Award Compliance

There are a number of compliance requirements at Yale that must be met in order to conduct research. The following links provide additional information about how to complete these requirements. Sponsored project funding may not be expended until all applicable compliance requirements are met.

Type Compliances and requirements
Uniform Guidance Code of Federal Regulations require compliance with Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
Principal Investigator Eligibility Individuals seeking consideration to be a Principal Investigator (PI), Co-PI or Program Director on a sponsored project who otherwise do not have this privilege should review Policy 1310: Principal Investigator Eligibility Requirements on Sponsored Projects, Policy 1316: Managing Effort Associated with Sponsored Projects and the Faculty Handbook Section XX: University Policies Concerning Teaching and Research in consultation with their immediate supervisor and then complete Form 1310 FR.04: PI Status Request.

Conflict of Interest (COI)

Each individual responsible for the design, conduct or reporting of research is required to submit an annual external interest disclosure form describing their external activities and financial interests. Please visit the Yale Conflict of Interest (COI) webpage to access the external interest disclosure form and for more information on financial conflict of interest requirements at Yale. Institutions that do not have a COI policy can reference Yale’s Model COI (Conflict of Interest) Policy.
Human Research Protection Program (HRPP) Research projects involving the use of human subjects require the review and approval of the Human Research Protection Program (HRPP). Please visit the HRPP webpage for information regarding HRPP protocols, policies and procedures.
Institutional Animal Care and Use Committee (IACUC) Research projects involving the use of animals require the review and approval of the Institutional Animal Care and Use Committee (IACUC). Please visit the Office of Animal Research Support (OARS) webpage for information regarding IACUC protocols, policies and procedures.
Patent Policy Acknowledgment Agreement (PPAA) All members of the University who are identified on a sponsored project proposal are required to complete the Patent Policy Acknowledgment Agreement (PPAA) certification.
Sponsored Project Administration (SPA) Training for Faculty Individuals identified as the Principal Investigator or Co-Principal Investigator on a sponsored research project are required by the University to complete an online training course. The course is designed to familiarize participants with the basics of sponsored project administration.