Compliance Monitoring for Certifications on Research Award Funds

Requirements for Use of Animals, Biohazards, Humans in Research

Why is Research Services Involved with Certification Monitoring?

Research Services is required by funding Sponsors to monitor that compliance requirements are met on all funded research.

As a condition of obtaining and maintaining access to research funds, the Tri-Agencies (CIHR, NSERC, SSHRC) and other funding Sponsors, mandate that Western monitor compliance for funds supporting the use of animals, biohazards, humans in research

Please Note:

  • ONLY the funded researcher (grantee) can confirm which research funds are supporting the use of animals, biohazards and/or humans. The grantee MUST provide the approved protocol numbers, or status detail to Research Services.
  • The grantee holding the research funds must hold, or be listed on, any approved certification Protocol or Permit linked to specific research award funds. If the approved certification Protocol or Permit is not held in the grantee’s name, please contact the appropriate Certification Office for appropriate direction.
  • Approval Protocol and/or Permit numbers are maintained in the ROLA Proposal and Award records, as provided by the grantee, and are verified by Research Services with the certification offices.
  • Research Services works closely with the Certification Offices. Timely communication between the grantee - and any of these offices - is critical to maintain compliance and ensure initial and continued access to research award funds.
  • Refer to Research Western's Policy for activation and continued access to research funding.

Process to ensure continued access to research award funds

STEP 1 for Grantee:

Assess research project certification requirements

STEP 2 for Grantee:
Email the following detail to Research Services at rwrecords@uwo.ca

If Research Award funds support the use of ANIMALS
(NOTE: To maintain approval, contact Animal Care Committee 6 months before expiry of current animal use protocol at auspc@uwo.ca)

  • research funding award detail
  • valid Animal Use Protocol #
  • confirm Account Holder holds or is listed on AUS Protocol
If Research Award funds support the use of  BIOHAZARDS
(NOTE: To maintain approval, contact BioSafety Office
6 months before expiry of current permit at ahammoud@uwo.ca)
  • research funding award detail
  • valid Biosafety Permit #
  • confirm Account Holder holds or is listed on Permit
If Research Award funds support the use of HUMANS
(NOTE: To maintain approval, contact Research Ethics
2 months before expiry of current protocol at ethics@uwo.ca)
  • research funding award detail
  • valid Research Ethics Protocol #
  • confirm Account Holder holds or is listed on human ethics protocol
If only AT A FUTURE DATE Research Award supports the use of animals, biohazards and/or humans
If Research Award funds NO LONGER support the use of animals, biohazards and/or humans  
  • valid Protocol or Permit #
  • confirmation by email of date by which certification no longer required for any and all relevant research awards
If NEW or EMERGING Certifications - Research Award funds support the use of animals, biohazards and/or humans (only determined after the start date of the award)
  • research funding award detail
  • notification and status update of new certifications requirements for any and all relevant research awards
  • valid Protocol #, if available

GLOSSARY

  • Compliance Monitoring: Approved Protocols and Permits are maintained in ROLA system on research awards. Reminder notices are sent in advance of expiry dates by the certification offices for each Protocol or Permit. Reminder notices sent by Research Services are to clarify which Protocols and Permits with upcoming expiry dates are still being supported by specific research award funds.
  • Certifications: Approvals for use of animals, biohazards or humans in research.
  • Protocol or Permit: Approval document issued by appropriate Certification Office.
  • Research Award Funds: Monies received from research funding sponsor.
  • Research Funding Award: ROLA Proposal or Award #, sponsor reference number or Western speedcode.

Contact

For more information, or questions relating to this process, please contact Theresa Russelo, Director, Research Services, 519-661-2111 ext. 84502