Compliance Resources

External funding often comes with compliance requirements.  Several offices and committees oversee compliance at Bates.  Select the links below for more information and resources.  Contact SPaRC with any questions.

Data Management and Sharing Plan

Bates Research Data Management Policy

Data Management and Sharing Resources

Bates DMSP Worksheet

Good research data management practices allow Bates College and its researchers to meet funder, ethical, legal, and other obligations. A data management and sharing plan (DMSP) is a concise cradle-to-grave “life cycle” narrative for the products of your scholarship that describe how the research data will be collected, stored, analyzed, preserved, and shared. Bates’s Research Data Management Policy describes the shared responsibilities and expectations for the retention, disposal, and access of research data generated at Bates College regardless of funding or external collaboration

In addition, many funding agencies require a DMSP for projects involving data collection as part of a grant proposal, and most funders (even those that don’t require a DMSP at the time of submission) have record retention policies that extend years beyond submission of the final grant reports. 

SPaRC partners with Information and Library Services and Pete Schlax, the Science and Data Librarian, to assist faculty with preparation of their DMSPs.

Export Control

Export Control refers to a series of laws and regulations enacted by the federal government to control or restrict the access to sensitive technologies by foreign nationals. 

Travel to some foreign countries may require export control review.

SPaRC can help determine what, if any, risks or licensing requirements might apply for Export Control.

Malign Foreign Talent Recruitment

Pursuant to Section 10632 (42 U.S.C. § 19232), each individual identified as senior/key person on an NSF grant must certify prior to proposal submission and annually thereafter for the duration of the award that they are not a party to a malign foreign talent recruitment Malign Foreign Talent Recruitment Program.

Financial Conflict of Interest

FCOI policy website

All investigators who receive federal funding to support a research project must complete a Financial Conflict of Interest disclosure form.  

Dr. Donald Dearborn, Associate Dean of the Faculty and Professor of Biology, currently serves as the Financial Conflict of Interest Officer for the College.

Institutional Animal Care and Use Committee (IACUC) – Animal Research

Bates IACUC website

The IACUC reviews and oversees research and educational activities involving vertebrate animals.

Proposed research involving vertebrate animals must be approved by the IACUC before the work begins.  Often, external funders require proof of IACUC approval before they will release funds to Bates College.  

Institutional Biosafety Committee (IBC)

Bates IBC website

Biosafety level 2 organisms or cells or tissues, (including most human, non-human primate, or other mammalian cells) at Bates College requires approval of the Institutional Biosafety Committee. Work with Biosafety Level 3 or 4 organisms is not permitted on campus.

Work with recombinant DNA also requires approval from the Institutional Biosafety Committee. rDNA work that is expected to be exempt from IBC approval should still submit a proposal to obtain an official “Exempt” letter. 

Institutional Review Board (IRB) – Human Subjects Research

Bates IRB website

Research that involves the gathering of data from living human beings or from biological specimens collected from living human beings is defined as “human subjects research.”  The Bates College Institutional Review Board (IRB) approves research projects involving the use of human participants (or source-identifiable biospecimens from human participants). 

IRB approval is required before work on an externally-funded project involving human subjects can begin.

Intellectual Property Rights and Responsibilities

Intellectual Property Rights and Responsibilities of Bates Faculty and Staff

Faculty or staff members applying for a grant or engaged in grant-funded activity must familiarize themselves with their rights and responsibilities as enumerated in the College’s Intellectual Property policy.

Responsible Conduct of Research

Responsible Conduct of Research Policy

Bates College is committed to the responsible and ethical conduct of research, and has appointed a Research Integrity Officer (RIO) to help ensure compliance with federal regulations.

Responsible Conduct of Research (RCR) training is required for all trainees (undergraduate students and postdocs) paid by an NSF grant. It is the responsibility of the PI to ensure that all students performing work on an NSF-funded project complete RCR training.

RCR training is strongly recommended for all researchers, including PIs, staff, and students working for academic credit, on any research project (including NIH and privately-funded projects).

RCR training is available through the CITI Program by following these instructions.

  1. Go to the CITI website, then click on the REGISTER tab if you do not have an account already established. Follow the registration prompts to complete the account setup.
  2. Once logged in, click on the “Courses” page.
  3. Click on one of the “View Courses” links for the course listing of interest.
  4. Click on “Add a Course” which takes you to the course enrollment questions where your responses will add Responsible Conduct of Research (RCR) module
  5. Click “Students-RCR” and select the discipline that most aligns with your work (Biomedical, Social and Behavioral, Physical Science, or Humanities).
  6. Click “Start Now” button the RCR module to begin.
  7. Forward a copy of your completion certification to Maggie Diamond-Stanic in Sponsored Programs and Research Compliance (

If you have any concerns about gender discrimination, or sexual harassment or assault, in a research context or elsewhere at Bates College, please contact Gwen Lexow, Title IX Coordinator.