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 (222 Entries)
Policy: Safety
Safety Responsibilities during Laboratory Principal Investigator Leaves/Absences
Policy

Safety Responsibilities during Laboratory Principal Investigator Leaves/Absences

  1. PURPOSE
    To ensure the safety of laboratory workers during periods when the laboratory principal investigator is absent.
  2. DEFINITIONS
    1. Laboratory Principal Investigator: A University employee who has been assigned responsibility for the oversight of laboratory operations in a given research space or environment. It is expected that these persons will be faculty or professional staff.
    2. Department Head: The University employee to whom the Laboratory Principal Investigator reports. This is normally the Department Chair or Director.
  3. BACKGROUND
    The University assigns responsibilities to each individual for conducting their activities in a safe and compliant manner. There are any number of situations where a Laboratory Principal Investigator may be absent from the lab. Examples of these situations include but are not limited to: sabbatical leaves, medical leaves, maternity/paternity leaves, vacations, unpaid summer interns, and FMLA qualifying leaves. It is critical that a qualified individual be identified to address the routine as well as unique safety concerns that may arise during such absences.

    Laboratory Principal Investigators hold increased responsibility for safety in laboratory and other research operations (e.g. field work) in that they must monitor and enforce safety requirements and practices to assure that faculty, students, staff, and visitors adhere to these protections. Department heads must audit the performance of the Laboratory Principal Investigator with respect to safety issues and address deficiencies as appropriate.

  4. POLICY
    1. Whenever a Laboratory Principal Investigator will not be present in the laboratory for an extended period of time it is their responsibility to designate a colleague to oversee their laboratory operations with respect to safety procedures and requirements. The person designated must be familiar with the hazards of the operations begin conducted in the lab or research environment and be empowered to address concerns as they arise. Examples could be a faculty member, the Department Chemical Hygiene Officer, a full-time research associate or limited term researcher; however, the individual must be a University of Delaware employee. Graduate students are not permitted to be designated as the responsible supervisor.
    2. If  a Laboratory Principal Investigator experiences an unexpected medical leave, the responsibility to locate an appropriate responsible supervisor will lie with the Department Head.
    3. The Laboratory Principal Investigator must notify their Department head of who will be assuming responsibility for all safety aspects of their laboratory operations.
    4. The Department head and and Laboratory Principal Investigator must be in agreement that the selected person has the experience, knowledge and background to assume the responsibilities.
    5. The Laboratory Principal Investigator must communicate the name of this responsible individual to the Department Safety Committee and the Department of Environmental Health and Safety was well as list the name and contact information of the responsible individual on the emergency contact card posted at the laboratory.

For further clarification or questions regarding this policy please contact the Department of Environmental Health and Safety at 831-8475.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): Jul-50

ORIGINATION DATE: November 1, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51609



Procedure: Safety
Scheduling a Chemical Waste Pick-Up
Procedure

Scheduling a Chemical Waste Pick-Up

When your waste container is full, please complete the Waste Pick-Up Form to request a waste pick-up. The waste pickup request form is a University of Delaware web form. To use this form you must log in using your UdelNet ID and Password. You will be asked to provide the following information: your name, department, phone number, location of the waste, and the quantity of waste to be picked up. Waste is picked up from locations on a weekly basis. If you are unable to complete the form, please contact the Department of Environmental Health & Safety at 831-8475.

Example of Chemical Waste Label

Chemical Waste Label

Questions regarding chemical waste disposal may be addressed to EHS 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=51560



Procedure: Human Subjects in Research
Schematic Representations of a Study Examples
Procedure

Schematic Representations of a Study Examples

Schematic representations of a study are a quick ‘snapshot’ aimed to depict the involvement of research subjects from recruitment to end of study. This document presents examples of different schematics that show the level of detail needed to convey an overview of the study design. The examples included are intended to guide the development of a schematic that is appropriate to the planned study design and will need to be customized for each protocol. Depending on the nature of the study, one example may be more appropriate than another. Study-specific information should be use to modify the example chosen as needed (e.g., changing method of assignment to study group, adding visits, study arms, etc.)

 

Procedure Details:

OWNER: Maria Palazuelos

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 14, 2019

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51670



Policy: Safety
Secondary Phone Lines
Policy

Secondary Phone Lines

  1. PURPOSE
    To establish a review, approval and notification procedure governing the installation of extension phone lines to ensure maximum effectiveness of the enhanced 911 system.
  2. DEFINITIONS
    Secondary: An extension of a primary phone line which shares the same telephone number as the primary phone.
  3. SCOPE
    This policy applies to new construction, existing facilities, upgrading/changing phone system designs or specifications, and any other modifications to existing or planned telephone systems.
  4. POLICY
    1. Secondary telephone lines are allowed in the following circumstances:
      1. a maximum of two secondary phone lines on a primary line provided they are on the same floor of the same building.OR
      2. a maximum of one secondary line on a primary line on different floors of the same building.
    2. Installation of a secondary phone line is permitted only in the same building as the primary phone line.
    3. All telephone installation specifications must comply with standards established by University Telephone Services.
    4. All telephone locations associated with secondary phone lines shall be programmed into the enhanced 911 system.
    5. Requests for exemption to these requirements shall be addressed by the Director of Public Safety or their designee.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Facilities, Real Estate and Auxiliary Services Policies

RESPONSIBLE OFFICE: Facilities, Real Estate and Auxiliary Services

POLICY NUMBER (Legacy): Jul-45

ORIGINATION DATE: September 1, 1997

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51610



Form: Contracts and Grant Management
Single Point of Contact (SPoC) Form
Form

Single Point of Contact (SPoC) Form

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: State of Delaware: Office of Management and Budget

RESPONSIBLE OFFICE: State of Delaware: Office of Management and Budget

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51487

Form: Contracts and Grant Management, Research Agreement Templates
Small Business Innovative Research (SBIR) Agreement
Form

Small Business Innovative Research (SBIR) 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.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

[/if 1579] Email https://research.udel.edu/forms-policies-procedures/?entry=51488

Form: Contracts and Grant Management, Research Agreement Templates
Small Business Technology Transfer Program (STTR) Agreement
Form

Small Business Technology Transfer Program (STTR) 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.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

[/if 1579] Email https://research.udel.edu/forms-policies-procedures/?entry=51489

Policy: University
Space Needed for Externally Sponsored Agreements
Policy

Space Needed for Externally Sponsored Agreements

  1. PURPOSE
    To provide a financial mechanism for for sponsored activity.
  2. POLICY
    1. When additional space is needed to support an externally sponsored activity and when funds to rent such space can be negotiated with sponsors, it is financially preferable to charge such rents directly to the sponsored agreements.
    2. A suitable alternative to item II.A., above, if it can be negotiated with the sponsor, is to apply a rate higher than the rate normally charged by the University (e.g., negotiate an on-campus rate when a lower off-campus rate would normally be applied by the University).
    3. While total indirect cost recoveries continue to increase each year, a few exceptions may be considered whereby space costs needed for externally sponsored agreements may be related ($1 to $1) to the indirect costs received by that agreement.
    4. In the event total indirect costs level off or decrease in the future, item II.C. will be reconsidered.
  3. PROCEDURES
    1. The length of any lease will correspond to the term of the sponsored agreement and, if extension in the agreement is indefinite, the language of the lease must allow the University to terminate the lease if the activity is terminated by the Sponsor.
    2. When space is charged directly to an agreement under II.A., above the resulting costs are to be excluded from the calculation of indirect cost rates.
    3. The University’s Basic Budget for Rental Expense and Indirect Cost Revenues will be increased by the amount of the annual space costs by the Budget Office under II.B. and C., above.
      1. The codes for these rentals are to be unique so they can readily be identified.
    4. In the distribution of indirect costs back to the department and college under item II.B., above, the space costs are to be charged to the excess indirect costs received as a result of negotiating the higher rate.
    5. In the distribution of indirect costs back to the department and college under item II.C., above, space costs are to be shared proportionately by the University, college and department.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 12-Jun

ORIGINATION DATE: October 20, 1992

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51415



Procedure: Export Regulations (ITAR/EAR/OFAC)
Specially Designated Nationals And Blocked Persons List (SDN)
Procedure

Specially Designated Nationals And Blocked Persons List (SDN)

​As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called “Specially Designated Nationals” or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from dealing with them. Click here for more information on Treasury’s Sanctions Programs.

 

Procedure Details:

OWNER: US Treasury Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51453



Policy: Contracts and Grant Management
Sponsored Project Cost Transfer Policy
Policy

Sponsored Project Cost Transfer Policy

  1. SCOPE OF POLICY
    This policy outlines University of Delaware (“UD” or “University”) requirements for cost transfers to or from a sponsored project, and applies to all University departments, units, faculty, staff and students involved in externally sponsored research.
  2. DEFINITIONS
    1. Cost Transfer – An after-the-fact reallocation of a cost to or from a sponsored project. Cost transfers must meet conditions for allocability, allowability, reasonableness and consistency established under federal guidelines.
    2. Untimely Cost Transfer – An after-the-fact reallocation of a cost from or to a sponsored project that is submitted more than 90 days after the original transaction date.
    3. Cost Principles – Fundamental conditions for ensuring costs are permissible on a sponsored project, including:
      1. Allowability or Allowable – Costs must be permissible under the terms and conditions of the award, including the authorized budget and applicable regulations
      2. Allocability or Allocable – Costs must provide a sole benefit to the sponsored project or provide proportionately assignable benefits to the sponsored project.
      3. Reasonableness or Reasonable – Both the nature of the goods or services acquired and the amount paid must reflect the action that a prudent person would have taken at the time the decision to incur the cost was made.
      4. Consistency – Application of costs must be given consistent treatment within established University policies and procedures; costs for the same purpose must be treated and classified the same way under like circumstances.
    4. Principal Investigator (“PI”) – The individual designated in a grant or contract to be responsible for ensuring compliance with the academic, scientific, technical, financial and administrative aspects and for day-to-day management of the sponsored project (grant or contract).
    5. Sponsored Projects – Externally-funded activities in which a formal written agreement (i.e., a grant, contract, or cooperative agreement) is entered between the University and the sponsor.
  3. POLICY STATEMENT
    The purpose of this policy is to ensure University compliance with applicable cost principles and federal regulations set forth for cost transfers per Office of Management and Budget (OMB) Circular A-21 and Uniform Guidance 2 CFR 200. Key guidelines under this policy include:

    • Cost transfers must meet conditions for allocability, allowability, reasonableness and consistency established under federal guidelines.
    • It is the primary responsibility of a PI, with support of the department research administrator and the department chair, to determine if all cost transfers are allowable, allocable, reasonable, and applied consistently.
    • Cost transfers should be submitted within 90 days from the date the transaction is originally charged to the sponsored project and must be fully documented and have appropriate authorization.
  4. POLICY STANDARDS AND PROCEDURES
    1. Allowability Considerations
      1. The University recognizes that cost transfers are sometimes necessary to correct bookkeeping or clerical errors in the original charges and to allocate closely related work that may support more than one project.
      2. Cost transfers must meet conditions for allocability, allowability, reasonableness and consistency established under federal guidelines.
      3. It is the primary responsibility of a PI, with support of the department research administrator and the department chair, to determine if all cost transfers are allowable, allocable, reasonable, and applied consistently.
      4. Under no circumstances may costs that benefit one sponsored project be charged temporarily on another sponsored project. Failure to adhere to this procedure will result in improper financial reporting and inappropriate reimbursement from the sponsor.
      5. Frequent, late, and inadequately explained transfers, especially those involving projects with cost overruns or unexpended balances, raise serious questions about the propriety of cost transfers and call internal fiduciary controls into question. This may result in audit disallowances and monetary paybacks including penalties and fines.
      6. The table below provides common examples for determining whether a cost transfer is generally allowable, questionable, or unallowable:
    2. Generally Allowable

      Questionable

      Generally Unallowable

      • Correcting clerical errors or mistyped entries
      • Transferring approved pre-award costs from non-sponsored funds to sponsored projects
      • Reallocating costs originally charged to a central administrative location, or when multiple projects benefit
      • Reallocating salary expenses to match effort distributions
      • Transferring between the primary project and subprojects, unless otherwise restricted by the terms and conditions of the award
      • Transferring when prior written approval has been received from the sponsor
      • Reallocating expenses between sponsored projects when one is in overdraft
      • Transferring expenses to bring an available balance to zero
      • Correcting salary which has previously been certified in an effort report
      • Transferring an expense that has previously been transferred on a separate occasion
      • Transferring expenses incurred after the sponsored project end date
      • Transferring expenses with insufficient supporting information or justification (“to correct error” or “to transfer to correct project” are not considered sufficient reasons for transfers)
      • Transferring split expenses without an adequate basis or insufficient documentation for determining whether the split is appropriate due to insufficient documentation
      • Transferring expenses between award project periods
      • Untimely cost transfers without justification for the delay and an extraordinary situation adequately documented
  5. Timeliness of Cost Transfers
    1. Original charges should be directed to the appropriate benefiting sponsored project. If it is necessary to process a cost transfer that involves a sponsored project, a journal voucher should be initiated promptly and contain sufficient documentation and justification to support the cost transfer that would stand the test of a formal audit.
    2. The timeliness of a cost transfer is determined based upon a 90-day threshold period, calculated from the last day of the month in which the charge first posted in the general ledger.
    3. Untimely cost transfers occurring after the 90-day threshold period must document answers to a series of questions to justify the appropriateness of the transfer. These questions include:
    4. Cost transfers to remove charges that do not meet the cost principles outlined in Uniform Guidance 2 CFR Part §200, Subpart E must be completed regardless of timing.
  6. Supporting Documentation
    1. Cost transfer documentation must indicate that the PI has approved or directed the transaction.
    2. Adequate documentation related to the cost transfer and original expense must be attached to the journal voucher and kept on file within the department until the record retention requirement has been satisfied.
  7. Cost Transfer Approvals and Authorization
    1. All cost transfers will be routed electronically to an administrator other than the originator for approval, and the PI will be copied.
    2. Untimely cost transfers will be routed electronically for Research Office review and approval.
  8. PI/Department Responsibilities
    1. Review sponsored research projects on a regular basis (at least monthly) to ensure that all expenditures charged are correct and appropriate.
    2. Submit and approve cost transfers in compliance with university policy and procedures.
    3. Retain all supporting documentation of the cost transfer in accordance with applicable records retention regulations and University policies.
    4. Ensure that all personnel engaged in financial administration of federally-funded sponsored projects are familiar with the University cost transfer policy.
  9. Research Office Responsibilities
    1. Develop and implement cost transfer procedures in accordance with the regulations outlined in Uniform Guidance 2 CFR 200, Subpart E – Cost Principles.
    2. Assist in the interpretation and implementation of the cost transfer policy.
    3. Provide final approval for untimely cost transfers.
    4. Periodically review cost transfers to ensure compliance with University and federal regulations.

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): 18-Jun

ORIGINATION DATE: July 8, 2009

REVISION DATE(S): 21-Jul-15, 07-Feb-20

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51416



Form: Contracts and Grant Management
Sponsored Research Program Income Procedure & Routing Form
Form

Sponsored Research Program Income Procedure & Routing Form

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

[/if 1579] Email https://research.udel.edu/forms-policies-procedures/?entry=51490

Form: Contracts and Grant Management, Research Agreement Templates
Standard Confidentiality and Nondisclosure Agreement
Form

Standard 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.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

[/if 1579] Email https://research.udel.edu/forms-policies-procedures/?entry=51491

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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