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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RO Forms, Policies, and Procedures Search 2019

Animal Subjects in Research

For Forms, Policies and Procedures pertaining to Animal Subjects in Research and other resources

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
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Material Transfer
Reporting Misconduct
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Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019

Forms, Policies and Procedures (64 Entries)
Policy: Research Office
Fringe Benefit Rate Agreement
Policy: Research Office

Fringe Benefit Rate Agreement

UD FY23 Fringe Benefit Rate Agreement

INSTITUTION: UNIVERSITY OF DELAWARE, NEWARK, DE 19716-0099

The Fringe Benefits rates contained herein are for use on grants, contracts and/or other agreements issued or awarded to the University of Delaware by all Federal Agencies of the United States of America, in accordance with the cost principles mandated by 2 CFR Pa11 200. These rates shall be used for forward pricing and billing purposes for the University of Delaware Fiscal Year 2023. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2023.

SECTION I: RATES – TYPE: FIXED

Fringe Benefits Rates:

Type From To Rate Ag Appropriation (3A) Applicable
Fixed 7/1/22 6/30/23 39.1% 31.4% Faculty/ Prof. Employees
Fixed 7/1/22 6/30/23 75.1% 56% Staff Employees
Fixed 7/1/22 6/30/23 13.1% 13.1% Graduate Students
Fixed 7/1/22 6/30/23 7.9% 7.9% Other*

*Excludes student wages exempt from FICA.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 21, 2018

REVISION DATE(S): 11/22/2019, 7/2/2019, 7/1/2020, 7/9/2020, 6/23/2021, 7/5/2022

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51618

Form: Research Office
Gifts or Sponsored Agreements Checklist
Form: UD Research Office

Gifts or Sponsored Agreements Checklist

This document is meant to provide guidance to determine if a transaction is a gift to be processed and administered by the Office of Development & Alumni Relations (DAR) or the Research Office (RO). See UD Gift Policy Section 8 (Gift vs. Sponsored Project) for complete details about how to make this determination.

Download the form below and answer all eight questions in the checklist, including comments whenever necessary. To use this form, review all the documentation associated with the funding for indications that will help you to determine whether the funding should be considered support for a sponsored project or a gift.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 22, 2016

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51478

Policy: Research Office
Graduate Tuition Policy
Policy: Research Office

Graduate Tuition Policy

  1. SCOPE OF POLICY

    This policy sets forth graduate tuition requirements for proposals and awards, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware.

  2. POLICY STATEMENT

    The Research Office requires graduate tuition to be budgeted to grants and contracts at a minimum rate of 40% of the full-time tuition, per student, at the university base rate of $979 per credit hour for the fall and spring semesters. Exceptions to this policy may be granted under specific circumstances as outlined per this policy.

  3. POLICY STANDARDS AND PROCEDURES
    1. Budgeting Requirements
      1. Graduate tuition must be budgeted as a direct charge to all grants and contracts at a minimum rate of 40% of the full-time tuition, per student, at the university base rate of $979 per credit hour for the fall and spring semesters.
      2. Full tuition is considered 9 credit hours per semester at the university rate of $979 per credit hour.
        1. If a graduate student is being budgeted at less than 100% of their stipend, the rate of the tuition should be prorated proportionately across all proposals, if applicable.
          1. For example, for a student budgeted at 40% of their stipend, a minimum of 40% of the tuition should be budgeted on the proposal. For a student budgeted at 50% of their stipend, a minimum of 40% and up to 50% of the tuition may be budgeted on the proposal. Or, for a student budgeted at 50% of their stipend on two proposals, a minimum of 40% and up to 50% of the tuition may be budgeted across both proposals (not per proposal).
        2. If a sponsor provides a stated amount for cost of education, the full amount as stated by the sponsor may be budgeted.
  4. Policy Exception Requests
    1. Exceptions to this policy may be granted with approval of both the PI’s Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) in cases where:
      1. the funding organization has a written policy precluding or limiting the charging of graduate tuition to awards, or
      2. the total funding available to the PI(s) for the project is less than $75,000 per year.
    2. Exception Requests During Proposal Submission: A request for an exception to the graduate tuition policy should be processed via the Proposal Approval Summary Webform.
      1. If the request is due to a written sponsor policy, the sponsor policy should be attached to the UD Financials: PeopleSoft Proposal Attachments page using the naming convention “[ProposalID]_Tuition_other”. This will feed into the webform for review.
      2. If the request is for an exception is due to the PI project being less than $75,000, the Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) will review and approve the exception via the proposal approval form routing prior to submission
    3. Exceptions Requests During Award Establishment: If a proposal that did not originally meet the exception criteria is subsequently awarded for less than $75,000 per year, an email approval from the Dean (or designee) should be routed to the Contract & Grant Analyst during award establishment. The request for an exception will be sent to Vice President for Research, Scholarship and Innovation (or designee) for review and approval.
  5. Post-Award Requirements
    1. The allocation of tuition costs must be allowable per the award guidelines and must not exceed the distribution of effort as reported through salary charges.
    2. Any re-budgeting of graduate student stipends should include the proportionate re-budgeting of tuition.
    3. Department/college research administrators should routinely reconcile tuition expenses for fiscal compliance.
    4. The Research Office will review tuition expenses during the closeout process for the fall and spring semesters referencing the following student salary expense account codes:
      1. 122600 GRADUATE ASSISTANT (O/H CHARGE)
      2. 122610 GRADUATE TRAINEES
      3. 122700 GRADUATE FELLOW
      4. 126900 GRAD STDT-ENROLLED < 1/2 TIME

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 1, 2016

REVISION DATE(S): 9/16/19, 3/10/2021, 11/22/21

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51443

Procedure: Research Office
Grant Transfers Procedure
Procedure: Research Office

Grant Transfers Procedure

When a Principal Investigator (PI) of an externally-funded grant changes institutions, a decision is made about whether the grant stays at the current institution or is transferred to the new institution. UD will determine on a case-by-case basis whether it will retain or transfer a grant. Because the grant award is made to the institution and not to the PI, there must be agreement between the institutions and the sponsor as to where the grant will ultimately reside.

If the decision is to change the grantee organization to the PI’s new institution, the request must be made prior to the PI’s anticipated start date at the new organization, preferably several months in advance. Failure to provide timely notification may result in disapproval of the request or a delay in processing.

If the decision is to leave the grant award at the current organization, the sponsoring agency must be notified immediately with a request for change in responsible PI. This correspondence may also include a request to re-budget part of the award as a sub-grant to the former PI’s new organization for continued work and collaboration on the project. In either case, Office of Sponsored Programs will assist in facilitating this process.

Some sponsors have specific guidelines and forms to be used when requesting a transfer. It is the PI’s responsibility to follow the guidelines of the sponsor.

Transferring a Grant FROM UD to Another Institution

Facilitating the transfer of an agreement from the University of Delaware requires significant amount of coordination and close attention to the award terms and conditions. Specific areas to review include cost sharing commitments, equipment procured on the agreement, unexpended direct and F&A cost balances. The responsibilities matrix – worksheet will assist in initiating and completing the transfer of awards from UD to another institution.

Forms:

Transferring a Grant TO UD from Another Institution

Facilitating the transfer of an agreement to the University of Delaware requires significant amount of coordination among the PI, the department administrator, OSP and the sponsor. The responsibilities matrix will assist in initiating and completing the transfer of awards from another institution to UD.

Other Documentation that may be applicable during transfer:

  • Letter/Communication from Transferring Institution Indicating Intent to Transfer Award to UD
  • Provider Determination Worksheet
  • Consultant Agreement form
  • Agency specific forms

 

Procedure Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: September 25, 2012

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51479

Procedure: Research Office
Guidelines for Faculty and Professional Consulting Agreements
Procedure: Research Office

Guidelines for Faculty and Professional Consulting Agreements

The main University policies and procedures relating to faculty consulting activities include the following:

Professional Consultation

  • Inventions, Discoveries, and Patents
  • Copyrightable Material
  • Faculty and Professional Staff Involvement in Commercial Enterprises That Have Relationships with the University of Delaware

Responsibility for Private Professional Services
The University assumes no responsibility for private professional services performed by members of its faculty or staff. The name of the University is not in any way to be connected with the service rendered or the results obtained. The faculty member must make it clear that his or her consulting work is a personal matter. He or she must not use the official stationery of the University nor stationery having a University address or a University telephone number.
A faculty or staff member shall not accept or retain employment which would bring him or her as an expert or in any other capacity, into conflict of commitment or in competition with the interests and purposes of the University.

Use of University Facilities and Resources
The use of University Facilities and Resources is addressed in Section 4: Personnel Policies for Faculty of the Faculty Handbook in the subsection “Academic Freedom and Standards of Conduct: Consulting and Other Outside Employment.”

Rate of Compensation and Tax Consequences
The University will not comment on or offer input regarding the rate of compensation or the tax consequences associated with faculty consulting activities.

Intellectual Property Issues
• As a condition of employment by the University, all faculty and staff agree to abide by the University’s Intellectual Property Policies and Procedures and to assign to the University all rights to intellectual property developed (a) with the use of University facilities or resources or (b) in the field of expertise and/or within the scope of responsibilities covered by their employment/appointment/ association with the University.

• Faculty and staff may, within the scope of a consulting agreement, assign rights to intellectual property developed under consulting agreements to organizations engaging their services where the organization has a legitimate prior claim to the technology being developed. Examples include consulting activity leading to the refinement of an organization’s existing product or process or to a development for which the organization has background patents or prior art claims.
• It is inappropriate for faculty or staff consultants to assign Delaware intellectual property to organizations engaging their services.
• Consulting agreements should be examined to ensure that the assignment of rights to intellectual property evolving from consulting activities does not conflict with the University’s Intellectual Property Policies and Procedures.
• Faculty or staff consultants must avoid entering into consulting agreements that are in violation of the terms of their employment by the University.
• By assigning intellectual property rights to organizations engaging their services faculty or staff consultants may: (1) be prohibited from further activities in that field, (2) limit opportunities to profit from commercial applications or their
work, (3) limit opportunities to obtain funding from industry; and (4) restrict freedom to publish.

Terms and Conditions Recommended for Inclusion in Faculty Consulting Agreements
• Consulting agreements should recognize that all faculty and staff members have agreed to abide by the University’s Intellectual Property Policies and Procedures and that Delaware intellectual property cannot be transferred to an entity via a consulting agreement. Consulting agreements should also recognize that a faculty or staff member’s first duty and first responsibility is to Delaware. The University recommends including the following language:
“Entity agrees and understands that Consultant is an employee of The University of Delaware. Consultant’s primary responsibility is to the University. In connection with such employment, Consultant has entered into certain agreements with the University relating to ownership of intellectual property rights, conflicts of interest and other matters, and is subject to certain policy statements of the University. If any provision of this Agreement is hereinafter determined to be in conflict with these policies, then the policies will govern to the extent of such conflict, and the conflicting provisions of this Agreement will not apply. Consultant is not aware of any such conflict.”

• Consulting agreements should acknowledge the importance of documenting the nature and scope of the consulting activities and outline a process for preparing a written summary or minutes of the consulting activities. All written information provided by the entity to the consultant should be clearly marked “Confidential” or “Proprietary.” The University recommends including the following language:
“The Entity shall from time to time prepare a written summary or “minutes” of the consulting activities of Consultant. Consultant shall also record all documentation relative to Consulting Services separate from his/her other work, including work for the University. The parties shall have the right to periodically compare said documentation to ensure both parties have a consistent understanding as to the scope and nature of consulting services provided hereunder.”

Consider including language such that the consultant has the right to refuse to accept entity confidential information. The University recommends including the following language: “Prior to disclosure of Confidential Information hereunder, Entity shall make
a non-enabling summary disclosure to Consultant so that Consultant may determine whether to accept disclosure. Said summary shall be sufficient to enable Consultant to determine whether the disclosure involves technology or information already under development in Consultant’s University Laboratory, or whether he/she is otherwise bound by confidentiality concerning related information and/or technology.

Entity will take reasonable precautions to clearly mark information disclosed hereunder as “confidential” or “proprietary.” Entity will provide to Consultant a written summary of the matters discussed or considered during consulting provided hereunder in a timely manner. The confidentiality restrictions hereunder will not apply where the information was previously known to or developed by Consultant or Consultant’s research group, where the information is part of the public domain, or where the information came into the possession of Consultant through no fault or wrongdoing of Consultant.”

Terms and Conditions to be Avoided in Faculty Consulting Agreements
• Avoid accepting “fiduciary” duty or responsibility. Consultants required to accept “fiduciary” responsibility should be covered by insurance protection provided by the entity.
• Consulting activities should be performed in a relatively narrow and well-defined field. Avoid broad definitions such as “Entity Business.”
• Avoid or use caution in accepting exclusive consulting arrangements. Consider the ramifications of agreeing to consult with only one entity in a broad field.
• Carefully consider the term (duration) of the consulting agreement. Is there an exit? Can the faculty member terminate the consulting agreement “without cause”?
• Carefully review any requirements for representations and warranties, especially with regard to intellectual property issues.

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 16, 2007

REVISION DATE(S): 10/14/08

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51474

Form: Research Office
Industry Research Agreement – Overview
Form: UD Research Office

Industry Research Agreement – Overview

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: May 26, 2016

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51484

Form: Research Office
Industry Research Agreement – Alternative
Form: UD Research Office

Industry Research Agreement – Alternative

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): 4/10/18, 7/09/2020, 9/22/2022

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51486

Form: Research Office
Industry Research Agreement – Standard
Form: UD Research Office

Industry Research Agreement – Standard

This is a research agreement template between a company and the University of Delaware. It is meant as a template for aid in drafting of such agreements.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 19, 2010

REVISION DATE(S): 1/31/2012, 10/01/2012, 9/19/2014, 5/08/2019, 9/19/2019, 7/14/2022

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51485

Form: Research Office
Institutional Confidentiality and Nondisclosure Agreement
Form: UD Research Office

Institutional Confidentiality and Nondisclosure Agreement

This is an institutional confidentiality and nondisclosure agreement template between the University of Delaware and a corporation. It is meant as a template for aid in drafting of such agreements.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

REVISION DATE(S): 13-Aug-18

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51649

Form: Research Office
Memorandum of Understanding (MOU)
Form: UD Research Office

Memorandum of Understanding (MOU)

This is a template for a “Memorandum of Understanding (MOU)” agreement between the University of Delaware, a nonprofit institution of postsecondary education chartered under the laws of the State of Delaware, with its principal place of business in Newark, Delaware.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: May 15, 2018

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51648

Form: Research Office
NIH Salary Cap Calculator
Form: UD Research Office

NIH Salary Cap Calculator

In order to strengthen compliance with the National Institutes of Health (NIH) Salary Cap, the Research Office has developed a tool to clarify and simplify the salary cap calculation. This tool is intended for use by both department administrators and the Research Office Post Award team to monitor cap compliance during the life of the project and close out at the end of the project. Final determination of salary JVs to move direct salary to cost share in the case of cap overage will be made by the Research Office using the calculator in coordination with the department. Click here for instructions on how to use this calculator or visit Research Training for additional information on this resource

 

Form Details:

OWNER: Research Administration

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: May 21, 2019

REVISION DATE(S): 2/16/2022, 2/7/20

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51675

Policy: General Counsel
Non-governmental Research-related Agreements
Policy: General Counsel

Non-governmental Research-related Agreements

  1. SCOPE OF PURPOSE

    To facilitate the handling and administration of small grants, research and service contracts which do not require federal compliance.

  2. POLICY
    College Deans, the Director of DBI, and, with written approval, heads of other academic units which report directly to the Provost or Vice President for Research, Scholarship and Innovation have the authority to enter into and administer certain contracts/agreements that have total dollar amounts up to $50,000. This authority is limited as follows …

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): 6-14

ORIGINATION DATE: April 2, 2004

REVISION DATE(S): January 18, 2008; August 11, 2008; January 1, 2012; November 1, 2012

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51413

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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