Compliance Resources by Topic

The materials on this page are provided for information purposes only, and intended for use only by the staff, faculty, and students of Rice University. Nothing on this page or linked to this page should be taken as legal advice or should be used as a substitute for the advice of qualified counsel. Rice University makes NO WARRANTIES, express or implied, as to the accuracy of the information contained on this page, or contained in links found on this page. See below for important copyright information.

If you have questions, please contact the Chief Compliance Officer at kliddle@rice.edu or at 713-348-2287.

  1. Academic
  2. Accounting, IRS and Taxes
  3. Accreditation
  4. Admissions
  5. Assets, Endowment, Banking and Trust
  6. Athletics
  7. Campus Safety
  8. Conflicts of Interest
  9. Contracts & Procurement
  10. Copyright
  11. Disabilities
  12. Distance and Online Education
  13. Donor Gift Restrictions
  14. Emergency Management
  15. Environmental Health & Occupational Safety
  16. Equality, Diversity and Affirmative Action
  17. Ethics and Compliance
  18. Export Controls
  19. Financial Aid
  20. Governance
  21. Government Relations
  22. Grant and Contract Management
  23. Housing and Dining Services
  24. Human Resources
  25. Identity Theft
  26. Immigration
  27. Information Technology
  28. Insurance and Workers Compensation
  29. Intellectual Property & Technology Transfer
  30. International Activities & Programs
  31. IPEDS and External Reporting
  32. Minors on Campus
  33. Radio and Broadcast
  34. Records
  35. Research Integrity/Scientific Misconduct
  36. Research Involving Animals or Recombinant DNA
  37. Research Involving Humans
  38. Sexual Violence (Students)
  39. Student Activities
  40. Student Billing
  41. Other Compliance Issues
  1. Academic
    It is important that our academic programs support student learning objectives and research while meeting our regulatory and accreditation responsibilities.

    Rice University Website: http://vpaa.rice.edu/home
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  2. Accounting, IRS and Taxes
    Rice University must comply with a wide array of rules and regulations related to accounting. Organizations like the Financial Accounting Standards Board, the Governmental Accounting Standards Board, and the Office of Management and Budget set forth guidance related to federal laws and generally accepted accounting principles that are critical for colleges and universities to understand. In addition, Rice University must comply with regulations from the IRS regarding annual reporting, employment taxes, lobbying and other political activities, and treatment of expenses (business vs. personal).

    Rice University Website: http://www.professor.rice.edu/professor/Welcome4.asp
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  3. Accreditation
    Accreditation is a process of external review created and used by the federal government to review colleges, universities and programs for quality assurance and quality improvement. Although accreditation is carried out by private, nonprofit organizations, the federal government relies on accreditation to assure the quality of institutions and programs for which the government provides federal aid to students. While U.S. law and regulations on accreditation most directly address accrediting organizations, they have an impact on accredited higher education institutions and programs and on the requirements of accrediting organizations.

    Rice University Website: http://oie.blogs.rice.edu/

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  4. Admissions
    There are numerous federal regulatory requirements related to the admission of students, including for example those which relate to records (FERPA), disabilities (ADA), and Race (Title IV), Gender (Title IX), military (USERRA) or veterans status.

    Rice University Websites: Other Helpful links:
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  5. Assets, Endowment, Banking and Trust
    There are numerous federal regulatory requirements related to asset management, including those that touch upon endowment spending or the issuance of debt.

    Rice University Website: http://investments.rice.edu/
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  6. Athletics
    Title IX prohibits discrimination on the basis of sex in education programs and activities, applies to university athletics programs. In addition to federal law, participation in the NCAA requires adherence to NCAA compliance standards.

    Rice University Website: http://www.riceowls.com/compliance/rice-compliance.html
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  7. Campus Safety
    The Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act ("Clery Act") contains statutory requirements related to campus crime and security, and a federal mandate requiring all institutions of higher education that participate in the federal student financial aid program to disclose information about crime on their campuses and in the surrounding communities.

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  8. Conflicts of Interest
    Conflicts of interest are an inevitable part of higher education. College and university faculty, administrators and trustees are involved with the outside world, patenting inventions, serving on the boards of corporations and nonprofits, and consulting with foreign governments and companies. Institutions must identify conflicts, and ensure that they do not inappropriately influence University decision-making, in areas as diverse as Board operations and sponsored research.

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  9. Contracts and Procurement
    There are numerous regulations which detail the Government’s requirements for competition, documentation, and purchases free from conflicts of interest which will apply to purchases made using funds from federal grants or contracts.

    Rice University Website: https://procurement.rice.edu/
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  10. Copyright
    Copyright protects the rights of authors of literary, dramatic, musical, artistic, and certain intellectual works. One major limitation to the rights of authors is the doctrine of "fair use," the use of a copyrighted work for purposes such as criticism, comment, news reporting, teaching, scholarship and research. It is important to understand the limits of “fair use” and treat copyright material with respect.

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  11. Disabilities
    The Americans with Disabilities Act (ADA) provides broad nondiscrimination protection in employment, public services, and public accommodations for individuals with disabilities. The ADA is enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the Equal Employment Opportunity Commission. Section 504 of the Rehabilitation Act of 1973 prohibits discrimination against an otherwise qualified individual with a disability, solely on the basis of the disability, in any program or activity that receives federal financial assistance. Section 504 is primarily enforced by the Office for Civil Rights at the U.S. Department of Education.

    Rice University Website: https://dss.rice.edu/
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  12. Distance and Online Education
    When offering a course to students who are not physically on the Rice campus, there are significant accreditation standards which must be met and each state where a student may reside will likely have its own regulations (i.e. “State Authorization” rules). Finally, the Department of Education has regulations regarding what constitutes an acceptable credit hour, which must be applied to the distanct or online course(s).

    Rice University Website: http://professor.rice.edu/Vice-President-Strategic-Initiatives-and-Digital-Education.asp
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  13. Donor Gift Restrictions
    There are federal requirements regarding philanthropy to which we must adhere. In addition, individual states may have laws which impose additional requirements (e.g. registration or fees).

    Rice University Website: http://giving.rice.edu/
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  14. Emergency Management
    Under the Higher Education Opportunity Act, OHSA as well as the Clery Act, Rice University is required to have policies and procedures which cover certain emergencies (including fire, hurricane, missing person, or reported crime).

    Rice University Website: http://www.rice.edu/safety/ECRSP.shtml
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  15. Environmental Health & Occupational Safety
    Colleges and universities are subject to numerous environmental laws, regulating disposal of chemicals and waste, abatement of asbestos, monitoring of emissions, use of pesticides, and countless other activities. The EPA regularly inspects and audits college and university campuses for compliance with many of these regulations.

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  16. Equality, Diversity and Affirmative Action
    It is illegal to discriminate against someone (applicant or employee) because of that person's race, color, religion, sex (including pregnancy), national origin, age (40 or older), disability or genetic information. It is also illegal to retaliate against a person because he or she complained about discrimination, filed a charge of discrimination, or participated in an employment discrimination investigation or lawsuit. The law forbids discrimination in every aspect of employment. The courts and government agencies permit colleges and universities to voluntarily consider race to further the compelling interest of achieving diversity on campus. However, any such consideration must be narrowly tailored and in accordance with law.

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  17. Ethics and Compliance
    Given the highly regulated nature of Higher Education today, it is important that Rice University have an institutional culture of ethics and compliance that addresses and coordinates all requirements with which the institution must comply.

    Rice University Website: http://ethics-dev.rice.edu/index.aspx
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  18. Export Controls
    United States export control laws regulate the release of goods and technologies that affect U.S. national security or foreign policy interests. As Rice University enrolls international students, sends professors abroad to research or study, hires international faculty, and develops advanced technologies on campus, compliance with U.S. export control laws is as crucial as ever. Importantly, export control laws do not just affect the physical shipment of an article or technology abroad - under the "deemed export" rule, an institution can export technology to a foreign country simply by disclosing information to a national of that country who may be working or visiting on campus.

    Rice University Website: http://comp.rice.edu/Content.aspx?id=527
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  19. Financial Aid
    Rice University, like all Higher education institutions that administer federal financial aid, is required to adhere to a number of compliance obligations related to institutional and student eligibility requirements, direct lending requirements, veterans issues, and conflicts of interest, to name only a few.

    Rice University Website: http://financialaid.rice.edu/Content.aspx?id=300
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  20. Governance
    Rice University board members are essential partners in ensuring compliance with federal laws and regulations. Moreover, the board itself is subject to a number of laws and regulations with which they must comply.

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  21. Government Relations
    As tax-exempt 501(c)(3) organization, Rice University must abide by specific rules concerning the political activity permitted on campus and the political activity engaged in by administrators, faculty and staff (on campus or on Rice’s behalf).

    Rice University Website: https://staff.rice.edu/staff/Policies.asp
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  22. Grant and Contract Management
    Federal grant funding plays an instrumental role in supporting research at Rice. After a grant is received, restrictions and regulations determine allowable costs, procedures for cost transfers, effort commitments, compensation issues, cost sharing, and direct charging of administrative costs.

    Rice University Website: http://professor.rice.edu/professor/Research_and_Cost_Accounting.asp
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  23. Housing and Dining Services
    There are numerous regulations and city ordinances which ensure the safety of our community, including access for those with disabilities or meal plans for those with special dietary needs. In addition, there are OSHA requirements for safety.

    Rice University Website:

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  24. Human Resources
    There are many federal and state employment laws which govern many aspects of the employer/employee relationship, including (for example) discrimination (title IV), retirements (ERISA), Immigration Verification, Family Medical Leave Act (FMLA), Privacy, military absence (USERRA), and equal pay issues.

    Rice University Website: https://people.rice.edu/
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  25. Identity Theft
    In order to combat identity theft, the federal government has instituted a rule set commonly known as “Red Flags,” which is administered by the Federal Trade Commission.

    Rice University Website: http://www.professor.rice.edu/professor/Welcome4.asp
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  26. Immigration
    Rice University must comply with U.S. immigration law when enrolling non-resident students and scholars, or when employing non-resident individuals. The university must verify status of all new employees at the time employment commences. The immigration process, as described in the Immigration and Nationality Act, is complex and Rice must follow visa issuance guidelines, employment restrictions, and other regulations.

    Rice University Website:

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  27. Information Technology
    The use of technology brings with it a wide range of compliance responsibilities, including data privacy, identity theft, and copyright issues.

    Rice University Website

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  28. Insurance and Workers Compensation
    In some instances, insurance is required by regulations (e.g. workers compensation, unemployment insurance). In other instances, insurance is an important part of managing risk. Rice University maintains insurance and self-insurance programs covering workers compensation and automobile liability insurance, general and professional liability insurance, builders risk insurance, commercial crime insurance, pollution liability insurance, inland marine insurance, business travel insurance and property insurance.

    Rice University Website: http://riskmanagement.rice.edu/
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  29. Intellectual Property and Technology Transfer
    The Bayh-Dole Act and the America Invents Act affect how intellectual property is managed. Researchers and Administrators must know the rules that apply to intellectual property to protect inventions and permit further research and development.

    Rice University Website: https://ott.rice.edu/home/
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  30. International Activities & Programs

    Certain international activities trigger compliance requirements with U.S. and international law.

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  31. IPEDS and External Reporting
    Rice University must maintain and annually report to the Government and various entities a variety of information about its student activities, services for individuals with disabilities, enrollment statistics, faculty counts, finances, financial aid, and career and placement services offered to students during and after enrollment.

    Rice University Website: http://oir.rice.edu/
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  32. Minors on Campus
    Rice University has procedures which require training and background checks for participating in activities involving minors. In addition, Texas law requires employees of campus programs involving minors to be trained to recognize the warning signs of sexual abuse and child molestation.

    Rice University Websites:

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  33. Radio and Broadcast
    The KTRU station, which currently broadcasts online, must comply with FCC as well as local regulations.

    Rice University Website: http://ktru.org/
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  34. Records
    Enactment of federal legislation, such as the Family Educational Rights and Privacy Act (FERPA) and the Health Insurance Portability and Accountability Act (HIPAA), has significantly changed how colleges and universities maintain and release student records. These laws, in combination with state laws, establish who controls disclosure of records, the right to inspect and review them and regulates the ability to amend the records by students, parents or others. University administrators must balance federal and state laws in order to protect student privacy and prevent potential litigation issues.

    Rice University Website: None
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  35. Research Integrity/Scientific Misconduct
    The substantive law of research compliance includes effort reporting, conflicts of interest, research misconduct, export controls, human subjects, use of animals, and grant accounting, among other areas.

    Rice University Website: http://comp.rice.edu/rcr/
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  36. Research Involving Animals or Recombinant DNA
    Rice University is required to establish and maintain proper measures to ensure the appropriate care and use of all animals involved in research, research training, and biological testing activities.

    Rice University Website: http://comp.rice.edu/Content.aspx?id=434
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  37. Research Involving Humans
    Whenever research involves human participants, precautions must be taken to ensure their safety and well being. Federal regulations require that Rice University has an Institutional Review Board (IRB), and adhere to certain protocols (including informed consent) for any research involving human subjects.

    Rice University Website: http://comp.rice.edu/Content.aspx?id=422
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  38. Sexual Violence (Students)
    Title IX of the Higher Education Amendments of 1972 prohibits discrimination on the basis of sex in education programs and activities. Consistent with Title IX, the University does not tolerate sex discrimination, including sexual misconduct and relationship violence.

    Rice University Website

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  39. Student Activities
    In the State of Texas, all faculty advisors and members of student organizations must attend risk management training on the possession and use of alcohol and drugs, hazing, sexual abuse and harassment, safety, possession of firearms, student travel, and behavior at student events; and must adopt a risk management policy.

    Rice University Website: https://studentactivities.rice.edu/
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  40. Student Billing
    Rice University is required by federal statute to recalculate federal financial aid eligibility for students who withdraw, drop out, are dismissed, or take a leave of absence prior to completing 60% of a payment period or term, and may be required to return funds. In addition, certain tax forms are required to be sent to students annually.

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  41. Other Compliance Issues
    The Rice University Compliance Matrix and this website were assembled with the intention of providing contact information and resources for the most common compliance areas or questions. If you have questions about other laws or regulations that are not covered (or if you are not sure and would like guidance), please contact the Director of Compliance at 781-348-2155 or kliddle@rice.edu.

    Rice University Website: http://ethics-dev.rice.edu/index.aspx
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Copyright Information:
Much of the information on this webpage was written, developed or derived from the Higher Education Compliance Alliance, which generously allows their material to be used for noncommercial purposes with appropriate attribution. The Higher Education Compliance Alliance was created by the National Association of College and University Attorneys (NACUA), in partnership with thirty other higher education associations, to provide the higher education community with a centralized repository of information and resources for compliance with federal laws and regulations.

You may access their website, and its many valuable resources at http://www.higheredcompliance.org/

The links on this page were last checked on July 1, 2015