Responsible Personnel List Instructions

Responsible Personnel List Instructions

Office of Sponsored Programs Guidance Responsible Personnel List Instructions

Responsible Personnel List Instructions

Download Responsible Personnel List (fillable PDF form) here.

Recommended Reading

Purpose

The Office of the CIRB (OCIRB) is required to review disclosures of financial interests from each person who is planning to participate in, or is participating in a sponsored project and/or a protocol submitted to the Institutional Review Board (IRB) if that person is responsible for the design, conduct, or reporting of the work. The Office of Sponsored Programs (OSP) personnel enter information about Responsible Personnel into the proposal record in the Integrated Research Administration Portal (IRAP) system. Because of the connection of IRAP system modules, the information is automatically transferred to the IRAP project case in the OCIRB.

When is the RPL required?

CAUTION: Please follow the instructions on this page when completing the RPL form. OSP will assume no responsibility for correcting this form. Incomplete forms will stop processing of the proposal. Inaccurate data will delay processing.

The RPL is required for all new application types (Original/New, Transfer In, Change in PI, Resubmission, Competing Continuation/Renewal, and Fee for Service), also known as an Original RPL. The RPL is also required any time there is a change in responsible personnel on a sponsored project, also known as a Revised RPL. Note that for program projects/center grants (P series grants), a separate RPL is required for each subproject. This form should not be submitted for the parent or overall project of a program project. 

For additional guidance, please review the FAQ's located at the CIRB website. If you have questions about whether or not your project meets the definition of a program project/center grant, contact your OSP Officer for guidance.

Original RPL

Original RPL submissions are submitted for the following submission types:

  1. Original/New
  2. Competing Continuation/Renewal
  3. Transfer In
  4. Change in PI
  5. Resubmission
  6. Fee for Service

Section I

Check the box labeled "Original RPL". Include the date corresponding to when the form is submitted to OSP. Enter the full last name, first name, and middle initial of the PI/PD along with their BlazerID and Project Title. If completing the form for a subproject of a program project, complete the subproject information section by including the title of the subproject and the subproject PI/PD last name, first name, middle initial, and BlazerID.

Section II

Check all compliance approvals for IRB, IACUC, and OH&S that will be required for the project.

Section III

NOTE: The "Add/Remove from Project" column should NOT be completed for an original RPL. This column is intended for use with a Revised RPL. See the Revised RPL section for more information.

List all Responsible personnel on the sponsored project and any other Responsible personnel who will be named on related protocols submitted to the Office of the Institutional Review Board (OIRB). For each individual, include the UAB BlazerID (for non-UAB personnel, list the affiliate organization), last name, first name (exactly as it is in Oracle), and project role. Select the project roel that best matches each person's involvement on the project. If the list of project roles does not include the role you need, please select "Other" as the project role and simply type over the word "Other" to enter the desired role. We strongly encourage you to utilize the information at the bottom of this page for assistance in identifying Responsible personnel.

Revised RPL

Revised RPL submissions are submitted when you are adding or removing responsible personnel from an existing project.

Section I

Check the box labeled "Revised RPL" and include the date corresponding to when the form is submitted to OSP. Include the PI/PD last name, first name, middle initial, BlazerID, Project Title, and OSP Assigned Number (OSPAN) for the project. If submitting a revised RPL for a subproject of a program project, complete the subproject information section, including the OSPAN for the subproject.

Section II

Update this section only if additional compliance approvals are required.

Section III

Include only the names of those Responsible individuals being added to or removed from the project. For each individual, list the name, BlazerID, and project role and check the Add or Remove box, as applicable

Definitions

NOTE: Please be aware that personnel listed on this form will appear in the IRAP proposal record as Key personnel. This is not intended to be a reflection of Key personnel as defined by the sponsor of the project.

A Responsible person is defined as the PD/PI and any other person who is responsible for controlling the design, conduct, or reporting of research. Responsible personnel must disclose financial interests including those of their spouse or dependents to the OCIRB. The role and degree of independence with which the individuals work should be considered in the determination of Responsible personnel.

  • Design - The planning of the scientific strategy to test a research proposal.
  • Conduct - The supervision or management of a study's execution. This is typically done by the principal investigator (PI), sub-investigators (as defined by FDA) and co-investigators, but also may be performed by postdoctoral fellows and graduate students who have significant supervisory roles for junior researchers or technicians who are part of the study.
  • Reporting - The authorship of publications or reports related to the research. This includes anyone who will likely present the data at national or international meetings.
  • Research - For the purposes of reporting financial conflicts of interest on this form, the term research includes any grant or contract application processed by the Office of Sponsored Programs (OSP) and all work involving human subjects regardless of funding source.

The UAB Enterprise Conflict of Commitment Policy is available here. All questions regarding the RPL or the definition of responsible personnel should be directed to the OCIRB at (205) 975 - 9691.