Pre-Award
| Name | Description | |
|---|---|---|
| Policy for the Development and Administration of Grants, Contracts and Cooperative Agreements for Sponsored Programs | This Board of Trustees (BOT) Policy outlines 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. | |
| Intellectual Property Policy | This Board of Trustees (BOT) Policy is intended to facilitate the commercial development of intellectual property arising at the university. | |
| Policy on Additional Faculty Compensation | This Board of Trustees (BOT) Policy outlines additional faculty compensation. | |
| University of Massachusetts Amherst Policy to Conform with Board of Trustee Policy Doc. T94-034 and The Federal OMB Uniform Guidance | This UMass Campus Policy compiles various requirements, procedures, and guidance that have been designed to meet these and expectations. | |
| PI and Co-PI Roles and Responsibilities | A Faculty Senate Policy of the Research Council concerning Principal and Co-Principal Investigators: Eligibility, Roles, Rights, Responsibilities, and Obligations. | |
| Characteristics of a Sponsored Project (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. | |
| Sponsored Project Proposal Submission Requirements and Procedures (Five Day Submission Procedure) | Outlines campus procedures for proposal preparation and submission in support of sponsored projects. It includes the five-day deadline and procedures developed to reduce duplication of administrative steps between department or college/school offices and the Office of Pre-Award Services (OPAS). | |
| Minimum Effort on Sponsored Projects Requirement | This document outlines a minimum effort requirement and gives guidance for its implementation. | |
| Cost Sharing Requirements and Procedures | Cost sharing requires advanced notice and approvals from various stakeholders. This guide consolidates previous guidance and procedures. | |
| Fabricated Equipment Costs on Federal Research Grants and Contracts Requirements and Procedures | The purpose of these requirements is to ensure that the inclusion of fabricated equipment on sponsored projects follow federal regulations and university policies. | |
| Determination of On and Off Campus Indirect Cost Rates on Grants and Contracts Procedure | Procedure for how the university negotiates indirect cost rates with the Department of Health and Human Services. | |
| College and University Rate Agreement | Negotiated indirect cost rate agreement for reference when budgeting sponsored research proposals. | |
| Sponsored Programs 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. | |
| Additional Compensation Policies | View policies and forms surrounding additional compensation on the UMass Amherst Human Resources' website. | |
| Effort Reporting Policies Guidance | Guidance on effort reporting from the Controller's Office. | |
| UMass Procedure to meet NSF Safe and Inclusive Working Environments | This document details National Science Foundation (NSF) requirements related to “off-site” and “off-campus” research. It is required to certify that a plan is in place to address safe and inclusive working environments at the time a proposal is submitted. | |
| NIH Prior Approval Requests for Budgets over $500K Procedure | This page clarifies and updates campus procedures for the submission of budgets exceeding $500K annually in direct costs to NIH for prior approval. | |
| Administrative Costing Requirements for Proposals and Awards | Requirements on charging administrative costs to federally-sponsored projects. | |
| Charging Faculty Administrative Stipends to Federal Grants and Contracts | This addresses requirements for charging administrative stipends to federal grants and contracts in accordance with federal rules contained in OMB Uniform Guidance. | |
| FORMS | ||
| Cost Share Request | Requests for 3rd party cost share, voluntary cost share, contributions from the Provost and VCRE (mandatory or voluntary cost share), and faculty effort cost share. | |
| Cost Share Request Form - AY Faculty Salary | When university salary (effort) is committed in a proposal for sponsored funding, faculty must use this form to obtain the necessary approvals for the proposed in-kind effort. Note: There is a new Faculty Effort Cost Share Kuali Build form that can be found within the Cost Share Request Form. | |
| F&A (Indirect Cost) Waiver or Reduction Cost Share Request | An F&A waiver is when the sponsor allows the use of approved F&A rates but UMass elects not to charge the full rate to the sponsor. | |
| Summer Salary Waiver Request | A form to request a waiver from the Provost's policy on only charging 83.33% summer salary to federal or state sponsored projects. Requests for waiver should be sent to the Provost's Office at @email. | |
| Request Quote for UMass Amherst Proposal Preparation Services (UMPPS) | A form used to request a quote for proposal preparation services. R&E offers proposal preparation services for UMass Amherst faculty, departments, academics units, and administrative offices that do not have their own staff assistance. | |
| VCRE Late Proposal Approval Request | A form is used to request an exception to the VCRE's mandatory proposal submission procedure. | |
| PI Arrival Questionnaire | A form to notify the Office of Pre-Award Services (OPAS) of a PI transferring an Award to UMass from their previous institution. | |
| Subrecipient Commitment Form | Distribute this form to participating entities when setting up a subaward/subrecipient agreement with UMass. | |
| PI Departure Questionnaire | This form is used for federal and non-federal sponsored projects to notify the Office of Pre-Award Services (OPAS), Office of Post-Award Management (OPAM), Controller's Office, and Institutional Animal Care and Use Committee (IACUC), of the status of an individual project when the PI's position at the UMass changes. | |
| NSF Requirement for Safe and Inclusive Working Environments for Off-Campus or Off-Site Research Attestation and Approval | Attestation and approval of adherence to the National Science Foundation (NSF) requirements related to “off-site” and “off-campus” research. | |
| Research Data Request | A form to request a report from Research IT. | |
| Tableau Dashboard Access Request | A form to request access to the comprehensive proposal and award Tableau dashboards. | |
| Organization (subrecipient) Request | A form to request new subrecipient organization for Kuali Research. | |
| Kuali Approver Add/Change | A form to request Kuali Research approver changes by lead unit (department) or parent unit (college). | |
| Kuali Sponsored Programs Permissions | A form to request Kuali Research Sponsored Programs permissions (i.e. Proposal and/or Award access). | |
| Professional Name Request | A form to request a name for use on proposals and awards that is different from your legal name. |
Post-Award
| Name | Description |
|---|---|
| Cost Transfer Policy | This campus policy ensures the integrity and allowability of charges which are transferred to and/or from a sponsored project after an initial charge posted in the accounting system. |
| FORMS | |
| New Sponsor Request | A form to request a sponsor for use in Kuali. You can also use this form to request a prime sponsor. |
| Pre-Award Account Establishment Agreement | A form to request the establishment of an account to permit the expenditure of funds for those costs critical for the performance of the project. |
| Unrestricted Grant Processing Request | This form is required to accompany any unrestricted grant award and will enable the expedited processing & tracking/reporting of the award. |
| No-Cost Extension Request | Requests for no-cost extension should be submitted to the Office of Post-Award Management (OPAM) at least 15 days prior (50 days if 2nd NCE) to the current grant end date of the project. |
Human Subjects/IRB
| Name | Description |
|---|---|
| Policy on Human Subjects in Research | This campus policy statement provides assurance of compliance with Human Research Protection Office (HRPO) regulations for protection of human research subjects. |
| The Oversight of Individual and Institutional Financial Interests in Human Subjects Research | This Board of Trustees (BOT) policy outlines procedures for the oversight of individual and institutional financial interests in human subjects research. |
| Determining Whether IRB Review is Required for an Activity | Provides information to help determine whether a project requires review by the Institutional Review Board (IRB). However, the final determination whether a project requires IRB review will be made by the Human Research Protection Office (HRPO). |
| Human Subject Researcher Responsibilities | Outlines the responsibilities or researchers when engaging in human subjects research. |
| Physician Clearance Procedure | 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 procedure outlines the requirements for obtaining physician clearance for certain human subjects participant populations. |
| Revisions to a Protocol Procedure | Outlines the procedure on revisions and changes to a previously Institutional Review Board (IRB) approved project. |
| IRB Guidance | Page outlines further detailed Institutional Review Board (IRB) related guidance. |
| FORMS, TEMPLATES & CHECKLISTS | |
| Assent Form for Adults with Cognitive Impairments | Assent form for adults with cognitive impairments. NOTE: this is NOT a consent form. This form is for people working with adults who have cognitive impairments such that they cannot sign a consent form themselves, and will need to get consent from that person's caretaker, parent, guardian, etc. |
| 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. |
| 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. |
| Baystate and UMass Collaborative Human Subjects Registration Form | Use this form when researchers from UMass Amherst are collaborating in human subject research with researchers at Baystate Medical Center. |
| Counseling Resources Guidance Template | A template for 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. |
| Debriefing Form - Deception | A form with guidance on how to ameliorate the effects of unavoidable deception in a research study, the IRB requires debriefing of the deceived subjects. |
| Debriefing Form - General | A form to be used as a handout to debrief participants on any aspect of a research study considered sensitive. |
| HIPAA Authorization Template | Use this template form to request access to Health Insurance Portability and Accountability Act (HIPAA) data from individuals. |
| Informed Consent Templates | This page details consent templates for research involving complex biomedical, focus groups, iDXA, International Affective Picture System (IAPS), Magnetic Resonance Imaging (MRI), Muscle Biopsy, online/paper surveys, sensitive topics, subject, recruitment database, video or audio recording, V02 Max, and more. |
| Physician Clearance Form | Use this form to provide a rationale for requiring physician clearance for certain participant populations prior to enrolling in a study, and describe all procedures associated with requesting physician clearance. |
| Recruitment Email & Script Templates | Sample recruitment templates for new researchers. NOTE: You are NOT required to use these templates, they are merely provided as samples. |
| Reviewer Checklists | A folder with reviewer checklists for new protocols, amendments, continuing review, new protocols, and renew/amends. |
| Subject Recruitment Database Application Form | Use this application form to establish a subject recruitment database. |
IACUC/Animal Subjects
| Name | Description |
|---|---|
| Institutional Policy for Oversight of Animal Use in Research and Teaching | This campus policy contains information about the university's assurance to comply with documented regulations that apply to all vertebrate animals used for research and teaching. |
| 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. Must have UMass Amherst credentials to log in and view. |
| IACUC Requirements | A folder containing the UMass Institutional Animal Care and Use Committee (IACUC) requirements. Must have UMass Amherst credentials to log in and view the folder. |
| IACUC Guidelines | A folder containing the UMass Institutional Animal Care and Use Committee (IACUC) guidelines. Must have UMass Amherst credentials to log in and view the folder. |
| FORMS & TEMPLATES | |
| Animal Transfer Form | If animals need to be transferred to a different protocol, it is the responsibility of the PI to submit this form and obtain APPROVAL PRIOR to the transfer. |
| IACUC Animal Research Forms | Forms used by IACUC. Must have UMass Amherst credentials to log in and view the folder. |
Animal Care Services (ACS)
| Name | Description |
|---|---|
| Animal Care Services (ACS) Policies and Guidelines | A folder containing the UMass Animal Care Services (ACS) policies and guidelines. Must have UMass Amherst credentials to log in and view the folder. |
| FORMS | |
| Animal Order Request Form | All live animal orders including aquatics, farm animals, etc. must use this form. |
| Animal Care Services Forms | Forms used by UMass Animal Care Services (ACS) (anesthesia, animal cage card template, euthanasia request). Must have UMass Amherst credentials to log in and view the folder. |
Compliance General
| Name | Description |
|---|---|
| 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 apply to all research and scholarly activities carried out at the university by university employees. |
| Travel Policy | This Board of Trustees (BOT) policy provides system-wide uniformity for addressing safety, security, and compliance during university travel. |
| UMass Travel Procedures | The UMass Travel & Expense Program is focused on providing resources for all university employee-related travel and expense needs. |
| 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) |
| 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 is not tolerated. This provides procedures for investigations of allegations of misconduct in research and scholarly activities. |
| Biohazardous Materials in Research and Instruction Requirements | Describes requirements to ensure that employees, students, and visitors follow safe practices when working with or near potentially biologically hazardous materials or recombinant DNA. |
| Data Use Agreements | Describes 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. |
| rDNA or Synthetic DNA Requirements | Requirements for review of research projects involving the use of rDNA or synthetic DNA. |
| Procedure for Dealing with Restrictions to Open Research | Procedure for dealing with restrictions to open research.
The purpose of this procedure is to provide instructions to faculty and staff involved in the request for a waiver to the policy on university research projects. |
Conflict of Interest
| Name | Description |
|---|---|
| Policy for Promoting Objectivity in Biomedical Research Amherst, Boston, Dartmouth & Lowell | This Board of Trustee (BOT) policy mandates that all investigators from the four campuses that are applying for funds from the NIH or other PHS agencies are obliged to comply with the requirements of the NIH FCOI policy. |
| Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures Amherst & Boston | This Board of Trustee (BOT) policy is pursuant to Massachusetts General Laws Ch. 75 - 14A, in the area of intellectual property and technology transfer. |
| Policy on Faculty Consulting and Outside Activities: Amherst & Boston | This Board of Trustees (BOT) policy is intended to further the mission of the university and to enrich the experiences of the faculty by facilitating outside activities for faculty within appropriate limits. |
| Policy on Malign Foreign Government Talent Recruitment Programs | This Board of Trustees (BOT) policy prohibits individuals receiving federal funding from participating in Malign Foreign Talent Recruitment Programs as defined in the Creating Helpful Incentives to Produce Semiconductors (“CHIPS”) and Science Act of 2022. |
| UMass Amherst Policy for Compliance with NSF Financial Conflict of Interest Disclosure Regulations | This document has been developed by the University of Massachusetts Amherst and complies with specific NSF requirements laid out in NSF Proposal & Award Policies & Procedures Guide (PAPPG). |
| 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. |
Export Controls
| Name | Description |
|---|---|
| Export Control Policy | This UMass Campus Policy reintroduces campus export control policies and procedures and provides basic information about export controls and resources available to help comply with them. |
| Export Control & International Trade Compliance Program Guidelines | These guidelines outline procedures for members of the UMass Amherst community to follow to ensure compliance with all export control laws and regulations. |
Kuali Training Guides
Kuali Research Training Guides can be found here.
Federal Research Policies & Regulations
Policies in Review - see here
Topics