Research compliance matrix
Key policies, procedures and regulations
- Federal policies and laws/regulations
- AAALAC International Regulations and Resources, U.S.
- ACUP policies and guidelines
- DAR standard operating procedures
- IACUC written policies and procedures
Education and training
Required for investigators
- AALAS Learning Library (mandatory prior to final approval of IACUC protocol)
- VCU occupational health and safety program for animal handlers
- Researcher workshop: Conducting animal research at VCU
Supplemental
- Request for research specific hands-on training
- RAMS-ACUP (IACUC protocols and animal ordering guidance documents)
- Educational resources
- NIH: What investigators need to know about the use of animals
VCU regulatory and administrative oversight
Division of Animal Resources (DAR)
(804) 828-9837
dar@vcu.edu
Mark Bates, Ph.D., DVM, DACLAM
Director, DAR and Attending Veterinarian
Institutional Animal Care and Use Committee (IACUC)/Animal Care and Use Program (ACUP)
(804) 828-6587
iacuc@vcu.edu
Amy (Kuei-Lan) Chuang, M.S., RQAP-GLP, CPIA
Director, ACUP
Jolene Windle, Ph.D.
IACUC chair
Forms and submission procedures
- ACUP forms
- RAMS-ACUP (protocol submission and animal ordering)
For more information
Website: ACUP
Email: iacuc@vcu.edu
Reporting: Click here to report compliance problems or concerns
Key policies, procedures and regulations
- Agreement review, negotiation, acceptance and notification compliance notice
- Award establishment
- Effort reporting
Education and training
Required for investigators
- Mandatory sponsored project and effort reporting training
Two-part compliance training. Modules include “Managing your project” and “ECRT training for investigators.” Recommended for research administrators.
VCU regulatory and administrative oversight
Division of Sponsored Programs
Tina L. Cunningham, Associate vice president for Research Administration
Andrea J. Publow, Senior director, Government/Non-profit Support
Grants and Contracts Accounting and Effort Reporting
Director, Grants and Contracts Accounting and Effort Reporting
Forms and submission procedures
- Effort reporting system access (RamsVPN connection required to log in)
For more information
Division of Sponsored Programs
Grants and contracts and effort reporting
Key policies, procedures and regulations
- Extend, close out, or release a contract
- Post award changes to sponsored programs - rebudgeting, prior approvals and university expanded authority approval
- Records Management
- Notification requirement for research subject to external audit or inspection
Education and training
Required for investigators
- At the discretion of the school
VCU regulatory and administrative oversight
Division of Sponsored Programs
Tina L. Cunningham, Associate vice president for research administration
Andrea J. Publow, Director, Government/Non-profit support
Juanita Lawrence, Assistant director, Industry and clinical trials
Grants and Contracts Accounting and Effort Reporting
Director, Grants and Contracts Accounting and Effort Reporting
For more information
Division of Sponsored Programs
Grants and contracts and effort reporting
Key policies, procedures and regulations
- Post award changes to sponsored programs - rebudgeting, prior approvals and university expanded authority approval
- VCU oversight of subrecipients on sponsored projects (No. 17-001)
- 2 CFR 200 (Uniform Guidance)
- Uniform administrative requirements
- Cost principles
- Audit requirements for federal awards
VCU guidelines
- Activation and termination notices
- Billing and collection
- Cost overruns
- Cost sharing
- Cost transfer procedures
- Effort reporting
- Intellectual property
- Program income
- Unallowable costs
Education and training
Required for investigators
- Mandatory sponsored project and effort reporting training
Two-part compliance training. Modules include “Managing your project” and “ECRT training for investigators.” Recommended for research administrators.
VCU regulatory and administrative oversight
Division of Sponsored Programs
Tina L. Cunningham, Associate vice president for Research Administration
Andrea J. Publow, Senior director, Government/Non-profit Support
Grants and Contracts Accounting and Effort Reporting
Director, Grants and Contracts Accounting and Effort Reporting
For more information
Division of Sponsored Programs
Grants and contracts and effort reporting
Key policies, procedures and regulations
Education, training and guides
Required for investigators (VCU eID required to log in)
VCU regulatory and administrative oversight
Institutional Biosafety Committee
Forms and submission procedures
For more information
Key policies, procedures and regulations
- VCU: ClinicalTrials.gov registration and results reporting
- DHHS: NIH Policy on the Dissemination of NIH-Funded Clinical Trial Information
- FDA: FDAAA Final Rule (42 CFR Part 11)
Education, training and guides
VCU regulatory and administrative oversight
Johanna Biamonte, CCRP
Massey Cancer Center
Clinical trials reporting specialist
Jennifer Economy
Wright Center
Clinical trials administrator
jennifer.economy@vcuhealth.org
cctrctgov@vcu.edu
Forms and submission procedures
- ClinicalTrials.gov PRS account request form
- ClinicalTrials.gov Protocol Registration and Results System (PRS)
For more information
Key policies, procedures and regulations
- Conflicts of interest in research
- Institutional conflicts of interest in research
- 42 CFR Part 50, Subpart F: Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought
- NSF conflict of interest
- Research and development exception for the Virginia Conflict of Interest Act
Education and training
Required for investigators
Individuals designated as “COI Investigator” by the PI must enter the Activity and Interest Reporting System (AIRS) to complete a Financial Interest Report (FIR).
See VCU conflicts of interest in research webpage for:
- Who is a ‘COI investigator’
- Accessing and reporting in the AIRS
- Training
- Annual update in the AIRS
Supplemental
- Outside professional activity & employment policy, research and continuing education (faculty specific)
- Managing allegations of undue influence in research committees and groups (No. 18-003)
- Intellectual property policy
VCU regulatory and administrative oversight
- VCU Conflict of Interest Review Committee
- Research Integrity and Ethics (Conflict of Interest Program)
Forms and submission procedures
- Access AIRS
- To access AIRS outside of VCU: Click here for VCU's VPN
For more information
Key policies and procedures
Use of controlled substances in research
Regulations
- DEA diversion control division
- Code of Federal Regulations, 21 CFR 1300-END
- New DEA registration and renewal applications
- Virginia Board of Pharmacy registration application
Education and training
VCU regulatory and administrative oversight
You Lee H. Kim
Senior research compliance analyst
controlsub@vcu.edu
Forms, submission procedures and more information
Key policies, procedures and regulations
- Research data ownership, retention, access and security
- NIH Data Sharing Policy
- Code of Virginia (Chapter 7, Public Records Act)
- Records management
- Computer and network resources use
- VCU Data Management System (DMS)
Education and training
Required for investigators
- At discretion of the school
Supplemental
- At discretion of the school
VCU regulatory and administrative oversight
Srirama Rao, Ph.D.
Vice President for Research and Innovation
Forms and submission procedures
None
For more information
Key policies and procedures
Export compliance and research security
Federal regulations
- Office of Foreign Assets Control (OFAC)
- International Trade in Arms Regulations (ITAR)
- Export Administration Regulations (EAR)
Education and training
Required for investigators
VCU regulatory and administrative oversight
Export Compliance Program
International Affairs Compliance Committee
Nicole Porter, Director
Peter Landsman, Assistant director
Forms and submission procedures
- VCU international employee/visitor export control review form
- Visiting nonemployee scholar agreement
- Export control self-assessment guide
- Export control red flags
- Office of Procurement Services travel services
- Temporary Export Certification (TMP) form
- International travel checklist
For more information
Export compliance laws and trade sanctionsKey policies, procedures and regulations
- Reporting sponsor-investigator Investigational New Drug Applications (IND) or Investigational Device Exemptions (IDE)
- FDA IND regulations
- FDA IDE regulations
Education and training
- FDA training and continuing education
- FDA learning portal for students, academia and industry
- CDERLearn
- CDRHLearn
- Regulatory guidance for academic research of drugs and devices (ReGARDD)
- Talent@VCU - “Investigational New Drug Application (IND) Sponsor and Investigator Training” or “Investigational Device Exemptions (IDEs) Sponsor and Investigator Training”
VCU regulatory and administrative oversight
Director of clinical research regulatory affairs
indide@vcu.edu
For more information
Key policies, procedures and regulations
Federal regulations:
Education and training
Required for investigators
Supplemental
VCU regulatory and administrative oversight
- VCU Affiliated Covered Entity Privacy Board
- Jill McCormack, Vice President
Chief Compliance and Privacy Officer
VCU Health Compliance Services
Forms and submission procedures
Forms (no current electronic submission)
Key policies, procedures and regulations
- Conduct of human subject research
- IRB written policies and procedures
- DHHS regulations
- FDA regulations
Education and training
Required for investigators
- CITI training (required prior to IRB submission)
Supplemental
VCU regulatory and administrative oversight
TBD
Director
Human research protection program
Forms and submission procedures
For more information
IRB
Email: HRPP@vcu.edu
Key policies, procedures and regulations
Education and training
Required for investigators
- At discretion of the school
Supplemental
- At discretion of the school
VCU regulatory and administrative oversight
Ivelina Metcheva, Ph.D., MBA
Assistant vice president for innovation
Magdalena Morgan, Ph.D.
Assistant director
Forms and submission procedures
For more information
Key policies, procedures and regulations
- Sponsored programs proposal submission deadlines
- Division of sponsored programs responsibilities
- Sponsored projects and gifts
- Facilities and administrative cost recovery
- Minimum effort for principal investigators and key personnel on sponsored programs
- Cost sharing
- Limited submission opportunities
- Corporate research agreements
- Policies and regulations links:
- 2 CFR 200 (uniform guidance)
- Uniform administrative requirements
- Cost principles
- Audit requirements for federal awards
- 2 CFR 200 (uniform guidance)
Education and training
Required for investigators
- Mandatory training for PIs and research administration staff: A sponsored project compliance training program to increase awareness of grant accounting standards and improve accountability.
Supplemental
VCU regulatory and administrative oversight
Division of Sponsored Programs
Tina L. Cunningham
Associate vice president for Research Administration
Andrea J. Publow
Senior director, Government/Non-profit support
Forms and submission procedures
For more information
Key policies, procedures and regulations
Education and training
Required for investigators
Radiation safety training
This on-line training is designed to provide personnel with a basic understanding of VCU/VCUHS radiation safety rules and regulations, and to comply with the Commonwealth of Virginia's radiation safety regulations. Completion of on-line training is required for all personnel who use or plan to use radionuclides at the university.
- Log in to BioRaft
- Select “Training”
- Select “Course Directory”
- Select “Radiation Safety Training”
- Follow on screen instructions
VCU regulatory and administrative oversight
Radiation safety committee (RSC)
Forms and submission procedures
For more information
Education and training
Key policies, procedures and regulations
VCU policies and compliance notices
- Compliance with federal responsible conduct of research (RCR) training requirements
- Research data ownership, retention, access, and security
- Research misconduct
- Duty to report and protection from retaliation
- Managing allegations of undue influence in research committees and groups (No. 18-003)
Federal policies, regulations, and supplemental information
- PHS Policies on Research Misconduct
- NSF Regulation on Research Misconduct
- Federal Research Misconduct Policy - OSTP
- Federal Whistleblower Protections
- DHHS Office of Research Integrity
VCU regulatory and administrative oversight
- Research Integrity and Ethics
- P. Srirama Rao, Ph.D., Vice President for Research and Innovation
Forms and submission procedures
None
For more information
- Research ethics consultation
- To report allegations of research misconduct or discuss concerns about research integrity, contact:
- Research integrity officer
ORIE@vcu.edu - VCU Helpline
(888) 242-6022
www.vcuhelpline.com
- Research integrity officer
Key policies, procedures and regulations
Education and training
Required for investigators
- At discretion of the school
Supplemental
- At discretion of the school
VCU regulatory and administrative oversight
Mary Pak, Pharm.D.
Manager, VCU Medical Center Investigational Drug Service
Mary.Pak@vcuhealth.org
Forms and submission procedures
For more information
VCU Medical Center Investigational Drug Services
Email: investigational.drug@vcuhealth.org, AOP.IDS@vcuhealth.org