Policies, Procedures, and Research Compliance
Federally Compliant Administrative Policies and Procedures
As a recipient federal funding, Saint Mary’s College of California is required to comply with federal regulations. The following policies apply to federally sponsored sponsored grants and cooperative agreements.
• Subrecipient Monitoring Policy & Procedures
→ Subrecipient or Contractor Checklist – For use in implementing the subrecipient policy
→ Subrecipient Commitment Form – For use in implementing the subrecipient policy
• Participant Support Costs Policy
→ Guide to Student Payments – Reference this guide to process participant support costs
Federally Compliant Research Policies and Procedures
Saint Mary's College of California is committed to the ethical and responsible conduct of research. The following policies and procedures are designed to comply with applicable sponsor regulations, terms, and conditions.
Human Subjects
• Institutional Review Board
• Saint Mary’s College of California Policy on Human Subjects Research
Animal Care and Use
• Institutional Animal Care and Use Committee (IACUC)
Research Misconduct Policy and Procedures
• Saint Mary’s College of California Policy for Responding to Allegations of Research Misconduct
PHS-compliant Financial Conflict of Interest Policy and Procedures
• Policy on Disclosure of Financial Interests and Management of Conflicts of Interest for Public Health Service and PHS-compliant Sponsored Research Award
→ SMC PHS FCOI Disclosure Form – Investigators must download this Adobe form to their desktop, populate, sign, and submit it to the Office of Research. Do not open the form in a web browser; it will not function properly.
National Institutes of Health Research Security Training (RST) Requirement
Under NIH Notice NOT-OD-26-017, all senior/key personnel on NIH applications must certify that they have completed RST within 12 months of proposal submission. Saint Mary’s compliance requires completion of the CITI Research Security module and certification through the Biographical Sketch in SciENcv.
NSF-compliant Financial Conflict of Interest Policy
• Policy on Disclosure of Financial Interests and Management of Conflicts of Interest for National Science Foundation Awards
→ NSF Research Compliance Combined Form – For use in implementing NSF requirements
NSF Important Notice No. 144: Harassment Compliance Requirement
• All investigators on awards funded by the National Science Foundation (NSF) are required to comply with NSF’s Harassment Requirement
→ NSF Research Compliance Combined Form – For use in implementing NSF requirements
→ All Saint Mary’s College employees are also expected to comply with the College’s Sex Discrimination Policy posted on SMC's Title IX site.
Training in the Responsible and Ethical Conduct of Research for NSF Grants
All investigators on NSF-funded awards must comply with the Requirement Regarding Responsible and Ethical Conduct of Research Training. Investigators must certify that they require completion of the CITI Responsible and Ethical Conduct of Research module or a comparable training module for all NSF-supported students, postdocs, faculty, and other senior personnel, and that the training includes mentor training and mentorship.
Dual Use Research of Concern (DURC) Compliance
All investigators engaged in research involving agents or toxins classified under DURC must comply with federal regulations and institutional policies designed to mitigate potential misuse. Investigators must certify that their work adheres to the principles outlined in the U,S. Government Policy for Institutional Oversight of Life Sciences DURC .
Prevention of Malign Foreign Talent Recruitment Compliance
Investigators associated with federally funded projects must comply with policies prohibiting participation in malign foreign talent recruitment programs specified in Creating Helpful Incentives to Produce Semiconductors (CHIPS) & Science Act of 2022. Investigators are required to certify their adherence to these regulations by signing the Prevention of Malign Foreign Talent Recruitment Investigator Certification Form.
NSF Research Security Training (RST) Requirement
Under Important Notice No. 149 from the National Science Foundation, senior/key personnel for NSF proposals must certify that they have completed Research Security Training within 12 months of proposal submission. Saint Mary’s compliance requires completion of the CITI Research Security module and certification through the Biographical Sketch in SciENcv.
Saint Mary's College Grants Protocols
The following protocols lay out how Saint Mary’s College of California carries out specific functions and activities.
Academic Administrative Protocols
• Faculty Time, Effort, and Salary Calculations for External Grants
• Eligibility to Serve as a Principal Investigator (PI) on an Externally Funded Grant
• Indirect Cost Recovery MOU (for funded grants)
Budgeting Resources
• Standard SMC Rates for Grant Proposals
SMC Business Office
• Business Office Staff and Contact Information
• Accounts Payable Policies and Procedures
• Contracts and Agreement Forms
• Student Payroll Pages
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