UMass Boston

The University of Massachusetts Boston is dedicated to supporting its researchers and values international collaboration. The resources on this page are designed to help our researchers navigate research security risks and protect university, state, and federal equities.

All faculty members, including research staff and students involved in federally funded research are required to complete the Research Security Combined Training. The training is available through the CITI Program (Research Security Modules) and can be accessed online.

Please prioritize completing the training as it is essential for maintaining campus eligibility for federal research funding and ensuring compliance with federal regulations.

It is the Policy of the University of Massachusetts to comply with NSF, NIH, DoD, DoE and any other agencies’ or federal departments’ MFTRP requirements. Therefore, in accordance with federal research sponsor requirements (Section 10638(4)(a)(i-ix) of the CHIPS and Science Act of 2022), Covered Individuals who engage in federally funded research are prohibited from participating in MFTRPs.

The U.S. Government and federal sponsors have raised significant concerns with foreign talent recruitment programs and malign foreign talent recruitment programs. These programs can lead to conflicts of interest or commitment, the inappropriate transfer of federally-funded research to foreign governments, violation of export control laws, and theft of intellectual property. Any country can sponsor a foreign talent recruitment program, the U.S. Government is particularly concerned with programs affiliated with China, North Korea, Russia, and Iran.

See Malign Foreign Government and Talent Recruitment Programs in the Compliance section of the Forms, Policies & Processes page of the ORSP Website.

Foreign Country of Concern. A “Foreign Country of Concern” means the Burma, People’s Republic of China, Cuba, Eritrea, Iran, the Democratic People’s Republic of Korea, Nicaragua, Pakistan, Russia, Saudi Arabia, Tajikistan, and Turkmenistan, or any other country deemed to be a country of concern as determined by the Secretary of State.

Faculty and key personnel must disclose their Outside Activities and/or Significant Financial Interests in outside organizations that relate to their university responsibilities on an annual basis by submitting the Kuali Disclosure Form. In addition, an updated Disclosure Form must be submitted within 30 days of any significant change in outside interests or Significant Financial Interests.

Log into the Kuali System

In alignment with NIH Notice NOT-OD-25-133, UMass Boston requires all Senior/Key Personnel on NIH-funded projects to complete training and remain compliant with Other Support disclosure requirements. These steps ensure transparency, protect research integrity, and safeguard public trust in federally funded research.

What Counts as “Other Support”

“Other Support” includes more than just direct grants. Personnel must disclose:

• Active and pending research support (federal, non-federal, foreign, or domestic).

• In-kind contributions such as lab space, data, equipment, or personnel.

• Foreign or domestic affiliations, including unpaid or honorary appointments.

• Projects/funding not administered through UMass Boston.

All changes to previously submitted Other Support must be updated within 30 days.

Complete and accurate disclosures of all outside activities (paid and unpaid), in-kind and other support, and foreign travel are of the utmost importance. Log into the Kuali System to complete disclosures

Required Training

All investigators are required to complete COI training. The training must be completed: prior to engaging in research related to any funded research, and at least every four years thereafter; when an Investigator is new to the University; and when an Investigator is not in compliance with the COI Policy. UMass Boston Investigators should complete the CITI COI Training to comply with this requirement.

Most University Travel requires prior approval, also known as pre-travel authorization. University Travelers must submit a request to travel in Concur for all overnight, out-of-state, and international University Travel. Approval must must be obtained by the Traveler prior to booking travel.

All international travel will require Export Control review. Any travel to High-Risk Destinations will be subject to High Risk Review by the High Risk Travel Review Committee. All approvals are facilitated through Concur.

A High-Risk Destination is any domestic or international country, region, province or city designated by the Systemwide Travel Risk Management Advisory Committee (TARMAC) or a campus as posing substantive health, safety, security risk to a University Traveler and/or the University. High-Risk Destinations are inclusive of comprehensively sanctioned countries. For the most up-to-date list of High-Risk Destinations, visit the Pre-Travel Authorization page under the "Requirements for Travel to High-Risk or Elevated Cybersecurity Risk Destinations" section. A copy of the list is also available here.

Data Security for Research Collected Abroad

When research is being conducted outside of the United States, special care should be taken with the methods being used to collect, transmit, and/or store that data. The following guidelines will help reduce the risk to that data:

Make sure any devices being used are fully patched and up to date. Data should be transmitted and stored in university approved services hosted in the United

States, such as OneDrive. If data must be stored locally, make sure it is done so on an encrypted device (unless otherwise prohibited). Keep devices that are being used for research collection, transmittal, or storage physically secure and, ideally, in your possession at all times.

Working with citizens of Cuba, Iran, Syria or North Korea?

These countries are designated by the U.S. Department of State as “State Sponsors of Terrorism.“ You may need special permission from the U.S. government before working with their citizens.

Collaborating with companies located or primarily owned by China, Russia, Venezuela?

An export declaration is required when shipping most items to these countries.

Shipping Materials Outside the U.S.?

Contact the office of Research & Sponsored Programs.  They are there to ensure your research endeavors are protected, and to help prevent unintended breaches of U.S. export laws that could result in fines and other punitive actions.

Questions? Contact Tracey Poston, PhD, Associate Director of Research Compliance & Integrity

UMass Boston supports visiting research scholars.

Mandatory Cybersecurity Awareness Training for All Staff and Faculty

IT Research Computing

The Information Technology Research Computing group provides and brokers specialized resources in support of research activities.

Services include high performance computing, storage, and analytical applications. Consultation is available for any IT related research needs, including data security, risk mitigation, and equipment specification.

IT Research Computing
Healey Library, Lower Level
UMass Boston
100 Morrissey Blvd.
Boston, MA 02125

Book a Consultation
617.287.5399
It-rc@umb.edu

Additional Links to Resources

• Training on new NSF disclosure requirements
• Department of Defense, Academic Research Security
• Office of Director of National Intelligence, Research Security
• NSF Research Security
• NIH Foreign Interference
• NIH Foreign Interference Case Studies
• NIH Foreign Disclosure and Risk Management for SBIT and STTR, pursuant to the SBIR and STTR Extension Act of 2022

Export controls and trade sanctions are the United States laws and regulations that control and restrict the release of critical technologies, software, equipment, chemical, biological materials, and other materials, and services to foreign nationals and foreign countries for reasons of foreign policy and national security.

These laws apply to virtually all fields of science and engineering. They restrict the shipment, transmission, or transfer of certain commodities, software, technology, and services from the U.S. to foreign countries. Deemed exports, i.e. the release of controlled information to foreign nationals located in the U.S., are also restricted under these laws and regulations. Export control laws apply to all activities—not just sponsored research projects.

For projects that include the use of export-controlled information, the projects fall under the Commerce Department's Export Administration Regulations (EAR), the State Department's International Traffic in Arms Regulations (ITAR), and The Office of Foreign Assets Control.

The Principal Investigator has the Following Responsibilities Related to Export Controls

Prior to commencing any research, the PI (Principal Investigator) must review and cooperate with ORSP to determine whether any technical information or technology involved in the research is subject to the export control law or regulations and, if so, whether any exclusion is available under the export control regulations.

The PI must in cooperation with the ORSP re-evaluate that determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination. The PI must ensure that export determinations are made far enough in advance to obtain an export license from appropriate agencies when required and if available. The PI must ensure that foreign nationals are excluded from access to restricted data or technology until the availability of an exclusion has been determined, or an export license has been obtained.

The University will assist the PI in assessing the application of such regulations, but primary compliance responsibility rests with the PI of the research. A project subject to export controls must have a Technology Control Plan (TPC) in place that outlines the procedures to be taken to handle and safeguard the Export-Controlled Information. It is the responsibility of the PI to develop a written TCP, which then must be approved and signed by the UMass Boston Vice Provost for Research.

Education and Training

One of the primary elements of an Effective Export Control Compliance Program is Education and Training. At UMass Boston we provide different methods of delivering Export Control basic and more advanced training to our community members who work in roles impacted by export control regulations. The Assistant Director of Research of Research Compliance & Integrity is available to conduct live and virtual customized training sessions for your department or unit upon request or as otherwise needed. Please contact us to coordinate programs that satisfy your particular information and training needs.

CITI Export Control Basic Training Modules

UMass Boston University subscribes to CITI Export Control Compliance as an educational offering to our community. These educational sessions help to assist faculty, staff and students understand the concepts of export controls for varying business activities. CITI Export Control modules-based instruction ranges from the basic modules (Introductory course and general overview) to multiple subject-specific modules.

• US Department of Commerce Bureau of Industry and Security Training Room - A series of short videos (2 - 10 minutes), training modules (6 - 22 minutes), and webinars (15+ minutes) on topics relevant to export control.

Questions

Contact Tracey Poston, PhD, Associate Director of Research Compliance & Integrity

Related Policies

See Export Control in the Compliance section of the Forms, Policies & Processes page of the Research & Sponsored Programs Website.

The UMass Boston Scientific Diving program serves researchers in all departments who use SCUBA to conduct part of their research program. Individuals may become UMass Boston scientific divers by taking either USEA 106 or receiving equivalent training (e.g., AAUS) from another institution.

Our mission is to ensure that sanctioned research diving conducted by UMass Boston is done as safely as possible. We want UMass Boston divers to get solid data and work as safe integrated research teams adhering to best practices.

Diving activity at UMass Boston is regulated by our Dive Safety Board composed of a majority of active UMass Boston divers The DSB works with a university Dive Safety Officer to make sure all research is in compliance uwith our Dive Safety Manual and best practices for research diving.

For more information about research diving at UMass Boston, please contact our DSO, Ted Maney or the Chair of our Dive Safety Board, Jarrett Byrnes.

Manual and Forms for New Activities

• Diving Manual
• Dive History and Authorization Form
• Medical Exam Overview for Physician
• Guidelines for Scientific Diving and Covid-19
• Dive Safety Manual: Medical Standards
• Diving: Equipment History
• Medical Evaluation of Fitness for Scuba Diving Report Release Form
• Personal Diving History
• Fieldwork and Boating: Assumption of Risk, Waiver and Release Form
• Diving: Assumption of Risk, Waiver and Release

Daily Forms for Active Divers

• Daily Dive Plan Form
• Dive Log Form
• Diving Research Project Planner

Web Forms to Maintain Diver Information

• Diver Emergency Contact Info Form
• Diver Verification of Training Form
• Diver Accounting Form

Training

• USEA 104 - Open Water SCUBA
• USEA 106 - Underwater Research Methods Using SCUBA

Personnel

• Ted Maney, Dive Safety Officer
• Jarrett Byrnes, Department of Biology, Chair Dive Safety Board
• Bryan Legare, School for the Environment, Dive Safety Board Member

UMass Procedure to meet NSF Safe and Inclusive Working Environments for Off-Campus or Off-Site Research Requirements

Summary

This document details new National Science Foundation (NSF) requirements related to "off-site" and "off-campus" research. The Office of Research and Sponsored Programs (ORSP) is now required to certify that a plan is in place to address safe and inclusive working environments at the time a proposal is submitted. This will be accomplished by agreeing to a series of attestations which will be uploaded to the Kuali Research proposal record.

Effective Date: January 30, 2023

Overview

It is NSF policy to foster safe and harassment-free environments wherever science is conducted. NSF’s policy recognizes that a community effort is essential to eliminate sexual and other forms of harassment in science and to build inclusive scientific climates where people can learn, grow, and thrive. Accordingly, for each proposal that proposes to conduct research off-campus or off-site, NSF requires the university, through the OPAS to certify that the organization has a plan in place for that proposal that describes how the following types of behavior will be addressed:

• Abuse of any person, including, but not limited to, harassment, stalking, bullying, or hazing of any kind, whether the behavior is carried out verbally, physically, electronically, or in written form; or
• Conduct that is unwelcome, offensive, indecent, obscene, or disorderly.

This plan must also identify steps the proposing organization will take to nurture an inclusive off-campus or off-site working environment, e.g., trainings; processes to establish shared team definitions of roles, responsibilities, and culture, e.g., codes of conduct; and field support, such as mentor/mentee support mechanisms, regular check-ins, and/or developmental events.

Communications within the team and to the organization should be considered in the plan, minimizing singular points within the communications pathway (e.g., a single person overseeing access to a single satellite phone), and any special circumstances such as the involvement of multiple organizations or the presence of third parties in the working environment should be taken into account. The process or method for making incident reports as well as how any reports received will be resolved should also be accounted for.

The organization’s plan for the proposal must be disseminated to individuals participating in the off-campus or off-site research prior to departure. Proposers should NOT submit the plan to NSF for review.

Contact Information

General Inquires - Research Compliance, tracey.poston@umb.edu

Title IX Incident Reporting

Use the NSF SIWE form available from within Kuali Proposal Development (PD)

Attestations for Faculty who are submitting a proposal with “off-site” or “off-campus” research

By submitting and approving this plan you are confirming to the best of your knowledge that all information is true and accurate and that you and your team are cognizant of UMass Policies and procedures related to the Title IX Education Amendment Act of 1972. View more information.

This document and other relevant documents will be disseminated and discussed with all participants prior to commencement of the proposed activity(s).

Code of Conduct

• Specify that abuse of any person, including, but not limited to, harassment, stalking, bullying, or hazing of any kind, whether the behavior is carried out verbally, physically, electronically, or in written form; and conduct that is unwelcome, offensive, indecent, obscene, or disorderly will not be tolerated by having all participants sign a field-specific code of conduct. In this code of conduct, provide examples of microaggressions, put-downs, and other subtle forms of hostile behavior, discrimination, and harassment, and then include them in the list of behaviors that will not be tolerated. More information found here.

Reporting

• Make all participants aware of the avenues for reporting incidents of harassment in the field through the institution.
• UMass Boston: Title IX Reporting Options

Office of Civil Rights and Title IX

Review Cultural History and Interaction with the Public

• If leaving the region, look into the culture, history, and current mindset of the location you are going to and discuss the potential for uneven distribution of risk with field participants. Research LGBTQ rights and laws in foreign countries, and if queer identity is deemed illegal in the country where fieldwork will take place, inform all members of the research party. Based on your findings, identify situations that may cause high risk for marginalized people, such as airports, asking for permission from landowners, and potential interactions with law enforcement.

Review Accessibility of Site Locations

• Assess the accessibility of your field sites and discuss aspects of travel and access that may present an issue for persons of differing abilities. When possible, adjust your field plan to ensure that participants of all abilities may be able to access the site and participate in the planned field activities. This includes thinking about bathroom and personal needs for all participants. Are your plans inclusive for group members who may need accommodations such as interpreting, captioning or audio descriptions? More information found here.

Communication and Physical Safety

• Ensure team training goes over all safety protocols when off-campus/off-site including health and safety, how to reach law enforcement, medical facilities, etc. Do not leave people alone in the field. If left alone, multiple forms of communication should be left with the solo individual (i.e., radio and cell phone, or cell phone and walkie-talkie). Share contact information of all group members. Through your team training, ensure each team member is aware to not participate or halt work that is unsafe without repercussions. Regularly check in with the team to see if members feel safe and included.

Working Conditions

• Field leaders should offer a timeline every day of how they expect fieldwork to go, with the clear expectation that plans and schedules may change. Field leaders should also be aware of participants' time constraints due to personal or professional reasons (e.g., child-care, religious constraints on activities) and reasonably accommodate schedules accordingly. Roles should be clearly defined and rotated to ensure all team members are participating equally and understand their daily responsibilities. Housekeeping and administrative responsibilities should be included in this task rotation. This rotation should also include packing for and unpacking from trips.

Accommodations

• Field leaders should assist to the best of their ability in securing individual housing/lodging options when requested for safety/comfort. Transportation will be provided for all participants to and from the field site. This includes covering transportation to and from the airport, and to and from the university if departing at unusual hours. Set reasonable work hours. This is different in every situation, but ensure people have enough time to recover from one day before moving into the next. First aid/medical training and kits should be provided by the university and should include basic trauma supplies (gauze, tape, EpiPen, etc.) and emergency gear (flares, water filtration, fire starter, etc.) as well as toilet paper/hand sanitizer and pads/tampons.

Controlled substances are any drugs or chemicals whose possession and use are regulated under the United States Controlled Substances Act (CSA). The U.S. Drug Enforcement Administration (DEA) administers the federal law. Controlled substances include anabolic steroids, chemicals used in the production or synthesis of controlled substances, and those with stimulant, depressant, or hallucinogenic effects on the central nervous system that can promote abuse or physiological/psychological dependence. Because of their potential for abuse, controlled substances have specific regulatory requirements for their acquisition, storage, use, and disposal.

The Vice Provost for Research has established this policy for the University of Massachusetts’s Boston oversight of research involving controlled substances. Due to the potential for diversion or abuse, controlled substances are subject to extensive regulation regarding their manufacture, distribution, procurement, storage, record keeping, transfer, and disposal. This policy applies to controlled substances as defined by the Controlled Substances Act of 1970.

Scope of UMass Boston Policy on Controlled Substances in Research and Education

The scope of this policy is limited to oversight for research and education involving the use of controlled substances. This includes controlled substances associated with animal research, controlled substances administered to human subjects as part of a research protocol, and in vitro or analytical research with controlled substances.

Investigator and Associated Personnel Roles and Responsibilities

It is the responsibility of investigators and associated personnel who utilize controlled substances in a research or education setting to familiarize themselves with and comply with the regulations (see “Federal and State Regulations” below), and with all UMass Boston requirements pertaining to controlled substances. This includes the responsibility to:

**Obtain a State of Massachusetts (SOM) license and a Drug Enforcement Administration (DEA) registration specifying the address for secure storage of the controlled substances to be used for research.

The University of Massachusetts Boston requires that, for the conduct of research activity with controlled substances, a person with a UMass Boston faculty appointment be the one to obtain a SOM Research License and DEA Research Registration for the procurement, storage, and administration of controlled substances in their laboratory or other research location. An investigator cannot provide controlled substances to another individual UNLESS they are collaborating on the same study and are co-listed on the same protocol that governs the work the controlled substances are used for. Exceptions to these requirements will be considered on a case-by-case basis.

Investigator Responsibilities

• Register with the UMass Boston Controlled Substances Monitoring Program and provide timely updates following any SOM controlled substance license and DEA registration renewal or change.
• Procure all controlled substances in a manner that complies with Federal and State regulations and UMass Boston policies.
• Store all controlled substances at a secure location matching the address listed on the State of Massachusetts license and DEA registration.
• Restrict access to controlled substances to a limited number of authorized personnel and maintain an authorized personnel log.
• Securely maintain all records, including procurement (e.g., ordering and purchasing), formulating/reconstituting, inventory, usage/administration, and disposal records in provided controlled substance logbooks.
• Properly dispose of controlled substances in an accountable manner that renders them irretrievable when they are no longer required for research, at their expiration, at project end, before decommissioning of laboratory, and before termination of the controlled substance license/registration.
• Keep State of Massachusetts licenses and DEA registrations up-to-date, including prior notification (and approval) of changes of address.
• Employees are required to report immediately (upon discovery) to the UMass Boston Controlled Substance Monitors any of the following events:
  • All unresolved discrepancies in inventory relating to controlled substances;
  • Possible significant loss or theft/diversion of controlled substances;
  • Improper removal of controlled substances from UMass Boston premises;
  • Any signs that a controlled substance may have been interfered with or tampered with (such as broken, empty or cracked containers, broken seals, or lack of efficacy*).
  • Signs that a co-worker may be impaired due to self-administration of controlled substances;
  • Discovery of misplaced or unsecured controlled substances; and
  • Any other situations where policies and procedures relating to controlled substances may not have been followed.
• Any theft or significant loss of unknown origin must be reported immediately to all of the following entities, in the order listed:
  • UMass Boston Department of Public Safety and Security;
  • UMass Boston Controlled Substance Monitors
  • U.S. Drug Enforcement Administration (this reporting is to be facilitated by the UMass Boston Controlled Substance Monitor).
  • The administrator of the Massachusetts Department of Licensing and Regulatory Affairs, (this reporting is to be facilitated by the UMass Boston Controlled Substance Monitor).

Schedules of Controlled Substances

The drugs and substances covered under the Controlled Substance Act are organized into five schedules:

Schedule I: No accepted medical use.

• Schedule I compounds are classified as illicit drugs along with their chemical precursors.
• The DEA requires a Schedule I registration application for use of these substances.

Schedules II-V: Accepted medical uses.

• Schedule II substances have a high potential for abuse with severe psychological or physical dependence.
• Schedule III-V substances have a lower potential for abuse than substances in Schedules I or II.
• The DEA requires a Schedule II-V registration application for use of these substances.

Federal and State Regulations Resources

U.S. Department of Justice – Drug Enforcement Administration (DEA)

• Title 21 United States Code (USC) Controlled Substance Act (CSA)
• Title 21 Code of Federal Regulations, Part 1300-1399

State of Massachusetts

• Chapter 94C: Controlled Substances Act
• State of Massachusetts – Registration

UMass Boston expects all research will be performed with the highest safety standards to guarantee the safety of the public and state employees. The Institutional Biosafety Committee (IBC) is charged with ensuring that research is performed in a safe environment and in accordance with guidelines circulated by the National Institutes of Health. The IBC's purpose is to protect the health of researchers and the community by assuring that biological research is conducted in compliance with federal and state laws.

The IBC will review all research conducted at UMass Boston which involves recombinant DNA, infectious, or bio-hazardous agents. The IBC goals are to minimize the health risk of those who are involved in research using biohazardous materials; minimize the risk to the university and environment; and meet regulatory requirements.

Research & Sponsored Programs is responsible for assisting the IBC in implementing university workplace Environment, Health, and Safety policies that comply with applicable federal, state, and local regulations and guidelines.

All research (funded or non funded) that involves any biosafety level is required to apply to the IBC for review and approval. Questions may be directed to the IBC administrator. 

In accordance with NIH guidelines, the minutes of the UMass Boston Institutional Biosafety Committee (IBC) meetings are publicly available and can be accessed here. 

Meeting Minutes:

Related Links

Institutional Biosafety Committee

Institutional Biosafety Guidance