Forms, Policies & Procedures

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

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
Internal Funding
Material Transfer
Reporting Misconduct
Research Administration
Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (49 Entries)
Form: Contracts and Grant Management
Fly America Waiver Checklist
Form

Fly America Waiver 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.

 

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 Open Form

Policy: Contracts and Grant Management, Research Administration
Fringe Benefit Rate Agreement
Policy

Fringe Benefit Rate Agreement

UD FY20 Fringe Benefit Rate Agreement

INSTITUTION: UNIVERSITY OF DELAWARE, NEWARK, DE 19716-4005

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 2020. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2020.

SECTION I: RATES – TYPE: PROVISIONAL (PROV)

Fringe Benefits Rates:

Type From To Rate Base Applicable To
Prov 7/1/19 6/30/20 40.6% (a) Faculty/ Prof. Employees All
Prov 7/1/19 6/30/20 59.7% (a) Staff Employees All
Prov 7/1/19 6/30/20 11.9% (a) Graduate Students All
Prov 7/1/19 6/30/20 7.1% (a) Other* All

*Excludes student wages exempt from FICA.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 21, 2018

REVISION DATE(S):

7/2/2019

Policy Source Open Policy



Form: Contracts and Grant Management
Gifts or Sponsored Agreements Checklist
Form

Gifts or Sponsored Agreements 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.

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 Open Form

Policy: Contracts and Grant Management
Grad Tuition Policy
Policy

Grad Tuition Policy

Effective with proposals submitted on or after February 1, 2016:

  • Graduate tuition will be direct charged to all grants and contracts at a rate of 20% of the total graduate tuition
  • Exceptions to this Policy may be granted by the PI’s dean when the total funding available to the PI(s) for the project is less than $75,000 per year or in cases wherein the funding organization has a written policy precluding charging of graduate tuition to awards, and should be documented in the proposal approval routing form
  • In all cases, graduate tuition revenue collected via grants and contracts will be allocated to support research and/or graduate programs only
  • Please see Frequently Asked Questions on Graduate Tuition Policy
  • Questions about Graduate Tuition Policy? Please contact your Contract and Grants Specialist

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 1, 2016

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



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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