All Policies, Guidance and Forms

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Name	Description
Access Request - Contingent Worker Employee	Use this form to request access to Kuali as an adjunct or pending employee.
2 CFR Uniform Guidance	The Uniform Guidance consolidates and replaces OMB Circulars A-110 (Administrative requirements), A-21 (Cost principles), and A-133 (Audit requirements). The Uniform Guidance (UG) applies to all new federal awards issued on or after December 26, 2014.
Access/Change Request - Current Permanent Employee	Use this form to request new access or a change to your existing access if you are a current permanent employee.
Activities Involving Human Subjects Research	Outlines the Institutional Review Board's responsibility for protecting the individuals who are subjects in UMass research activities and clarifies and defines the types of activity, both research and non-research, that involves human subjects.
Additional Compensation on Sponsored Projects	Provides guidance on additional compensation charged to sponsored grants and contracts. Download File
Additional Faculty Compensation Policy	Board of Trustees policy statement on Additional Faculty Compensation Download File
Adjuvants Use in Research	NIH ARAC guidelines for researchers using adjuvants. Document Link
Administrative Cost Policy	Policy and guidance on charging administrative costs to federally-sponsored projects. Download File
Administrative Stipends Changed to Federal Grants and Contracts	This policy addresses charging administrative stipends to federal grants and contracts in accordance with federal rules contained in OMB Circular A-21. Download File
Adverse Event Reporting	Provides an overview of IRB policies and procedures for reporting adverse events to ensure that the risks/benefits relationship to subjects participating in research studies remains acceptable.
Advertising and Subject Recruitment	Describes the recruitment of research subjects as part of the informed consent process and the required recruitment plan that must be approved by the IRB.
Agricultural Guide	Guide for the Care and Use of Agricultural Animals in Research and Teaching Download File
AHA Guidance Document	Guidance from the American Heart Association.
Amphibian Eggs and Oocytes	NIH ARAC guidelines to assist investigators in research involving the harvest of eggs and oocytes in Xenopus laevis. Document Link
Anesthesia/Surgery Record	Use this form for animal surgical procedures. For Aquatics, use the form below this titled Anesthesia/Surgery Record - Aquatics. Download File
Anesthesia/Surgery Record - Aquatics	Use this form for anesthesia and surgery records for aquatics (xenopus/fish). Download File
Animal Cage Card Form	Standard form for animal cage ID and mating cage cards. Download File
Animal Order Request Form	Use this form to order animals and indicate any special instructions. Download File
Animal Ordering Policy	Describes the animal ordering policy and procedures researchers must follow.
Animal Protocol Transfer Form	Form to be used to transfer animals from one protocol to another. Download File
Animal Welfare (OLAW) Assurance	Provides institutional assurance that UMass Amherst will comply with the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals. Download File
Assent Form for Children aged 7-12	Use this form when children aged 7-12 are a subject research population, the regulations require the assent of the child or minor and the permission of the parent(s), in place of the consent of the subjects. Download File
Assent Form for Older Children/Young Adults Aged 13+	Use this form when minors aged 13+ are a subject population in the research project, the regulations require the assent of the child or minor and the permission of the parent(s), in place of the consent of the subjects. Please note that age of majority in MA is 18 but that this varies by state. Download File
Assent Guidance for Minors	Provides general guidelines for creating an assent form for research studies where children are involved.
Audio Recordings of Research Participants	Provides IRB guidance on the timeframes for the destruction of audio, video, or digital recordings which contain research participants' images, voices or other personally identifiable information.
Authority/Attending Veterinarian	Guidelines for the Attending Veterinarian (AV) or his/her designee(s) under the authority and/or direction of the AV.
Award Workflow Chart	A diagram that depicts the award workflow steps through OGCA. Download File
AY Salary and Summer Ad Comp	Academic Year (AY) and summer additional compensation salary recovery from grants is outlined in the Provost's memo issued April 4, 2011.
AY Salary Recovery and Summer Ad Comp	For a more thorough detail of the policy requirements, please refer to the Guidance Document. Download File
Baystate and UMass Collaborative Human Subjects Form	Use this form when researchers from UMass Amherst are collaborating in human subject research with researchers at Baystate Medical Center. Document Link
Baystate Collaborative Research/IRB Review	Provides guidance for UMass Amherst researchers working with Baystate collaborators who may be eligible to seek IRB review at Baystate only thereby avoiding the requirement for both UMass and Baystate IRB review.
Biohazardous Materials in Research and Instruction	Describes policy to ensure that employees, students and visitors follow safe practices when working with or near potentially biologically hazardous materials or recombinant DNA.
Biological Materials Used in Rodents	Policy for the prevention of accidental introduction of rodent pathogens into research animals. Download File
Biological Specimens & Private Information	An advanced topic video focused on activities involving biological specimens and other private information, which is best suited for viewing by individuals already possessing a basic understanding of the HHS regulations for the protection of human subjects.
Biosafety - IBC Administrative Policies and Procedures	UMass Amherst has an Institutional Biosafety Committee in compliance with NIH and BMBL guidelines.
Cannabis - Legal Alert for the OGC	Legal alert to remind the University community that, notwithstanding recent changes to Massachusetts law, possession or use of marijuana remains illegal under federal law. Further, federal laws pertaining to marijuana will be enforced on University properties, including as the laws apply to academic research. Download File
Cell Line PCR Submission	Procedure for Cell Line PCR submission Download File
Certificates of Confidentiality Tip Sheet	Describes the use of Certificates of Confidentiality issued by the National Institute of Health (NIH) to help researchers protect identifiable research information from forced disclosures such as court orders and subpoenas.
Chancellor's Memo on Export Control	Outlines campus policies and procedures in the area of export control.
Changes to the Continuing Review Procedures	Describes changes to the Continuing Review procedures due to the revised Common Rule.
Changes to the Exempt Categories	Outlines changes to the Exempt Categories due to the Common Rule.
Changes to the Informed Consent	Describes changes to the Informed Consent due to the Common Rule.
Classroom Research Projects and the IRB	Outlines what studies constitute "classroom projects" which do not meet the regulatory definition of research and therefore do not require IRB review or approval. Download File
College and University Rate Agreement	Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. Download File
Compensation for Certain Additional Professional Services	Policy document issued by the Board of Trustees outlining allowable compensation
Conflict of Interest (COI) -Outline of Guidance Principles for Faculty on COI	Provides an overview of the various types of potential conflicts of interest that researchers need to be aware of.
Conflict of Interest (COI) Disclosure Statement - Intellectual Property and Commercial Ventures	Form to be used when disclosing a potential conflict related to commercial ventures or intellectual property. Download File
Conflict of Interest (COI) Law for State Employees	Summary of the conflict of interest law, General Laws chapter 268A, and how it applies to state employees. Document Link
Conflict of Interest (COI) Policies (UMass Amherst) - Overview	Town Hall meeting on UMass Amherst COI Policies. Download File
Conflict of Interest (COI) Relating to Intellectual Property and Commercial Ventures	Workshop on UMass Amherst Policy on COI Relating to Intellectual Property and Commercial Ventures presented by Tom Chmura and Liz Rodriguez on March 16, 2009 Download File
Conflict of Interest (COI/FCOI) UMass Policy for Promoting Objectivity in Biomedical Research	This Trustee policy mandates that all Investigators from the four campus' that are applying for funds from the NIH or other PHS agencies are obliged to comply with the requirements of the NIH FCOI Policy Download File
Contingent Worker Form	Use this form to apply for a PeopleSoft HR ID and access to the University electronic systems. Download File
Cost Share Request Form - AY Faculty Salary	When university salary (effort) is committed in a proposal for sponsored funding, faculty must use the Cost Sharing Approval Form to obtain the necessary approvals for the proposed in-kind effort. Download File
Cost Sharing Approval Process	Memorandum outlining updated procedures for obtaining approval to cost share on grants and contracts. Download File
Cost Sharing FAQ	Download File
Cost Sharing Policy	Describes cost share policy and provides guidance on the circumstances under which cost sharing is permitted. Download File
Cost Sharing Requests to VCRE or Provost	Outlines procedures for requesting cost share from the VCRE or Provost Download File
Cost Sharing Sources and Types	An outline of the cost share sources and the types of mandatory cost share in order of priority use
Cost Transfer Policy	A cost transfer is any adjustment or transfer of expenditures to/from an externally funded contract or grant account by means of a university (1) personnel action form or (2) journal entry form. Diligent review of financial records and timely communication between principal investigators and departmental administrators should prevent the necessity for transfers; however, under certain circumstances transfers may be appropriate. Download File
Counseling Resources Guidance	Provides guidance on counseling resources for studies on sensitive topics. May be edited as necessary, making sure all contact information relevant to the specific study is accurate and up-to-date. Download File
Data Monitoring	Describes the regulatory requirement that the IRB determine that research plans submitted provide adequate provisions for monitoring data collected to ensure the safety of subjects.
Data Ownership, Retention, and Access at UMass Amherst	Special report of the Research Council presented and approved at the Faculty Senate meeting of May 18, 2006 (Sen. Doc 06-047) Download File
Data Use Agreements	Describes IRB requirements for the University and researchers to enter into Data Use Agreements (a contractual document used for the transfer of non-public or restricted use data) with an external entity.
Debriefing Form - Deception	Guidance on how to ameliorate the effects of unavoidable deception in a research study, the IRB requires debriefing of the deceived subjects. Download File
Debriefing Form - General	Form may be used as a handout to debrief participants on any aspect of a research study considered sensitive. Download File
Debriefing Process Guidance	Provides guidelines for preparing a Kuali Protocol submission that incorporates deception and/or requires a debriefing process.
Determination of Human Subject Research Form	Use this form to provide information to help HRPO determine whether your project requires IRB review. Please note that HRPO makes the determination whether or not a project meets the definition of human subject research. Download File
Determining Whether IRB Review is Required for an Activity	Provides information to help determine whether a project requires review by the IRB. However, the final determination whether a project requires IRB review will be made by HRPO.
Diet Control in Behavioral Animal Studies	NIH ARAC guidelines to assist investigators using diet control in behavioral animal studies.
Disclosure of Research Results	Faculty seeking external support for research activities need to inform potential sponsors that any grant, contract, or cooperative agreement accepted by UMass must conform to the University disclosure policy.
Disinfectants - NIH Recommendations	Provides guidelines for recommended hard surface disinfectants.
DOE Guidance Document	US Department of Energy Guidance Document
Drug-Free Workplace Policy Agreement	Agreement signed by the PI acknowledging an awareness of and compliance with the University Drug-Free Workplace Policy. His/her signature also indicates acceptance of the responsibility to inform everyone involved on the project about the Policy. This is a one-time form required by all Principal Investigators before an award can be processed through to Accounting. Download File
Dual Use - Bridging Science and Security for Biological Research	Explains dual use review and oversight at research institutions (from September 2012 Report of the American Association for the Advancement of Science, Association of American Universities, Association of Public and Land-grant Universities, and the Federal Bureau of Investigation) Download File
Education Research Settings	Provides information to determine if a study is exempt from IRB review, issues to consider if submitting, and guidelines for conducting research in educational settings.
Effort Reporting - Related Documents	Documents of interest related to effort reporting
Effort Reporting Policies Guidance	Guidance on Effort Reporting Policies Download File
Effort Reporting Video Slides	Effort Reporting Slides Download File
Ethnographic Research	Provides guidance on ethnography-specific research and its intersection with the IRB and federal regulations.
Euthanasia of Animals - AVMA Guidelines	Provides additional guidance regarding the euthanasia of animals. Document Link
Euthanasia of Neonates	NIH ARAC guidelines for researchers working with rodent fetuses or neonates.
Euthanasia of Rodents by CO2	Guidelines for researchers using carbon dioxide for the euthanasia of rodents. Download File
Euthanasia Request Form	Form required to request euthanasia as part of a research study. Download File
Euthanasia-CD Policy	Provides guidance for performing CD as a primary method of euthanasia. Download File
Event Tracking Log	This worksheet may be used to provide a history of known events for a particular protocol; researchers should maintain an accumulative Non-significant Adverse Event Tracking Log. Download File
Exemptions in Openness in Research	Procedure for dealing with restrictions to Open Research
Expiration dates for materials used in animals	Guidelines for determining expiration dates for materials used in animals. Download File
Export Control and Universities: Information and Case Studies	Brochure that describes relevant information about export controls and how they affect the academic research enterprise (produced by the Council on Government Relations). Download File
Export Control Compliance Guidelines - UMass Amherst	Export controls apply to virtually all fields of science and engineering and restrict both physical shipments and electronic transmission of information. These laws apply to all activities – not just sponsored research projects. Download File
Export Control: "Don't Let This Happen to You!"	Provides an introduction to U.S. Export Law (published by the Department of Commerce, Bureau of Industry and Security. Download File
Fabricated Equipment Checklist	Use this tool to help determine if your project meets the criteria for Fabricated Equipment and to provide the documentation necessary for approval to include Fabricated Equipment in a proposal Download File
Fabricated Equipment Guidance (FAQs)	Guidance on Fabricated Equipment Download File
Fabricated Equipment Policy	Provides guidance on criteria and procedures for the inclusion of fabricated equipment in federally sponsored research projects so that such charges are in compliance with federal regulations and University policies. Download File
Fact Sheet	Institution related data and information necessary for preparing and budgeting in one place - Legal name, Authorized Approvers, Indirect cost rates, fringe rates, etc. Download File
Faculty Consulting and Outside Activities (Amherst & Boston)	Policy issued by the Board of Trustees intended to further the mission of the University and to enrich the experiences of the faculty by facilitating appropriately limited outside activities for faculty.
Final Reports	Final reports must be submitted upon completion of the IRB study. For the purposes of submitting the IRB final report, the study will be considered complete if only data analysis using de-identified data remains. Also outlines the requirements for submission of final reports upon study completion.
Five-Day Proposal Submission Procedure Overview	A brief overview of the Five-Day Proposal Submission Procedure established by the Vice Chancellor for Research and Engagement VCRE.
Focus Group Research	Provides guidance to consider when convening focus groups as a way to gather data from multiple participants.
Fringe Rate Agreement	State Approved Fringe Rate Agreement Download File
Fundamental Research Decision Tree	Helps to determine whether or not proposed research is considered "Fundamental." Download File
Genotyping Mice and Rats	NIH ARAC guidelines to assist investigators in research involving genotyping of mice and rats.
Grant/Contract vs. Gift	Outlines and defines the characteristics of a sponsored project which is considered to be any externally funded research or scholarly activity that has a defined scope of work or set of objectives which provides a basis for sponsor expectations. Also lists characteristics to clarify how external funds from non-governmental entities are classified and processed. Download File
Grants, Contracts and Cooperative Agreements for Sponsored Programs	Describes policy establishing the principles essential for the sound management and administration of grants, contracts and cooperative agreements for sponsored University programs in instruction, research, and public service. This includes providing appropriate controls for the development of proposals and applications; procedures and criteria for the acceptance of grants and contracts for sponsored programs; and prudent and effective administrative and accounting controls for grant, contract and cooperative agreement administration. Assigns responsibility to specific offices and individuals for each step in the administrative process for both pre- and post-awards. Download File
Guide for the Care and Use of Laboratory Animals	Guide authored by the Institute of Laboratory Animal Research, Commission on Life Sciences, National Research Council. Document Link
Guillotine Use and Maintenance	This SOP is intended to provide information for researchers at UMASS using rodent guillotines. Document Link
Hemp - Legal Alert for the OGC	Legal alert to remind the University community that, notwithstanding recent changes to Massachusetts law, possession or use of marijuana remains illegal under federal law. Further, federal laws pertaining to marijuana will be enforced on University properties, including as the laws apply to academic research. Download File
HIPAA (Health Insurance Portability and Accountability Act) Privacy Rule	Explains how HIPAA regulations affect the use of protected health information (person-identifiable information produced as a result of health-care services) in research.
HIPAA Authorization Template	Use this form to request access to Health Insurance Portability and Accountability Act (HIPAA) data from individuals. Download File
Human Body Fluids Precautions Policy	Comprehensive set of standards, guidelines, and procedures that will minimize the risk to students, faculty, and staff of occupational exposure to human body fluids and other materials that may contain agents of human infection.
Human Subjects COI Guidelines - UMass Medical School	Outlines UMass Medical School procedures for the oversight of individual and institutional financial interests in human subjects research. Download File
Human Subjects COI Guidelines - UMass President's office	Outlines a framework for pursuing interactions in keeping with overall University of Massachusetts policy and accepted best practices.
Human Subjects Research Policy	Policy statement providing assurance of compliance with Human Research Protection Office (HRPO) regulations for protection of human research subjects. Download File
IACUC Policy on Collaborative Work	The intent of this policy is to provide guidance for review of projects involving collaborative work with live animals at outside organizations. Download File
Implementing the NIH COI Final Rule	Provides institutions subject to the new Conflict of Interest rule with insight into how peer institutions considered these issues after the announcement of the new rule, and provides a range of possible approaches. Download File
Important NIH Announcements January 2016	Description of recent important NIH Announcements regarding sponsored activities. Download File
Indirect Cost Calculation as Percentage of Total Project Costs	Some sponsors request that indirect costs do not exceed a percentage of total project costs. See this formula for calculating indirect costs when indirect costs are a percentage of total proposal costs
Indirect Cost Waiver/Reduction	Click on the Document Link to open the form for an Indirect Cost Waiver or Reduction Request Form Document Link
Industry Funding Contract Signatory Authority Matrix	Guidance on who signs Agreements and Contracts involving industry. Download File
Informed Consent Template - Complex Biomedical - Revised	Use this template for complex biomedical research which may necessitate several visits by participants and more than one intervention. Download File
Informed Consent Template - Focus Group - Revised	The consent template to be used when research involves focus groups. Download File
Informed Consent Template - General - Revised	Use this template to compose the Informed Consent document. Instructions specific to items on the form are included in brackets. Download File
Informed Consent Template - International Affective Picture System (IAPS) - Revised	Use this template when utilizing an International Affective Picture System (IAPS) image set. IAPS contains images meant to elicit an emotional response from the research participant. Images are categorized as pleasant, neutral or unpleasant. Download File
Informed Consent Template - Magnetic Resonance Imaging (MRI) - Revised	Use this template if your study uses Magnetic Resonance Imaging. Download File
Informed Consent Template - Muscle Biopsy - Revised	Use this template if your study includes muscle biopsies. Download File
Informed Consent Template - Online Survey - Revised	Use this template if your study involves an online survey research component. Download File
Informed Consent Template - Paper Survey Consent Paragraph	You may use this template if you're conducting a paper survey and are requesting a waiver of documentation of informed consent. Download File
Informed Consent Template - Sensitive Topics - Revised	Use this template for research that involves topics which may be considered sensitive. Download File
Informed Consent Template - Short Version of Written Consent	The oral and short verision of the written consent form is designed to provide a mechanism for individuals with limited English language proficiency to participate in human subject research where their lack of proficiency would otherwise be a barrier to their participation. Download File
Informed Consent Template - Subject Recruitment Database	Use this template if researcher will be asking participants to be part of a subject recruitment database. Download File
Informed Consent Template - Video Use - Revised	Informed Consent form to use for research involving video or audio recordings. Download File
Informed Consent Template - VO2 Max - Revised	Use this template if your study uses V02 Max. Download File
Institutional Chemical Safety Committee Policy and Procedures	Administrative policies and procedures of committee charged with advising on matters that relate to the safe use of chemicals in the laboratory environment.
Intellectual Property Policy	The prompt and open dissemination of the results of research and creative work among scholars and, eventually, to the public at large is essential to the University's mission of education and research. This Policy is intended to facilitate the commercial development of intellectual property arising at the University and to provide an incentive to University inventors or creators to participate in such development while acknowledging the University's primary goal of the discovery and dissemination of knowledge. Download File
International Affective Picture System (IAPs)	Provides guidance for researchers submitting protocols with images known as International Affective Picture System (IAPS), designed to elicit an emotional response from research participants.
JIT Other Support Example	Provides an example of how to fill out the form. Download File
Late Proposal Approval Request Form	The Late Proposal Approval Request form is used to request an exception to the VCRE's mandatory proposal submission procedure. Document Link
Mandatory Reporting	Defines the term "mandatory reporting" and identifies which individuals engaged in human subject research are required by law to report the abuse of children when uncovered as par too that research.
Marijuana - Legal Alert from OGC	Legal alert to remind the University community that, notwithstanding recent changes to Massachusetts law, possession or use of marijuana remains illegal under federal law. Further, federal laws pertaining to marijuana will be enforced on University properties, including as the laws apply to academic research. Download File
Minimum Effort on Sponsored Projects	Audit findings dictated the establishment of a minimum effort requirement. This document outlines the policy and gives guidance for its implementation. Download File
Misconduct in Research & Scholarly Activities - UMass Procedures	Misconduct in research and scholarly activities is injurious to the University's teaching, research, and public service missions and cannot be tolerated. This document provides procedures for investigations of allegations of misconduct in research and scholarly activities. It is written to comply with federal regulations requiring such procedures and also to maintain and enhance the integrity of research. Download File
Mouse Breeding Policy	The aim of this policy is to meet the intent of the Guide for the Care and Use of Laboratory Animals using performance based standards of animal care and use while keeping in mind the special needs of investigators maintaining transgenic mouse breeding colonies. Download File
MTurk Guidance	Provides guidance and elements to be considered when utilizing Amazon's Mechanical Turk to conduct human subject research over the internet.
NASA Guidance Document	National Aeronautics and Space Administration Guidance Document
Needle and Syringe Use	Links to Massachusetts regulation guiding purchase.
New and Revised Definitions	Describes New and Revised Human Subjects Definitions due to the Common Rule.
New Organization (i.e. Subcontractor) Request Form	Use this form to request a new subcontractor, known in the Kuali system as an ORGANIZATION. Document Link
NIH - Managing Effort	PDF of a Powerpoint presentation on "Budgeting and Managing Effort on NIH Grants" from the Pre-Award Administration Workshop Series presented by OGCA Download File
NIH Guidance Document	National Institutes of Health Guidance Document
NIH Just-In-Time Process at UMass (JIT)	The JIT feature becomes available after the completion of the peer review process for applications that fall within a priority score range deemed potentially fundable. NIH will explicitly request JIT documentation from the PI via email and/or phone – only then load JIT documentation to the Commons. Here is a presentation about the JIT Process at UMass. Download File
NIH Public Access Policy Mandate	NIH Public Access Policy Mandate - UMass Compliance Download File
NIH Revision to Definition of a Clinical Trial	Describes the revisions to NIH policy governing Clinical Trials. The attached document also provides step by step guidance for researchers and staff to understand the significant changes which will affect NIH sponsored activities and human subjects research. Download File
NIH Revision to the Policy on Certificates of Confidentiality	Describes the revision to the NIH policy governing Certificates of Confidentiality. The guidance provides step by step guidance for researchers and staff to understand the significant changes which will affect NIH sponsored activities and human subjects research.
NIH Salary Cap	This memo from the Associate Vice Chancellor Andrew Mangels describes the NIH Salary Cap and gives examples on how to implement it. The current salary cap is $189,600 and we have edited the content to reflect the change, it is still a valid policy description.. Download File
NIH Single IRB Policy for Multi-site Research	Describes changes affecting NIH policies governing Single IRBs for Multi-Site research. The guidance provides step by step guidance for researchers and staff to understand the significant changes which will affect NIH sponsored activities and human subjects research.
NIH Subcontracts with UMass as Lead	NIH specific guidance on process and requirements when UMass is the Lead Institution and plans to issue subcontracts.
Non-Pharmaceutical Grade Compounds - Use	Provides guidelines for the use of non-pharmaceutical grade compounds.
NSF CAREER Program	The following is a summary as to how the CAREER program varies from standard NSF applications as detailed in NSF’s Grant Proposal Guide, NSF 17-1, effective January 30, 2017
NSF Data Management Plan	As of January 18, 2011, grant proposals submitted to the National Science Foundation will require a two-page supplemental plan for data management and the sharing of research products. The Office of Research and the University Libraries are partnering to help investigators comply with this new requirement.
NSF Guidance Document	National Science Foundation Guidance Document
NSF Proposal Checklist and Outline	Find out what NSF requires for components and formatting in your proposal - the GPG distilled. Download File
NSF Research Experience for Undergraduates (REU)	The Research Experiences for Undergraduates (REU) program supports active research participation by undergraduate students in any of the areas of research funded by the National Science Foundation. REU projects involve students in meaningful ways in ongoing research programs or in research projects specifically designed for the REU program. This guidance is a summary of the variance between standard NSF applications and the REU.
NSF Subawardee Documentation Requirements	Outlines the documentation that OGCA must receive from prospective subawardee(s) on NSF proposals before the proposal can be submitted to the agency. Download File
OMB Uniform Guidance at UMass	This document describes specific differences between the Uniform Guidance and its predecessors, Circulars A21, A110, and A133 and the impact at UMass.
On and Off Campus Indirect Cost Rates Determination Policy	Policy on Determination of On and Off Campus Indirect Cost Rates on Grants and Contracts Download File
Oral and Short Form Written Consent	Outlines the process for the use of oral and short form written consent designed to provide a mechanism for individuals with limited English language proficiency to participate in human subject research where their lack of proficiency would otherwise be a barrier to their participation.
Oral History	Describes what is meant by the term "oral history" based on guidance put forth by the Office of Human Research Protection.
Outside Activities - Request for Prior Approval	OA form for faculty with no federal funds. Download File
Oversight of Animal Use in Research	This policy contains Information about the university's assurance to comply with documented regulations that apply to all vertebrate animals used for research and teaching.
Pain and Distress in Laboratory Animals - Responsibilities	NIH ARAC guidelines regarding pain and distress in laboratory animals and the responsibilities of researchers. Document Link
Pain and Stress Classification Levels	Describes the classification of animal pain and distress levels and provides guidance for action and response based on this classification system.
PAR-Q Screener Script	Short script to read before issuing the PAR-Q as a screener. Download File
Parent Permission for Minor to Participate in Research - Revised	Use this form to have parents give permission for their child to participate in research. Download File
Participation Agreement (PAG)	Certification required for all first time award recipients. Download File
PI and Co-PI Roles and Responsibilities	Special Report of the Research Council concerning Principal and Co-Principal Investigators: Eligibility, Roles, Rights, Responsibilities, and Obligations
Policy on COI Relating to Intellectual Property an Commercial Ventures	Pursuant to Massachusetts General Laws Ch. 75 - 14A, in the area of intellectual property and technology transfer this policy is controlling.
Post Approval Monitoring	Compliance Monitoring is sometimes referred to as Post Approval (PAM), wherein approved animal work is continuously monitored during the approval period.
Post Operative Record for Lab Animals	This form is required for all animals undergoing surgical procedures in addition to the Anesthesia/Surgery Record. Download File
Postdoctoral Scholars and Postdoctoral Education	Research Council Report: Policy on Postdoctoral Scholars and Postdoctoral Education at the University of Massachusetts Amherst Download File
Pre-establishment of Account Agreement	Use this form to request a pre-establishment of account Download File
Pro Forma Budget Template	To be used for Indirect Cost Waiver/Reduction, Cost Share Request, and Request for Voluntary Cost Sharing Forms. Download File
Professional Name Request Form	Use this form to request a name for use on proposals and awards that is different from your legal name. Document Link
Project Types for F&A Purposes	Definitions of project types to help determine what type of project you are requesting funding to support and what F&A rate should be applied. Download File
Proposal Workflow Chart	A diagram that depicts the proposal workflow steps through OGCA. Download File
Protocol Deviation/Violation Report Form	Use this form to report all protocol deviations/violations within 5 business days from the occurrence. Download File
rDNA or Synthetic DNA	Requirements for review of research projects involving the use of rDNA or synthetic DNA.
Recruiting at UMass	Outlines requirements for researchers not affiliated with UMass Amherst who wish to recruit students, faculty, or staff as research participants.
Recruitment Database Application Form	Use this application form to establish a subject recruitment database. Download File
Red Flag Indicators in Export Transactions	A list of indicators that the buyer of your products may not be authorized to receive them due to EAR or ITAR regulations.
Removal of Principal Investigators	The MSP contract details how and when Principal Investigators can be removed.
Requests for Letters of Support	Policy for faculty requesting letters of support to the Chancellor, Provost, and Vice Chancellor for Research and Engagement on proposals that do not involve formal resource commitments or cost sharing.
Research Faculty	Policy regarding Research Professorships Download File
Research in Higher Education Settings	Provides information to determine if a study is exempt from IRB review, issues to consider if submitting, and guidelines for conducting research in higher education settings.
Research in K-12 Settings	Provides information to determine if a study is exempt from IRB review, issues to consider if submitting, and guidelines for conducting research in K-12 settings.
Research Involving Minors	Outlines regulations and policies associated with doing research that involves minors.
Research Responsibility	Outlines human subjects researchers responsibilities when engaging in research.
Responsible Conduct in Research - NSF- related Primer for Undergraduates	This is an introduction to Responsible and Ethical Conduct of Research (RCR) for undergraduates who are engaged in research activities that are supported by NSF. Download File
Responsible Conduct in Research - Instructions for CITI Training	Step-by-step instructions for enrolling in the CITI training for Responsible Conduct in Research, required by all Graduate Students and Post Docs funded through an NSF award. Download File
Responsible Conduct of Research - Trustee Policy T08-10	This Trustee policy mandates that RCR procedures that adhere to policies of PHS 42 CFR Part 93, NSF, 45 CFR Part 689, and any other relevant federal, state, or funding agencies and apply to all research and scholarly activity carried out at the University campus by University employees.
Reviewer Checklist for Continuing Review	This checklist helps reviewers structure the continuing review of approved protocols and maintain consistency in the process. Download File
Reviewer Checklist for New Protocols	This checklist helps reviewers conduct a review of new protocols and maintain consistency in the process. Download File
Revisions to a Protocol	Outlines the policy on revisions and changes to a previously IRB approved project. As a reminder, all changes and revisions to a previously IRB-approved protocol must be received and approved by the IRB before they are initiated (except where necessary to eliminate apparent immediate hazard to the subject).
Sale of Surplus Equipment Policy	Describes the policy regarding the sale of surplus equipment.
SBIR Funding Agreement	Since many of the industry partners in the SBIR do not have broad contracting experience, we have found that many partners look to the University for guidance in this area. The following SBIR Funding Agreement has been developed to meet this need. Download File
SBIR Procedures	Describes procedures for the SBIR Program. Download File
Screening Activities Used to Determine Eligibility for Participation in Research	Describes items to consider for having potential participants engage in some type of screening activity to determine their eligibility for participation in a study.
Select Agents	Explains process by which research institutions collect information regarding "select agents" and register their presence with the federal government.
Sensitive Topics	Provides guidance on what must be done if your study deals with sensitive topics, such as alcohol/drug use, suicide or child abuse, or uses the Beck Depression Inventory (BDI). Participants should be forewarned in the informed consent form that they will be asked questions on sensitive topics.
Significant Adverse Event Report Form	Use this form to report serious and unexpected events related to research under the supervision of the UMass Amherst IRB. Download File
Sponsor Request	Use this form to request a sponsor for use in Kuali. You can also use this form to request a prime sponsor. Document Link
STScI Guidance Document	Space Telescope Science Institute Guidance Document
STTR Funding Agreement	Since many of the industry partners in the STTR do not have broad contracting experience, we have found that many partners look to the University for guidance in this area. The following STTR Funding Agreement has been developed to meet this need. Download File
STTR Procedure	The STTR Program is a highly competitive program that reserves a specific percentage of federal R&D funding for awards to small business and nonprofit academic institution partners.
Student Consultation Registration Form	Use this form if it has been determined that your project requires IRB review and you would like assistance navigating the IRB submission process. Document Link
Student Researchers and Advisors	Provides guidelines for students conducting research involving human subjects. Student researchers are subject to the same policies and procedures as faculty members.
Study Personnel	Defines who the University of Massachusetts Amherst considers study personnel.
Sub-Recipient Commitment Form	Distribute this form to participating entities when setting up a subaward/subcontract/sub-recipient agreement with UMass. Download File
Sub-Recipient Commitment Form (FDP Institutions only)	Use this subrecipient commitment form for organizations participating in the Federal Demonstration Project Download File
Subcontract Approval and Sole Source Justification	A PI Subcontractor approval sheet and Sole-source Justification if new – used to confirm that the PI approves the subcontract terms and conditions and used to document why this particular subcontractor is solely and uniquely qualified to perform the sub scope of work. Download File
Subject Recruitment Databases	Describes items to consider when researchers want to maintain subject information for the purpose of future recruitment. Researchers must submit such a request to the IRB. Databases must be maintained by one responsible qualified UMass researcher and in most cases subjects will fill out a consent form agreeing to the inclusion of their information into such a system.
Summer Ad Comp	Further guidance on Summer Ad Comp
Summer Salary Waiver Request	Form to request a waiver from the Provost's policy on only charging 83.33% summer salary to federal or state sponsored projects. Download File
Survey Guidelines	Provides guidance on items to consider when conducting surveys or questionnaires as a way to gather data from many participants.
Survival Bleeding of Mice and Rats	NIH ARAC guidelines to assist investigators in their choice and application of survival rodent bleeding techniques. Document Link
Survival Rodent Surgery	NIH ARAC guidelines to assist investigators in research involving rodent surgery. Document Link
Tissue Request Form	Use this form when requesting fresh or frozen tissue samples from humans or animals. Download File
Transfer of PI to another Institution	It is the practice of UMass Amherst to allow investigators to take their grants with them – with explicit department head and dean approval – when they transfer to another institution. There are issues inherent in this type of transfer. This guide offers resolution of these issues. Download File
Travel Tips from the National Counterintelligence Executive	Tips for traveling oversees with mobile phones, laptops, PDAs, and other electronic devices. Download File
Tuition Charge Policy	Outlines the policy for applying Tuition Charge to grants and contracts. Please refer to the Campus Policy and Campus Announcement from the Financial and Cost Analysis Office attached on this page. Download File
Types of Review	Explains the different types of review required for research involving human subjects.
UMass Amherst Export Control Compliance Program Guidelines	These guidelines outline procedures for members of the UMA community to follow to ensure compliance with all export control laws and regulations. Download File
UMass COI Policy for NSF and other Federal Agencies	This Policy has been developed by the University of Massachusetts Amherst and complies with specific NSF requirements laid out in NSF’s Grant Policy Manual.
UMass COI/SFI NSF Disclosure form	This Conflict of Interest disclosure form should only be used if a PI is applying for funding from the National Science Foundation (NSF). Download File
UMass Export Control Policy & Guidelines	These detailed guidelines outline processes for members of the UMass Amherst community to follow to ensure that the University is in compliance with all export control laws and trade sanctions. Download File
UMass Export Control Seminar	Seminar slides from UMass Export Control seminar, 2009. Download File
Unallowable Costs Policy	This policy applies to all federally sponsored agreements. Unallowable costs, for the purpose of this policy, are costs that cannot be included in the direct costs of sponsored agreements or in the university's indirect cost rate according to OMB's Circular A-21. These costs are not necessarily what the university considers unallowable.
Unanticipated Problem Report Form	Use this form to report unanticipated problems involving risks to subjects or others related to your IRB approved research. Download File
Unanticipated Problems	Defines the types of unanticipated problems and outlines reporting requirements.
Uniform Consulting Agreement Provisions - UMass Amherst	All faculty members at the University of Massachusetts are subject to the University Policy on Faculty Consulting and Outside Activities. The Consulting Policy recommends that faculty members at the University attach these Uniform Consulting Agreement Provisions to any agreement or arrangement under which a faculty member will provide consulting services to, or will engage in other non-academic activities in his or her area of expertise on behalf of, any for-profit organization. Document Link
USDA Guidance Document	US Department of Agriculture Guidance Document
USDA/APHIS Animal Care Policies	USDA/APHIS Animal Care Policies
Use of Fishes in Research	Provides guidelines for the use of fish in research. Document Link
Vertebrate Animal Classroom Use	Bringing vertebrate animals from an off-campus source into a UMass classroom or UMass property may require review and approval by the Institutional Animal Care and Use Committee (IACUC). You will either be required to complete an IACUC protocol https://www.umass.edu/research/kuali-era-system or describe the proposed use on this short form. Download File
Visitor Policy	Requirements of Visitors before entering the UMA animal facilities. Download File
Whistleblowing Legislation Notice to Employees	Massachusetts General Laws c. 149, § 185 protects employees from retaliation for engaging in what is commonly known as "whistleblowing" activities.
Zebrafish - Use in NIH Intramural Research	Guidelines for use of zebrafish in the NIH Intramural Research Program Document Link