Proposal 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.

Type Compliances and requirements
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) page to access the external interest disclosure form and for more information on financial conflict of interest requirements at Yale.
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 page 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) page 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. View the Patent Policy Acknowledgement and Agreement (VPN required). This is a one-time requirement.
Yale University/West Haven Veterans Administration Medical Center (VA) Joint Appointment Memorandum of Understanding

Individuals participating in sponsored research awards and who hold a joint appointment with Yale and the West Haven Veterans Administration Medical Center (herein referred to as “VA”) are required to complete and submit a Memorandum of Understanding (“MOU”) (1411 FR.01 Yale University/West Haven Veterans Administration Medical Center (“VA”) Joint Appointment Memorandum of Understanding) to the Office of Sponsored Projects (OSP) in accordance with the information below and required by the National Institutes of Health’s (“NIH”) (refer to the NIH Grants Policy Statement – VA-University Affiliations).

Responsible Conduct of Research (RCR)

The University is committed to the responsible conduct of research. Please note that the National Science Foundation (NSF) has specific requirements for undergraduate students, graduate students or postdoctoral researchers being paid on an NSF award. 

The National Institutes of Health (NIH) require that every National Research Service Award (NRSA) and Career Award (K award) trainee must receive instruction in the responsible conduct of research. Each training grant application must include a description of the plan to provide trainees with instruction on scientific integrity and ethical principles in research. For more information on the NIH RCR requirements.

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 a one-time online training course.  The course is designed to familiarize participants with the basics of sponsored project administration.