Forms, Policies & Procedures

Here you will find a repository of forms, policies and procedures related to research at the University of Delaware. This repository draws on sources throughout campus to provide quick and easy access to these resources in a variety of formats, such as html, MSWord and Adobe PDF. We encourage you to explore and use the tools provided to narrow your search by word, resource type or category in order to learn more about the content that governs research at UD.
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Animal Subjects in Research

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
Internal Funding
Material Transfer
Reporting Misconduct
Research Administration
Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (212 Entries)
Policy: Contracts and Grant Management
3-Business-Day Internal Proposal Deadline Policy
Policy

3-Business-Day Internal Proposal Deadline Policy

  1. SCOPE OF POLICY

    This policy addresses the internal deadline set forth for proposal review and submission by the Research Office, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware (UD).

    UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor.

    Currently, the Research Office processes over 1,700 proposals per year at UD, and of that number, between 600 and 700 proposals typically are funded by a wide range of sponsoring agencies. Successful proposals account for an influx of more than $145 million in research expenditures each year.

    Depending on the funding agency and program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small proposal to more than a thousand pages for large, multi-institutional efforts. The Research Office conducts a thorough review of proposals prior to submission to increase their funding success rate. Due to the large volume of proposals submitted, the 3-Business-Day Internal Proposal Deadline Policy has been established to facilitate this review and ensure a smooth and successful proposal submission process at UD.

  2. DEFINITIONS
    1. Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
    2. Proposal – A formal application by UD to participate in an externally-sponsored project, made in response to a funding opportunity.
    3. Sponsor or Sponsoring Agency – A external entity responsible for providing project funding if UD’s proposal is accepted and an official award agreement is subsequently executed.
    4. Proposal Review and Submission – The process by which a proposal is formally reviewed by UD and submitted to an external sponsoring agency.
    5. Internal Proposal Deadline – The deadline by which proposals must be provided to the Research Office for full review prior to the sponsor proposal deadline.
    6. Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
    7. Sponsor or Sponsoring Agency Proposal Deadline – The deadline by which a UD proposal must be submitted to an external sponsoring agency for review and consideration, typically outlined via the funding opportunity.
  3. POLICY STATEMENT
    The Research Office is committed to facilitating the submission of proposals of the highest quality to increase the probability of research funding success at UD. The 3-Business-Day Internal Proposal Deadline Policy allows the Research Office to conduct a meaningful review of the final proposal package prior to submission. This includes a thorough review for compliance with sponsor and UD rules and regulations, while allowing time for principal investigators and their administrators to finalize the scientific content.
  4. POLICY STANDARDS AND PROCEDURES
    1. Internal Deadlines for Proposal Submission
      1. UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor. Recognizing that the proposal’s technical content requires maximum time to develop, the Research Office accepts proposal packages for review excluding the final technical component/narrative. This allows the proposal package to be prepared and readied for submission while the technical content is finalized. Final technical content must be provided to the Research Office by 8:00am on the day of the agency deadline to ensure all formatting requirements are met and potential submission issues are avoided.
      2. Submitting departments, units, and schools may have their own review timeline that is outside the scope of the Research Office deadline. Both the Research Office and the Principal Investigator’s submitting department/unit need adequate time to review and approve proposal submissions. Proactive coordination is important to ensure all complexities are understood and addressed well in advance of the sponsor deadline, especially for complex awards.
    2. Proposal Packages
      1. Proposal packages must contain all elements listed below for review by the Research Office. If any of the elements below are missing, the proposal will be considered incomplete, and will be returned to the Principal Investigator:
        1. Program Solicitation
        2. Fully-Approved Proposal Webform
        3. Statement of Work (SOW) and/or Abstract.
          1. Final Science/Technical content may be omitted until 8:00am on the agency deadline.
        4. Detailed Budget
        5. Budget Justification
        6. Subaward Documents (SOW, Budget, Budget Justification, etc.)
        7. Up-to-Date Conflict of Interest Disclosure (per the COI Policy)
        8. Other Components (per Sponsor and UD requirements)
    3. Proposal Review and Submission
      1. Proposals received prior to the 3-Business-Day deadline will take precedence over those received after the internal deadline. After all proposals received on-time have been processed and submitted, the Research Office will review and submit, to the best of its ability, all other proposals.
      2. The Research Office follows a “staggered” review process wherein the date a proposal is received dictates the level of review provided per below:
        1. Full Review if received at least 3 business days prior to the sponsor deadline.
        2. Limited Review if received 2 business days prior to the sponsor deadline.
        3. Minimal Review if received 1 business day prior to the sponsor deadline.

           

          Full Review
          ≥3 Business Days

          Limited Review
          2 Business Days

          Minimal Review
          ≤1 Business Day

          PI Eligibility

          Fully-Approved Proposal Webform

          UD, Federal, and State Compliances

          Sponsor Guidelines, Terms, and Conditions

           

          Consultation with Other UD Administrative Offices

           

          Proposal Details

           

           

          Other Management Plans

           

           

           

      3. Proposals received after the 3-Business-Day internal deadline will be submitted to external sponsors with “Minimal” or “Limited” review per above. Any proposal submitted without “Full” review is subject to the following:
        1. If any grave errors are found (i.e. budget and/or compliance) upon full review post-submission, the application will be withdrawn by the Research Office.
        2. The submitting department/unit agrees to assume responsibility for any budget errors/omissions made in the proposal.
        3. The submitting department/unit acknowledges that proposals may contain terms and conditions that may be non-negotiable and, if not resolved, may require UD to decline an award.
      4. Proposals submitted with insufficient review present a greater risk of being rejected/invalidated from the sponsor and/or becoming subject to various adverse scenarios such as:
        1. Risk of proposal rejection due to non-compliance with sponsor guidelines
        2. Risk of proposal rejection due to electronic system failure
        3. Risk of department/unit incurring financial burden due to budget errors or omissions
        4. Risk of UD withdrawal of proposal post-submission or UD rejection of the award

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: January 3, 2007

REVISION DATE(S):

9/16/2019

Policy Source Open Policy



Policy: Safety
Abandoned, Found, Removed, or Unclaimed Property
Policy

Abandoned, Found, Removed, or Unclaimed Property

  1. PURPOSE
    To establish a uniform and consistent policy for the retention, accounting, and disposition of abandoned, found, removed, or unclaimed property.
  2. POLICY
    A University employee finding, coming into possession of, or removing abandoned, lost, or unclaimed property shall forward these item(s) either to the Department of Public Safety or an appropriate authority* within or nearest the facility in which the item was located.

    Any person or office designated as a deposit point for such items shall maintain a log containing a description of the property, date and location found, name and address of the finder, and disposition of the item(s).

    Any property deposited with an appropriate authority which is not claimed or returned to the rightful owner within 10 days of the receipt shall be forwarded to the Department of Public Safety.

    Property can be returned or released to a rightful owner if that person can reasonably demonstrate ownership.** Claimants shall provide identification and be required to sign for the item.

    Property which has been found and turned in by a finder who is not an employee or agent of the University may be returned to the finder by the Department of Public Safety after all reasonable efforts to locate the rightful owner have been exhausted.

    In cases where an employee or agent of the University is the finder, the property will be disposed of in accordance with established Public safety departmental procedures.

    Theft of lost or mislaid property occurs when a person exercises control over the property of another which is known to be lost, mislaid, or misdelivered without taking reasonable measures to return the property to its owner, and is a criminal offense.

    * An appropriate authority is a designated person or office location where this type of property is normally deposited and maintained.

    **Any questions, concerns, or disputes in determining rightful ownership should be immediately referred to the Department of Public Safety.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-33

ORIGINATION DATE: October 11, 1988

REVISION DATE(S):

1-Mar-96

Policy Source Open Policy



Form: Material Transfer, Research Agreement Templates
About Material Transfer Agreements
Form

About Material Transfer Agreements

A material transfer agreement (MTA) is used to manage and record the transport of research material from one party to another, and is required for both incoming and outgoing materials. The attached form(s) are used to facilitate these transfers. For more information regarding intellectual property and research, please refer to the Regulatory Affairs page, or for additional questions, please contact Regulatory Affairs at 302-831-2136.

The MTA establishes which party is the provider and receiver of materials, the extent of the provider’s ownership and the receiver’s usage, compliance with the individual terms and conditions on use of materials, and also protects the intellectual property interests of both the provider and receiver.   The UD Research Office handles both incoming MTAs, where the University is receiving research materials from other entities, as well as outgoing MTAs, where researchers are sharing UD materials with an outside entity.  To request an MTA, please complete the Material Transfer Agreement Webform below.  In addition to information related to the transfer, the form requires that the requestor attach a completed MTA draft:

  • For incoming materials, attach the agreement template given to you by the provider institution. If no agreement was provided to you by the outside party, complete the Incoming MTA form provided in the forms below.
  • For Outgoing materials complete and attach the Uniform Biological Material Transfer Agreement (UBMTA)for biological materials or MTA template for non-biological materials, or as an alternative to the UBMTA if desired.

The system will automatically populate the routing sequence for each request, however, the requestor may include additional approvers who should review/approve the transfer request.  The Research Office will review the template, and secure appropriate approvals for final execution of the MTA.  The Research Office will notify the requestor once all approvals have been met, and the agreement has been fully-signed.  Note that materials cannot be sent or received until the MTA has been fully-signed.

Form: Contracts and Grant Management
Account Closeout Checklist
Form

Account Closeout Checklist

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

The account closeout checklist is to be used for Contracts and Management. It includes technical reporting, cost share/match, after-end-date charges, over expenditures, unallowable charges, outstanding transactions, equipment inventory, subcontracts, salary JV’s, F&A, potential inventions or other intellectual properties, purpose and project, final expenditure total, labor allocations module.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: October 14, 2008

Download Form Open Form

Procedure: Human Subjects in Research
Administrative Review
Procedure

Administrative Review

Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

In addition to the types of review listed above, the Institutional Review Board (IRB) may provide administrative reviews when appropriate. Administrative reviews are used in cases in which the University of Delaware needs record of research with human subjects in which UD is engaged, but for which review and approval are not issued by the UD IRB. This is the case, for example, when UD investigators are part of a research team performing research at another institution. Depending on the nature of the research and the collaboration arrangement, UD IRB may rely on the review and approval from the other institution’s IRB. UD keeps record of that reliance via an administrative review.

All UD investigators involved in collaborative research with human subjects must consult with UD IRB and submit that proposed effort to the UD IRB regardless of other IRB reviews sought after.

 

Procedure Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Policy: Safety
Alarms and Security Monitoring Systems
Policy

Alarms and Security Monitoring Systems

  1. PURPOSE
    To establish a review and approval procedure governing the design, selection, purchase and installation of any intrusion alarms and other security monitoring systems to ensure maximum system compatibility and effectiveness.

  2. POLICY
    Any person or unit of the University considering the purchase or installation of an intrusion alarm or security monitoring system on the University premises* must consult with and receive prior approval from the Director of Public Safety or his designee.

    Anyone considering the purchase or installation of an intrusion alarm or security monitoring system must contact the Department of Public Safety, Technical Services Unit, at 831-2683. the Director of Public Safety or his designee will review the physical and personal security needs of the facility and the persons who will occupy that facility, determine appropriate design parameters, and assist with the selection of the system.

    Prior to placing any intrusion alarm or security monitoring system on line, the contractor or installer must ensure that the system has been tested for proper operation and that an orientation has been conducted with the primary users and Public Safety staff.

    All design specifications must comply with standards established by Facilities Management.

    * This policy applies to new construction, existing facilities, upgrading/changing system designs or specifications, and any other modifications to existing or planned security systems that either report to or are monitored by the Department of Public Safety.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-28

ORIGINATION DATE: October 2, 1985

REVISION DATE(S):

1-Apr-96

Policy Source Open Policy



Form: Contracts and Grant Management, Research Agreement Templates
Alternative Research Agreement
Form

Alternative Research Agreement

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

This form is a research agreement between a company and the University of Delaware. It has the following formal wording:

__________________________________________________________________

RESEARCH AGREEMENT BETWEEN COMPANY AND THE UNIVERSITY OF DELAWARE

THIS AGREEMENT is between , with offices at (hereinafter referred to as COMPANY), and the University of Delaware, with offices at Newark, Delaware 19716 (hereinafter referred to as UNIVERSITY), an educational nonprofit institution chartered under the laws of the State of Delaware. …

__________________________________________________________________

For a full description of the applicability of the “Research Agreements with Industry” please download this pdf. There are two options available to PI’s in IP Term Negotiations which include Standard Research Agreement and Exclusivity of Licensing to Private Sector Partner overviews.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: May 26, 2016

REVISION DATE(S):

April 10, 2018

Download Form Open Form

Policy: Safety
Ambulance Service for University Employees
Policy

Ambulance Service for University Employees

  1. PURPOSE
    To assist in providing immediate medical attention for University employees who are injured or require medical attention while at work.
  2. POLICY
    When an employee is injured at work or is suffering from an ailment that in the exercise of good judgment requires emergency first aid or examination/treatment by a physician, the employee, the supervisor, or someone else who is present should immediately call 911. Outside of the Newark Campus, contact should also be made with Public Safety at 831-2222 (or 645-4333 in Southern Delaware).

    1. The caller should provide the following information:
      1. The location, age, gender, and name (if known) of the injured/sick employee.
      2. As much detail as possible about the nature of the injury or illness.
      3. Information about any hazards that may threaten the victim or responding officers.
      4. The name and department of the caller.
    2. Types of Response
      1. University police and security officers are trained in CPR and basic first aid. They are normally the first responders to medical emergencies on campus. University police officers are dispatched to all life threatening medical emergencies and investigate all accidents resulting in serious injury. If an injury or illness is such that ambulance transportation is not required, the affected individual may be transported in a University Police vehicle.
      2. If an ambulance is needed to transport the employee, University Police Communications Center will transfer the call to the New Castle County Fire board. The Fire board will dispatch an ambulance to the scene. UDECU, University of Delaware Emergency Care Unit, a volunteer Registered Student Organization whose members receive extensive emergency medical training and are Nationally Registered Emergency Medical Technicians-Basic (NREMT-B) would be the first to be contacted to respond. If UDECU is not available for service or the site of the injured/sick employee is outside the Newark Campus, then the appropriate basic life support service provider will be dispatched.
      3. When advanced life support assistance is required, a Paramedic unit will be requested. Paramedics do not provide ambulance service, but will accompany a patient to the most appropriate emergency medical facility.
    3. If transportation is required, the employee will be transported to the appropriate medical facility.*
    4. In non-emergency cases where the employee has been transported to a medical facility by a Public Safety officer, Public Safety will be available for transportation back to campus and/or other reasonable transfers.
    5. In cases where the injured/sick employee is on campus and needs to return home, the employee’s supervisor will ensure that appropriate transportation arrangements are made.

* The University of Delaware recommends Christiana Care, Occupational Health Services to handle job related injuries. Provider information is available on the Environmental Health and Safety Accident Procedures web site. All employees who suffer work related injuries of a non-emergency nature will be transported to Environmental Health during normal business hours. Employees have the option of being taken to a local medical facility instead of Environmental Health if they so chose. In cases involving serious injuries or illnesses, the responding ambulance attendants or Paramedics will determine the most appropriate facility.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-05

ORIGINATION DATE: March 1, 1996

REVISION DATE(S):

December 2000; July 1, 2005

Policy Source Open Policy



Form: Safety
Application for Analytical X-Ray Equipment Utilization
Form

Application for Analytical X-Ray Equipment Utilization

This form deals with Radiation Safety. Please review the form carefully to determine its applicability in your research, as well as the entity that governs this particular form. For questions regarding safety concerns and regulations, please visit UD’s EHS (Environmental Health and Safety) or review the policies and procedures in the Safety Section of this page.

Application required in order to use X-Ray equipment for research.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Open Form

Form: Contracts and Grant Management
Application for Federal Assistance SF 424 (R&R) Sample Form
Form

Application for Federal Assistance SF 424 (R&R) Sample Form

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: July 20, 2007

Download Form Open Form

ASSISTANCE

Compliance Hotline
Phone: (302) 831-2792

UD Research Office
210 Hullihen Hall
Newark, DE 19716
Phone: (302) 831-2136
Fax: (302) 831-2828
Contact us

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