Compliance Policies and Practices

An A to Z for topics related to compliance

The entries following provide — for ease of reference — a mostly comprehensive list of compliance topics; please note that for an individual project, only a handful of these issues require attention.

Corporate and Foundation Relations is happy to help identify and provide guidance on compliance issues pertinent to your project. Contact us for assistance.

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  

Carleton 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. This Carleton Campus Handbook page provides assurance of compliance with all applicable laws, and the Human Resource Benefits page provides more information, such as links to Health Care Reform and to Affordable Care Act Marketplace Notice

Americans with Disabilities Act 

In accordance with this 1990 Act, Carleton'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 Carleton, the application process and review is conducted by the Institutional Animal Care and Use Committee (IACUC).

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 (see Carleton's Assurance here), 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, see the "Non-discrimination" entry.

Civil Rights Protections or Statutes

See "Non-discrimination."

Clean Air and Water

In compliance with the Clean Air Act (§114) and the Clean Water Act (§1318), Carleton's Facilities personnel regularly post Water Reports. See also "Safe Drinking Water Act" below.

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 Carleton's annual 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.

Compliance & Disclosure Form

For internal use, a Compliance and Disclosure form is to be completed for any proposal submitted to a federal agency. Click on this Link to OnBase Form and log in using your Carleton credentials.

Conflict of Interest (COI)

The "Related Party Disclosure Statement" (Conflict of Interest Policy) ensures that Carleton's Board of Trustees, officers, and management employees administer the affairs of the College honestly, prudently, and with accountability. Annually, trustees and managers complete a Disclosure Form. This COI policy is distinct from the FCOI policy that is pertinent to individuals receiving federal grant funds.

Constitution Day and Citizenship Day

For Constitution Day and Citizenship Day, Carleton provides an educational program on the U.S. Constitution on (or near to) September 17 annually as stipulated in Excerpt, Public Law 108-447.

Controlled Unclassified Information (CUI)

Carleton 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 Carleton researcher would be informed that she is working with CUI by the relevant agency. As of December 2017, Carleton has confirmed that the College holds no federal contracts that might include work with CUI. If a Carleton faculty or staff member does undertake research with CUI, she can approach CFR, 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.

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 Carleton's IT Data Management and Access Guidelines.

Data Management Plan (DMP) 

NSF requires each investigator to submit a two-page description of how the proposal will conform to the federal policy on the dissemination and sharing of research results; NIH has a similar requirement. See CFR's Dissemination and Sharing of Research Results page for a summary of NSF policy, a DMP template, and contacts for assistance.

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 

Carleton assures compliance for this federal regulation regarding contractors or other recipients of federal funding that have engaged in waste, fraud, or abuse. The Business Office grants manual provides more information on our policies, which accord with the staff handbook explanation. In brief, the process requires the college to check entities against the federal System for Award Management (SAM). CFR does this upon proposal submission by each individual investigator, and the Business Office checks before making a sub-grant or contract award of any amount to an outside organization.

Disability Access  

Disability Services at Carleton promotes increased understanding and access to opportunities for Carleton students, regardless of disability status. Refer to Carleton's disability accommodations policy and these disability access resources: Carleton Staff Guidebook, Carleton Faculty Handbook, Carleton Student Information Packet. See also the Non-discrimination entry.

Diversity 

Carleton's Statement of Diversity affirms the institution's commitment to mutual respect, communication, and engagement no matter one's race and ethnicity, culture, political and social worldviews, religious and spiritual understandings, language and geographic characteristics, gender, gender identities and sexual orientations, learning and physical abilities, age, and social and economic classes.

Drug-Free Workplace

Carleton's policy on a Drug-Free Workplace was implemented as required by the Drug-Free Workplace Act of 1988. Our Alcohol and Other Drugs Policy defines how we comply with Northfield ordinances, Minnesota laws, and U.S. acts and amendments, while our Unlawful Use of Drugs and Alcohol policy addresses the Drug-Free Schools and Communities Act Amendments of 1989.

Environmental Health and Safety (EHS)

Carleton's EHS Office develops, implements, and maintains policies and practices for both personnel and facilities, which promote health, safety, and sound environmental management. See also:

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 CFR 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 CFR. Carleton'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. Noteable for recipients of federal funding, students assigned to summer student research positions are not eligible to work additional Carleton student employment positions during the period of their research appointment. Potentially relevant for postdoctoral researchers, if enacted this pending Fair Labor Standards Act (FLSA) final overtime rule (originally planned to go into effect 12/1/16 but was challenged) has FAQs that explain that each institution must implement a policy in compliance with the rule.

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 tutorial and more information, go to the Human Resource's page about FERPA. Additionally, ITS's Data Management and Access Guidelines has a section on Sensitive data urging  familiarity with the Campus Handbook policy on Student Records.

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 Carleton's FCOI policy in the Faculty Handbook and indicate whether they have any financial conflicts of interest on the Compliance & Disclosure Form, an internal document required for any proposal submitted to a federal agency. 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.

Grant Proposal Approval Form 

Though an internal requirement, this essential approval form, to be completed with each proposal submitted to an external funder, aids us in complying with federal requirements. Grants office personnel initiate the form via OnBase Workflow.

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)].  Human Resources' HIPAA page primarily addresses the need for Carleton's health plan to provide notice of privacy practices for PHI, but this rule can also impact research involving human subjects depending upon whether the researcher works for a covered entity and the degree of access to and use of PHI the researcher requires. Refer also to the HIPAA Security Rule that requires appropriate administrative, physical, and technical safeguards to ensure the confidentiality, integrity, and security of electronic protected health information.

Human Subjects 

All research on human subjects - including administering assessment surveys - conducted by Carleton faculty, students, and staff, at Carleton or at other institutions and research sites, must conform to the Federal Common Rule for Protection of Human Subjects (45 CFR 690) and abide by Carleton's Policy on Research Involving Human Subjects. To apply for approval or exemption, visit the Institutional Review Board (IRB) pages.

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). Carleton'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."

Institutional Animal Care and Use Committee

IACUC, at Carleton oversees the application process and review of research projects that involve invertebrate animals, to assure their humane treatment and judicious and safe use, in accord with the standards set out by the NIH Office of Animal Laboratory Welfare (OLAW) and US Department of Agriculture. Internal users can access Carleton's 2018 renewed assurance.

Institutional Review Board (IRB) 

The IRB is responsible for overseeing all research done at Carleton that involves human subjects, ensuring that the following two standards dictated by federal law are upheld: 1) human subjects should not be placed at undue risk; 2) subjects should give uncoerced, informed consent to their participation in the research. Go to this IRB page to apply for approval or exemption.

Institutional Biosafety Committee (IBC) 

The IBC oversees research involving recombinant or synthetic nucleic acid molecules. For more, see Carleton's IBC Policy and Practice for Research Involving Recombinant DNA.

Intellectual Property 

See Carleton's policy for patent protection, and policies on copyright ownership.

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.

Misconduct in Science 

Carleton's policy addresses potential research misconduct, which is the falsification of data, plagiarism, or misappropriation of others' ideas, in the course of proposing, conducting, or reporting research or in performing other professional duties. Each federally funded investigator needs to be aware of the guidelines and procedures spelled out by policy.

Non-discrimination 

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

Carleton 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. Refer to the Statement on Discrimination and Academic Freedom, the Policy Against Sexual Misconduct, and links on HR's web pages. See also Carleton's Assurance of Compliance.

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 Carleton's Workplace Safety statement and access an informative OSHA poster on HR's Mandatory Workplace posters page.

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 

Carleton's policy for patent protection governs the control and ownership of ideas and discoveries ("Developments") which arise out of the research activities of its faculty and staff.

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

Federal regulations require Carleton grantees to complete our Vendor Selection Form when requesting federal funds to purchase equipment costing more than $10,000 (per single piece of equipment). This requirement aligns with the college's own best procurement practices, outlined in the Business Office-maintained "Purchasing" page and Procurement, Suspension and Debarment Requirements for Grants.

Research Misconduct 

Carleton’s Misconduct in Science policy addresses the potential falsification of data, plagiarism, or misappropriation of others' ideas, in the course of proposing, conducting, or reporting research or in performing other professional duties. Each investigator needs to be aware of the guidelines and procedures spelled out by policy.

Responsible Conduct of Research (RCR) 

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. See Carleton's CFR's RCR page, TRAINING section for instructions to access CITI training modules.

Safe Drinking Water Act 

Results of monitoring required by the Safe Drinking Water Act of 1974 (amended with EPA regulations at 40 CFR 141-149) are posted on Carleton's Facilities Water Reports page. 

Sexual Misconduct or Discrimination 

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

Subrecipient Monitoring

Carleton 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 Business Office's Subaward Management page.

Smoke-Free Workplace

The College complies with all applicable state and federal regulations pertaining to a smoke-free workplace.

Time and Effort Reporting 

Federal regulations necessitate documentation of investigator's time and effort on externally sponsored activities. The Business Office's Effort Certification Reporting Requirements gives details.

Title IX

Carleton's annual reports and Policy Against Sexual Misconduct address requirements of the Title IX of the Education Amendments of 1972, as amended (20 USC § 1681), that protects students from discrimination based on sex, including sexual harassment and sexual violence. See also "Sexual Misconduct or Discrimination" above.

Violence Against Women Act (VAWA)

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

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 Selection Form 

For internal use, this form must be completed for any federal grant-funded purchases of equipment over $10,000 (per single piece of equipment). See the "Purchasing" entry above.

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 Carleton's whistle-blower policy.