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Policies and Required Forms

Reference Guide for Proposal Development

This is a step-by-step list of the proposal development process.  We recommend you keep a copy of this guide with your proposal materials so that you may easily cross off completed steps and stay ahead of future ones.  

Reference Guide

 

Grant Routing Form

Before submitting an application for any external funding for grants or fellowship, the grant routing form must be circulated to obtain signatures from your department head (and other unit heads if applicable), CFR representative, and dean. Note the required completion dates for various reviews; these dates are also included in the Reference Guide above.

Grant Routing Form

 

Faculty Training for Federal Awards (RCR and IRB)

All W&L faculty applying for federal funding must complete required online training modules via CITI. An instructional PDF is included below; for specific questions, please contact Bryan Price, Assistant Provost for Institutional Effectiveness and Director of Institutional Research (bprice@wlu.edu).  

CITI Training Instructions

 

Financial Conflict of Interest Policies and Disclosure Forms

Washington and Lee has two separate policies regarding financial conflicts of interest in sponsored research. One policy (the "PHS Policy") complies with regulations issued by the Department of Health and Human Services ("the PHS regulations"). It applies to investigators performing/proposing research supported by the Public Health Service (PHS) or any other sponsor that has adopted the PHS regulations.

The second policy (the "NSF Policy") complies with the National Science Foundation's (NSF) Investigator Financial Disclosure Policy. It applies to all federally funded or private sponsored research other than research supported (or proposed for funding) by the PHS or any sponsor that has adopted the PHS regulations. 

Each investigator involved in sponsored research must complete the appropriate disclosure form prior to submitting an external proposal and prior to joining certain ongoing research projects. Each disclosure must be updated annually or as new significant financial interests arise or are acquired.  Linked below are the complete policies and disclosure forms:

Public Health Service Financial Conflicts of Interest Policy

Public Health Service Significant Financial Interest Disclosure Form

National Science Foundation Financial Conflicts of Interest in Research Policy

National Science Foundation Significant Financial Interest Disclosure Form

 

Responsible Conduct of Research Policy

Faculty engaged in research will adhere to the highest professional standards in the execution of their work and the reporting of its results.  This policy applies to allegations of research misconduct (fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results) involving a person who, at the time of the alleged research misconduct, was employed by, was an agent of, or was affiliated by contract or agreement with W&L.

Responsible Conduct of Research Policy

 

Research on Human Subjects

All research involving human participants that is conducted by Washington and Lee faculty members or students must be reviewed by the Institutional Review Board for Research with Human Subjects (the IRB). The primary purpose of the committee is to assure the protection of the rights and welfare of human research subjects according to federal and state regulations and guidelines. The committee will review institutional or university faculty research proposals which would involve the use of human subjects and assure their compliance with appropriate protocols.

No matter how seemingly benign, the proposed research project must be reviewed by the IRB before relevant work commences. The IRB is available to consult with faculty, staff, or students in the early stages of project development regarding the review process and categories of review.

W&L Institutional Review Board

 

Research on Animal Subjects

The Institutional Animal Care and Use Committee (IACUC) is charged with creating and monitoring protocols for all research and instructional use of vertebrate animal species. These protocols should comply with relevant federal and state regulations; public concerns about the humane treatment of animals; veterinary expertise in laboratory animal care; accepted standards of appropriate facilities; and protection against unsubstantiated allegations against investigators.

For information, please contact Robert Stewart, Associate Professor of Psychology: stewartr@wlu.edu 

 

Uniform Biological Materials Transfer Agreement Implementing Letter

Washington and Lee University has signed the Uniform Biological Materials Transfer Agreement, which is maintained by the Association of University Technology Managers. The agreement, list of participating universities, and the "implementing letter" to be used to formalize safe and responsible transfers and use of biological materials can be found at the link below. Faculty and others at W&L intending to send or exchange biological materials should use the UBMTA implementing letter even if the recipient has not signed the agreement.

UBMTA Website