The following matrix represents a starting point to help you determine which training you need to complete and additional requirements that might exist. Please note that many of these requirements are associated with the terms and conditions of a federal award. By submitting a proposal, investigators are committing themselves to completing them.
To see what Research Compliance training you have already completed, go to this report (log in with NetID & password). Note: If off-campus, you must connect to the GlobalProtect VPN first.
Click the links below for further details and contact information.
| Do you … | Training requirement | Summary | Timing & Frequency | Who | Format | Additional Compliance Requirement(s) | Resource Page (details & contact info) |
|---|---|---|---|---|---|---|---|
| Receive federal funding, or are you proposing to a federal sponsor? | Responsible and Ethical Conduct of Research (RECR) | Presents standards for responsible and ethical conduct of research. Covers the practice of scientific investigation with integrity, as established by professional norms and ethical principles. | One-time training to be completed as soon as possible once the proposal has been submitted, but no later than 30 days of award. | Required for: Faculty, senior personnel, postdocs, graduate, and undergraduate students supported by NSF funding. All program directors, faculty, graduate and undergraduate students, postdocs, and staff participating in a USDA- NIFA funded research project. All trainees, fellows, participants and scholars receive support through certain NIH awards. Recommended for all individuals receiving federal funding. | NSF and USDA-NIFA is online through CITI NIH requires 8 hours of in person, developed and implimented by the awardee. | None specific to RCR/RECR. | Responsible and Ethical Conduct of Research |
| Research Security | Provides researchers with clear guidelines and effective strategies to protect against existing and emerging research security threats. | One-time training to be completed prior to proposal submission.*
| Required for all “covered individuals,” defined as PIs, Co-Is or key personnel receiving federal funding. As of May 1, 2025, investigators will be asked to certify completion of this training when submitting proposals to DOE. | Online through CITI | Disclose all outside activities (including foreign engagements) through Kuali COI. Data Use or Transfer Agreement | Research Security | |
| Conflict of Interest (COI)* | Covers the definition of significant financial interest, the requirements for disclosing and how to do so, and the management or mitigation process. | Prior to submitting a proposal (and Kuali COI disclosure), refreshed every four years or more frequently in certain situations. | Required for all individuals considered to be PI, Co-I, or Key Persons on a proposal to or award from PHS (and adopting agencies) and DOE. Recommended for all individuals receiving federal funds. | Online through CITI | Submission of a new or updated Kuali COI at time of proposal submission and in certain circumstances. | Conflict of Interest and Outside Activities | |
| Have, or are you considering, Outside Activities (OA), financial or otherwise, including (but not limited to) consulting, equity holding and start-ups? | Review the Policy on Faculty Consulting & Outside Activity plus Conflict of Interest (COI)* | Covers the definition of significant financial interest, the requirements for disclosing and how to do so, and the management or mitigation process. Covers the expectations of the university regarding outside activities. | See above for details on the COI training.* Policy review is recommended prior to submitting a proposal and a new or updated Kuali COI disclosure (the mechanism for disclosing OAs) |
| COI training is online through CITI | Submit proposed outside activity for review and approval within a new or updated Kuali COI disclosure. Per the policy, the OA will be routed to department head for review and approval. | Conflict of Interest and Outside Activities |
| Engage in, or are you considering, research with an international component or that involves sensitive items or information (equipment or technology that could have military/defense applications)? | Export Control | Familiarity with and a basic understanding of export controls, which can be complex and dynamic. | One time training to be completed prior to beginning work on an export-controlled project. | Required for faculty, staff and students (graduate and undergraduate) whose activities have been determined to intersect with with export-controlled regulations. Recommended for all university community members involved in sponsored or international research. | Online through CITI or in person with Research Compliance staff. | Disclose all outside activities (including foreign engagements) through Kuali COI. | |
| Conduct, or are you considering, research involving Live Animals? | Institutional Animal Care and Use (IACUC) | Includes an overview of federal, state, and university regulations, policies and procedures in addition to general information related to the care and use of animals at the university. | Prior to animal use, refreshed every three years. | Required for all individuals listed on IACUC protocols. | 2-parts: Classroom (this includes Occupational Health & Safety in the curriculum) and online through CITI. Additional in-person training may be required. | IACUC Protocol submission | Animal Subjects/IACUC |
| Conduct, or are you considering, Human Subject research? | Human Subjects/Institutional Review Board (IRB) | Focused on different aspects of bioethics and human subject research. | Prior to submitting an IRB request, refreshed every five years | Required for all faculty, staff, and students (graduates and undergraduates) who are conducting human subjects research or are part of a research group that does. | Online through CITI Additional training can be provided by the HRPO training on request. | IRB Protocol submission May also require a Data Use Agreement | |
| Have funding from NIH for a project deemed a “Clinical Trial?” | Good Clinical Practice (GCP) ** | Fundamental knowledge of clinical trial quality standards for designing, conducting, recording, and reporting trials that involve human research participants. | One-time training, refreshed every 3 years.** | Required of all personnel listed on the IRB protocol for a project deemed to be a “clinical trial.” | Online through CITI | IRB Protocol submission
| **Reach out to the Human Research Protection Office (HRPO) for guidance. |
| Handle HIPAA data? | Information Privacy & Security (IPS)** | Covers the principles of data protection, focusing on basic information security requirements and the educational records and data-related requirements of FERPA. | One-time training | Required for all personnel listed on the associated IRB protocol.* | Online through CITI | none | **Reach out to the Human Research Protection Office (HRPO) for guidance. |
| Have funding from, or are you submitting a proposal to, DOE, NIH, or another agency that has adopted the PHS FCOI policy? | Financial Conflict of Interest (FCOI)* | Covers the definition of significant financial interest, the requirements for disclosing and how to do so, and the management or mitigation process, all within the context of PHS or DOE regulations. | Prior to submitting a proposal, refreshed every four years or more frequently in certain situations.
| Required by PHS (and adopting agencies) and DOE for all PIs, Co-Is, and Key Persons listed on a proposal and/or award. | Online through CITI | Kuali COI disclosure – submission or update at the time of proposal submission. Updated regularly as needed. | Conflicts of Interest and Outside Activities |
* Conflict of Interest and Research Security Trainings are part of the terms and conditions of federal awards. If either is required and missing or expired, awards will be held until training is completed.
The following are part of UMass Amherst Environmental Health and Safety (EHS) training programs and may intersect with Research Compliance requirements.
| Do you … | Training requirement | Summary | Timing & Frequency | Who | Format | Additional Compliance Requirement(s) | Resource Page (details & contact information) |
|---|---|---|---|---|---|---|---|
| Work with biological materials, including rDNA, Synthetic DNA, Select Agent, or Biohazardous materials? | Biosafety | Standard procedures and practices that are followed by the scientific community at large and how these are implemented at this campus. | Prior to working with biological materials. | Required for all campus community members who work with biological materials. | Online through SciShield or, for groups, in person by request | Submission of an IBC Protocol. | |
| Work in a lab? | Lab Safety | UMass specific policies and processes for work in laboratories. | Annually | Required for all campus community members who work in a lab or anticipate doing so. | Online through SciShield or, for groups, in person by request. | Contact EH&S for additional information. | Environmental Health & Safety |
| Use radioactive materials? | Radiation Safety | Includes protocols, operating procedures, management, and user responsibilities. | Prior to working with radioactive materials. | Required for all campus community members who work with radioactive materials, including sealed-sources. | Online through SciShield | Contact EH&S for additional information | Environmental Health & Safety |
The Commonwealth of Massachusetts and the University of Massachusetts require the training listed below. These are not associated with or managed by UMass Amherst Research Compliance and are listed here as general information. They do not fufill any of the training requirements listed above.
| Are you... | Training requirement | Summary | Timing & Frequency | Who | Format | Additional Compliance Requirement(s) | Resource Page (details and contact information |
|---|---|---|---|---|---|---|---|
| An employee of the University of Massachusetts Amherst, and by extension, an employee of the Commonwealth of Massachusetts? | Cybersecurity Awareness for Employees of Educational Institutions | An overview of identifying and safeguarding institutional and personal data. | Annual | All Commonwealth of Massachusetts employees | Online through Vector Solutions | Not applicable |
|
| Conflict of Interest Law Training | General information on specific state conflict of interest law and policies. This is provided by the State Ethics Commission. | Every two years | All Commonwealth of Massachusetts employees | Online through Vector Solutions | Not applicable | Contact the institutional Compliance Office. | |
| Summary Conflict of Interest Law for State Employees | Summary of the specific conflict of interest law and policies. All employees receive a prompt to complete. | Annual | All employees of the University of Massachusetts | Online through HRDirect | Not applicable | UMass Amherst Human Resources – Required Trainings |