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Research Compliance

It's more than just a "To-do" list

Award compliance is an expansive set of responsibilities not just for the PI of a project, but for anyone participating in research: faculty, staff, technicians, Post Docs, and students.

Please review the pages below to ensure compliance with research projects.

Note: The Protocol and Compliance System is approaching the end of its life and we are experiencing problems about which the end-users need to be knowledgeable.

  • When appending documents to the protocol, e.g., CITI training certificates, Species lists, Survey Questions), create a file name using all lower case alpha characters, no spaces. Importantly, submit a pdf document only (no docx).
  • Automatic email notices are not being sent consistently to PIs and Co-PIs:  Automated emails originating from the Protocol and Compliance Management System are not consistently being sent automatically due to the system's aging. Should you question the status of your protocol, please log in to the system to be sure the protocol status is as you believe it should be. Examples of the problem follow: Co-PIs are not being notified they must endorse the protocol, the protocol has been submitted, but the PI doesn't get a copy of it once submitted, revisions are necessary, but the "revise" email isn't sent, approval emails are not being sent to PIs.
  • Student email addresses:

    Compliance was designed and created in 2006 when all email addresses at W&M used  When student email addresses moved to, existing students had email forwards set up to forward email sent to to their address. New and future students did not have this email forwarding set up. IT is working on a solution. As a workaround, please put your email address in the CC Emails field when you create protocols.

Protocol and Compliance Management System login (Biosafety & Recombinant DNA (IBC), Human Subjects (PHSC), and Radiation Safety (IRSC) only)
Research Integrity and Conflicts of Interest

Guidance & Procedures

SPARCS login (Currently only the Animal Subjects IACUC is available in SPARCS)

Additional university related compliance information is available on the Compliance & Policy Office website.

Research Compliance

W&M Research Compliance

  • Manages all aspects of research compliance and implements policy for matters related to human subjects, animal research, biosafety, and the responsible conduct of research.  Primary point of conduct for reporting research compliance matters to federal agencies.
  • Serves as ex-officio member of university research compliance committees, manages protocol tracking databases and other records, advises committees on regulatory questions, and investigates and documents cases of noncompliance. Ensures that all university research activities are covered by appropriate protocols as required.  Assures that all faculty, staff, and students receive compliance training and other required instruction.  Maintains training records and other documents required by auditors to demonstrate compliance under 2CFR200 and State and Federal codes.
  • Manages selection processes including prior internal reviews for limited and internal programs and special project proposals, and provides oversight to facilitate their completion.