Policies

Animal Care/Use

Name	Description
Animal Ordering Policy	Describes the animal ordering policy and procedures researchers must follow.
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
Biological Materials Used in Rodents	Policy for the prevention of accidental introduction of rodent pathogens into research animals. Download File

Animal Subjects/IACUC

Name	Description
Animal Ordering Policy	Describes the animal ordering policy and procedures researchers must follow.
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
Biological Materials Used in Rodents	Policy for the prevention of accidental introduction of rodent pathogens into research animals. Download File
Expiration dates for materials used in animals	Guidelines for determining expiration dates for materials used in animals. 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
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
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.
Post Approval Monitoring	Compliance Monitoring is sometimes referred to as Post Approval (PAM), wherein approved animal work is continuously monitored during the approval period.

Award Related

Name	Description
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.
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
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
NIH Public Access Policy Mandate	NIH Public Access Policy Mandate - UMass Compliance Download File
OMB Circular A-110	This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations. This policy is still valid for awards made when this Circular was effective.
OMB Circular A-21	This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. The principles deal with the subject of cost determination. This policy is still valid for awards made when this Circular was effective. Document Link
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
Postdoctoral Scholars and Postdoctoral Education	Research Council Report: Policy on Postdoctoral Scholars and Postdoctoral Education at the University of Massachusetts Amherst Download File
Research Faculty	Policy regarding Research Professorships Download File
Sale of Surplus Equipment Policy	Describes the policy regarding the sale of surplus equipment.
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
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.
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.

Biosafety

Name	Description
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.

Budget

Name	Description
Cost Sharing Policy	Describes cost share policy and provides guidance on the circumstances under which cost sharing is permitted. 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

Compensation/Effort

Name	Description
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
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
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.
Compensation for Certain Additional Professional Services	Policy document issued by the Board of Trustees outlining allowable compensation
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
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

Compliance

Name	Description
Animal Ordering Policy	Describes the animal ordering policy and procedures researchers must follow.
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
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
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
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.
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 OHRP Regulations for protection of human research subjects.
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.
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.
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.
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 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 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
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.

Conflict of Interest

Name	Description
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.
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.
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.
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 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

Cost Sharing

Name	Description
Cost Sharing Policy	Describes cost share policy and provides guidance on the circumstances under which cost sharing is permitted. Download File

Data Access

Name	Description
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

Export Control

Name	Description
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

Federal

Name	Description
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.
OMB Circular A-110	This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations. This policy is still valid for awards made when this Circular was effective.
OMB Circular A-21	This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. The principles deal with the subject of cost determination. This policy is still valid for awards made when this Circular was effective. Document Link

Human Subjects/IRB

Name	Description
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 OHRP Regulations for protection of human research subjects.

Indirect Cost

Name	Description
College and University Rate Agreement FY 2018	Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. 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
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

Intellectual Property & Data

Name	Description
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

Proposal Related

Name	Description
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.
Additional Compensation on Sponsored Projects	Provides guidance on additional compensation charged to sponsored grants and contracts. Download File
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
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.
College and University Rate Agreement FY 2018	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
Cost Sharing Policy	Describes cost share policy and provides guidance on the circumstances under which cost sharing is permitted. 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
Five-Day Proposal Submission Procedure	Proposals are due to OGCA five working days before the sponsor deadline. If a hard copy submission, six days is required as one of those days the proposal will be in transit to the sponsor. Refer to this VCRE-issued procedure for details. For a quick reference guide, please see the related Five-Day Proposal Submission Procedure Overview.
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
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
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
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
OMB Circular A-110	This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations. This policy is still valid for awards made when this Circular was effective.
OMB Circular A-21	This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. The principles deal with the subject of cost determination. This policy is still valid for awards made when this Circular was effective. Document Link
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
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
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.
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

Research Ethics

Name	Description
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.
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.
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.
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.
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 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
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.

Research Safety/Security

Name	Description
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