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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Conflict of Interest
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Forms, Policies and Procedures (45 Entries)
Policy: Contracts and Grant Management
72 Hour Policy
Policy

72 Hour Policy

UD researchers need to have their proposals to UD Research Office by 8:00 a.m. — three business days prior to the agency deadline — or they will not be submitted to the sponsor. The new policy went into effect Jan. 3, 2007, and is reflective of the demands of electronic research administration, specifically the Grants.gov initiative for proposal processing for federal agencies.

Recognizing that the proposal’s scientific content requires maximum time to develop, project management teams will accept proposal packages that include a full proposal budget (including subcontract budgets and details if subcontracts are involved), budget justification, and proposal abstract for review. While the full scientific details of the proposal may not be in hand, the electronic documents can be prepared from these materials and the proposal readied for submission. Proposal packages lacking budget or other elements stated above will be considered incomplete and will be returned to the principal investigator.

“As many of our researchers know, the federal government is continuing to implement Grants.gov, its electronic proposal submission system,” Carolyn Thoroughgood, former UD vice provost for research and graduate studies, said. “As more agencies make use of the electronic system, we need to make sure we have adequate time on the server for reviewing and approving research proposals before their due date. We want to avoid any electronic ‘pile-ups’ that might occur as more and more proposals flow into the pipeline.

“Our goal is to serve the University’s research community in the best way we can, and this policy is designed to safeguard the investment of time and effort that goes into developing high-quality proposals,” Thoroughgood noted.

Currently, Research Management and Operations, a unit of the UD Research Office, processes in excess of 1,300 proposals per year, and of that number, between 400 and 500 proposals typically are funded by such agencies as the National Science Foundation, National Institutes of Health, National Oceanic and Atmospheric Administration.

Depending on the funding agency and grant program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small grant to more than a hundred pages for large, multi-institutional efforts. Those proposals that are successful account for an influx of more than $148 million in research funding to UD each year.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: January 3, 2007

Policy Source Open Policy



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

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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

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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

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Form: Contracts and Grant Management
Attachment 3B: Subrecipient Contact (Page 1)
Form

Attachment 3B: Subrecipient Contact (Page 1)

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.

Research Subaward Agreement page 1.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: September 2, 2017

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Form: Contracts and Grant Management
Attachment 3B: Subrecipient Contact (Page 2)
Form

Attachment 3B: Subrecipient Contact (Page 2)

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.

Research Subaward Agreement Page 2.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

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Form: Contracts and Grant Management
Automated Closeout Report (ACR) webform login
Form

Automated Closeout Report (ACR) webform login

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

Download Form Open Form

Policy: Contracts and Grant Management
Budget Revision for Sponsored Awards
Policy

Budget Revision for Sponsored Awards

Definition/background

The budget plan is the financial expression of the project or program as approved by the sponsor during the award process. During the conduct of a project, the principal investigator may determine that budget changes are necessary to carry-out the project work. Many sponsors allow flexibility in how project funds are expended and permit budget changes needed to meet project requirements. Principal investigators need to be aware of the specific requirements for their awards and to request prior approval for budget changes when the terms and conditions of the sponsor or particular award require it. Revisions to sponsored project budgets that require sponsor prior approval must be reviewed and approved by the Research Office.

Informal rebudgeting occurs when actual expenditures exceed or fall short of the amount budgeted in a specific budget category. If sponsor prior approval is not required by the award terms, it is not required to submit a budget revision-contracts and grants webform to re-align the budget to match actual expenditures.

Procedure when requesting a rebudget of funds on same purpose code:

  • To request rebudgeting of funds on a federal or federal flow-through grant or contract:
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving federal or federal flow-through awards will automatically route to the Research Office for review and approval
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor requires prior approval of budget revisions please note this in the comments
    5. A Research Office Contract & Grant Specialist will review the request and the terms and conditions of the award
    6. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsoring agency
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed by the Contract & Grant Specialist
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    7. If sponsor prior approval is not required, the Contract & Grant Specialist will review the request and if appropriate approve the form and process the budget revision in the financial system
  • To request rebudgeting of funds on a non-federal or federal flow through grant or contract :
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving non-federal or federal flow-through awards will automatically copy to the Research Office
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor prior approval for budget revisions is required, note this in the explanation comments AND manually forward the form for Research Office review and approval by adding the Research Office to the electronic form routing (forward to wf-grantsbudrev@udel.edu). Note: if sponsor prior approval is required and the form is not forwarded to the Research Office for review, the PI’s department will be responsible to remove any disallowed costs resulting from the unauthorized rebudgeting
    5. When a FIN Budget Revision – Contracts and Grants webform is forwarded to RO for approval, Research Office Contract & Grant Specialist will review the request and the terms of the award. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsor
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed in the financial system by the Research Office
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    6. If a FIN Budget Revision – Contracts and Grants webform for a non-federal or federal flow-through award is not forwarded to the Research Office manually by the form submitter, once all internal approvals are recorded, the system will automatically apply the budget revision in the financial system

Any questions, please contact your Contract and Grant Administrator.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Open Policy



Form: Contracts and Grant Management
Cash Advance Worksheet
Form

Cash Advance Worksheet

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: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 26, 2016

Download Form Open Form

Policy: Contracts and Grant Management
Class I Movable Equipment Policy
Policy

Class I Movable Equipment Policy

  1. PURPOSE
    To establish guidelines to be followed when ordering Class I equipment, parts thereof, or when assembling (from parts and pieces) Class I equipment.
  2. POLICY
    1. Definitions
      1. A building will consist of the shell and other building components. The building shell would include interior walls, floors and ceilings, and whatever is necessary to complete the exterior of the building. Building components include those items that are necessary for the operation of the building regardless of its use, and where removal would involve costly or extensive alterations or repairs to the building. Included in this component category would be the plumbing system, heating system, central air conditioning system, electrical services, standard room lighting fixtures, fire alarm systems, built-in intercom systems, draperies, and the floor covering such as tile or carpet. It will also include duct work for exhaust systems; and conduit and wiring therein, even though equipment may be attached to same.
      2. Class I Equipment
        1. Class I equipment is defined as movable, tangible personal property with an acquisition or declared value of $5,000 or more, is functional for its intended purposes in and of itself (except for an external power supply if needed), and has a useful life of two years or more.
        2. An accessory/peripheral is defined as an item intended to be used, with an otherwise identifiable equipment item, for the purposes of increasing or enhancing the productivity or utility of the equipment item. When the peripheral is purchased with the equipment item to form or enhance a system, the combined system may be considered one item of equipment for purposes of identification and valuation. When purchased separately and added to existing equipment, the value of the accessory/peripheral is added to the equipment value only when the cost of such accessory or peripheral meets or exceeds $2,000.(NOTE: In the inventory and reporting of personal computers/computer systems, all items other than software will be considered a part of the system for cost and/or valuation purposes.)
        3. Fabricated equipment is composed of material purchased for the purpose of building, constructing or assembling of Class I equipment that will be so identified upon completion. Class I equipment at the University of Delaware will include those items in which material costs alone are $5,000 or more, and will not include labor costs.
        4. Repair and/or Replacement Parts are defined as items, regardless of cost, that are necessary to restore an item of equipment to a fully functional status. Repair/replacement parts are not Class I equipment in and of themselves.If the cost of the repair or replacement part is 50% or more of the base equipment item, or if the item significantly enhances the functional capacity of the base equipment item, cost(s) of the part may be considered as equipment purchased and added to the equipment item’s adjusted cost.
        5. Those items of material and/or supplies that are not functional in and of themselves, even if used in conjunction with equipment items, and lose their identity/utility when viewed separately or used over an extended period of time, are considered expendable supplies (S&E).When items of this type are purchased to enhance or increase the performance of identifiable equipment, an adjustment to the value of the (parent) equipment will not be made unless the unit cost of an added item is $2,000 or more.
        6. Equipment, therefore, would include furniture, refrigerators, dishwashers, drawing files, testing equipment, etc. Equipment will also include lab benches, even though they may be bolted to the floor; hoods and associated exhaust fans, even though the duct is not included; specialized equipment, even though utility connections may be required; water coolers, except the built-in type, window air conditioning units, prefabricated facilities such as environmental control rooms that are purchased as a unit, special lighting such as stage lights, and projection screens that can be replaced. In all cases, the cost of the item must be at least $5,000.
      3. An Assembly Part is an item that will be utilized in a building or assembling of a finished Class I equipment item.
      4. The following applies to the above items:
        1. An exception to the above definitions is the Power House Central Heating and Chilled Water Plant which actually consists of a shell, building components and equipment; but for control purposes and cost evaluations will be treated as a single building unit.
        2. Capital Expenditure refers to the cost of an asset, including the cost to put it in place. For equipment, this means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it useful for the purpose for which it was acquired. Charges such as protective and transit insurance, freight, and installation will be included where such costs can be identified. Only external labor will be considered a capital cost.
      5. Asset Management Records are detailed listings of Class I Equipment. They are maintained and segregated by department and building, identified by a University assigned number, and referenced by purchase order number, cost, acquisition date, ownership, fund source, description, etc.
    2. Procedures
      1. Class I Movable Equipment will be purchased against the appropriate account code.
      2. All purchased parts meeting the criteria in II-A-2-b above must be charged to the appropriate account code and referenced to the Class I equipment to which it will be attached (by University of Delaware Tag Number) on purchase documentation (purchase requisition and purchase order).NOTE: Replacement or repair parts are chargeable to an appropriate 400 account code, unless meeting the criteria in II-A-2-d.
      3. An assembly part, when ordered, is charged to the appropriate 053100 account code. When assembled, the code will be charged to the account code 167900 (if its fully assembled value is to be $5,000 or more). If a fully assembled equipment value is to be less than $5,000, all material acquired for this assembly is chargeable to an appropriate 400 account code. When the item is completely assembled and a journal voucher is generated to identify the item and its location, a tag will be assigned to the equipment.
      4. Departments may request computer-generated summaries of Class I equipment by contacting Asset Management.
    3. Responsibilities
      1. Ordering Department
        1. Insure that the appropriate object code is used when preparing documentation for purchase of material.
        2. Provide the existing tag number of the base item of equipment to which items purchased under account code 167900 will be attached.
      2. Office of Vice Provost for Research:
        1. Notify Asset Management of “funding source” and “ownership” codes.
      3. Procurement Services Department:
        1. Insure that information is properly transcribed to the purchase order.
        2. Note on the purchase order when arrangements have been made for delivery to the department.
      4. Asset Management:Conduct a final review and determination of appropriate application of account codes. If the account code is to be changed, the originating department, Procurement Services, Accounts Payable, and the Office of the Vice Provost for Research (where applicable) shall be so notified. Changes after an invoice is paid shall be made by Asset Management and supported with a Journal Voucher.
      5. Accounts Payable:Responsible for notifying Asset Management that there is an invoice outstanding for equipment valued over $50,000. Accounts payable will not pay the invoice until Asset Management confirms that the equipment has a UD inventory tag attached.
  3. RESPONSIBLE AUTHORITY
    The authority to enforce this policy lies within the Procurement Services Department. Any questions may be directed to (302) 831-2161 or procurement@udel.edu.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Financial & Business Policies

RESPONSIBLE OFFICE: Office of the Vice President For Finance and Deputy Treasurer

POLICY NUMBER (Legacy): 5-10

ORIGINATION DATE: April 30, 1984

REVISION DATE(S):

October 2, 1985; April 6, 1989; August 1996; July 2000; July 1, 2005

Policy Source Open Policy



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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