Debarment and Suspension Certification Policy

The amount of spending on federal government grants and contracts and increased reporting of contractor misconduct have prompted regulations around debarment and suspension. All vendors and key personnel engaged in federal grants or contracts must be checked against the Excluded Parties List System (EPLS) database to certify they are not debarred or suspended. Supporting documentation that provides evidence of certification must be maintained.

Debarment and Suspension Certification Policy


Export Control

Export controls refer to the U.S. laws and regulations that govern the shipment or transfer of controlled items, software, technology, or services outside of the U.S. These controls can limit the ability of St. Kate’s faculty, staff, and students to conduct research in certain countries, with certain agencies, or even conduct research in certain areas with international collaborators.

Export Control Guidance


Financial Conflict of Interest Policy

This Financial Conflicts of Interest (FCOI) Policy is designed to meet PHS and NSF regulatory requirements. It is predicated on the expectation that Investigators conduct their affairs so as to avoid or minimize conflicts and respond appropriately when conflicts arise. Investigators have an obligation to become familiar with and abide by this policy. All Investigators submitting grants to the NSF/PHS need to complete the FCOI Citi training and the Financial Interests Disclosure Form (both linked below).

Financial Conflict of Interest Policy

NIH FCOI tutorial

Financial Interests Disclosure Form

CITI Training Instructions

CITI Website


Indirect Cost Recovery and Distribution Policies

The intent of St. Kate’s Indirect Cost Policies is to foster research, academic innovation, scholarly enterprise and the dissemination of knowledge while catalyzing greater external sponsorship to the University.

Indirect Cost Recovery Policy

Indirect Cost Distribution Policy


Intellectual Property Policy

Through this Intellectual Property Policy, the University brings its approach to copyright in alignment with what it perceives as the norm among institutions of higher education today. St. Catherine University is committed to fostering a community where faculty members, staff and students engage in learning, professional growth, scholarship and research.

Intellectual Property Policy


Internal Grants Compensation Policy

The Internal Grants Compensation Policy seeks to provide clarity on faculty compensation for work on internal grants. Faculty are encouraged to request a nominal stipend to support work on internal grants that is above and beyond their normal job duties. Note that the faculty compensation plan, whether by stipend or contract, will need to be approved by the employee’s program director/chair or dean, prior to submission in accordance with University policy.

Internal Grants Compensation Policy


Mandatory Research Education Policy

St. Catherine University developed a Mandatory Research Education policy in support of our community's commitment to the ethical conduct and dissemination of research and scholarship. St. Catherine University complies with federal requirements to ensure its research personnel (including students of all degree levels, faculty, and staff) complete all required research education and training. Currently the University requires training in:

  • The Responsible Conduct of Research (RCR);
  • Human Subjects Research (HSR); and
  • Financial Conflicts of Interest (FCOI).

While the definition of Responsible Conduct of Research includes research involving human subjects and conflicts of interest, there are separate training requirements for HSR and FCOI.

Mandatory Research Education Policy

Mandatory Research Education Policy Exhibit A - CITI Training Instructions


Participants Incentives Policy

Any PI/PD planning to distribute participant incentives (gift cards) must work through Sponsored Programs, Research, and External Engagement (SPREE); including purchasing, filing documentation of participant incentives distributed, and returning undistributed participant incentives. SPREE maintains documentation for audit and supports the PI/PD in safeguarding confidentiality of study participants. The Business Office conducts spot audits and ensures compliance with IRS regulations.

Participants Incentives Policy

Request for Participant Incentives

Participants Incentives Policy Appendix A


Research Data Management Policy

The research data management policy serves to facilitate clarity and consistency in the roles and expectations of any member of the St. Catherine University community who is engaged in recording, storing, accessing, transmitting, retaining and destroying research data as part of their work. SPREE, the University Libraries and IT work together to collaborate on research data management. SPREE can assist with drafting data management plans for grant submissions as well as support administration of data management systems, like REDCap. The University Libraries offers broad education around data management, access to secondary data, guidance on making data repositories and is available for consultation. IT provides technology to access, store and transfer data that complies with the St. Kate’s Research Data Management Policy.

Research Data Management Policy


Research Integrity Committee Charter

The Research Integrity Committee guides assessment, development and maintenance of robust research infrastructure and compliance programs essential to research integrity at St. Catherine University.

Research Integrity Committee Charter


Research Involving Human Subjects Policy

This policy describes the guiding principles and regulatory requirements necessary to ensure the rights, dignity, welfare, and privacy of the human subjects in all research conducted on behalf of the St. Catherine University. The components within this policy are intended to comply with the Federal Policy for the Protection of Human Subjects, also known as The Common Rule. Mandatory research education related to human subject research is outlined in the Mandatory Research Education Policy.

Research Involving Human Subjects Policy

Cooperative Research Addendum


Research Misconduct Policy

The University, its researchers and scholars recognize research integrity is essential within the liberal arts and professional disciplines, and that failure to engage in ethical research and scholarship or to report misconduct, undermine a central aim of the academic enterprise: the pursuit of knowledge. In line with these values and all applicable federal regulations governing the conduct of research, including but not limited to 42 CFR Parts 93, this document provides the University’s policy and procedures guiding response to allegations of research misconduct involving University faculty, staff and students, as well as others engaged in research affiliated with the University.

Research Misconduct Policy


Time and Effort Policy

The University's Time and Effort Policy is the means by which the University community fulfills federal, sponsor and University requirements for effort reporting. As a recipient of public and private grants and contracts for research and demonstration, the University must assure that assignment of time (effort) and associated salary are fair, consistent, and timely.

Time and Effort Policy


Other University Policies

More policies are available on the University Policies page.