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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Forms, Policies and Procedures (64 Entries)
Policy: General Counsel
Consultants for Research, Public Service or Instructional Activities
Policy: General Counsel

Consultants for Research, Public Service or Instructional Activities

  1. PURPOSE
    The purpose of this policy is to provide for the engagement of non-University personnel (consultants) for expertise required to fulfill University commitments and objectives. It is expected that University activities will be carried out to the maximum extent possible by utilizing regular employees rather than consultants. However, consultants may be utilized when necessary expertise cannot be provided adequately by regular employees within the scope of their University employment agreement. The policies and procedures outlined below are designed to meet University and Federal requirements.
  2. SCOPE OF POLICY
    1. Before entering into an agreement with a consultant, the account administrator will ensure that the following criteria have been met and are explained in writing on an attachment to the Contractual Agreement for Consulting Services:
      1. Why the expertise of the person is needed and cannot be met by the utilization of a regular University employee within the context of his or her employment agreement with the University.
      2. The selection process that has been used to secure the most qualified personal available, considering the nature and extent of expertise required. If the Dean/Chair/Director does not have personal knowledge of the consultant’s credentials, vitae must be attached.
      3. Why the fee is appropriate considering the qualification of the person to be utilized, his or her normal charge, and the nature of the expertise to be rendered.
      4. That except in unusual circumstances, the person has not been a regular employee of the University within the twelve calendar months preceding his or her use as a consultant.
      5. That the arrangement will last for a specified period and it is understood that no employment arrangements or repeated or extended arrangement will normally result. Any prior use of the consultant must be disclosed, including dates and amounts. In cases of repeated or extended arrangement with a consultant, the reasons why a recurrence is considered necessary are to be explained.
      6. That funds for a consultant are available in the budget.
      7. That approval for utilizing a consultant has been obtained, if necessary, in the case of an externally sponsored program.
      8. That any restrictions as to per diem rates on externally sponsored programs have been met.
      9. That signed written reports will be provided by the consultant to fulfill the requirements of the work statement.

Related Links

The complete policy and more can be found on the General Counsel’s web site.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 4-27

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 8/29/01

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51664

Policy: Research Office
Cost Shares for Equipment
Policy: Research Office

Cost Shares for Equipment

Research Office equipment cost share dollars are available when proposals either require equipment cost share or the project budget exceeds the available funding in the area of equipment. Research Office policy allows for one-time requests of up to $50,000. Up to $50,000 for each of the years of funding proposed may be requested in case of large scale proposals of strategic significance to UD and that involve multiple academic units. All sums requested from the Research Office must also be matched in the equivalent amount by the college/unit (i.e., $50K from the Research Office requires an equal $50K from the college/unit).

Cost share letters and or commitments, including equipment, require sufficient justification and often a long lead time for approvals. PIs should start this conversation with their respective department chairs, or college research office/deans as early as possible. All proposals that require such commitments and/or letters of support from UD leadership (President, Provost, VP Research) should follow the steps outlined here. Please route all such requests via email to researchdev@udel.edu. Decision time on requests depends on the amount requested and the status will be conveyed back to the PI usually within a few days.

Formal approval for Research Office match of the cost share occurs at the time of the proposal submission through inclusion in the grant budget. The Proposal Approval Form will automatically be routed to those responsible for the cost share approval and for commitment to cover additional cost overrun attributed multi-year equipment match funding.

For further questions about Equipment Cost Share policy, please contact your Contract and Grant Administrator.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

REVISION DATE(S): 10/2/18

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51441

Policy: General Counsel
Cost Sharing Policy
Policy: General Counsel

Cost Sharing Policy

  1. POLICY
    The University engages in cost sharing when it is in the best overall interest of the University, limited to situations in which it is mandated by the sponsor per solicitation or policy guidelines, or deemed appropriate in light of specific and compelling circumstances.
  2. SCOPE OF POLICY
    This policy establishes the requirements and procedures for proposing, approving, administering, and documenting Cost Sharing on Sponsored Projects, including all contributions, such as cash and in-kind, that a recipient makes to an award at the University of Delaware (“UD” or “University”). This policy also sets forth requirements to ensure compliance with federal regulations (Office of Management and Budget (OMB) Circulars A-110 and A-21 or Uniform Guidance 2 CFR 200). This policy applies to all University departments, units, faculty, staff and students.

Related Links

Cost Share for Equipment Policy

The complete policy and more can be found on the General Counsel’s web site.

 

Policy Details:

OWNER: Vice President for Research, Scholarship, and Innovation

SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-19

ORIGINATION DATE: November 3, 2009

REVISION DATE(S): 11/03/2009, 07/21/2015, 02/05/2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51404

Form: Research Office
Debarment Statement
Form: UD Research Office

Debarment Statement

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: September 29, 2008

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51475

Procedure: Research Office
Direct Charging Procedure
Procedure: Research Office

Direct Charging Procedure

  1. SCOPE OF PROCEDURE
    This procedure outlines University of Delaware (“UD” or “University”) requirements for allocating direct costs to sponsored projects, and applies to all University departments, units, faculty, staff and students involved in externally sponsored research.
  2. DEFINITIONS
    1. Direct Costs – Costs which can be identified specifically with a particular sponsored project and which can be directly assigned to such activities, relatively easily and with a high degree of accuracy.
    2. Facilities & Administrative (F&A) Costs – Costs incurred for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives.
    3. Cost Principles – Fundamental conditions for ensuring costs are permissible on a sponsored project, including:
      1. Allowability or Allowable – Costs must be permissible under the terms and conditions of the award, including the authorized budget and applicable regulations
      2. Allocability or Allocable – Costs must provide a sole benefit to the sponsored project or provide proportionately assignable benefits to the sponsored project.
      3. Reasonableness or Reasonable – Both the nature of the goods or services acquired and the amount paid must reflect the action that a prudent person would have taken at the time the decision to incur the cost was made.
      4. Consistency – Application of costs must be given consistent treatment within established University policies and procedures; costs for the same purpose must be treated and classified the same way under like circumstances.
    4. Allocation – The process of assigning a cost, or a group of costs, to one or more sponsored projects and/or cost objectives.
    5. Principal Investigator (“PI”) – The individual designated in a grant or contract to be responsible for ensuring compliance with the academic, scientific, technical, financial and administrative aspects and for day-to-day management of the sponsored project (grant or contract).
    6. Sponsored Projects – Externally-funded activities in which a formal written agreement (i.e., a grant, contract, or cooperative agreement) is entered between the University and the sponsor.
  3. PROCEDURE STATEMENT
    The purpose of this procedure is to ensure University compliance with applicable cost principles and federal regulations set forth for allocating direct costs per Office of Management and Budget (OMB) Circular A-21 and Uniform Guidance 2 CFR 200. Key guidance under this procedure includes:

    • Direct costs must meet conditions for allocability, allowability, reasonableness and consistency established under federal regulations.
    • A cost is allocable to a sponsored project if the goods or services involved are chargeable or assignable to that sponsored project in accordance with relative benefits received.
  4. STANDARDS AND PROCEDURES
    1. Direct vs. F&A Cost Considerations
      1. Uniform Guidance establishes principles to help determine the applicability of costs to federal grants, contracts, and other agreements. It prescribes which costs are allowable for recovery from the government and, of the allowable costs, whether the educational institution should treat them as direct or facilities & administrative (F&A) costs
      2. Common examples of F&A costs include:
        1. Administrative/Clerical Staff
        2. General Office Supplies/Equipment
        3. Postage
        4. Communications (ex. Cells Phones, Telephones, Internet)
        5. Facilities Operations & Maintenance
      3. Costs that are normally considered F&A costs may be allowable as direct costs if they meet all the following criteria:
        1. An unlike circumstance exists in which a sponsored project requires resources beyond those normally expected for a typical research project;
        2. The cost can be associated with the specific sponsored project with a high degree of accuracy;
        3. The costs are not also recovered as indirect costs; and
        4. The awarding agency has explicitly approved the cost as a direct expense in the awarded budget or per written prior approval.
      4. If costs that are normally considered F&A costs are allocated as direct costs to a sponsored project, but do not meet approval criteria per section (3)(d) above, sufficient supporting justification is required to ensure the costs are allowable on the sponsored project. Otherwise, the costs will be deemed unallowable and must be removed from the sponsored project. An after-the-fact explanation attesting to the benefit to the award is insufficient justification to treat these expenses as direct costs on federal awards.
    2. Direct Cost Allocation Methodologies
      1. Direct costs may be allocated only if they advance the work of the sponsored project(s) in the same proportion as the cost.
      2. Direct cost allocations on sponsored projects should not be based on budget, funding or availability of funds, as these factors are not evidence of the allocability of a cost.
      3. Direct Cost Allocation Principles:
        1. If a cost benefits one sponsored project, it should be charged in its entirety to the sponsored project.
        2. If a cost benefits two or more sponsored projects or activities in proportions that can be determined without undue effort or cost, the cost must be allocated to the sponsored projects based on the proportional benefit.
        3. If a cost benefits two or more sponsored projects or activities in proportions that cannot be determined because of the interrelationship of the work involved, then, notwithstanding paragraph (d) of this section, the costs may be allocated or transferred to benefitted sponsored projects on any reasonable documented basis.
        4. Where the purchase of equipment or other capital asset is specifically authorized under a federal award, the costs are assignable to the federal award regardless of the use that may be made of the equipment or other capital asset involved when it is no longer needed for the purpose for which it was originally required.
      4. Examples of Cost Allocation Methodologies:
      5. GENERALLY ACCEPTABLE

        Allocation Basis

        Example

        Effort

        A research assistant spends 80% effort on Project A and 20% effort on Project B. The research assistant uses supplies totaling $3,000/month on the two projects. Usage is directly related to the amount of effort devoted to each project, therefore, $2,400 (80% of $3,000) is charged to Project A and $600 (20% of $3,000) is charged to Project B.

        FTEs

        There are 5 FTEs employed on Project A and 8.5 FTEs employed on project B.  These are the only two sponsored projects that are performed and managed in the lab, and the monthly supplies total $5,500.  Project A should be charged $2,037.04 (5/13.5 x $5,500) and Project B should be charged $3,462.96 (8.5/13.5 x $5,500). 

        Usage

        The monthly cost of supplies/expendables to maintain a lab computer system is $1,000. The computer system is used solely for projects A and B. The computer operating system keeps a log of users and their time on the system. A reasonable base to allocate the expense would be computer user hours. Project A assistants have 100 combined user hours a month and project B assistants have 80 combined user hours a month. The cost allocated to project A is $560 (100 user hrs. /180 total user hrs. x $1,000). The cost allocated to project B would be $440 (80 user hrs. /180 total user’s hrs. x $1,000).

        Number of Experiments

        A PI uses syringes to conduct experiments on two of his research grants. The syringes are only good for one experiment and then they must be thrown away. The PI keeps a log of how many experiments are performed on each project per week. Syringes are ordered every two weeks at $1.05 per syringe. The log indicates the following:

        • Project A: Week 1: 25 Experiments, Week 2: 39 Experiments
        • Project B: Week 1: 19 Experiments, Week 2: 16 Experiments

        The total cost of the syringes is $103.95 (99 experiments x $1.05/syringe). Project A should be charged $67.20 (64 experiments x $1.05/syringe) and Project B should be charged $36.75 (35 experiments x $1.05/syringe).

        Square Footage

        A student is paid a salary of $1,500 a month to clean glassware in two laboratories that are conducting similar research. In this example, the square footage of the laboratories could be used as a reasonable basis. Lab A is 1,600 square feet and Lab B is 1,200 square feet. Lab A is charged $855 (1,600-sq. ft/2,800 sq. ft x $1,500) and Lab B charged $645 (1,200-sq. ft/2,800 sq. ft x $1,500).

        Reasonable Determination without Undue Effort or Cost

        The lab has two ongoing sponsored projects and purchases a $3,000 apparatus to be used equally on both projects, so both Project A and Project B are each charged $1,500 (50%).  Since Uniform Guidance allows for proportions to be determined without undue effort or cost, the supporting justification explaining the reasonable determination is generally acceptable.

        Other Quantitative Rationale

        The PI provides a quantitative rationale that is both reasonable and adequately supported with documentation, whereby the total cost can be divided based on a percentage calculated using the quantitative rationale.

        GENERALLY QUESTIONALBE OR UNACCEPTABLE

        Allocation Basis

        Example

        Restocking

        Restocking materials and supplies is an acceptable practice only if the usage of materials and supplies is tracked or logged and included with the supporting documentation for the transaction. If the usage is not tracked or logged, it is infeasible to adequately support that restocking transactions are allocable to the sponsored project. If the usage is not included with the supporting documentation, there is insufficient support to determine that materials and supplies benefitted the sponsored project.

        Offset

        Costs were charged to Project A one month, and the next month costs were charged to Project B to offset what should have been split allocations each month between the two projects.

        Available Funding

        27% of costs were allocated to Project A to zero out the remaining available balance, and the remaining 73% of costs were allocated to Project B. An exception to this would be if the entire cost was allocable to the sponsored project, but a portion of the cost was allocated to non-sponsored project funding (ex., start-up funds).

        Unreasonable Determination without Undue Effort or Cost

        The lab has three ongoing sponsored projects and purchases a $3,000 apparatus to be used on each project, so Project A is charged $1,350 (45%), Project B is charged $450 (15%), and Project C is charged is charged $1,200 (40%). This is generally an unreasonable determination without additional documentation to support the specific percentages selected for the split allocation.

    3. PI/Department Responsibilities
      1. Determine the appropriate allocation methodology to use to allocate direct costs consistent with the benefits received to each sponsored program.
      2. Maintain documentation supporting allocations and review/update the methodologies as necessary.
      3. Review sponsored research projects on a regular basis (at least monthly) to ensure that all direct costs charged are correct and appropriate.
      4. Ensure that all personnel engaged in financial administration of federally-funded sponsored projects are familiar with the University direct charging procedures.
    4. Research Office Responsibilities
      1. Develop and implement direct charging procedures in accordance with the regulations outlined in Uniform Guidance 2 CFR 200, Subpart E – Cost Principles.
      2. Assist in the interpretation and implementation of the direct charging procedures.
      3. Periodically review justifications and/or supporting documentation provided for direct cost allocations to sponsored programs to ensure documented adherence to the direct charging procedures.

 

Procedure Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 7, 2020

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51661

Form: Research Office
Draft Master Research Agreement with Industry
Form: UD Research Office

Draft Master Research Agreement with Industry

The Draft Master Research Agreement with Industry is a template of a contract between UD and the sponsor; it specifies the obligations of UD and the sponsor in funding and conducting any scope of work that UD may propose for funding by that sponsor.

 

Form Details:

OWNER: Research Office

ORIGINATION DATE: September 9, 2018

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51657

Form: Research Office
Effort Reporting Template
Form: UD Research Office

Effort Reporting Template

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: July 27, 2007

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51476

Form: Research Office
Equipment Inventory Template
Form: UD Research Office

Equipment Inventory Template

This template is used to report equipment inventory to the sponsor. Please contact your assigned Sponsored Research Accountant with any questions regarding this form.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: December 5, 2019

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51672

Policy: General Counsel
Equipment Screening Policy
Policy: General Counsel

Equipment Screening Policy

  1. POLICY
    All proposed purchases of equipment using federal or federal flow-thru funds having a requisition cost of $5,000 or more are subject to the screening program to determine if like equipment exists on campus and is available for use.
  2. SCOPE OF PURPOSE
    To meet Federal government requirements for the purchase of equipment funded in sponsored programs.

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.

The complete policy and more can be found on the General Counsel’s web site.

 

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): 5-21

ORIGINATION DATE: November 14, 1991

REVISION DATE(S): April 2000; July 1, 2005

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51442

Policy: General Counsel
External Sponsorship and Grant
Policy: General Counsel

External Sponsorship and Grant

  1. POLICY
    It is important that the long-range implications of the acceptance by the University of any external grant be carefully considered. In the past, the University has sometimes found itself in a position where the acceptance of these grants has resulted in serious budgetary commitments which extended far above and beyond the grant income. This has been particularly true in the case of federal, departmental, or program developmental grants which have involved continuing financial commitments for staff, equipment, and other items.
  2. SCOPE OF PURPOSE
    To insure that acceptance of external grants by faculty members does not create unforeseen and unrealized financial burdens for the University.

ALL proposals and awards with the exception of those that fall within the limits of delegated authority must be approved and signed by the Vice Provost for Research or his or her designee.

The complete policy and more can be found on the General Counsel’s web site.

 

Policy Details:

OWNER: Provost

SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-03

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): September 26, 1990; January 22, 1997; January 18, 2008; August 6, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51407

Policy: Research Office
Fly America Act and Open Skies Agreements
Policy: Research Office

Fly America Act and Open Skies Agreements

Generally, if a traveler is traveling on funds provided by the federal government, he/she must* use a U.S. flag carrier (an airline owned by an American company), regardless of cost or convenience.

If you are scheduling international travel that is federally funded, you must ensure that all flights, where possible, are scheduled on U.S. flag carriers or on foreign air carriers that code share with a U.S. flag carrier. Code sharing occurs when two or more airlines “code” the same flight as if it was their own. In other words, a U.S. airline may sell a seat on the plane of a foreign air carrier; this seat is considered the same as one on a plane operated by a U.S. flag carrier. Compliance with the Fly America Act is satisfied when the U.S. flag air carrier’s designator code is present in the area next to the flight numbers on the airline ticket, boarding pass, or on the documentation for an electronic ticket (passenger receipt).

 

Related Links

FAQ’s

Fly America Waiver Checklist

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51469

Form: Research Office
Fly America Waiver Checklist
Form: UD Research Office

Fly America Waiver Checklist

This checklist assists in determining qualification for a waiver of the restrictions of the Fly America Act under 41 CFR Part 301-10.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: May 10, 2012

REVISION DATE(S): 04/14/2014, 01/20/2015, 10/09/2018

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51477

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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