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.
FILTER BY
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

Click Here

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 (50 Entries)
Policy: Contracts and Grant Management
Graduate Tuition Policy
Policy

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 20% of the full-time tuition at the program rate 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 20% of the full-time tuition at the program rate for the fall and spring semesters.
      2. Full tuition is considered 9 credit hours per semester at the program rate.
        1. If a graduate student is being budgeted at less than 100% of their stipend, the rate of the tuition should be prorated proportionately.
          1. i. For example, for a student budgeted at 20% of their stipend, a minimum of 20% of the tuition should be budgeted on the proposal. For a student budgeted at 50% of their stipend, a minimum of 20% and up to 50% of the tuition may be budgeted on the proposal.
        2. If a sponsor provides a stated amount for cost of education, the full amount as stated by the sponsor may be budgeted.
    2. 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 & Grants Specialist 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.
    3. 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):

9/16/2019

Policy Source Open Policy



Procedure: Contracts and Grant Management
Grant Transfers Procedure
Procedure

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. Please see Exhibit A, which identifies sponsors and links to their websites and guidelines.

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 Open Procedure



Form: Contracts and Grant Management, University, Research Agreement Templates, Templates
Institutional Confidentiality and Nondisclosure Agreement
Form

Institutional Confidentiality and Nondisclosure 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 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):

August 13, 2018

Download Form Open Form

Form: Contracts and Grant Management, Research Agreement Templates, Templates
Memorandum of Understanding (MOU)
Form

Memorandum of Understanding (MOU)

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 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 Open Form

Policy: Contracts and Grant Management
Non-governmental Research-related Agreements
Policy

Non-governmental Research-related Agreements

  1. 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 Provost for Research at the University of Delaware 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:

    1. The proposed agreement must not require compliance with federal regulations either directly or indirectly (which includes federal and state “flow-through” funds). The college or other academic unit is responsible for confirming that no federal funds are used in support of the project.
    2. There must be no cash or Research Office equipment match required.
    3. There must be no language in the contract/agreement that could expose the University to any liability claims, financial or otherwise. The University will not agree to indemnify (assume any financial burden if the intellectual property is found to be infringing) for intellectual property infringement. The University will not agree to a general indemnification unless such indemnification or hold harmless is mutual between the parties and is of a negligent standard (i.e., includes terminology reading “negligent acts or omissions”). Any proposed deviations from these terms require Research Office review and Risk Management approval.
    4. As stated in University Policy 6-6 and 6-7, the University retains ownership of all intellectual property (i.e., patents, copyrights, trademarks, etc.) which results from work at the University. In certain cases the University will agree to joint ownership or no claim of ownership in copyrightable materials created by University personnel. These exceptions are handled on a case by case basis and require Research Office approval.
    5. In order to adhere to fundamental academic principles, the University retains the right to publish all (any) results from work carried out by University personnel. Agreements must not contain language that restricts this ability to publish. However, under certain circumstances a period of time for sponsor review prior to publication may be included to permit an evaluation of possible protection of intellectual property.
    6. The University, as an entity, cannot agree to keep information confidential. Should a sponsor require a confidentiality agreement, the principal investigator, should they agree, may, as an individual, enter into such an agreement.
    7. Colleges and other academic units must maintain complete records to support invoices and reports including maintaining effort reports to properly reflect match of salary dollars.
    8. Colleges and other academic units are resonsible for all financial, technical, and other reports as required by the sponsor. This responsibility rests with the College Dean, Director of DBI, or head of other academic units directly reporting to the Provost or Vice Provost for Research (if approved).
    9. Colleges are responsible for all billing and other financial aspects of the contract/agreement, including close-outs.If all the above requirements are met, the college or other academic unit may sign an agreement and administer the contract.
  3. PROCEDURE
    Delegated Authority Procedure

Related Links

General Counsel Page for this Policy

 

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 Open Policy



Policy: Contracts and Grant Management, Research Administration
NSF Two-Month Rule Policy
Policy

NSF Two-Month Rule Policy

As a general policy, NSF limits the salary compensation requested in the proposal budget for senior personnel to no more than two months of their regular salary in any one year. It is the organization’s responsibility to define and consistently apply the term “year”, and to specify this definition in the budget justification. This limit includes salary compensation received from all NSF-funded grants. This effort must be documented in accordance with 2 CFR § 200, Subpart E, including 2 CFR § 200.430(i). If anticipated, any compensation for such personnel in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and must be specifically approved by NSF in the award notice budget.

Under normal budgeting authority, a grantee can internally approve an increase or decrease in person months devoted to the project after an award is made, even if doing so results in salary support for senior personnel exceeding the two-month salary policy. No prior approval from NSF is necessary unless the re-budgeting would case the objectives or scope of the project to change.

University Post-Award Guidance

By this policy, NSF intends to limit the amount of funds institutions request from NSF, and therefore the amount NSF will award. Departments should review the proposal budget, budget justification, and award notice to confirm if compensation in excess of two months was already approved within the NSF award. If not already approved and additional effort in excess of two months is required to successfully address the research aspects of the proposed project, submit a re-budget request for internal approval. NSF prior approval is necessary if the objectives or scope of the project change.

Although the NSF two-month rule identifies the salary limit as applicable to “any one year”, for award expenditures UD has defined the year as September – August. Departments should routinely reconcile budget versus expenses, and conduct an annual fiscal review of salary expenditures for the one year period (September – August). Lack of approval and appropriate justification can lead to removal of the salary in excess of two months.

Related Links

NSF Proposal & Award Policies & Procedures Guide (PAPPG)

 

Policy Details:

OWNER: National Science Foundation

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 6, 2019

Policy Source Open Policy



Policy: Contracts and Grant Management
Outside Employment
Policy

Outside Employment

  1. SCOPE OF POLICY
    This policy addresses employment outside of the University and applies to all exempt and non-exempt employees.
  2. DEFINITIONS
    1. Outside service(s): services performed for hire for any person or entity other than the University.
  3. POLICY STATEMENT
    The first duty and responsibility of University employees is to render to the University the most effective service possible. No outside service should be undertaken that might interfere with the discharge of this prime responsibility or bring the employee into conflict with the interests of the University.

    The University will assume no responsibility for outside services rendered by eligible employees, and it must be made clear to any person with whom the University employee works that the work has no official connection with the University.

  4. POLICY STANDARDS AND PROCEDURES
    1. Approval.  Approval for outside services occurring during working hours must be obtained from the eligible employee’s department head, director or administrator concerned who has the discretion to deny the request, according to the needs of the department. The employee must use vacation time in order to conduct outside services.
    2. Use of University Facilities or Equipment. University facilities or equipment may be used for outside services only after written approval has been obtained from the appropriate department head, director or administrator concerned and the person responsible for operating the facility or equipment. The eligible employee must pay a rate established by the University for the use of the facility or equipment.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Human Resources Policies

RESPONSIBLE OFFICE: Office of Human Resources

POLICY NUMBER (Legacy): 4-84

ORIGINATION DATE: January 1, 1997

REVISION DATE(S):

July 2016

Policy Source Open Policy



Policy: Contracts and Grant Management
PI Eligibility
Policy

PI Eligibility

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. As such, the University has designated the following personnel as eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects*:

  • All full-time faculty regardless of academic rank
  • Visiting faculty/visiting scientists during the time they draw salary support for the performance of the sponsored project through the University
  • Adjunct faculty during the time they draw salary support for the performance of the sponsored project through the University
  • Full-time, academic non-administrative professionals in classified positions at or above Level 31E
  • All full-time postdoctoral fellows* and researchers
  • Under exceptional circumstances documented in writing, other qualified individuals may be designated as a PI. Such designation requires the approval of the Vice President for Research, Scholarship and Innovation, and must be endorsed by the chair of every unit and the dean of every college in which the research project is to be performed. If granted, this PI designation is limited to the proposed research project under consideration, i.e. it does not afford blanket status to serve as a PI on other proposals. To qualify for an exception, the following criteria must be met:
    • Only individuals identified to the external sponsor as a PI or CPI in the submitted proposal need to have the PI eligibility approval form completed
    • The proposed research must be a programmatic priority of the University
    • There must demonstrably be no qualified member of the UD faculty who is capable of serving or available to serve as the PI
    • The proposed PI must possess the academic and experiential qualifications that are prerequisite to service as a PI at UD, and his or her participation as the PI must be demonstrably necessary for the successful funding and execution of the research project
    • The proposal PI must enter into a signed contract with the University assuring that (a) the work will be conducted in accordance with the high standards of quality expected of all PIs; (b) the PI will comply with all University policies relating to the conduct of research; and (c) the research project will be conducted consistent with all federal laws, rules, and regulations relating to the conduct of research
    • Completion of the Research Office PI approval form and submission of a curriculum vitae (CV)

* Principal Investigator/Co-Principal Investigator status may be rescinded for cause.

*A PI approval form is required to permit postdoctoral fellows to serve this role

If an exception is made to make someone an eligible PI and that person isn’t a full-time University employee, the chair or dean must be a co-PI on all proposals for that person.

Retired Faculty Serving as Principal Investigators

Some faculty members wish to continue their research programs after retirement from the University, but do not qualify for status as principal investigators because they are no longer full-time UD employees. Retired faculty members may apply for PI status using the existing Research Office PI approval form.

If the request is approved, retired faculty members may serve initially as co-PIs on proposals with a full-time faculty member as PI (this would typically be the department chair or another senior faculty member). If the proposal is funded and the retired faculty member is hired to work on that grant, he or she may then serve as the PI during the life of the grant. At the time of hiring, the retired faculty member may be appointed to an appropriate professional staff position (such as, for example, senior research fellow), but under no conditions may be re-hired on the faculty (as, for example, a research professor).

Graduate Students as Principal Investigators

The Research Office acknowledges the importance of permitting graduate students to lead sponsored projects where appropriate. There are several sponsors who offer pre-doctoral grants whereby the work is conceived of and carried out entirely by a graduate student. In these cases, a faculty member is identified as a mentor and oversees the project nominally. (examples: NASA: Harriett G. Jenkins Predoctoral Fellowship Program (JPFP), NIH: Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research, NIH: Predoctoral Training at the Interface of the Behavioral and Biomedical Sciences, DOE: The National Methane Hydrates R&D Program – Graduate Fellowship Program).

To that end, the eligible PI approval form may be used at the time of proposal routing to permit the graduate student to have this role. Also, please have the department administrators ensure the graduate student’s supervisor code is associated with a chair and dean code. This will allow the proposal approval web form to be routed appropriately. The required completed form must be sent to the Research Office at least ten (10) working days before the deadline for submittal of the proposal to the funding agency.

There are still other sponsors for whom the need for submission and approval from an Authorized Representative of the University is not required. The student may submit these applications directly to the sponsor without coordination with the Research Office or a PI eligibility form (examples include: NSF Fellowship, Ford Foundation Diversity Fellowships for Achieving Excellence in College and University Teaching).

If there are questions concerning which type of funding the grad student is applying, contact the Research Office for guidance.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: October 14, 2008

REVISION DATE(S):

01/04/2017

Policy Source Open Policy



Form: Contracts and Grant Management
PI Eligibility Approval Form
Form

PI Eligibility Approval 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.

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. The guidelines for Principal Investigator Eligibility require this form to be submitted as a request to serve as Principal Investigator (PI) on a project. The PI will be required to provide a CV and proper training and experience documentation.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 14, 2008

REVISION DATE(S):

10/14/2008, 07/24/2013, 11/17/2014, 06/02/2016, 01/04/2017, 10/04/2014

Download Form Open Form

Procedure: Contracts and Grant Management
Procedure for Requesting Letters of Support and Cost Share Commitments from the Research Office
Procedure

Procedure for Requesting Letters of Support and Cost Share Commitments from the Research Office

Principal investigators (PIs) are encouraged to review UD’s Cost Sharing Policy. Cost share letters and or commitments require sufficient preparation and often a long lead time. PIs should start this conversation with their respective department chairs or college research office/deans as early as possible. All proposals that require cost share commitments and/or letters of support from UD leadership (president, provost, VP for research, scholarship and innovation) should follow the steps outlined herein.

Please route all requests for cost shares and letters of support requiring UD leadership support through the associate vice president for research development. Encourage the PI’s and research deans to engage with the Research Office (RO) as early as possible through the Research Development Office. Use email researchdev@udel.edu for communication to the RO.

The timeline, specified below, depends on the complexity of the cost shares/commitments and level of letters of support.

Cost Sharing and F&A Modifications:

  1. Standard equipment match requests should follow the Equipment Cost Share policy and be communicated to the RO at least one week in advance of the submission date.
  2. RO should be notified at least two weeks from the submission date for proposals with substantial match, such as non‐equipment match. Large/complex proposals, such as major research instrumentation grants or proposals involving more than one college, generally require very substantial university cost share commitments and therefore need even more lead time.
  3. Unless F&A is limited by the sponsor, any reductions of F&A, including its use as cost share, need to be communicated to the RO at least two weeks in advance.

Letters of Support:

  1. Letters of support that involve language for cost shares need to follow the cost share schedule noted above. See also #3 below.
  2. Please plan at least five business days before proposal submission date for letters of support that need president or provost signature; three business days for letters of support that need VP for research, scholarship and innovation support.
  3. The PI and/or respective research dean must provide a draft summary for such letters and key points that must be emphasized in the LOS, paying careful attention to the solicitation’s guidelines.

 

Procedure Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Procedure Source Open Procedure



Form: Contracts and Grant Management
Provider Category Determination Worksheet
Form

Provider Category Determination 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

Download Form Open Form

Form: Contracts and Grant Management, Research Agreement Templates
Research Agreements with Industry
Form

Research Agreements with Industry

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 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

SUBSCRIBE & CONNECT

From our latest Research Magazine to our latest discoveries, keep in touch with UD Research by signing up for our services below.

Share This