All Policies, Guidance and Forms
Name | Description | |
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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 |
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Additional Faculty Compensation Policy |
Board of Trustees policy statement on Additional Faculty Compensation Download File |
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Adjuvants Use in Research |
NIH ARAC guidelines for researchers using adjuvants. Document Link |
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Administrative Cost Policy |
Policy and guidance on charging administrative costs to federally-sponsored projects. Download File |
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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 |
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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 |
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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 |
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Anesthesia/Surgery Record |
Use this form for animal surgical procedures. For Aquatics, use the form below this titled Anesthesia/Surgery Record - Aquatics.
Download File |
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Anesthesia/Surgery Record - Aquatics |
Use this form for anesthesia and surgery records for aquatics (xenopus/fish). Download File |
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Animal Cage Card Form |
Standard form for animal cage ID and mating cage cards. Download File |
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Animal Order Request Form |
Use this form to order animals and indicate any special instructions. Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Cell Line PCR Submission |
Procedure for Cell Line PCR submission Download File |
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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 |
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College and University Rate Agreement |
Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. Download File |
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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 |
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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 |
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Conflict of Interest (COI) Policies (UMass Amherst) - Overview |
Town Hall meeting on UMass Amherst COI Policies. Download File |
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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 |
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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 |
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Contingent Worker Form |
Use this form to apply for a PeopleSoft HR ID and access to the University electronic systems. Download File |
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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 |
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Cost Sharing Approval Process |
Memorandum outlining updated procedures for obtaining approval to cost share on grants and contracts. Download File |
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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 |
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Cost Sharing Requests to VCRE or Provost |
Outlines procedures for requesting cost share from the VCRE or Provost Download File |
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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 |
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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 |
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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 |
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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 |
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Debriefing Form - General |
Form may be used as a handout to debrief participants on any aspect of a research study considered sensitive. Download File |
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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 |
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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 |
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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 |
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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 |
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Effort Reporting Video Slides |
Effort Reporting Slides Download File |
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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 |
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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 |
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Euthanasia Request Form |
Form required to request euthanasia as part of a research study. Download File |
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Euthanasia-CD Policy |
Provides guidance for performing CD as a primary method of euthanasia. Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Fabricated Equipment Guidance (FAQs) |
Guidance on Fabricated Equipment Download File |
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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 |
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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 |
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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 |
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Fundamental Research Decision Tree |
Helps to determine whether or not proposed research is considered "Fundamental." Download File |
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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 |
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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 |
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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 |
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Guillotine Use and Maintenance |
This SOP is intended to provide information for researchers at UMASS using rodent guillotines. Document Link |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Important NIH Announcements January 2016 |
Description of recent important NIH Announcements regarding sponsored activities. Download File |
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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 |
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Industry Funding Contract Signatory Authority Matrix |
Guidance on who signs Agreements and Contracts involving industry. Download File |
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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 |
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Informed Consent Template - Focus Group - Revised |
The consent template to be used when research involves focus groups. Download File |
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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 |
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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 |
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Informed Consent Template - Magnetic Resonance Imaging (MRI) - Revised |
Use this template if your study uses Magnetic Resonance Imaging.
Download File |
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Informed Consent Template - Muscle Biopsy - Revised |
Use this template if your study includes muscle biopsies.
Download File |
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Informed Consent Template - Online Survey - Revised |
Use this template if your study involves an online survey research component. Download File |
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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 |
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Informed Consent Template - Sensitive Topics - Revised |
Use this template for research that involves topics which may be considered sensitive. Download File |
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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 |
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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 |
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Informed Consent Template - Video Use - Revised |
Informed Consent form to use for research involving video or audio recordings. Download File |
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Informed Consent Template - VO2 Max - Revised |
Use this template if your study uses V02 Max. Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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NIH Public Access Policy Mandate |
NIH Public Access Policy Mandate - UMass Compliance Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Participation Agreement (PAG) |
Certification required for all first time award recipients. Download File |
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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 |
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Postdoctoral Scholars and Postdoctoral Education |
Research Council Report: Policy on Postdoctoral Scholars and Postdoctoral Education at the University of Massachusetts Amherst Download File |
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Pre-establishment of Account Agreement |
Use this form to request a pre-establishment of account Download File |
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Pro Forma Budget Template |
To be used for Indirect Cost Waiver/Reduction, Cost Share Request, and Request for Voluntary Cost Sharing Forms. Download File |
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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 |
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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 |
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Proposal Workflow Chart |
A diagram that depicts the proposal workflow steps through OGCA. Download File |
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Protocol Deviation/Violation Report Form |
Use this form to report all protocol deviations/violations within 5 business days from the occurrence. Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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Reviewer Checklist for New Protocols |
This checklist helps reviewers conduct a review of new protocols and maintain consistency in the process. Download File |
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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 |
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SBIR Procedures |
Describes procedures for the SBIR Program. Download File |
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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 |
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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 |
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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 |
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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 |
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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 |
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Sub-Recipient Commitment Form (FDP Institutions only) |
Use this subrecipient commitment form for organizations participating in the Federal Demonstration Project Download File |
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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 |
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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 |
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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 |
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Survival Rodent Surgery |
NIH ARAC guidelines to assist investigators in research involving rodent surgery. Document Link |
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Tissue Request Form |
Use this form when requesting fresh or frozen tissue samples from humans or animals. Download File |
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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.
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Travel Tips from the National Counterintelligence Executive |
Tips for traveling oversees with mobile phones, laptops, PDAs, and other electronic devices. Download File |
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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 |
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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 |
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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 |
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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 |
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UMass Export Control Seminar |
Seminar slides from UMass Export Control seminar, 2009. Download File |
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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 |
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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 |
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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 |
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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 |
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Visitor Policy |
Requirements of Visitors before entering the UMA animal facilities. Download File |
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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 |