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.
Animal Subjects in Research
For Forms, Policies and Procedures pertaining to Animal Subjects in Research and other resources
Compliance
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 Agreements
Safety
Students
Templates
University
Procedure: Research Office
Procedure for Requesting Letters of Support and Cost Share Commitments from the Research Office
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:
- 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.
- 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.
- 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:
- Letters of support that involve language for cost shares need to follow the cost share schedule noted above. See also #3 below.
- 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.
- 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
Email
Form: Research Office
Proposal Development Assistance Request Form
Proposal Development Assistance Request Form
The Research Development Office (RDO) serves as the support office to help faculty navigate today’s challenging research funding landscape and prepare competitive grant proposals. RDO provides support and management for large and/or multi-department proposals, where RDO serves as a point of contact for PI for all aspects of a grant application, including proposal project management, finding the right person(s) and UD units to leverage, grant writing and graphics, letters of support from UD leadership, equipment and other cost shares, and special exceptions – all leading to submitting a successful proposal. Use this form to request aid in the proposal preparation process.
Related Links
For additional information regarding our services please visit RDO’s Landing page.
Form Details:
OWNER: Research Development
ORIGINATION DATE: July 22, 2022
Download Form Email
Form: Research Office
Proposal Review Panel Interest Form
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.
Related Links
Form Details:
OWNER: Research Development
ORIGINATION DATE: April 13, 2021
Download Form Email
Policy: General Counsel
Protection of Potable Water Supply
Protection of Potable Water Supply
- 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. - 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
Form: Research Office
Provider Category Determination Worksheet
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
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Form: Environmental Health and Safety
Pyrotechnics Cearance Form
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
Policy: General Counsel
Radioactive Material and Machines Capable of Producing Ionizing Radiation
Radioactive Material and Machines Capable of Producing Ionizing Radiation
- 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
Form: Environmental Health and Safety
Radioactive Material Receipt, Use, and Disposal
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
Procedure: Environmental Health and Safety
Radioactive Materials Program
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:
- University of Delaware Radiation Safety Manual for Radioactive Materials
- U.S. Nuclear Regulatory Commission Regulations, Regulatory Guides, and Technical Information Papers
- Notice To Employees, U.S. Nuclear Regulatory Commission Form 3 (Employee Protection)
- Data for Commonly Uses Radioisotopes at the University of Delaware
- Repository of Laboratory Protocols Utilizing Radioactive Materials
- Radiation Safety Training Schedule
- Suppliers of Radiation Equipment
- Educational Resources
Radiation Safety Procedures
- Instructions for Ordering Radionuclides
- Package Opening Instructions
- Safe Work Procedures
- Post-experiment Contamination Surveys
- Radiation Emergency Procedures
- Disposal of Radioactive Waste
- Radioactive Waste Disposal Guide
- Scheduling a Waste Pick-up
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
Form: Environmental Health and Safety
Radioactive Waste Pick-Up Request Webform
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
Procedure: Research Office
Record Retention Procedure
Record Retention Procedure
- 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.
- DEFINITIONS
- 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.
- Record – Documentation pertinent to the programmatic and financial management of an externally-sponsored award.
- Record Retention Period – The required amount of time for which records must be maintained for a particular externally-sponsored award.
- 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
- STANDARDS AND PROCEDURES
- 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.
- 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
- 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.
- 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:
- PeopleSoft Attachments
- Cayuse
- Webforms (Proposal Approvals)
- Local Shared Drives
- Sponsor Web-Based Portals (ex: Proposal Submissions)
- PeopleSoft Attachments
- Local Shared Drives
- Sponsor Web-Based Portals (ex: Grants Management)
- PeopleSoft Attachments
- Local Shared Drives
- Webforms (ex: Proposal Approvals, Budget Adjustments)
- PeopleSoft Attachments
- Local Shared Drives
- Sponsor Web-Based Portals (ex: Federal Financial Reports, Payment Management Systems)
- PeopleSoft Attachments
- Local Shared Drives
- Webforms (ex: Automated Closeout Reports, Journal Vouchers, Cost Transfers, Purchase Orders)
- Concur/Works (ex: Expense Approvals)
- Effort Reporting System
- Local Shared Drives
- Sponsor Web-Based Portals (ex: Technical Reports)
- Webforms (ex: Automated Closeout Reports)
- IRBNet (ex: IRB/IACUC Protocols)
- Local Shared Drives
- 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.
- 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.
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.Official Award Notices
and contractual documents issued to UD from the sponsor.Programmatic Support Documents
pertinent to the award administration including detailed budgets, institutional approvals, and important correspondence.Financial Reports and Invoices
submitted to the sponsor to report expenditures and/or request payment.Financial Backup
supporting award expenditures and reporting such as account reconciliations, receipts, cost transfer forms, and expense approvals.Technical Reports and Deliverables
submitted to the sponsor to report research program outcomes.Compliance Protocols
and approvals related to sponsored research programs (e.g. human and animal subjects).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):
Procedure Details:
OWNER: UD Research Office
RESPONSIBLE OFFICE: UD Research Office
ORIGINATION DATE: February 7, 2020
Procedure Source
Email
Policy: General Counsel
Refrigeration Units
Refrigeration Units
- 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