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

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: Export Regulations (ITAR/EAR/OFAC)
Request to Export Controlled Technical Data or Items
Form: Export Regulations (ITAR/EAR/OFAC)

Request to Export Controlled Technical Data or Items

This export regulations form deals with standards from the United States federal government regarding the transport of research material and project staff across national borders. If there are any questions regarding these standards, please review the Research Office’s Regulatory Affairs page.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: April 16, 2010

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51499

Procedure: Research Office
Research Compliance & Ethics Program
Procedure: Research Office

Research Compliance & Ethics Program

The University of Delaware (UD or University), its faculty, staff and students are committed to conducting their research and scholarly endeavors with the highest ethical standards. Consistent with federal government guidelines and requirements, and with widely-recognized best practices to achieve the responsible conduct of research, the University has developed, conducts and maintains current an effective Research Compliance & Ethics Program (RCEP). In doing so, UD exercises due diligence to prevent, detect and correct any research-related conduct that is not consistent with government and best-practice collective tenets. Additionally, the University creates and promotes (in an ongoing fashion) an institution-wide culture that encourages behavior/conduct that is ethical and compliant, and in accord with applicable research-related requirements, guidelines and best practices.

To those ends, the University established and maintains standards and procedures to prevent, detect and correct research-related behaviors that may be (or have the potential to become) aberrant. Methods to keep UD executive leadership knowledgeable with regard to the University RCEP are in place and maintained, so as to accommodate oversight of Program efficacy. Program standards, guidance and training extend to research efforts that include (or potentially include) matters concerning 1) animal care & use, 2) conflict of interest, 3) confidentiality, 4) cost accounting, 5) data management, 6) export controls & trade sanctions, 7) freedom-of-information requests, 8) human subject protection, 9) intellectual property, 10) research integrity and misconduct, 11) research-related agreements and 12) research-related safety (bio-, chemical & hygiene, hazardous substances, radiation and LASER).

The vice president for research, innovation and scholarship, is the University’s chief research administrator and advocate. The Office of Research and Scholarship ensures the presence and maintenance of an adequately-funded and effective research RCEP. Day-to-day operational responsibility for the Program is delegated to the associate deputy provost for research and regulatory affairs, who with colleagues and in cooperation with UD faculty who serve on and chair University compliance and safety committees, are tasked to knowledgeably and competently perform the multi-disciplinary duties needed to ensure that the UD research community goes about its work in a compliant and responsible manner. All University persons performing day-to-day operations aimed at maintaining the integrity of the RCEP 1) have no-known transgressions (past or current) from Program tenets, and 2) have direct access to the Office of the University Research and Regulatory Affairs.

In order to maintain Program effectiveness, the Office of the University Research and Regulatory Affairs oversees and provides a wide spectrum of research-related compliance and ethics training. Training media include web-based presentations and face-to-face presentations. Face-to-face training is offered for groups or individuals, and is offered on regularly scheduled intervals and upon request. Training is typically tailored for students, research-support staff, faculty and other research professionals, across the full spectrum of research-related RCEP topics.

To ensure that UD’s research community adheres to the requirements of the Program, provisions for periodic monitoring and audit are in place. Additionally, the Program offers anonymous avenues for the reporting of University-research activities that may be suspected of being inconsistent with the responsible conduct of research. As a result of an institutional-wide adherence to a Program of recognized and required research-related compliance and ethical morays, UD maintains an ability to provide an open and supportive environment for the conduct of research, while remaining able to quickly identify abhorrent behavior and suspend offenders.

Finally, to help ensure (and confirm) institutional commitment to providing an effective RCEP, the UD Program is periodically assessed internally (with the assistance non-Program University personnel), and modified as necessary to remain aligned with, and responsive to, modifications in federal government and best-practice standards.

Additional information regarding the University RCEP may be accessed by sending an email request to udresearch@udel.edu.

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51630

Policy: General Counsel
Research Misconduct
Policy: General Counsel

Research Misconduct

  1. SCOPE OF PURPOSE
    The Federal Office of Science and Technology Policy (OSTP) defines research misconduct as “fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, performing, or reporting research results.” It is the policy of the University of Delaware to abide by the OSTP policy in all University research. Any intentional distortion of research data or intentional distortions of information or conclusions derived from research data constitutes misconduct in research and is prohibited by University Policy.

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): 6-10

ORIGINATION DATE: January 5, 1988

REVISION DATE(S): June 5, 1989; March 1, 1996, January 2005; June 2005; January 18, 2008; May 14, 2008; August 11, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51414

Procedure: Research Office
Research Office Accounts Receivable Monitoring, Collections and Write-offs Procedure
Procedure: Research Office

Research Office Accounts Receivable Monitoring, Collections and Write-offs Procedure

  1. OVERVIEW
    The University of Delaware is responsible for requesting and collecting funds related to externally sponsored grants and contracts. Ensuring timely receipt of these funds is an important function of the Research Office Billing Team in close coordination with Principal Investigators (PIs), Department/College Administrators, other central administrative offices, and sponsors.

    The Research Office Billing Team completes billing and collections activities for sponsored research programs. These activities are conducted in accordance with sponsor payment terms set forth in contractual agreements. Contractual payment terms generally require the University to submit invoices or cash drawdowns for payment by the sponsor. While the University receives most sponsor payments reliably, there are scenarios which may place receivables at-risk for nonpayment. Common scenarios which require extra attention from the Research Office include:

    • Issues or questions identified with a submitted invoice. Such instances typically require support documentation or a revised invoice be provided to the sponsor.
    • Incorrect or outdated sponsor billing contacts and/or address information. Such instances require follow-up to ensure invoices reach the correct sponsor contact/office for payment.
    • Unwillingness or inability of a sponsor to fulfill their obligation to pay the University in accordance with contractual payment terms. Such instances require internal escalation and may result in a stop work order depending on risk factors involved.

    The goal of this procedure is to minimize financial loss resulting from uncollectible accounts receivables for sponsored research programs at the University. As such, this procedure sets forth guidance for the Research Office Billing Team to proactively:

    • Monitor and collect outstanding accounts receivables in a consistent, timely manner.
    • Write-off accounts receivables balances deemed uncollectible by the University.
  2. DEFINITIONS
    1. Invoice or Cash Drawdown: A formal billing statement requesting a sponsor pay the University in accordance with contractual payment terms.
    2. Accounts Receivables (AR): A monetary balance owed to the University by means of an invoice or cash drawdown. Any unpaid accounts receivables are considered “outstanding”.
    3. AR Aging Report: A list of outstanding accounts receivables categorized by age (total days old) in the University’s financial system. Regular AR aging reports are generated for review:
      1. Monthly for the Research Office Billing Team
      2. Quarterly for the Research Office and Finance
      3. Semi-Annually for the Board of Trustees Finance Committee
    4. AR Monitoring: Administrative activity related to regular review and tracking of outstanding accounts receivables.
    5. Dunning Letter: A formal notice sent to the sponsor requesting payment for outstanding accounts receivables.
    6. Uncollectible AR Balances: Outstanding accounts receivables balances which have virtually no chance of being paid by the sponsor.
      1. The University designates balances as uncollectible after thorough collections efforts have made without receipt of payment from the sponsor.
    7. AR Write-Off: The process of removing uncollectible AR balances from University financials.
  3. RESPONSIBLE PARTIES
    All University faculty and staff who are responsible for administering externally sponsored grants and contracts should be familiar with this procedure.

    The Research Office Billing Team (Billing Coordinators and the Assistant Director of Billing and Receivables) manages billing, collections, and write-off activities for all sponsored projects in close coordination with other central offices, PIs, and departments/colleges. Specific roles and responsibilities are outlined in the matrix below:

     

    Accounts Receivable Monitoring, Collections, and Write-offs Procedure

    Responsible Party
    P = Primary, S = Secondary, O = Oversight, I = Input

    Research Office

    Departments/Colleges

    Action

    Billing Coordinators

    Assistant Director of Billing and Receivables

    Department/ College
    Administrators

    Principal Investigators

    Complete invoices and cash drawdowns per payment terms in the award agreement

    P

    P, O

    I

    I

    Monitor outstanding accounts receivables via the AR Aging Report

    S

    P

    I

    I

    Follow-up with sponsors to determine payment status of outstanding AR

    P

    S, O

    S

    I

    Send Dunning Letter(s) to request payment from sponsors for outstanding AR

    P

    S, O

    I

    I

    Escalate outstanding AR to other individuals (ex: AVP Research Administration, Deans, General Counsel, Finance)

    S

    P

    I

    I

    Complete write-offs for uncollectible AR balances in coordination with other central offices/leadership

    I

    P

    I

    I

     

  4. PROCEDURE GUIDANCE
    Accounts receivables monitoring, collections, and write-off activities will occur per steps outlined in the timeline below, based on the aging category of outstanding receivables. It is critical that communications from the Research Office, PIs, and departments/colleges be both timely and consistent with the steps below to realize high collection rates and maintain a positive working relationship with the sponsor. Below is a standard timeline to guide these activities:

     

    Aging Category

    Collection Resolution Steps

    30 days
    Current AR

    No collections action is required for AR items outstanding for 30-days or less, as these are considered current by the University.

    31-90 days
    Billing Coordinator Follows-Up via Email

    Billing Coordinators will:

    • Include past due amounts on subsequent invoices.
    • Request the sponsor provide payment status for all outstanding AR items when submitting subsequent invoices for payment.
    • Document collections efforts and sponsor correspondence via receivables comments in the University Financial System.

    The Assistant Director of Billing and Receivables will:

    • Review outstanding AR collections via the monthly AR Aging Report.

    91-120 days
    Billing Coordinator Follows-Up via Email, Phone, and Dunning Letter

    Billing Coordinators will:

    • Include past due amounts on subsequent invoices.
    • Request the sponsor provide payment status for all outstanding AR items when submitting subsequent invoices for payment.
    • Take additional steps to contact the sponsor via phone calls, follow-up emails, and other contact points.
    • If 2-4 weeks pass by and no response is received regarding outstanding items, issue a Dunning Letter to formally request sponsor payment.
    • Document collections efforts and sponsor correspondence via receivables comments in the University Financial System.

    The Assistant Director of Billing and Receivables will:

    • Review outstanding AR collections via the monthly AR Aging Report.

    121-180 days
    Billing Coordinator Follows-Up via Email and Escalates Items to the PI and Department/College Administrator

    Billing Coordinators will:

    • Include past due amounts on subsequent invoices.
    • Request the sponsor provide payment status for all outstanding AR items when submitting subsequent invoices for payment.
    • Alert the PI and Department/College Administrator of unsuccessful collections efforts. Request them to contact the sponsor for resolution.
    • Document collections efforts and sponsor correspondence via receivables comments in the University Financial System.

    The PI and/or Department/College Administrator will:

    • Contact the sponsor to request payment status of outstanding AR and copy the Billing Coordinator. Notify the Billing Coordinator of any other attempted correspondence and/or resulting information obtained.

    The Assistant Director of Billing and Receivables will:

    • Review outstanding AR collections via the monthly AR Aging Report.

    181-365 days
    Billing Coordinator Follows-Up via Email; Assistant Director Escalates Items to the AVP Research Administration and consults University General Counsel

    Billing Coordinators will:

    • Include past due amounts on subsequent invoices.
    • Request the sponsor provide payment status for all outstanding AR items when submitting subsequent invoices for payment.
    • Document collections efforts and sponsor correspondence via receivables comments in the University Financial System.

    The Assistant Director of Billing and Receivables will:

    • Review collections and outstanding receivables via the monthly AR Aging Report.
    • Alert the PI, Department/College Administrator, College Business Officer, Dean, and AVP Research Administration, and Finance of unsuccessful collections efforts.
    • Coordinate with appropriate parties to determine if work should continue based on financial risk.
    • Consult with University General Counsel to determine legal recourse if deemed necessary.

    >365 days
    Assistant Director Escalates to Dean, AVP Research Administration, and Finance; University Determines
    Write-Offs for Uncollectible Balances

    The Assistant Director of Billing and Receivables will:

    • Review collections and outstanding receivables via the monthly AR Aging Report.
    • Alert the PI, Department/College Administrator, College Business Officer, Dean, AVP Research Administration, and Director of Cost Accounting of unsuccessful collections efforts.
    • Coordinate with appropriate parties to determine if outstanding AR balances are uncollectible.

    If all collections efforts fail, including applicable legal recourse, the AR balance will be deemed uncollectible and be written off by the University. All write-offs must be approved by both the Research Office and Finance prior to processing.

  5. ADDITIONAL SCENARIOS

    Below are additional scenarios requiring actions outside of the above standard timeline:

    1. Sponsor Refusal to Pay Due to Identified Billing Issues: The sponsor may refuse payment due to a billing issue, such as unallowable costs included, additional backup required, and/or format updates needed for an invoice. In these instances:
      1. The Billing Coordinator will work to resolve any billing errors via a revised invoice and/or provide additional backup detail to the sponsor.
    2. Sponsor Refusal to Pay Due to Inadequate Work Performance: The sponsor may refuse payment due to inadequate work performance (pending deliverables, reports, and other technical functions for which the University is contractually obligated). In these instances:
      1. The Billing Coordinator will notify the Assistant Director of Billing and Receivables and request the PI and Department/College Administrator reach a resolution with the sponsor within 2-weeks time:
        1. If resolution is not reached in 2-weeks, the Billing Coordinator will send a reminder to the PI and Department/College Administrator.
        2. ii. If resolution is not reached in 4-weeks, the Billing Coordinator will send a reminder to the PI and Department/College Administrator, copying the PI’s Chair, Dean and/or College Business Officer.
      2. Depending on risk factors involved, a meeting may be scheduled with the AVP Research Administration and other appropriate parties to discuss whether work should continue.
    3. Sponsor Refusal to Pay Due to Unwillingness/Inability: If a sponsor refuses to pay due to their belief that the receivable is not their obligation, or due to their inability to pay, the PI and Assistant Director of Billing and Receivables should be notified immediately.
      1. The Assistant Director of Billing and Receivables will escalate the situation to the AVP Research Administration and appropriate parties will review the validity of the claim, determine whether additional work should continue based on applicable risk factors, and consult with University General Counsel for legal recourse.
      2. If a sponsor has defaulted on a debt, the AVP Research Administration will consult with the VP Research, Innovation, and Scholarship to determine if further contract assignments should be accepted by the University.
      3. A stop work order may be issued based on University review of risk factors involved.
        If the PI continues work after issuance of a stop work order, the PI and his/her department will become wholly responsible for all additional deficits that occur after the date of the stop work order.

 

Procedure Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

REVISION DATE(S): 9/16/19

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51447

Form: Research Office
Research Subaward Agreement: Attachment 3B – (Page 1)
Form: UD Research Office

Research Subaward Agreement: Attachment 3B – (Page 1)

Page 1 of the Research Subaward Agreement that is needed for FFATA reporting. Important to have both pages filled out.

Related Links

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: September 2, 2017

REVISION DATE(S): 02/28/2024, 02/28/2022

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51494

Form: Research Office
Research Subaward Agreement: Attachment 3B – (Page 2)
Form: UD Research Office

Research Subaward Agreement: Attachment 3B – (Page 2)

Research Subaward Agreement Page 2 which needs to be filled out for FFATA reporting.

Related Links

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: September 3, 2021

REVISION DATE(S): 2/28/2022

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51495

Policy: Research Office
Research vs. Quality Assurance / Improvement Guidance
Policy: Research Office

Research vs. Quality Assurance / Improvement Guidance

The Department of Health and Human Services (DHHS), Office of Human Research Protections (OHRP), federal regulations that govern human subjects research (45 CFR 46) requires research with human subjects to be reviewed and approved by an Institutional Review Board (IRB) prior to initiation.

To determine whether a project constitutes research or QA/QI can be challenging. The IRB does not have the authority to retrospectively review a protocol or provide retroactive approval. It is therefore important to determine whether an activity meets the criteria for human subjects research or a QA/QI initiative BEFORE the activity is initiated.

Use this resource for additional guidance.

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

 

Policy Details:

OWNER: Maria Palazuelos

RESPONSIBLE OFFICE: Research Office: UD Research Regulatory Affairs

ORIGINATION DATE: June 1, 2022

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=98100

Policy: General Counsel
Residual Balance Transfer
Policy: General Counsel

Residual Balance Transfer

  1. POLICY

    The Residual Balance policy sets forth the final disposition of residual balances on Fixed-Price, Fixed-Rate, and Non-Refundable grants and contracts at the University of Delaware (UD) in which no designation was made by the sponsor as to the use of any unexpended balance.

    This policy sets forth the requirements for justification, approval, and management of unexpended balances for Fixed-Price, Fixed-Rate or Non-Refundable contracts. If assurances and justifications are provided per this policy, an unexpended balance may be transferred to the appropriate residual account defined by the administering department.

    Residual balances will be distributed proportionately between direct costs and F&A costs, with the direct cost amount being transferred to the administering department. The F&A costs will be transferred to the Central F&A pool.

    All residual balance requests require a Residual Balance Transfer form be completed and submitted to the Research Office for processing.

Related Links

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

 

Policy Details:

OWNER: Vice President for Research, Scholarship & Innovation

SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 5-21

ORIGINATION DATE: December 2, 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=69490

Form: Research Office
Residual Balance Transfer Request Form
Form: Research Office

Residual Balance Transfer Request Form

Use this form if a residual funding balance remains on a fixed-price sponsored program after all allocable direct and F&A costs have been charged, the PI may use this form to request the residual amount be transferred to a non-sponsored departmental account per the Residual Balance Policy. Residual balances will be distributed proportionately between direct costs and F&A costs, with the direct cost amount being transferred to the administering department. Email completed forms to your Sponsored Research Accountant for final Research Office approvals and processing.

Related Links

 

Form Details:

OWNER: Vice President for Research, Scholarship & Innovation

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: December 2, 2020

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=69666

Policy: General Counsel
Respiratory Protection
Policy: General Counsel

Respiratory Protection

  1. SCOPE OF PURPOSE
    To establish uniform administrative procedures and minimum requirements related to respiratory protection. …

N.B. As used in this Policy the term employee includes students.

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): 7-32

ORIGINATION DATE: September 2, 1988

REVISION DATE(S): 23-Apr-90

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51604

Policy: General Counsel
Safe Use and Storage of Compressed Gas Cylinders
Policy: General Counsel

Safe Use and Storage of Compressed Gas Cylinders

  1. PURPOSE
    To establish a policy on safe use and storage of compressed gas cylinders.
  2. POLICY
    To implement a safety policy on the use and storage of compressed gas cylinders so as to reduce the risk to students, staff, faculty, and the general public. To ensure the safe handling and storage of compressed gas cylinders at the University, the following rules shall be followed: …

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): 7-24

ORIGINATION DATE: May 5, 1982

REVISION DATE(S): June 5, 1989; May 1, 1996; January 12, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51585

Procedure: Environmental Health and Safety
Safety Education
Procedure: Environmental Health and Safety

Safety Education

For training information or availability please review the Department of Environmental Health & Safety educational class schedule or contact DEHS or call 831-8475.

 

Procedure Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51606

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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