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

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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 (17 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

Form: Research Office
Consulting Service Agreement Form
Form: Research Office

Consulting Service Agreement Form

A Consulting Service Agreement is a mutual agreement between a consultant and the University of Delaware to retain services set forth in a “Scope of Work” (Services) that must be submitted with this form. This form agreement is for discussion purposes only. It does not constitute a binding offer or contract with the University of Delaware until all of the terms have been approved and this agreement is executed by authorized university officers.

Related Links

Consultant Agreement Amendment Form

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Development

ORIGINATION DATE: May 30, 2018

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=69220

Policy: General Counsel
Control of University Owned Property
Policy: General Counsel

Control of University Owned Property

  1. PURPOSE

    To outline procedures and set policy for the transfer of equipment purchased on contracts and grants when the Principal Investigator leaves the University or is no longer directly or indirectly involved with the use of the equipment, and the equipment is University owned.

    Equipment owned by an outside agency can only be transferred in accordance with University Policy 5-3 titled “Procedure for Control of Government Owned Property.”

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): 6-08

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008; February 11, 2009; December 10, 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51401

Procedure: Research Office
Cost Accounting Standards Guidelines
Procedure: Research Office

Cost Accounting Standards Guidelines

The University of Delaware, as an Institution of Higher Education, must comply with a number of regulations and guidelines that restrict the ways in which sponsored funding may be spent. This document is intended to clarify the federal constraints regarding the direct and indirect charging of expenditures to federal awards. It is also intended to provide instructions regarding how to charge costs that are determined to be unallowable, as those charges must never be charged to a federal award.

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51628

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

Procedure: Research Office
Foreign Involvement
Procedure: Research Office

Foreign Involvement

Strengthening interdisciplinary and global programs is a strategic priority at the University of Delaware (UD). International collaboration enhances student education, results in increased opportunities for publication and scholarship, and keeps UD investigators on the cutting edge of their fields. These benefits result from foreign collaborators physically working on UD’s campus, collaboration in the form of providing or receiving materials from foreign entities, or receipt of payment from foreign entities. Foreign collaboration, though, could pose a risk. The activity could result in violations of University practice and policy, violations of regulations and requirements, and potential loss of funding.

FOREIGN ENTITIES ASSOCIATED ISSUES

While international collaborations may be acceptable, UD personnel are expected to disclose foreign involvement to ensure that potential issues are properly addressed and resolved. The following issues should be considered.

To find out more visit Foreign Involvement Best Practices

Subjects covered on this resource are:

  • Conflicts of Interest
  • Export Control
  • Financial Disclosures
  • Foreign Components
  • International Travel
  • Performance Reviews
  • Restricted Party Screening
  • Office of Foreign Assets Control

and more

 

Procedure Details:

OWNER: Cordell Overby

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 12, 2019

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51669

Policy: General Counsel
General University Research Program
Policy: General Counsel

General University Research Program

  1. PURPOSE

    To outline the types of assistance available under the General University Research program and application procedures.

  2. POLICY
    1. General University Research Program
      The regular budget of the University of Delaware provides funds for assistance to full-time professional and faculty members for individual research and professional development. The University program for use of these funds is designated as the General University Research program. Three types of assistance for scholarly effort are available from General University Research (GUR) funds:

      1. GUR grants are administered by the Vice Provost for Research. In administering this program, the Vice Provost is advised by the Research Committee of the Faculty Senate. The Research Committee recommends budgetary allocation of the funds available for the year, evaluates applications for University research grants, and recommends those to be supported. Grants are primarily in the arts, humanities, and social sciences.Research grants are awarded each year in January for the following fiscal year. The grants support such research costs as stipends, technical assistance, equipment, supplies, travel, etc. Grants in varying amounts are approved on the basis of individual merit and specific need and are normally made for an academic or full calendar year. The amount of the stipend may vary from year to year and will be established by the Associate Provost for Research with the recommendation of the Research Committee. Applicants should clearly state their needs. Grants generally range from $3,500 to $6,000.
    2. General Information
      All full-time professionals and faculty members are eligible to apply for GUR grants. In evaluating proposals, the Faculty Senate Research Committee considers the following criteria and guidelines.

      1. The GUR program is intended primarily for beginning or young faculty members or professionals who need assistance for research projects not sufficiently developed (in terms of the project or the reputation of the investigator) to justify support form outside sponsors.
      2. Others are eligible under the following conditions:
        1. Experienced investigators who are developing new projects and need assistance to try out their ideas before applying for major support elsewhere.
        2. Experienced investigators who want to work on small projects or who are engaged in work for which there would be difficulty in obtaining outside support because of limiting conditions such as the specialized nature of the research or availability of outside funds.
        3. Professionals or faculty members who have been involved in lengthy research projects and need additional support to obtain critical material or to finish their work for publication.
        4. Senior faculty whose proposals are clearly superior and show strong promise of making an exceptional scholarly or artistic contribution.Although there is no restriction on the number of awards an individual may receive over the years, it should be understood that, all other factors being equal, preference will be given to those who have not received awards previously. An investigator is normally not considered for a second or later award unless at least three years have elapsed since the most recent previous award.
      3. Procedure for Submitting Research Proposals are found in the General University Research guidelines. The guidelines are updated annually by the committee.

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): 6-01

ORIGINATION DATE: October 1, 1981

REVISION DATE(S): June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; August 6, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51408

Policy: General Counsel
Government Owned Property
Policy: General Counsel

Government Owned Property

  1. POLICY

    The basic governing procedure in accounting for all government owned property being held by the University of Delaware under the terms of government research and development contracts and grants. (Questions on specific agency regulations are to be referred to the Office of the Vice Provost for Research, OVPR).

  2. SCOPE OF PURPOSE
    To outline the procedure used in accounting for all government-owned property being held by the University of Delaware.

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): 5-03

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): 04/30/1984, 07/02/1990

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51409

Policy: General Counsel
Information and Records Management Policies
Policy: General Counsel

Information and Records Management Policies

  1. SCOPE OF PURPOSE
    1. This policy defines the departmental role for records and information management, including records and information classification, maintenance, retention, retrieval, protection and preservation.
    2. The policy addresses general departmental records and information management issues and responsibilities, while the attached guidelines address policy issues for information and records stored electronically. …

Related Links

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

 

Policy Details:

OWNER: Vice President and University Secretary

SECTION: Information Technologies Policies

RESPONSIBLE OFFICE: Office of the Vice President and University Secretary

POLICY NUMBER (Legacy): 13-Jan

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 1995 (1-14 and 1-15, dated 1989, were merged); July 2000; September 2000

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51644

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

Policy: General Counsel
Intergovernmental Personnel Assignment
Policy: General Counsel

Intergovernmental Personnel Assignment

  1. SCOPE OF PURPOSE
    To outline the process by which faculty can request approval to accept an Intergovernmental Personnel Assignment (IPA).
  2. POLICY

    Faculty members wishing to engage in an IPA with a federal agency must first seek approval from their Department Chair, then the Dean and finally the Provost. Copies of this approved form will be forwarded to the Research Office from the originating department. …

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): 16-Jun

ORIGINATION DATE: January 11, 2008

REVISION DATE(S): 12-Sep-08

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51419

Policy: Research Office
Mentoring Statement for Postdoc
Policy: Research Office

Mentoring Statement for Postdoc

Consistent with institutional tradition and federal government requirements and recommendations, postdoc mentoring activities at the University of Delaware (UD) are designed to enable postdocs to gain knowledge and skills of value in preparation for careers as independent researchers; including careers as faculty members in research-intensive university environments. The mentoring activities are developed specifically for individuals by lead
researchers and are tailored as appropriate for their fields. The UD Research Office (RO) is available to provide supporting materials and/or instruction to assist lead researchers. Typically, individual postdoc mentoring activities incorporate the guidelines that are suggested in the National Science Foundation Proposal and Award Policies & Procedures:

1. Career counseling,
2. Training in the preparation of grant proposals,
3. Publications and presentation,
4. Guidance on ways to improve teaching and mentoring skills,
5. Guidance on how to effectively collaborate with researchers from diverse backgrounds and disciplinary areas, and
6. Training in responsible professional practices.

Lead researchers typically conduct several activities that comprise a substantial portion of the mentoring experience for postdocs. The incorporation of regular laboratory meetings and seminars, regular individual meetings, and manuscript and proposal writing are frequently seen elements.

“Traditional” mentoring activities can be enriched by postdoc participation in RO sponsored workshops that address
1) the basics of proposal writing,
2) the Responsible Conduct of Research (expanded to address mentor/trainee responsibilities), and 3) quantitative andqualitative assessment of University activities.

Lead researchers are encouraged to work with the RO and other UD support units to broaden the impact of their postdoc mentoring activities in two areas. First, UD promotes the broadening via the identification and facilitation of opportunities for postdocs to mentor undergraduate-scholar researchers who are part of groups such as the UD Undergraduate Research Program or minority scholar programs like the McNair Scholars. Second, where applicable, the broadening of the impact is further enhanced at times by the University’s encouragement and facilitation of the application of postdoc-research “by-products” to outreach activities such as the consideration (or improvement) of current societal issues.

Although supported by University research infrastructure (such as the RO), it is important to note that the mentoring of postdocs is individualized (including those activities aimed at broadening impact) and is developed, conducted and overseen by the postdocs’ lead researchers.

The complete policy and more can be found on the UD Research Office’s web site.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Regulatory Affairs

ORIGINATION DATE: January 10, 2011

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51666

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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