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.


*NOTE: As of October 2020 Google Chrome changed how it handles file downloads. If you encounter difficulties, right click on the “Download” button/link and select “save link as.” Once selected the file download will be executed and can be saved to the desktop. A second method is to use a different browser.

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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
Internal Funding
Material Transfer
Reporting Misconduct
Research Administration
Research Agreement Templates
Research Development
RO Forms, Policies, and Procedures Search 2019

Forms, Policies and Procedures (241 Entries)
Form: Research Office
Proposal Review Panel Interest Form
Form: Research Office

Proposal Review Panel Interest Form

A variety of sponsoring agencies offer research, career, scholar or educational funding opportunities that limit the number of applications that can be submitted. An internal selection process has been established by the Research Development Office to assist with reviewing these opportunities and is always searching for new reviewers whose expertise is as close as possible to the content area. If you are interested in serving as a reviewer, please provide your name, college, department up to three areas of expertise to be added to our list of reviewers by filling out this form.

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Form Details:

OWNER: Research Development

ORIGINATION DATE: April 13, 2021

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=86629

Policy: General Counsel
Protection of Potable Water Supply
Policy: General Counsel

Protection of Potable Water Supply

  1. SCOPE OF PURPOSE
    To ensure potable water supply systems are designed, installed, maintained and utilized in such a manner as to prevent contamination from nonpotable liquids, solids or gases.
  2. POLICY

    Potable water supply system shall be designed, installed and maintained in such a manner as to prevent contamination from nonpotable liquids, solids or gases being introduced into the potable water supply through cross-connections or any other piping connections to the system. The Facilities Planning and Construction Department shall ensure new facilities and renovations comply with the requirements of The IBC Plumbing Code or the latest plumbing code adopted by the City of Newark. The Facilities Management Department shall ensure facilities are maintained in accordance with this code. …

For more information regarding this policy and backflow prevention contact the Facilities Management Department or the Department of Environmental Health and Safety.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-30

ORIGINATION DATE: August 29, 1988

REVISION DATE(S): April 1, 1996; January 12, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51588

Form: Research Office
Provider Category Determination Worksheet
Form: UD Research Office

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

ORIGINATION DATE: January 1, 2010

REVISION DATE(S): 2/6/20

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51483 *This form is a fillable pdf and must be downloaded to access it’s features.

Form: Environmental Health and Safety
Pyrotechnics Cearance Form
Form: Environmental Health and Safety

Pyrotechnics Cearance Form

Form needed to create any pyrotechnic displays on University property.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51542

Policy: General Counsel
Radioactive Material and Machines Capable of Producing Ionizing Radiation
Policy: General Counsel

Radioactive Material and Machines Capable of Producing Ionizing Radiation

  1. SCOPE OF PURPOSE
    To ensure all activities related to sources of ionizing radiation are conducted in compliance with U.S. Nuclear Regulatory Commission regulations and license conditions, Delaware Radiation Control Regulations, and University Regulations.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-09

ORIGINATION DATE: February 15, 1976

REVISION DATE(S): 02/15/1976, 06/05/1989

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51549

Form: Environmental Health and Safety
Radioactive Material Receipt, Use, and Disposal
Form: Environmental Health and Safety

Radioactive Material Receipt, Use, and Disposal

Inventory of radioactive material in storage with entries to track use and disposal.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51552

Procedure: Environmental Health and Safety
Radioactive Materials Program
Procedure: Environmental Health and Safety

Radioactive Materials Program

The University of Delaware holds a USNRC Type A Broadscope License to use radioactive materials at its campuses in the State of Delaware and in coastal waters as well as at sea. The day-to-day operations of the program are managed by the Radiation Safety Officer assisted by the Radiation Safety Technician. Program elements are listed below:

Radiation Safety Procedures

Questions regarding radioactive materials may be addressed to William Fendt or call 831-1434.

 

Procedure Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51548

Form: Environmental Health and Safety
Radioactive Waste Pick-Up Request Webform
Form: Environmental Health and Safety

Radioactive Waste Pick-Up Request Webform

This form deals with Waste Management & Disposal. Please review the form carefully to determine its applicability in your research, as well as the entity that governs this particular form. For questions regarding safety concerns and regulations, please visit UD’s EHS (Environmental Health and Safety) or review the policies and procedures in the Safety Section of this page.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form (CAS login) Email https://research.udel.edu/forms-policies-procedures/?entry=51568

Procedure: Research Office
Record Retention Procedure
Procedure: Research Office

Record Retention Procedure

  1. SCOPE OF PROCEDURE
    This procedure outlines record retention responsibilities of Principal Investigators (PIs), Department/College Administrators, Research Office Pre-Award and Post-Award Teams, and other responsible parties involved in the administration of sponsored programs.

    All University faculty and staff who are responsible for administering externally sponsored grants and contracts should be familiar with this procedure.

  2. DEFINITIONS
    1. Sponsor or Sponsoring Agency – An external entity responsible for providing project funding if UD’s proposal is accepted and an official award agreement is subsequently executed.
    2. Record – Documentation pertinent to the programmatic and financial management of an externally-sponsored award.
    3. Record Retention Period – The required amount of time for which records must be maintained for a particular externally-sponsored award.
  3. PROCEDURE STATEMENT
    The purpose of the Research Office Record Retention Procedure is to ensure record retention and destruction for sponsored programs is conducted in accordance with UD, federal, and sponsor requirements. This mitigates potential UD financial and compliance risk by:

    • Ensuring UD’s ability to provide adequate support documentation to internal parties and authorized external entities when appropriate, especially during audit activities.
    • Establishing a limited time period for record retention, thereby mitigating UD exposure to late audit requests or potential information breaches by unauthorized external entities.

    It is the procedure of the University of Delaware (UD) to retain and dispose of documentation associated with sponsored programs in accordance with applicable sponsor requirements, as well as federal regulations per Uniform Guidance including:

    • §200.333 Retention Requirements for Records
    • §200.334 Requests for Transfer of Records
    • §200.335 Methods for Collection, Transmission, and Storage of Information
    • §200.336 Access to Records
  4. STANDARDS AND PROCEDURES
    1. PIs, Department/College Administrators, and Research Office employees are responsible for retaining award records for sponsored programs. This includes financial records, supporting documents, statistical records, and other UD records pertinent to the award. Records must be maintained for active awards and archived for expired awards based upon standards outlined in this procedure.
    2. UD is obligated to provide authorized external parties (such as sponsors or auditors) with access to award records and documentation for the purpose of audits, examinations, excerpts, and transcripts. This includes timely and reasonable access to UD personnel for the purpose of interview and discussion related to such documents. Inability of UD to provide necessary records to sponsors or other authorized parties upon request may result in adverse financial or compliance impacts, such as potential disallowance of unsupported project costs
    3. It is the preference of UD (and federal sponsors) that award records be maintained in electronic rather than paper formats when practicable. Copies of original records, either in paper or electronic format, may be substituted for original records, so long as they remain unaltered and readable.
    4. D. PIs, Department/College Administrators, and Research Office employees are responsible for maintaining primary support documentation for sponsored programs in local Shared Drives as well as other electronic systems. The table below outlines common award records and storage methods maintained under this procedure:
    5. STORAGE METHODS FOR AWARD DOCUMENTATION

      Document Type

      Storage Method

      Proposal Documentation
      submitted to the sponsor such as budgets, budget justifications, scope of work, subaward documents, abstracts, etc.

      • PeopleSoft Attachments
      • Cayuse
      • Webforms (Proposal Approvals)
      • Local Shared Drives
      • Sponsor Web-Based Portals (ex: Proposal Submissions)

      Official Award Notices
      and contractual documents issued to UD from the sponsor.

      • PeopleSoft Attachments
      • Local Shared Drives
      • Sponsor Web-Based Portals (ex: Grants Management)

      Programmatic Support Documents
      pertinent to the award administration including detailed budgets, institutional approvals, and important correspondence.

      • PeopleSoft Attachments
      • Local Shared Drives
      • Webforms (ex: Proposal Approvals, Budget Adjustments)

      Financial Reports and Invoices
      submitted to the sponsor to report expenditures and/or request payment.

      • PeopleSoft Attachments
      • Local Shared Drives
      • Sponsor Web-Based Portals (ex: Federal Financial Reports, Payment Management Systems)

      Financial Backup
      supporting award expenditures and reporting such as account reconciliations, receipts, cost transfer forms, and expense approvals.

      • PeopleSoft Attachments
      • Local Shared Drives
      • Webforms (ex: Automated Closeout Reports, Journal Vouchers, Cost Transfers, Purchase Orders)
      • Concur/Works (ex: Expense Approvals)
      • Effort Reporting System

      Technical Reports and Deliverables
      submitted to the sponsor to report research program outcomes.

      • Local Shared Drives
      • Sponsor Web-Based Portals (ex: Technical Reports)
      • Webforms (ex: Automated Closeout Reports)

      Compliance Protocols
      and approvals related to sponsored research programs (e.g. human and animal subjects).

      • IRBNet (ex: IRB/IACUC Protocols)
      • Local Shared Drives
    6. Records should be disposed of upon expiration of the required record retention period for an award in order to limit excess audit risk and potential information breaches to UD. Unless a longer duration is required by the sponsor, or per other exceptions outlined in the table below, it is UD’s procedure to retain records for four years after an award’s end date. Destruction of such records should follow UD protocols to ensure they are no longer needed for reference.
    7. EXCEPTIONS TO THE STANDARD FOUR-YEAR RECORD RETENTION PERIOD

      Exception Scenario

      Retention Period

      Exception Description

      Sponsor or Award Specific Retention Period

      Per Sponsor Requirements

      Retention requirements may vary depending on award guidelines, terms, and conditions set by the sponsor. These may be stricter than the standard four-year retention period and will be evaluated on a case by case basis. PIs and their Department/College Administrators should contact the Research Office with any questions regarding the specific record retention requirements applicable to their award.

      Litigation, Claim, or Audit

      Until Resolution

      If any litigation, claim, or audit is started before the expiration of the four-year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action has been taken.

      Written Notice for Extension

      Per Written Notice

      UD will comply with any official written notice by a Federal sponsor, cognizant agency for audit, oversight agency for audit, cognizant agency for indirect costs, or pass-through entity to extend the record retention period.

      Final Financial Report Submitted ≥1 Year After the Award End Date

      3 Years After Final Financial Report Submissions

      If under rare circumstances, the final financial report was submitted or revised ≥1 year past the award’s expiration date, the award will be retained for 3 years after the final financial report was submitted to the sponsor.

      Real Property and Equipment

      3 Years After Final Disposition

      Records for real property and equipment acquired with Federal funds must be retained for three years after final disposition.

      Records Transferred

      Not Applicable to UD

      When records are transferred to or maintained by a Federal sponsor or pass-through entity, the record retention requirement is not applicable to UD.

      Program Income Transactions

      3 Years After the Applicable Fiscal Year End Date

      In some cases, UD must report program income after the period of performance. When this requirement exists, the retention period for the records pertaining to the earning of the program income starts from the end of UD’s fiscal year in which the program income is earned..

      Facilities and Administrative Cost Rate Proposals

      3 Years After the Date of Proposal Submission, or 3 Years After the Applicable Fiscal Year End Date

      For facilities and administrative cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates):

      • If submitted for negotiation, a three-year retention period for supporting records starts from the date of such submission.
      • If not submitted for negotiation, a three-year retention period starts from the end of the fiscal year covered.

 

Procedure Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 7, 2020

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51660

Policy: General Counsel
Refrigeration Units
Policy: General Counsel

Refrigeration Units

  1. SCOPE OF PURPOSE
    To outline the University’s policy regulating the purchase and use of refrigeration units utilized in laboratory, research or other risk areas. The purchase of refrigeration units used exclusively for the refrigeration of items intended for human consumption are not included in this policy.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-14

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): October 1, 1981; June 5, 1989; January 9, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51602

Policy: General Counsel
Registered University Trademarks and Service Marks
Policy: General Counsel

Registered University Trademarks and Service Marks

  1. POLICY
    The University reserves the right of proprietorship of a number of symbols of identification of the University used in connection with a variety of consumer goods or services related to athletic, business, and educational events or activities of the University. These trademarks and service marks, in the form of emblems and logos, are registered with the State of Delaware and/or the United States Federal Trademark and Patent Office. Original documentation for each mark is on file in the University Archives and copies are maintained in the Office of the University Secretary 126 Hullihen Hall.
  2. The use of University trademarks and service marks is prohibited without the express permission of the University of Delaware. All inquiries should be directed to the Office of Communications and Public Affairs.
  3. University employees are directed to the UD Brand Style Guide for further information about use of the registered University marks.

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

 

Policy Details:

OWNER: Vice President for Communications and Public Affairs

SECTION: External Relations Policies

RESPONSIBLE OFFICE: Office of Communications and Public Affairs

POLICY NUMBER (Legacy): 1-12

ORIGINATION DATE: October 2, 1985

REVISION DATE(S): April 1, 1996; April, 2005; August 2010; April 27, 2011

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51622

Policy: General Counsel
Removal of Dangerous Material
Policy: General Counsel

Removal of Dangerous Material

  1. SCOPE OF PURPOSE
    To protect the health and safety of individuals when dangerous materials which could present an imminent danger to life and health are found in University buildings. …

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-10

ORIGINATION DATE: April 5, 1975

REVISION DATE(S): June 5, 1989; April 1, 1996; January 9, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51603

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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