FAQ: Research
Please note that the term “research” is often used to describe all sponsored projects described in the federal Uniform Guidance or Federal Acquisition Regulations1. The Office of Research Administration (ORA) is the appropriate UMD unit to handle all agreements relating to sponsored projects.
1. Where can I get assistance in developing a proposal for research funding?
Contact your college/departmental business office (if applicable) and review the Office of Research Administration’s Proposal Development Quick Reference Guide.
2. Who is responsible for the content of my proposal?
The Principal Investigator (PI) is ultimately responsible for the proposal, including certifying that a proposal is accurate and complete. UMD relies on PI certifications in order to make its own certifications to the sponsor. Where the sponsor is the U.S. federal government, inaccurate and/or false certifications can result in serious penalties to UMD and/or the individual PI.
PIs should not assume that their departmental research administrators or Office of Research Administration personnel have access to information required to complete biographical sketches or statements of current and pending support; PIs, Co-Investigators (Co-Is), and other key personnel are responsible for these portions of the proposal, in addition to the technical/scientific portions of the proposal. PIs are responsible for reviewing the entire proposal for accuracy and completeness before routing the proposal via Kuali Research to the Office of Research Administration.
3. Who is responsible for the conduct and administration of my research award?
The PI is ultimately responsible for the conduct of the research award. Departmental administrators, the Office of Research Administration, Sponsored Programs Accounting and Compliance (SPAC), and various research compliance offices assist with administering the award in compliance with award terms and conditions, USM and UMD policies, and federal and state laws and regulations.
4. Who should I contact to help me address issues involving copyright, authorship, or other publication issues?
See the University Libraries’ Copyright Guide, specifically please see the materials under “Author Rights” or contact the Office of General Counsel. For information about open access, please visit the University Libraries’ Open Scholarship Services website.
5. My department or research center wants to publish a book, proceedings of a conference it held or other scholarly publications developed by the department. What should I do?
Contact the Office of the Associate Dean for Collection Strategies and Services of University Libraries. This office has been designated as the copyright and publishing agreement clearinghouse for publications produced by campus departments, programs, or research centers under the auspices of the University of Maryland and as the authorized signatory for publishing agreements made on behalf of the University. E-mail questions and contracts to lib-upubcopyright@umd.edu.
6. I developed an invention during the course of my research. What should I do?
Submit an invention disclosure to UM Ventures College Park and review its online resources “For Inventors.”
7. I am thinking about forming a startup company. What campus resources are available to assist me?
Consult the UM Ventures Startup Support website, the Innovation and Entrepreneurship page on the Division of Research website, and UMD’s Innovation Gateway. Before creating a startup company, please review UMD Policy II-3.10(A), Policy on Conflict of Interest and Conflict of Commitment and the associated Procedures and obtain approval from your unit head.
If the work is unrelated to research and development, performing this work for a startup company (or any other external entity) may require approval by the State Ethics Commission as secondary employment. Please contact the Office of General Counsel for additional information.
8. I am thinking about performing consulting work outside of my UMD duties. What do I need to know?
The University System of Maryland requires that all USM institutions have a consulting policy. UMD has interim Policy II-3.10(E), Policy on Consulting. Consulting must be approved in advance by your unit head; if related to research, consulting may constitute a conflict of interest that must be disclosed pursuant to UMD Policy II-3.10(A), Policy on Conflict of Interest and Conflict of Commitment and the associated Procedures. Please see the Consulting Policy FAQs and/or contact the Office of Research Transparency and Outreach for more information.
Please note that consulting activities must be disclosed as part of any statement of current and pending support on research proposals. Consulting may also require approval by the State Ethics Commission as secondary employment.
9. I am thinking about forming a 501(c)(3) organization. What campus resources are available to assist me?
Before taking any steps to create a 501(c)(3), consider why you believe it is necessary to create a separate non-profit organization. The University System of Maryland Foundation and the University of Maryland College Park Foundation both accept charitable donations on behalf of UMD. If you plan to use UMD personnel or resources for your 501(c)(3), it must be affiliated with UMD per USM Policy IX-2.00, Policy on Affiliated Foundations, which requires approval from the UMD President, or USM Policy VIII-13.00, Policy on Business Entities, which requires approval from the UMD President and from USM. Academic units that wish to create a 501(c)(3) should first obtain approval from the applicable dean and the Provost’s Office. Keep in mind that 501(c)(3)s are separate legal entities that require their own administrative structure (e.g., payroll, benefits, insurance, HR, legal, policy); the 501(c)(3) will not have access to UMD’s resources for these administrative requirements.
10. What guidelines and support exist for research involving animals?
Review the policies related to animal research and contact the Institutional Animal Care and Use Committee (IACUC) and/or the Department of Laboratory Animal Resources (DLAR) for assistance.
11. I received an agreement directly from the sponsor of my research or other sponsored activity. What should I do?
All agreements related to sponsored projects (including research, services, and other sponsored activities) and all federal government contracts (even if not for research) must be routed to the Office of Research Administration (ORA) for review and execution using Kuali Research or another appropriate routing form. Contact your college business officer or departmental administrator the ORA Contract Administrator assigned to your school or college.
12. I received a research-related gift directly from a donor. What should I do?
All research-related gifts must be routed for review using the Kuali Build Gift Routing Form. Research-related gifts include funding and other resources, including but not limited to equipment, materials, software, and other forms of support.
13. What guidelines and support exist for research involving human subjects?
Review the applicable USM Policy IV-2.10, Policy on Human Subjects of Research and the Institutional Review Board (IRB) website for resources, forms, and assistance.
14. What office should I contact for assistance with laboratory/ research safety?
The Office of Research Safety in the Department of Environmental Safety, Sustainability, and Risk (ESSR) provides assistance and advice on biological safety, radiation safety, general lab and chemical safety, scientific diving and boating safety, field research safety, safety equipment and personal protective equipment. You may also email questions to labsafety@umd.edu. Additionally, all laboratories, machine shops, and makerspaces are required to register in BioRAFT, a platform for central management of research safety.
15. When do I need to know about export controls?
Export control laws and regulations are constantly evolving! If you are (1) working with quantum technology, semiconductor chips, or “dual use” technologies (which have both civilian and military applications); (2) are sending, transporting, or otherwise sharing research materials or equipment overseas, or sharing or receiving export controlled or third party proprietary technical information with non-U.S. citizens (even here on campus*); (3) traveling outside the US with laptops or other equipment; and/or (4) wish to collaborate with or travel to countries under sanction, you should contact the Export Compliance Office and review its website.
* Discussing or otherwise sharing export-controlled information with a non-U.S. citizen is considered a “deemed export,” even when the discussion occurs within the U.S.
16. What should I do if I encounter possible research misconduct?
Review the Research and Scholarly Misconduct page on the Faculty Affairs website and UMD Policy III-1.10(A), Policy and Procedures Concerning Scholarly Misconduct.
17. May I use UMD resources (e.g., my office, laboratory equipment, GAs or RAs) in performing work for my private company?
If you want to use UMD facilities for your startup or any other private purpose, you must first receive approval from your Department Chair and Dean, and execute a facility use license agreement with UMD in accordance with the UMD Policy VIII-14.00(A), Policy on the Use of University Facilities by External Users for Research-Related Activities. In connection with your application for a license, you will need to demonstrate compliance with UMD Policy II-3.10(A), Policy on Conflict of Interest and Conflict of Commitment and the associated Procedures. For assistance with starting the Facilities Use Application process, please contact your Department Chair or the Dean of your College.
You may not use UMD students to perform work for your company or for a company in which you have a financial interest. Please contact your unit head and the COI Office for additional information on the use of UMD resources by private companies and other eternal entities.
18. How may I host a U.S. or international student or researcher in my lab for an extended period of time?
If the visitor is a US citizen, your department must issue an offer letter (under Non-Paid Appointments, click on Domestic Visitors at the bottom of page) to the visitor and his or her employer to serve as a non-paid visiting researcher. If the person is an international student or researcher, you must submit a foreign visit request to the Export Compliance Office before the offer letter may be issued. The Faculty Affairs Office describes the screening approval and offer letter process here.
19. Is there anything else I need to know about foreign collaborations or using foreign equipment in the course of my research?
The federal government is focusing on potential foreign influence in university research. National Security Presidential Memorandum-33 establishes new research security requirements, including risk-based security reviews. Please visit the Office of Research Transparency & Outreach for more information.
Federal funding agencies are closely reviewing all statements of current and pending support for both foreign and domestic activities. Please be sure you have fully and accurately captured all sources of support (current and pending, including outside consulting) on your proposals to the federal government. ORA maintains a website with information on federal agency disclosure requirements and a website with information on current and pending support.
Pursuant to Section 117 of the Higher Education Act of 1965, UMD is required to submit reports on foreign grants, gifts, and contracts. Before working with foreign organizations or foreign collaborators, please ensure that the Office of Research Administration and/or the Office of the Provost and the Export Compliance Office are aware and have approved the arrangement.
Additionally, Section 889 of the 2019 National Defense Authorization Act prohibits the federal government and its contractors, grantees, and loan recipients from procuring or using certain “covered telecommunication equipment or services” that are produced by Huawei Technologies Company, ZTE Corporation, Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). This prohibition extends to equipment that contains components manufactured by the listed companies, sometimes called Original Equipment Manufacturer (OEM); as an example, a Panasonic-brand camera that includes Hikvision parts is considered to be covered telecommunication equipment. You are not permitted to use delegated procurement authority to procure any items from these companies or their subsidiaries; instead, please contact Procurement and Business Services.
20. I am using personally-identifiable health information (PHI) in my research. Does the Health Insurance Portability and Accountability Act of 1996 (HIPAA) apply to me and, if it does, do I need a Business Associate Agreement?
HIPAA typically applies to universities or their units only when they are offering health services to non-students and engaging in HIPAA-covered electronic transactions (e.g., invoicing and/or accepting insurance for those services). As a result, even if you use PHI in your research, it is very unlikely that HIPAA will apply or that you will need a Business Associate Agreement; in fact, Business Associate Agreements do not permit the use of PHI for research. It is likely that you will instead need an Institutional Review Board (IRB) Waiver of Authorization and a data use agreement (DUA); the DUA will be handled by the Office of Research Administration. Please review the HIPAA Decision Tree and contact the Office of General Counsel for more information. Keep in mind that you may need to comply with IRB protocols; contact the IRB.
21. What should I do If I suspect that a University employee or contractor is engaged in improper, unethical, or illegal conduct related to their research awards?
The University complies with the federal government’s Whistleblower Protection Program, as well as with State of Maryland and University System of Maryland requirements. Please see the Division of Research’s Whistleblower Protections website for more information, including how to submit an anonymous report.
22. I have a research-related compliance concern not listed here. What should I do?
Please see the Business & Contractual Relationships section or the Division of Research’s Quick Links, or contact the Office of Research Compliance.
1. Sponsored projects include sponsored research (i.e., all research and development activities sponsored by federal or non-federal entities), sponsored instruction and training (i.e., instructional or training activities established by a grant, contract, or cooperative agreement), and other sponsored activities (i.e., programs and projects, other than instruction and research, funded by federal or non-federal entities). See 2 CFR 200 App. III.