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Macalester College Research Policies and Procedures

An A to Z for topics related to compliance in grant making

The following entries provide — for ease of reference — a mostly comprehensive list of research policies and procedures related to grant making; please note that for an individual project, only a handful of these issues may require attention in developing research, budgets and post award management.

The Grants Office is happy to help identify and provide guidance on research policies and procedures pertinent to your project. Contact us for assistance. For more information on policy guidance for federally funded projects, please visit the federal Office of Management and Budget (OMB) grants and agreements.

A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | XYZ

Affordable Care Act

Macalester complies with the Patient Protection and Affordable Care Act (PL 111-148) and requirements imposed by DHHS 45 CFR Part 92 that ensure access to any health program or activity. Macalester purchases health care insurance that is State regulated, and is compliant with ACA. Macalester also complies with all ACA guidelines and regulations.

Alcohol and Drug Policy

The Macalester College Alcohol and Drug Policy on alcohol, cannabis, and illicit drugs exists within the context of local, state, and federal laws. The policy is designed to comply with all applicable municipal, state, and federal laws, including the Drug-Free Schools and Communities Act (and related regulations), which prohibit the possession and/or use of cannabis and related products (e.g., THC, CBD), as well as the unlawful possession and/or use of alcohol and illicit drugs.

Americans with Disabilities Act

In accordance with this 1990 Act, Macalester’s Policy is to create and maintain an environment in which all students may learn and work to their fullest potential, limited to the least extent possible by individual disabilities.

Animal Research

College policy and federal law require a review of research projects that involve vertebrate animals to assure their humane treatment and judicious and safe use, in accord with the standards set out by the NIH and US Department of Agriculture, in compliance with the Animal Welfare Act (7 USC 2131-2159). At Macalester, the application process and review is conducted by the Institutional Animal Care and Use Committee (IACUC). NSF Guidance.

Assurance of Compliance

Federal agencies require an “Assurance of Compliance” for Civil Rights Statutes: National Institutes of Health (NIH) asks for a one-time document to be on file others such as National Science Foundation (NSF) and National Endowment for the Humanities (NEH) provide for the assurance of compliance to be executed via signature by the Authorized Organizational Representative (AOR) with each proposal submission.

For the civil rights statutes involved, please refer to the “Non-discrimination” entry. See the Title IX general statement linked here.

Civil Rights Protections or Statutes

See Macalester’s Notice of Non-Discrimination.

Clean Air and Water

In compliance with the Clean Air Act (§114) and the Clean Water Act (§1318), Macalester College maintains a webpage with our water efficiency efforts. 

Clearance

All* proposals for grants to the College, even those in support of the research/scholarly activity of an individual faculty member, must be reviewed and approved by appropriate College officials. This review is necessary because the college accepts legal responsibility for the project. This review also clarifies the implications of the project and thus strengthens the proposal. You can initiate the clearance of your proposal with the Grants, Foundation and Corporate Relations office. View a PDF of Macalester’s Clearance Process.

*If a PI submits a pre-proposal or letter of inquiry that does not require a budget, the clearance process can be delayed until invited to submit a full proposal.

Cleary Act

Originally known as the Campus Security Act, the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (20 USC § 1092(f)) is the federal law that requires colleges and universities to disclose information about crime on and around their campuses. View Macalester’s annual Campus Security and Fire Safety Report.

Code of Federal Regulations (CFR)

CFR is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the U.S. federal government, produced by the Office of the Federal Register (OFR) and the Government Publishing Office (GPO). Access to the CFR online is through e-CFR.

Conflict of Interest (COI)

The college has a responsibility to document, manage, reduce, or eliminate any actual or potential conflict of interest. A potential conflict of interest occurs when there is a divergence between an individual’s private interests and his/her professional obligations to the college such that an independent observer might reasonably question whether the individual’s professional actions or decisions are determined by considerations of personal gain, financial or otherwise (view a PDF of Macalester’s Conflict of Interest Policy).

Constitution Day and Citizenship Day

Each year on September 17, Constitution Day is celebrated on campus. In collaboration with the DeWitt Wallace Library and other departments, the Community Engagement Center hosts a speaker or panel of speakers to discuss a timely topic as it relates to our Constitutional rights in compliance with Excerpt, Public Law 108-447.

Controlled Unclassified Information (CUI)

Macalester will assist any faculty or staff member in appropriately managing “controlled unclassified information” (“CUI”) provided by a federal agency as part of a research project, usually within a grant or contract arrangement. Any Macalester researcher would be informed that they are working with CUI by the relevant agency. Currently (Winter 2024) Macalester has confirmed that the College holds no federal contracts that might include work with CUI. If a Macalester faculty or staff member does undertake research with CUI, they can approach the Grants Office, the Business Office, and ITS for assistance in meeting the requirements of that work, which can be quite onerous.

Copyright

The College’s policies on copyright ownership are outlined on the Copyright policy page of the Faculty Handbook.

Cost Transfer Policy

Proper management of funds is an essential fiduciary responsibility of the College. It is the policy of the College that costs be charged to the appropriate sponsored project when first incurred. However, there may be circumstances in which it is necessary to transfer expenditures to a sponsored project after the initial recording of the charge. Such transactions require monitoring for compliance with College policy, Federal regulations, sponsor-specific guidelines, and the cost principles that guide fiscal activities on sponsored projects. This cost transfer policy is intended to meet these requirements.  

Cost Sharing on Sponsored Projects

Cost sharing is a commitment made by the College toward the total cost of a sponsored project. These costs represent actual expenditures above and beyond what a department is already spending for their operations. The expenditures must be identifiable and made between the start and end dates of a grant. The use of existing College property or equipment does not represent cost sharing. Please refer to the Grants Accounting Policy for more information. 

Data Access (Shelby Amendment)

This policy addresses the retention of technical research data produced with federal funds and subject to Freedom of Information Act (FOIA) requests. The NIH Data Sharing Policy provides guidelines regarding data access. Also refer to Macalester’s Office of Institutional Research’s Data Access Policy. 

Data Classification Policy

The Data Classification Policy provides definitions and examples of Macalester College’s three data categories: Public, Regulated, and Confidential. Macalester Sensitive Information (MSI) by definition includes Confidential and Regulated information. Public information, as described below, is not considered sensitive provided it was not inappropriately accessed or altered in any way. This classification applies to all Macalester information regardless of the storage medium (e.g., hard copy vs. digital/electronic).

Data Management Plan (DMP)

A Data Management Plan (DMP) is a document outlining plans to manage data during and after a research project including how the data will be organized, maintained and shared. A DMP is required by some federal funding agencies, including NSF and NIH. There are a number of places you can go for guides and tools to help you create an effective and sound DMP. Visit our Tips and Tools page to find guidance on your DMP.

Davis-Bacon Act

Any construction or renovation projects funded by federal funds, in whole or in part, are subject to this Act as amended, 40 U.S.C. 276a-276a-5, that provides prevailing wages to be paid to contractors or subcontractors. 

Debarment and Suspension

Macalester College is prohibited from contracting with or making subawards under covered transactions to parties that are suspended or debarred or whose principals are suspended or debarred by the federal government. The College will assure compliance to this federal regulation via confirmation from the Federal System for Award Management (SAM). Macalester’s Grants Accounting page has more information on this policy. 

Development Plan

As of May 20, 2024, NSF required a Development plan for grants that include postdoctoral scholars and graduate students working on NSF funded projects. Please view a PDF of Macalester’s Development Plan for more details.

Digital Copyright Violations Policy

Please see the Digital Copyright Violations Policy. 

Disability Access 

The Center for Disability Resources strives to create a welcoming environment where students have equal access to academic and co-curricular activities. Disability Resources also oversees the application of federal and state laws, implements reasonable accommodations and supports inclusive programming. Please see the Center for Disability Resources’ website for more information. 

Drug-Free Workplace

Macalester College is committed to complying with the requirements of the Drug Free Schools and Communities Act and the Drug Free Workplace Act. The requirements for compliance with the Drug Free Schools and Communities Act (and its implementing regulations) are addressed here and in the Alcohol and Illegal Drugs Policy of the Student Handbook. The College regularly conducts reviews of its alcohol, cannabis, and illicit drug policies and programs to determine effectiveness and implement needed changes.

Effort Reporting Policy

View a PDF of the Effort Reporting Policy on the Grants Accountant page. 

Environmental Health and Safety (EHS)

Macalester’s Facilities Services EHS Office develops, implements, and maintains policies and practices for both personnel and facilities, which promote health, safety, and sound environmental management. 

Export Controls

In 2010 the U.S. Administration adopted the Export Control Reform (ECR) Initiative, and continues to update controls (see H.R.5040 Export Control Reform Act {ECRA} became law in August 2018) that regulate and protect exports, including information and technology, from being released to international adversaries. Federally funded researchers need to consult with the Grants Office and other stakeholders to determine if they are exempt (does your project meet the definition of fundamental research?), or to determine appropriate safeguards if they are not exempt from ECR measures. If the project involves international research collaborations and/or travel, especially with sanctioned programs, countries, or entities; or if licensed technology/software may be shared or intellectual property rights are involved, contact the Grants Office. Macalester’s policy is outlined on this Export Controls page.

Fair Labor Standards Act (FLSA)

Codified at 29 USC 201-209 and with amendments, the Fair Labor Standards Act establishes a minimum hourly wage and overtime pay, and regulates child labor. Notable for recipients of federal funding, students assigned to summer student research positions are not eligible to work additional Macalester student employment positions during the period of their research appointment. Potentially relevant for postdoctoral researchers, see Fair Labor Standards Act (FLSA) final overtime rule (went into effect 2021) has FAQs that explain that each institution must implement a policy in compliance with the rule. This has the potential to change summer 2024.

Family Educational Rights and Privacy Act (FERPA)

FERPA (20 U.S.C. § 1232g; 34 CFR Part 99) is a Federal law that protects the privacy of student education records, and applies to all schools that receive funds under an applicable program of the U.S. Department of Education. For more information, please refer to the Registrar’s page on FERPA guidance and policy at Macalester. 

Federal Information Security Management Act (FISMA)

FISMA of 2002 (44 USC 35 Subchapter III) ensures that all information systems, electronic or hard copy which contain federal data, need to be protected from unauthorized access. The primary application is for federal contracts, but also “applies to grantees when they collect, store, process, transmit, or use information on behalf of” some federal agencies (namely NIH, see NOT-OD-08-032). FISMA 2014 (Federal Information Security Modernization Act (FISMA) of 2014) updates the Federal Government’s cybersecurity practices.

Financial Conflict of Interest (FCOI)

At the time of proposal submission, each investigator seeking federal funds must read Macalester’s Financial Conflict of Interest Policy and indicate whether they have any financial conflicts of interest on the Internal Clearance Form, an internal document required for any proposal for external funding, and which will be initiated for completion by the FGCR Office staff. Any PI/coPI with NIH funding must complete additional FCOI training which can be accomplished through NIH’s official tutorial.

Fly America Act

By law (49 USC 40118), airfare using federal funds must be purchased on an American flag carrier if one is available.

Foreign Organizations and Parties to Malign Foreign Talent Recruitment Programs (NSF)

The National Science Foundation requires that senior/key personnel on funding proposals certify that they are not involved in a Malign Foreign Talent Recruitment Program (MFTRP). Macalester must also certify that they have made personnel aware of the MFTRP prohibition. This Macalester policy outlines this requirement and the process to follow during the development of a funding proposal to the National Science Foundation.

Grant Revision Review Policy

In accordance with Federal regulations, the College has authority to approve certain administrative changes associated with externally funded projects. This authority requires the College to undertake careful review before approving changes that affect project management   and to document the review of revisions to externally funded projects. The purpose of the review is to ensure that grant administrative changes are consistent with the terms and conditions of the award, as well as with the policies of Macalester College and the funding agency. View a PDF of the Grant Revision Review Policy for more information. 

Health Insurance Portability and Accountability Act (HIPAA)

HIPAA with amendments, sets standards for the protection of identifiable health information [in the HIPAA Privacy Rule named “protected health information” (PHI)]. The Employee Handbook addresses the HIPAA requirements that covered entities must have policies and procedures reflecting HIPAA’s privacy mandates. The Health Plan, as a covered entity, has developed administrative policies and procedures reflecting the Health Insurance Portability and Accountability Act of 1996 (HIPAA) privacy regulations.

Human Subjects

Please see Institutional Review Board (IRB).

Institutional Animal Care and Use Committee (IACUC)

The Macalester College IACUC acts to review and ensure that animal welfare standards and ethical principles are applied at the highest possible level in any animal use or research conducted at or in association with the college. Please see Macalester’s IACUC site for more information. 

Institutional Review Board (IRB)

The purpose of the Macalester College Institutional Review Board (IRB) is to oversee all research done by members of the Macalester community – including faculty, staff, students, and college committees – that involves human subjects. Please see Macalester’s IRB site for a collection of resources to support the work of applying for IRB approval and fulfilling the responsibilities that accompany IRB approval.

Institutional Biosafety Committee (IBC)

The IBC oversees research involving recombinant or synthetic nucleic acid molecules. For more information on IBC Policy and Practice for Research Involving Recombinant DNA please email: [email protected] or [email protected].

Institutional Equity

Macalester’s division of Institutional Equity leads Macalester’s ongoing commitment to equity and social justice through collective action, shared visioning, and community connection. The departments within the IE division include: the Center for Religious and Spiritual Life, the Lealtad-Suzuki Center for Social Justice, and Title IX and Sexual Misconduct. To report any bias incidents or discrimination, you may visit the Institutional Equity reporting website. 

Intellectual Property

See Macalester’s Copyright and Intellectual Property site for more information. 

Inventions and Patents

Federal acts and amendments [The Patent and Trademark Amendment of 1980 Section 6 (known as the Bayh-Dole Act of 1980, Pub. L. 96-517 and 35 USC 200-212), Trademark Clarification Act of 1984 (Pub. L. 98-620), and Rights to Inventions made by Nonprofit Organizations (37 CFR Part 401)] detail the regulatory responsibilities for an organization to be able to retain intellectual property rights to “subject” inventions (those conceived or developed with Federal grant funds). Macalester’s Policy (under development within Patents) will align with NIH’s Grants Policy Statement 8.2 Availability of Research Results: see especially Exhibit 8 for “Extramural Invention Reporting Compliance Responsibilities.”

Lobbying Disclosure Act

As outlined in Section 1352, Title 31, U.S. Code, (commonly known as the Byrd Amendment): federal funding cannot be used to lobby for additional federal funding, and any lobbying with other funds must be disclosed. Lobbying conducted by an agent of the College can only be undertaken after that lobbyist registers with the Clerk of the U.S. House of Representatives and the Secretary of the U.S. Senate.

Matching Funds

Macalester’s Matching funds policy addresses the process around obtaining approval from the appropriate clearance team members before the request is run through the grants formal clearance process. 

Mentoring Plan

As of May 20, 2024, NSF required a mentoring plan for grants that include postdoctoral researchers and graduate students supported on the project. Please view a PDF of Macalester’s Mentoring Plan for more details.

Misconduct in Science

In accordance with our Statement on Scientific Misconduct, Macalester’s Office of the Provost shall be responsible for the receipt of allegations regarding scientific misconduct and will be responsible for their proper handling.

“Misconduct in Science” means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. Upon receipt of allegations of scientific misconduct the Provost shall order an immediate inquiry into the matter to be conducted by a designated representative and the Faculty Professional Activities Committee.

Misconduct assurance process

We will address this at the Grants Summit. 

Non-discrimination

In accordance with civil rights protection acts (or executive order) of:

Macalester College’s Statement of Non-Discrimination Commitment affirms that educational facilities, activities, and employment opportunities shall be offered without regard to race, color, creed, ethnicity, religion, sex, national origin, marital status, veteran status, actual or perceived sexual orientation, gender identity and expression, status with regard to public assistance, disability, or age. 

NSF NATIONAL SCIENCE FOUNDATION (NSF) Grant General Conditions (GC-1) Effective for Awards Made on or After May 20, 2024

Please view the National Science Foundation’s PDF for NSF policies and procedures for NSF grants. 

OSHA

The Occupational Safety and Health Act (OSHA) of 1970 ensures safe and healthful working conditions by requiring employers to comply with identified health and safety standards. See Macalester’s Health and Safety site.

Office of Research Misconduct (ORI)

The ORI, a Department of Health and Human Services (DHHS) office, promotes integrity in biomedical and behavioral research by development, analyses, and implementation of policies; and investigation of research misconduct.

Patents and Inventions

Federal acts and amendments [The Patent and Trademark Amendment of 1980 Section 6 (known as the Bayh-Dole Act of 1980, Pub. L. 96-517 and 35 USC 200-212), Trademark Clarification Act of 1984 (Pub. L. 98-620), and Rights to Inventions made by Nonprofit Organizations (37 CFR Part 401)] detail the regulatory responsibilities for an organization to be able to retain intellectual property rights to “subject” inventions (those conceived or developed with Federal grant funds). Macalester’s Policy (under development within Patents) will align with NIH’s Grants Policy Statement 8.2 Availability of Research Results: see especially Exhibit 8 for “Extramural Invention Reporting Compliance Responsibilities.”

PI Eligibility Policy

Please view a PDF of Macalester’s PI Eligibility Policy for more information about who can serve as a PI or co-PI on a grant. 

Proposal Preparation and Grant Management Guide

Funders make awards carefully, using exacting criteria to select the very best proposals. Your work to develop a successful proposal lays a solid foundation for the project to fulfill its promise. Staff in Grants, Foundation and Corporate Relations (FGCR) and Business Services stand ready to assist as you lead this project and manage the funds awarded. Our aims are to ensure that the project is successful and to increase the likelihood that Macalester will receive future support from the funder of your project.

The Proposal Preparation and Grant Management Guide sets forth the responsibilities of Principal Investigators (PI) and Project Directors (PD) at Macalester. It also outlines common administrative procedures Principal Investigators and Project Directors will complete.

Public Access Plan

In an effort to support increased public access to research funded by the government, including any results published in peer-reviewed scholarly publications based on research funded by federal agencies, the Office of Science and Technology Policy (OSTP) directed federal agencies to develop plans for public access. Refer to plans for NSF, NIH, other U.S. Federal Agencies).

Purchasing/Procurement

Purchases that are made using federal funds must follow acquisition procedures outlined in the Uniform Grant Guidance. Please see the Grants Accounting Procurement Policy page for more information. 

Privacy Policy

Macalester College (“College,” “we,” “us,” or “our”) respects your privacy. This Privacy Policy (“Policy”) is intended to educate you about the types of data we collect, our use of this data, and its security. In addition, helpful information on how to limit the collection and use of your data is provided. 

Research Misconduct

In accordance with our Statement on Scientific Misconduct, Macalester’s Office of the Provost shall be responsible for the receipt of allegations regarding scientific misconduct and will be responsible for their proper handling.

“Misconduct in Science” means fabrication, falsification, plagiarism, or other practices that seriously deviate form those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. Upon receipt of allegations of scientific misconduct the Provost shall order an immediate inquiry into the matter to be conducted by a designated representative and the Faculty Professional Activities Committee.

Responsible and Ethical Conduct of Research (RECR)

In accordance with the America COMPETES Act (42 USC 1862o-1) institutions receiving federal funds must have a plan to provide training and oversight in the responsible and ethical conduct of research to undergraduates and postdoctoral researchers who participate in research. View Macalester’s Responsible and Ethical Conduct of Research Policy and Macalester’s Grants Office RECR page, TRAINING section for instructions to access CITI training modules.

Safe and Inclusive Working Environments for Off-Campus and/or Off-Site Research Policy

Macalester College is committed to maintaining a fair, respectful, and inclusive environment in which all members of its community feel safe and can participate fully and grow. This commitment applies during college-sponsored activities, including when participating in off-campus and/or off-site research and educational experiences. Such experiences may include but are not limited to course-based travel, internships, conferences, fieldwork, and other off-campus or off-site research. Please view a PDF of Macalester’s Safe and Inclusive policy for more details, and see our policy link on our grants webpage.

Safe Drinking Water Act

Please see the “Clean Air and Water” entry. 

Seeking and Obtaining Tribal Nation Approval for Proposals (NSF)

Any scientist doing research “that may impact the resources or interests of a federally recognized American Indian or Alaska Native Tribal Nation” must obtain “prior written approval” from that nation before NSF will make an award. This Macalester policy outlines this requirement and the process to follow during the development of a funding proposal to the National Science Foundation.

Sexual Misconduct or Discrimination

The Policy Against Sexual Misconduct defines Macalester’s philosophy, gives definitions of prohibited conduct, and describes the requirements for reporting sexual discrimination or misconduct to the Title IX Coordinator. Macalester’s practices are guided by existing Title IX law, the Clery Act, and the Minnesota Campus Sexual Assault law.

Staff on Grants or External Opportunities Policy

Macalester supports professional growth by members of its community. However, employment at Macalester (specifically full time employment) presumes that the College is the primary employer and will take priority. Such employment contemplates that a reasonable amount of overtime may be expected, especially for exempt employees. Time away from your primary work for professional projects, independent study, other employment or consulting activities must generally be undertaken outside the employee’s College appointment. See the Staff on Grants or External Opportunities Policy for more information. 

Student Research Opportunities

For more information on Student Research Opportunities, please see the Paid Summer Opportunities site.

Subrecipient Monitoring

Macalester is responsible for ensuring that all subawards issued from the College comply with federal regulations: refer to this Subrecipient Award and Monitoring Policy and the Monitoring Federally Funded Subrecipients PDF. 

Smoke and Tobacco-Free Workplace

The College complies with all applicable state and federal regulations pertaining to a tobacco-free workplace. See the Tobacco Free Policy page.

Time and Effort Reporting

Federal regulations necessitate documentation of investigator’s time and effort on externally sponsored activities. The Grants Accountant’s Effort Certification Reporting Requirements gives details.

Title IX

In accordance with Title IX, Macalester College does not discriminate on the basis of sex or gender in its educational, extracurricular, athletic, or other programs or in the context of admissions or employment. The College prohibits all forms of sex discrimination, including sexual harassment, gender-based harassment, sexual violence, and differential treatment. See also “Sexual Misconduct or Discrimination” above.

Uniform Guidance (UG)

UG is the short name for the Office of Management and Budget (OMB) consolidation of government-wide guidance and agency regulations into one location – Title 2 of the Code of Federal Regulations (CFR). “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” is Part 200 of Chapter II, and replaces the OMB Circulars used previous to 2014.

Vendor Management Policy

See the Vendor Management Policy page.

Violence Against Women Act (VAWA)

With the 2013 reauthorization of VAWA, campuses are responsible for meeting prescriptive requirements around reporting, discipline, and prevention.

Whistle-blower Policy

The federal policy’s purpose is to comply with all applicable laws (41 USC § 4712, amended by P.L. 112-239) that protect employees of the College against unlawful discrimination or retaliation by their employer, as a result of reporting information about possible fraudulent or dishonest use or misuse of College resources, or mismanagement of or a violation of regulation related to a Federal grant. See Macalester’s whistle-blower policy.