Federal Policies and Regulations
Federal sponsors, responding to legislative initiatives concerned with issues of social and fiscal accountability, have attached a variety of regulatory requirements to government assistance programs which must be satisfied in advance of, or during, the conduct of a funded project. These requirements usually call for special review processes to ensure compliance with applicable federal, state, and/or institutional regulations, as attested to by the signature of the Principal Investigator and/or the University's authorizing official.
Debarment, Suspension and Delinquent Debt
The University must certify that it is not delinquent on the repayment of any federal debt before an award can be made. In addition, the Principal Investigator is individually required to certify that s/he is neither debarred nor suspended from doing business with the federal government. Affirmation is made by completing and signing the Mount Mary University Fundraising Initiation Form. Affirmation of nondebarment and nonsuspension for the principals of the University is made by the signature of the University's authorizing official.
Drug-Free Workplace
In compliance with applicable laws and with the Drug Free Workplace Act and the Safe and Drug Free Schools and Communities Act, Mount Mary University hereby notifies its employees that the unlawful manufacture, distribution, dispensation, possession or use of controlled substances is prohibited in or on Mount Mary University owned or controlled property. A violation of this policy by a Mount Mary University employee will be reason for mandatory evaluation/treatment for the substance use disorder and/or for disciplinary action up to and including the termination of employment. Mount Mary University will make a good faith effort to ensure a drug-free workplace.
Implementation Procedure: Drug-free Workplace Policy
If any employee is convicted of any criminal drug statute violation that occurred in the workplace, that employee must inform the President's office of the conviction within 5 days under penalty of immediate dismissal. The University will then take the following actions:
a. In the case of a first conviction, the University reserves the right to suspend or dismiss any employee whose conviction could, in the judgment of the President, cause disruption to the University's operation.
b. Ordinarily in the case of a first conviction, the offender will be required in writing by the President's office to have a medical evaluation of the drug-related condition. If a drug abuse problem is diagnosed, the employee will be given the choice of participating in an approved treatment program, in a non-pay status and at his or her own expense, or of being dismissed.
c. In the case of a second conviction, the offender's employment will be terminated.
Lobbying
Federal rules prohibit the use of federal funds to influence officials of Congress and Executive Branch agencies in connection with a specific award. Mount Mary University does not participate in, organize, or utilize University funds for lobbying activities.
Civil Rights
Mount Mary University is committed to ensuring that civil rights are not violated either purposefully or inadvertently. This extends to the rights of persons with disabilities, and discrimination based on sex or age. Moreover, it is the responsibility of all University personnel to avoid discrimination and of University management to take appropriate action as an equal opportunity employer.
Equal Employment Opportunity Policy Statement
It is the policy of Mount Mary University to prohibit discrimination against any employee or applicant for employment based on an individual’s race, religion, color, sex, national origin, age, physical or mental disability; status as a disabled veteran, a recently separated veteran, an Armed Forces service medal veteran, another protected veteran; or any other protected group status.
Accordingly, all employment decisions shall be consistent with the principle of Equal Employment Opportunity. To implement this policy, Mount Mary University will:
- Recruit, hire, train and promote qualified persons in all job titles, without regard to race, religion, color, sex, national origin, age, disability, protected veterans’ status or any other protected group status.
- Base employment decisions so as to further the principle of Equal Employment Opportunity.
- Ensure that employment decisions are in accord with principles of Equal Employment Opportunity by imposing only valid job requirements.
- Ensure that all personnel actions such as compensation, benefits, transfers, promotions, University-sponsored training, education, tuition benefits, and social and recreational programs, will be administered without regard to race, religion, color, sex, national origin, age, disability, protected veterans’ status or any other protected group status.
- Employees and applicants for employment will not be subjected to harassment, intimidation, threats, coercion or discrimination because they have engaged or may engage in filing a complaint, assisted or participated in an investigation, compliance investigation, hearing, or any other activity related to the administration of this policy, or have otherwise sought to obtain their legal rights under, or opposed any act or practice made unlawful under any federal, state or local employment law.
Conflict of Interest
Conflict of interest situations arise when employees or representatives of the University use, or appear to be able to use, their positions for private gain for themselves or others. Mount Mary’s policy is housed in the President’s Office. View the current policy titled Guideline for Business Conduct.
Objectivity in Research (NIH, NSF)
In addition to the Guideline for Business Conduct policy, the Public Health Service (PHS), which includes the National Institutes of Health, and the National Science Foundation require applicant organizations to certify that the institution has written and enforced administrative policies for identifying, managing, and reporting the significant outside financial interests of principal project staff. In cases where no significant outside financial interest exists, this certification may be made on the Mount Mary University Fundraising Initiation Form. Where this certification cannot be made, the Principal Investigator and/or other key personnel must complete the Significant Financial Interest Disclosure form. View Mount Mary University’s Policy on Objectivity in Research.
Human Subjects
Mount Mary University's Institutional Review Board (IRB) for the Protection of Human Subjects is responsible for reviewing all human subject research studies. The mission of the IRB is to minimize risks and to maximize the potential for benefit from human subjects who participate in research. The IRB’s decisions are based on the Code of Federal Regulations (45 CRF 46), Wisconsin State Laws, and Mount Mary University Policies. The IRB is a standing committee whose members are approved by the President and is comprised of faculty, staff, and community representatives. The IRB is responsible to the President and submits an annual report and executive summary of its activities. For additional information, please see Chapter 5 of the Faculty Handbook.
Any Mount Mary University student or employee who intends to conduct research involving human subjects for research or instructional purposes must complete and submit the IRB Application for Review. The purpose of the review is to facilitate faculty, staff, and student research projects and to ensure that human subjects are protected from undue risk and fully informed about the process. It is expected that most IRB proposals that are submitted will meet the criteria for exemption from full Board review.
MMU employee login information is required to access MMU's IRB application and other information.
HIPAA
HIPAA is the Health Insurance Portability and Accountability Act, a 1996 U.S. law that sets national standards for protecting the privacy and security of sensitive health information.The Department of Health and Human Services has provided some basic Federal guidelines as to the usage and disclosure of private medical information. In the process of managing grants, principle investigators are made aware of this legislation and its possible impact on their grant project. View the NIH's booklet for research regarding HIPAA.
FERPA
The Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99) is a Federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education, as does Mount Mary University. Principle Investigators are encouraged to read through the synopsis of these guidelines on the U.S. Department of Education's web page and think about how it may apply to how they use or disclose student educational information in the activities of their grant project.
Use of Animals in Research
The University is not authorized to conduct research projects involving animal subjects.
Institutional Integrity (Misconduct in Science)
The University has established procedures for responding to inquiries regarding the conduct of research and for investigating, reporting, and dealing with any such situations which may arise. That policy is procedurally implemented via the Provost for Academic Affairs. View the misconduct in science policy.
U.S. Office of Management and Budget Circulars
The federal government, through the Office of Management and Budget, has developed a document which streamlines the Federal government's guidance on Administrative Requirements, Cost Principles, and Audit Requirements for Federal awards and dictates the manner in which grant and contract funds may be expended by educational institutions. Mount Mary University abides by these regulations and guidelines.
Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards
Audit Report (pdf)
Federal Acquisition Regulations
The Federal Acquisition Regulations (FAR) governs all federal procurement for goods and services. In some instances, individual agencies have amended the FAR to meet their agency needs.
Export Control
The U.S. government regulates the transfer of information, commodities, technology, and software considered to be strategically important to the U.S. in the interest of national security, economic and/or foreign policy concerns. There is a complicated network of federal agencies and inter-related regulations that govern exports collectively referred to as “Export Controls.” In brief, Export Controls regulate the shipment or transfer, by whatever means, of controlled items, software, technology, or services out of U.S. (termed an “Export”). Perhaps of even more consequence to the University, is that the government also restricts the release of certain information to foreign nationals here in the U.S. (referred to as a “Deemed Export”). Export Controls have the potential to severely limit the research opportunities of University faculty and their students and staff, as well as to prevent international collaboration in certain research areas. Non-compliance with export controls can result in severe monetary and criminal penalties against both an individual as well as the University, and can result in the loss of research contracts, governmental funding, and the ability to export items.
Mount Mary University currently does not participate in sponsored program activities that require export controls. Learn more about export controls and the types of activities that might trigger export control issues.