Policies

Animal Care/Use

Name	Description
Animal Ordering Procedure	Describes the animal ordering 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 Procedure	Describes the animal ordering 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
Institutional Policy for Oversight of Animal Use in Research and Teaching	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. Document Link
Post Approval Monitoring	Compliance Monitoring is sometimes referred to as Post Approval (PAM), wherein approved animal work is continuously monitored during the approval period.
Visitor Policy	Requirements of Visitors before entering the UMA animal facilities. Download File

Award Related

Name	Description
BOT Intellectual Property Policy	This Board of Trustees (BOT) 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. Document Link
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. 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. See link at right. Document Link
University of Massachusetts Amherst Policy to Conform with Board of Trustee Policy Doc. T94-034 and The Federal OMB Uniform Guidance	This policy compiles various requirements, procedures, and guidance that have been designed to meet these and expectations.  Document Link

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
Unified Requirement and Procedure Guide to Cost Sharing	Cost sharing requires advanced notice and approvals from various stakeholders. This guide consolidates previous guidance and procedures.

Compensation/Effort

Name	Description
Additional Compensation on Sponsored Projects	Provides guidance on additional compensation charged to sponsored grants and contracts. Document Link
Administrative Costing Requirements for Proposals and Awards	Policy and guidance on charging administrative costs to federally-sponsored projects.
Administrative Stipends Changed to Federal Grants and Contracts	This addresses charging administrative stipends to federal grants and contracts in accordance with federal rules contained in OMB Uniform Guidance.
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.
BOT Policy on Additional Faculty Compensation	Board of Trustees (BOT) policy statement on Additional Faculty Compensation Document Link
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

Compliance

Name	Description
Animal Ordering Procedure	Describes the animal ordering 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
BOT Conflict of Interest for Human Subjects	Board of Trustees (BOT) document that outlines procedures for the oversight of individual and institutional financial interests in human subjects research. Document Link
BOT Guidelines for the Oversight of Individual and Institutional Financial Interests in Human Subjects Research	Outlines a framework for pursuing interactions in keeping with overall University of Massachusetts Board of Trustee (BOT) policy and accepted best practices. Document Link
BOT Policy for Promoting Objectivity in Biomedical Research Amherst, Boston, Dartmouth & Lowell	This Board of Trustee (BOT) 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 Document Link
BOT Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures Amherst & Boston	Pursuant to Massachusetts General Laws Ch. 75 - 14A, in the area of intellectual property and technology transfer this policy is controlling. Document Link
BOT Policy on Faculty Consulting and Outside Activities: Amherst & Boston	Policy issued by the Board of Trustees (BOT) intended to further the mission of the University and to enrich the experiences of the faculty by facilitating appropriately limited outside activities for faculty. Document Link
BOT Policy on Responsible Conduct of Research and Scholarly Activities	This Board of Trustees (BOT) 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. Document Link
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
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.
Institutional Policy for Oversight of Animal Use in Research and Teaching	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. 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. See link at right. Document Link
Policy on Human Subjects in Research	Policy statement providing assurance of compliance with Human Research Protection Office (HRPO) regulations for protection of human research subjects. Document Link
Post Approval Monitoring	Compliance Monitoring is sometimes referred to as Post Approval (PAM), wherein approved animal work is continuously monitored during the approval period.
University of Massachusetts Amherst Policy to Conform with Board of Trustee Policy Doc. T94-034 and The Federal OMB Uniform Guidance	This policy compiles various requirements, procedures, and guidance that have been designed to meet these and expectations.  Document Link

Conflict of Interest

Name	Description
BOT Conflict of Interest for Human Subjects	Board of Trustees (BOT) document that outlines procedures for the oversight of individual and institutional financial interests in human subjects research. Document Link
BOT Guidelines for the Oversight of Individual and Institutional Financial Interests in Human Subjects Research	Outlines a framework for pursuing interactions in keeping with overall University of Massachusetts Board of Trustee (BOT) policy and accepted best practices. Document Link
BOT Policy for Promoting Objectivity in Biomedical Research Amherst, Boston, Dartmouth & Lowell	This Board of Trustee (BOT) 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 Document Link
BOT Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures Amherst & Boston	Pursuant to Massachusetts General Laws Ch. 75 - 14A, in the area of intellectual property and technology transfer this policy is controlling. Document Link
BOT Policy on Faculty Consulting and Outside Activities: Amherst & Boston	Policy issued by the Board of Trustees (BOT) intended to further the mission of the University and to enrich the experiences of the faculty by facilitating appropriately limited outside activities for faculty. Document Link

Cost Sharing

Name	Description
Unified Requirement and Procedure Guide to Cost Sharing	Cost sharing requires advanced notice and approvals from various stakeholders. This guide consolidates previous guidance and procedures.

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

Human Subjects/IRB

Name	Description
BOT Conflict of Interest for Human Subjects	Board of Trustees (BOT) document that outlines procedures for the oversight of individual and institutional financial interests in human subjects research. Document Link
BOT Guidelines for the Oversight of Individual and Institutional Financial Interests in Human Subjects Research	Outlines a framework for pursuing interactions in keeping with overall University of Massachusetts Board of Trustee (BOT) policy and accepted best practices. Document Link
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.
Physician Clearance Policy	In certain instances, the Institutional Review Board (IRB) may require researchers to request that an individual be “cleared” for participation prior to enrolling in a study. This step is most often required when the IRB is concerned for the safety of a subset of participants and mandates that certain individuals or class of individuals consult a medical professional, in most cases the individual’s Primary Care Provider, prior to being enrolled in a study.
Policy on Human Subjects in Research	Policy statement providing assurance of compliance with Human Research Protection Office (HRPO) regulations for protection of human research subjects. Document Link

Indirect Cost

Name	Description
College and University Rate Agreement	Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. 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
Requirements and Procedures for Fabricated Equipment Costs on Federal Research Grants and Contracts	The purpose of these requirements is to ensure that the inclusion of Fabricated Equipment on sponsored projects follow federal regulations and university policies.

Intellectual Property & Data

Name	Description
BOT Intellectual Property Policy	This Board of Trustees (BOT) 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. Document Link

Proposal Related

Name	Description
Additional Compensation on Sponsored Projects	Provides guidance on additional compensation charged to sponsored grants and contracts. Document Link
Administrative Costing Requirements for Proposals and Awards	Policy and guidance on charging administrative costs to federally-sponsored projects.
Administrative Stipends Changed to Federal Grants and Contracts	This addresses charging administrative stipends to federal grants and contracts in accordance with federal rules contained in OMB Uniform Guidance.
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.
BOT Intellectual Property Policy	This Board of Trustees (BOT) 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. Document Link
BOT Policy for the Development and Administration of Grants, Contracts and Cooperative Agreements for Sponsored Programs	Describes Board of Trustees (BOT) 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. Document Link
College and University Rate Agreement	Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. Document Link
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
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. See link at right. Document Link
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.
Requirements and Procedures for Fabricated Equipment Costs on Federal Research Grants and Contracts	The purpose of these requirements is to ensure that the inclusion of Fabricated Equipment on sponsored projects follow federal regulations and university policies.
Unified Requirement and Procedure Guide to Cost Sharing	Cost sharing requires advanced notice and approvals from various stakeholders. This guide consolidates previous guidance and procedures.
University of Massachusetts Amherst Policy to Conform with Board of Trustee Policy Doc. T94-034 and The Federal OMB Uniform Guidance	This policy compiles various requirements, procedures, and guidance that have been designed to meet these and expectations.  Document Link

Research Ethics

Name	Description
BOT Conflict of Interest for Human Subjects	Board of Trustees (BOT) document that outlines procedures for the oversight of individual and institutional financial interests in human subjects research. Document Link
BOT Guidelines for the Oversight of Individual and Institutional Financial Interests in Human Subjects Research	Outlines a framework for pursuing interactions in keeping with overall University of Massachusetts Board of Trustee (BOT) policy and accepted best practices. Document Link
BOT Policy for Promoting Objectivity in Biomedical Research Amherst, Boston, Dartmouth & Lowell	This Board of Trustee (BOT) 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 Document Link
BOT Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures Amherst & Boston	Pursuant to Massachusetts General Laws Ch. 75 - 14A, in the area of intellectual property and technology transfer this policy is controlling. Document Link
BOT Policy on Faculty Consulting and Outside Activities: Amherst & Boston	Policy issued by the Board of Trustees (BOT) intended to further the mission of the University and to enrich the experiences of the faculty by facilitating appropriately limited outside activities for faculty. Document Link
BOT Policy on Responsible Conduct of Research and Scholarly Activities	This Board of Trustees (BOT) 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. Document Link

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