sponsored projects will comply with university policies and sponsoring agency regulations regarding the proposing, charging, and certifying of personnel compensation. Payroll must be certified for all individuals who receive salary support from federally sponsored projects, or whose salary is provided as cost share on federally sponsored projects.

PIs are required to certify, every six months, that all personnel salaries charged on their federal projects are accurate, allowable, and properly allocated. All allocations of effort/salary to sponsored projects must be reasonable given the individual’s other employment activities.

The effort devoted to a sponsored project should be consistent with the plan that was proposed to the sponsoring agency and agreed to at the time of the award. All principal investigators, faculty, and academic staff who are involved in proposing, executing, directing, or managing sponsored projects are responsible for:

  • Understanding the fundamentals of effort and commitment management and payroll certification.
  • Proposing, expending, and managing effort in accordance with all applicable sponsor policies and university procedures.
  • Completing the required educational programs associated with payroll certification.

Please work with your ORS research administrator to ensure all payroll certifications are recorded accurately and completed on time. If personnel/salary adjustments are required, your research finance administrator will work to ensure the updates are completed.

Consequences for not certifying on time

UW-Madison has administrative consequences for failing to complete training and certify compensation. Consequences for individuals who do not fulfill their responsibilities include the removal of services associated with:

  • Submitting grant proposals or other project applications to sponsors for extramural projects
  • Negotiating and executing award agreements
  • Establishing accounts for spending extramural funds for new or continuing projects
  • Processing other documents such as material transfer agreements

In addition to the consequences outlined above, UW-Madison has fiscal consequences for incomplete project payroll certifications. All certifications must be completed during a 90-day certification period. To be considered complete, the project payroll statement must be:

  1. Pre-reviewed by the departmental compensation compliance coordinator
  2. Certified by the principal investigator

Only after both steps are accomplished is the project payroll statement regarded as complete. There will be a 30-day window after the certification period ends to resolve any outstanding certifications. This means that July-December certifications must be completed no later than April 30, and January-June must be completed no later than October 31.

If certifications are not completed at that point, the university will transfer all federal salary charges, fringe and F&A costs related to the incomplete certifications to a DOM suspense account (for DOM–managed research). 

If the financial penalty is imposed, PIs will be expected to use PI discretionary funds to cover these costs. If you do not have sufficient funds, you will have to discuss options for division support with your division chief and administrator.

Questions? Email ResearchServices@medicine.wisc.edu.

Human Research Policies

The Human Research Policies Program (HRPP) maintains the human subjects research protection policies utilized by all UW-Madison Institutional Review Boards (IRBs) and campus officials. These policies are reviewed by the Cross-Campus HRPP Committee and approved by the Institutional Official.

Additional guidance and resources can be found here: HRPP Toolkit and HRPP Guidance, Forms, and Resources.

Visit the Policy Library to search for a specific policy by topic or key word(s).

Research Compliance, Protocol & Safety Related Training Requirements

The PI Portal provides a comprehensive list of all trainings for PIs and all staff on protocols.

  • IRB: Training for individuals doing human subjects research is determined by the type of research proposed and the reviewing IRB. View required and recommended IRB trainings. 
  • IACUC: Covers animal user orientation and requirements for animal care, safety, and handling related to research activities. View IACUC trainings. 
  • EH&S: Trainings cover an array of topics from animals, biological and chemical safety, lab management, and radiation safety.  Filter EH&S trainings by areas of need.

For more training and renewal information, visit the VCRGE Research Knowledge Base.

Responsible Conduct of Research Policy

UW–Madison mandates individuals subject to federal responsible conduct of research requirements to complete training in research ethics. Training requirements vary by agency, so the UW–Madison agency-specific RCR policies and guidance are included on individual agency pages:

  • National Institutes of Health: UW-Madison NIH RCR Policy requires a minimum of eight hours of face-to-face training every four years for trainees, fellows, participants, and scholars supported by some types of D, F, K, R, T, and U awards. At UW–Madison, the plan for meeting these requirements is included in the grant application.
  • National Science Foundation: UW-Madison NSF RCR Policy: All undergraduate students, graduate students, and postdoctoral researchers supported by NSF research funding at the UW–Madison must take the "Responsible Conduct of Research" course in Canvas.
  • U.S. Department of Agriculture, National Institute of Food and Agriculture: UW–Madison NIFA RCR Policy: At UW–Madison, principal investigators, co-investigators, and participants supported by a USDA NIFA award must take the "Responsible Conduct of Research" course in Canvas. This includes, but is not limited to, undergraduates, graduate students, postdoctoral researchers, and sub-recipient participants. 
  • USDA NIFA Capacity (142) Awards: All UW–Madison active principal investigators, co-investigators, undergraduate students, and graduate students supported by 142 Hatch funds must take the "Responsible Conduct of Research" course in Canvas.

For more information, visit the RCR website.