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 (1) sponsored project and/or (2) a protocol submitted to the Institutional Review Board (IRB) if that person is Responsible for the design, conduct or reporting of the work. The investigator uses the Responsible Personnel list to communicate with both OSP and OCIRB. Original/New and Revised RPLs submitted with OSP submissions should be sent to
*New* Stand Alone RPLs should be sent to OCIRB at
- Responsible Personnel List Form (Word Version)
- Responsible Personnel List Form (PDF Version)
- Responsible Personnel List Instructions (PDF Version)
When is the RPL required?
The RPL is required for all new applications submission types of
- Original/New
- Competing Continuation/Renewal
- Transfer In; Change in PI or
- Resubmission and
At any time there is a change in Responsible personnel on a sponsored project. 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.
If a person who is Responsible personnel on a research project leaves UAB, that individual must be removed from the RPL immediately, unless they will continue to be responsible for the design, conduct, or reporting of the research. If an individual who is leaving UAB will remain responsible for the research, the principal investigator (PI) must notify the OCIRB via email that the individual leaving UAB employment will remain responsible on the project. This will help avoid delays in project processing and/or release. Please note that maintaining accurate listings of Responsible personnel is each PI’s responsibility, and failure to do so could result in a finding of non-compliance for the principal investigator. If individuals who leave UAB and are no longer responsible for a research project are not actively removed from the project, the OCIRB will administratively remove them, and this may lead to noncompliance sanctions.
Instructions for Completing a Responsible Personnel List (RPL) form
Original RPL
Section I: Check the box labeled “Original RPL”. Include the date the form is submitted to OSP, PI/PD last name, first name, middle initial and 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 and BlazerID.Section II: Check all compliance approvals (i.e. IRB, IACUC, OH&S) that will be required for the project.Section III: 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 and first name (exactly as it is in Oracle) and project role. Select the project role 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. The “Add/Remove from Project” column should not be completed for an original RPL. We strongly encourage you to utilize the information at the bottom of this page for assistance in identifying Responsible personnel.Revised RPL
Section I: Check the box labeled “Revised RPL” and include the date the revised form is submitted to OSP/OCIRB. Include the PI/PD last and first name along with middle initial, BlazerID, Project Title and OSP Assigned Number for the project. If submitting a revised RPL for a subproject of a program project, complete the subproject information section, including the OSP Assigned Number for the subproject. Revised RPLs submitted with OSP submissions should be sent toThis email address is being protected from spambots. You need JavaScript enabled to view it. with other required submission documentation.*New* Stand Alone RPLs should be sent to OCIRB atThis email address is being protected from spambots. You need JavaScript enabled to view it. .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.
NOTE: When a Responsible person leaves UAB, that individual must be removed from the project by submitting a revised RPL immediately unless they will continue to be responsible for the design, conduct, or reporting of the research. If an individual who is leaving UAB will remain responsible for research at UAB, the PI must notify the OCIRB via email that the non-UAB person will remain a Responsible person on the project. Maintaining accurate listings of Responsible personnel on a research project is the responsibility of the PI, and failure to do so could result in a finding of non-compliance for the principal investigator. If an individual(s) who leaves UAB and is no longer responsible is not immediately removed from the project, the OCIRB will administratively remove them, and this may lead to noncompliance sanctions.
Definitions
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. Please note that this does not necessarily include all project personnel or all personnel named in the budget. 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.The UAB Enterprise Conflict of Interest and 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.
