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
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (222 Entries)
Form: Safety
Standard Operating Procedure/Approval Form for Highly Toxic Materials
Form

Standard Operating Procedure/Approval Form for Highly Toxic Materials

This form deals with Chemical Hygiene. 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.

Instructions: Please complete this form to request approval to use and possess highly toxic material from the University Chemical Hygiene Committee as required by Chapter 12 of the University Chemical Hygiene Plan and University Policy 7-37.

Submit a separate form for each chemical. Copies of the current guidelines and Chemical Hygiene Plan are available at the DEHS web site: http://www.udel.edu/ehs. For questions, please contact the University Chemical Hygiene Officer at 831-8475.

Form Updated: January 2007

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51534

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

Standard Research 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.

This is a research agreement template between a company and the University of Delaware.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 19, 2010

REVISION DATE(S): 1/31/2012, 10/01/2012, 9/19/2014, 5/08/2019, 9/19/2019

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51485

Form: Contracts and Grant Management, Research Agreement Templates
Standard Service Agreement
Form

Standard Service 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

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51492

Form: Safety
Statement of Training and Experience for X-Ray Users
Form

Statement of Training and Experience for X-Ray Users

This form deals with Radiation Safety. 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.

Record of various forms of education, training, and experience with X-ray equipment.

 

Form Details:

OWNER: Environmental Health & Safety

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51554

Policy: Safety
Storm Water Management
Policy

Storm Water Management

  1. PURPOSE
    To assure that University operations comply with best practices for the protection of storm water and comply with the 40CFR Part 122 EPA administered permit programs: The National Pollutant Discharge Elimination System (NPDES).
  2. BACKGROUND
    The EPA has regulated known discharges of contaminates from businesses and industry to surface water for many years. The majority of pollution to surface water now comes from non-specific sources such as pesticide over-applications, motor oil from poorly maintained vehicles, and run off carrying animal waste, construction sediment, etc. In an effort to address this type of pollution, the EPA’s storm water management requirements were established to guide municipalities to reduce contamination of this nature and to educate the public concerning best practices to protect surface water. Procedures to identify and remediate illicit discharges to storm water systems are also part of storm water protection programs.
  3. POLICY
    Under this policy it is not permitted for any University employee, student or contractor to place any chemical or chemical containing solution into a drain that leads to the storm water system without prior approval from Environmental Health & Safety.

    The University in partnership with the City of Newark is committed to implementing a storm water management program that addresses the four areas of public education and outreach, public involvement and participation, illicit discharge and removal, and construction site runoff control.

    The University will complete the requirements set forth in the permit obtained through the State of Delaware Department of Natural Resources and Environmental Control. At a minimum the following units will have involvement in the program and will report their activities as required to Environmental Health & Safety:

    1. Facilities Planning and Construction
    2. Facilities Operations and Maintenance
    3. Human Resources
    4. Student Centers
    5. College of Agriculture and Natural Resources
    6. University Relations
    7. University Farm
    8. Student Life
    9. Facilities Administration
    10. Environmental Health and Safety
    11. Campus & Public Safety

For more information regarding storm water management or to view permit requirements please visit Environmental Health & Safety website or contact 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-49

ORIGINATION DATE: January 11, 2004

REVISION DATE(S): January 13, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51611



Policy: Contracts and Grant Management, Research Administration
Subaward Management Policy
Policy

Subaward Management Policy

  1. SCOPE OF POLICY
    This policy sets forth requirements for issuance and administration of outgoing subawards and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware (UD).
  2. DEFINITIONS
    1. Sponsor or Sponsoring Agency or Prime Sponsor – An external entity responsible for providing project funding to UD under a formal award agreement. Also known as Prime Sponsor.
    2. Sponsored Award or Prime Award – A formal award agreement issuing funding from an external sponsoring agency to UD to achieve specified project goals. Also known as Prime Sponsored Award.
    3. Pass Through Funds – Funds originally issued to UD which are subsequently transferred to a subrecipient to implement sponsored award activities.
    4. Subrecipient – An external entity that receives pass-through funds via a subaward from UD to implement a specified portion of sponsored award activities. Also known as subawardee, subgrantee, or subcontractee.
    5. Contractor – An external entity that receives funding from UD via a procurement contract to provide goods or services related to the sponsored award. Examples of external contractors include a Consultant, Vendor, or Service Provider relationship.
    6. Subaward – A formal award agreement issuing pass through funds from UD to a subrecipient to implement a specified portion of sponsored award activities. Also known as a subagreement, subgrant, or subcontract.
    7. Procurement Contract – A formal contract agreement issued from UD to a contractor to provide specified goods or services under the prime sponsored award.
    8. Single Audit – A compliance and financial audit required of any institution receiving over $750,000 in federal funds to assure effective management and use of funds. Also known as the “A-133” audit.
    9. Authorized Institutional Official – An individual officially designated with institutional authority to legally bind UD in grants administration matters.
    10. Federal Funding Accounting and Transparency Act (FFATA) – A 2006 act of Congress that requires information on federal awards to be made available to the public via www.USASpending.gov
  3. POLICY STATEMENT
    The objective of this policy is to provide guidance to Principal Investigators (PIs), Department/College Administrators, Research Office Administrators, and other responsible UD parties for issuing and administering outgoing subawards.

    Key administrative activities related to subaward management include:

    • Accurate determination of external collaborators as subrecipients or contractors.
    • Inclusion of subawards during UD proposal submissions.
    • Assessment of subrecipient risk level prior to subaward issuance or modification.
    • Incorporation of applicable monitoring requirements into subaward terms and conditions based on risk level.
    • Issuance or modification of subaward agreements in coordination with subrecipients.
    • Monitoring of programmatic and financial activities associated with the subaward.
    • Termination of a subaward via normal closeout activities or extenuating circumstances
  4. POLICY STANDARDS AND PROCEDURES
    1. General Considerations
      1. UD may issue an outgoing subaward to a subrecipient to conduct a specified portion of the work performed under a sponsored award. As the prime recipient of the sponsored award, UD is obligated to undertake certain stewardship activities to ensure the subrecipient:
        1. Possesses adequate technical expertise and potential ability to successfully perform their scope of work in alignment with the prime sponsored award objectives.
        2. Proposes an appropriate budget for their applicable scope of work.
        3. Manages funds and meets performance goals stipulated by the prime sponsored award.
        4. Complies with governing laws, regulations, and special terms and conditions associated with the prime award; this includes compliance with federal regulations set forth per Uniform Guidance including 2 CFR 200.330 as applicable for federal and federal flow-through awards.
      2. UD PIs are responsible for initiating the request for UD engagement with a subrecipient. This request typically occurs during proposal submission, but may also occur during the course of the award:
        1. Upon funding of a proposal, the prime sponsored award issued to UD typically includes specific authorization and an explicit budget for any proposed subawards.
        2. Occasionally, the need for a subaward develops after a sponsored award has already been issued to UD. These instances may require UD to obtain prior written approval from the sponsor to issue a subaward; please confirm prior approval requirements with the Research Office.
    2. Subrecipient v. Contractor Determination
      1. The appropriate classification of a subaward or other procurement action at the time a sponsored award is proposed and funded is essential for ensuring:
        1. Proper budgeting and accounting for related costs.
        2. Adherence to applicable compliance requirements for subrecipients versus contractors.
      2. UD utilizes a standard “Provider Category Determination Worksheet” (PCDW) to correctly classify UD’s substantive relationship with an external collaborator as that of a subrecipient or contractor.

         

        Subrecipient Characteristics:

        Contractor Characteristics:

        • Performs substantive programmatic work related to the sponsored award
        • Bears responsibility for programmatic decision making
        • Is accountable for measurable performance requirements
        • Must adhere to compliance requirements specified by the sponsored award
        • Provides goods or services which are ancillary to the sponsored award operations
        • Normally operates in a competitive environment
        • Provides similar goods or services to many different purchasers
        • Is not subject to compliance requirements of the sponsored award

        Use of Judgement: All characteristics listed above may not be present in all cases. UD will use its judgment in correctly classifying the relationship between UD and an external entity.

      3. Key considerations utilized for subrecipient versus contractor determination are outlined below:
      4. In determining whether an agreement between UD and an external entity casts the latter as a subrecipient or a contractor, the substance of the relationship is more important than the form of the agreement. As such, UD must use judgment in classifying each agreement as a subaward or a procurement contract, as certain characteristics outlined above may not be present in all cases.
    3. Subaward Issuance and Modifications
      1. The Research Office prepares, issues and administers subawards jointly with the UD PI and his/her unit administration to ensure subrecipient compliance with the prime sponsored award.
      2. Subawards may only be issued, modified and executed on behalf of the University by an authorized institutional official with delegated signature authority.
        1. A UD PI or other unauthorized individual may not approve a subrecipient to begin working without a fully-executed subaward from UD. Subrecipients that prematurely commence work do so at their own risk, and have no assurance of payment from UD.
        2. UD is a member of the Federal Demonstration Partnership (FDP) and requires utilization of standard FDP templates to expedite subaward execution when possible.
        3. Subaward modifications are executed by UD in accordance with any modifications to the prime sponsored award (e.g. incremental funding or renewal), or as a result of actions required due to subrecipient monitoring (e.g. changes to a subaward’s terms and conditions). Subaward modifications are normally issued annually to coincide with routine monitoring activities
      3. Components below must be completed prior to UD issuance or modification of a subaward:
        1. Establishment of the prime sponsored award in UD’s financial system.
        2. Establishment of the subaward purchase order requisition or amendment.
        3. Confirmation that subrecipients receiving federal or federal flow through funds have a DUNS# and an active SAM registration.
        4. Completion of subrecipient risk assessment or monitoring activities per subsequent sections of this policy. UD reserves the right not to enter into a subaward or terminate an existing relationship wherein the risk of engagement is deemed too high or excessive.
      4. Key items outlined in the subaward agreement issued by UD should include:
        1. Payment Terms
          1. Subawards are typically issued on a cost-reimbursement basis by UD.
          2. UD will issue a fixed price subaward with a predetermined payment schedule under limited circumstances. Fixed price awards typically:
            1. Require prior written approval (or waiver thereof) by the sponsor.
            2. Require a specific project scope in alignment with prime sponsored award objectives, wherein subrecipient accountability is based on performance and results.
            3. May not exceed $150,000 funds wherein:
              1. The fixed funding amount is based on adequate cost, historical, or unit pricing data used to reasonably estimate actual costs.
              2. Payments are based on meeting requirements of the sponsored award.
              3. Mandatory cost sharing or match is not required by the sponsored award.
              4. The subrecipient will realize no increment above actual costs.
            4. Must specify and utilize one of the following payment methods:
              1. Payments made for a set of specific milestones agreed upon prior to work performed and set forth in the prime sponsored award.
              2. Payments made on a per-unit basis at defined prices agreed upon prior to work performed and set forth in the prime sponsored award.
              3. Lump sum payment made at time of award completion.
        2. Authorized Funding Amount and Period of Performance
          1. Subawards will be issued and modified in alignment with their allotted budget amount and timeline authorized per UD’s prime sponsored award.
          2. Subawards are normally issued annually to coincide with routine monitoring activities. Only in unique situations will a subaward be issued in increments greater than one year.
        3. Facilities and Administrative Costs (F&A)
          1. UD personnel may not require/suggest subrecipients forego their entitled F&A.
          2. UD will issue a subaward using the subrecipient’s federally negotiated F&A rate except under circumstances specified below:
            1. UD and subrecipients are required to limit total F&A to a cap specified per written sponsor policy or the funding opportunity.
            2. If the subrecipient does not have a federally negotiated F&A rate, a de miniumus 10% F&A rate will be used on the subaward’s Modified Total Direct Costs (MTDC) per Uniform Guidance 2 CFR 200.414. Subrecipients which have had a federally negotiated F&A rate in the past are not eligible for the de minimus 10% F&A rate.
    4. Subrecipient Risk Assessment and Monitoring
      1. It is UD’s policy to complete a risk assessment prior to issuing a subaward/amendment, no less than annually. This ensures that the most appropriate subrecipient monitoring plan is:
        1. Developed based on a standardized process,
        2. Communicated to the subrecipient, and
        3. Documented in the terms of the subaward
      2. UD’s risk assessment categorizes a subrecipient as “Low”, “Moderate” or “High” risk based on a predetermined set of risk factors. Typical implications for subrecipient monitoring based on their assigned risk level are outlined below:

         

        Risk Level

        Subrecipient Monitoring Guidelines

        Low Risk

        Check all subrecipient invoices to confirm they:

        • Adhere to the required format as specified in the subaward agreement which requires inclusion of the following:
          • UD Purchase Order Number
          • UD Award Number
          • Invoice line items per the approved subaward budget
          • Current and Cumulative Totals by budget category (including Cost Share)
          • A signed certification statement as to the accuracy and appropriateness of the charges from an authorized Subrecipient Institutional Official
        • Are within the allowable subaward project period start and end dates
        • Contain F&A charges calculated in accordance with the subrecipient’s federally negotiated F&A rate agreement
        • Contain billed amounts which appear reasonable based on technical progress towards project goals
        • Do not contain any unallowable charges such as alcohol, meals, postage, office supplies or other unallowable items except where specifically authorized as per the subaward agreement
        • For Final Invoices, invoices are clearly marked “FINAL” and accompanied by the Subaward Closeout Form.

        Note: A subrecipient invoice will not be approved for payment until all errors, discrepancies, or questionable items have been adequately and fully resolved.

        Moderate Risk

        Incorporate additional requirements dependent on UD management decision:

        • Required copies of supporting/backup documentation for subaward invoice charges such as:
          • Payroll records to support invoice personnel charges
          • Copies of receipts for specific charges (travel, supplies, equipment, etc.)
          • Copies of consultant hourly rates and time charged
          • Transactional detail from the subrecipient’s accounting system of record
        • More frequent submission of subrecipient invoices and technical reports

        Requirement to align subrecipient invoice payments to technical progress

        High Risk

        Incorporate additional requirements dependent on UD management decision:

        • Mandated regularly scheduled conference calls with the UD PI and subrecipient institutional representative
        • Financial Desk Audits

        Site visits, both technical and financial

      3. It is UD’s responsibility to ensure that all agreed-upon monitoring activities occur and that the results of the risk assessment are updated accordingly.
        1. UD may adjust a subrecipient’s assigned risk level and applicable monitoring activities throughout the course of a sponsored award.
          1. The PI is responsible for monitoring the technical progress of the subrecipient to ensure their performance is aligned with objectives outlined in the subaward and the prime sponsored award, including:
            1. Advancing toward the completion of programmatic goals.
            2. Submitting accurate and timely invoices and technical reports as required.
        2. One or more of the following actions may be taken by UD for subrecipients deemed noncompliant as a result of subaward monitoring activities:
          1. Temporarily withholding cash payments pending correction of the deficiency,
          2. Denying both use of funds and any applicable matching credit for all or part of the cost of the activity or action,
          3. Wholly or partly suspending or terminating the subaward, and/or
          4. Taking other remedies that may be legally available.
          5. Note: In most cases, noncompliance must be documented to support above actions.
    5. Subaward Closeout and Termination
      1. Normal closeout and termination of a subaward occurs upon expiration of the subaward period of performance. Action should be taken to complete key activities in a timely manner, including:
        1. Confirmation by the UD PI that all subaward deliverables have been met.
        2. UD receipt of a final subaward invoice and associated closeout documents:
          1. The final subaward invoice must be clearly marked “FINAL” with certification statements signed by the Subrecipient Institutional Official
          2. UD requires the subrecipient’s final invoice be accompanied by a completed “Subaward Closeout Form” signed by the Subrecipient Institutional Official and the Subrecipient PI prior to releasing payment. This form contains:
            1. Confirmation that the subrecipient sent a final invoice to UD
            2. Confirmation of the final subaward expenditures.
            3. Amount of required cost share.
            4. Completion of all final technical/patent/equipment reports and deliverables.
          3. UD typically incorporates a 60-day grace period from the subaward end date for the receipt of the subrecipient’s final invoice.
          4. If UD does not obtain the subrecipient’s final invoice in a timely manner, UD reserves the right to treat the last invoice received from the subrecipient as the final invoice.
        3. Closeout of the subaward purchase order via a Purchase Order Amendment Webform after the final subaward invoice is paid.
      2. Early closeout and termination of a subaward occurs when the subaward is terminated prior to the original subaward end date specified in the subaward agreement.
        1. An agreement may need to be terminated early at the request of the sponsor, UD, or by mutual agreement between UD and the subrecipient.
          1. The UD PI may consider termination due to factors related to suboptimal subrecipient performance towards project milestones, services, or objectives specified in the subaward agreement. Any UD PI contemplating early termination of a subaward should immediately contact the Subaward Team within Research Office for appropriate action.
        2. Sponsor regulations and subaward specific terms and conditions detail the steps needed to process an early termination of a fully-executed subaward agreement.
          1. UD typically incorporates a clause into the subaward agreement outlining UD’s right to terminate a subaward within 30-days of official written notice to the subrecipient.
            1. A “Stop Work Order” is a formal notification to the subrecipient to discontinue all work on a subaward. UD will issue a “Stop Work Order” to a subrecipient in the rare instance when all other remediation means have been unsuccessful.
          2. The Research Office will work with the PI and their unit administration to ensure all required termination actions and documentation is completed.
    6. Roles and Responsibilities
      1. Successful administration of subawards relies heavily on the involvement and coordination of multiple parties across campus including the UD PI, unit administration, the Research Office, and others. The table below provides an overview of applicable roles and responsibilities for subawards:

         

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 7, 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51659



Form: Contracts and Grant Management
Subrecipient Commitment Form
Form

Subrecipient Commitment 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

ORIGINATION DATE: August 4, 2011

REVISION DATE(S): 08/04/2011, 09/24/2015, 02/26/2016

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51493

Form: Contracts and Grant Management, Templates
Subrecipient Letter of Intent
Form

Subrecipient Letter of Intent

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.

The Subrecipient Letter of Intent form is referenced in the Proposal Checklist for proposals involving subawards.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

REVISION DATE(S): 7/26/19

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51667

Form: Safety
Summary Report of Radioactive Material Use Aboard R/V Hugh R. Sharp
Form

Summary Report of Radioactive Material Use Aboard R/V Hugh R. Sharp

This form deals with Radiation Safety. 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.

Report for the use of radioactive material while aboard the R/V Hugh R. Sharp.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51555

Form: Export Regulations (ITAR/EAR/OFAC), Templates
Technology Control Plan Template
Form

Technology Control Plan Template

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 6, 2010

REVISION DATE(S): 04/06/2010, 02/09/2012, 01/16/2015

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51500

Procedure: Export Regulations (ITAR/EAR/OFAC)
The International Traffic in Arms Regulations (ITAR)
Procedure

The International Traffic in Arms Regulations (ITAR)

The Department of State is responsible for the export and temporary import of defense articles and services governed by 22 U.S.C. 2778 of the Arms Export Control Act (“AECA”; see the AECA Web page) and Executive Order 13637. The International Traffic in Arms Regulations (“ITAR,” 22 CFR 120-130) implements the AECA. The ITAR is available from the Government Printing Office (GPO) as an annual hardcopy or e-document publication as part of the Code of Federal Regulations (CFR) and as an updated e-document.

 

Procedure Details:

OWNER: Department of State

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51458



Form: Contracts and Grant Management, Templates
Third Party Cost-Share Contribution Template
Form

Third Party Cost-Share Contribution Template

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.

This template is used to formally keep track of any third party’s contributions to a project.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51645

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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Subaward Management
Policy and Procedures

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

Unit Administration

Research Office

Action

Principal Investigator

Department/ College Administrator

Contract & Grants Specialist

Subaward Team

Post-Award Team

Proposed Subawards

Identifies the need for an external entity’s participation for a sponsored award

P

S

O

I

 

Establishes and maintains primary communication with the subrecipient

P

S

 

 

 

Collects all required subaward documentation from the subrecipient (SOW, budget, budget justification, compliance info, etc.)

P

S

O

 

 

Completes the Provider Category Determination Worksheet to categorize the external entity as a subrecipient or contractor

P

 

O

I

 

Confirms alignment of the subrecipient’s scope of work with prime award objectives

P

S

O

 

 

Verifies appropriateness and accuracy of the budget proposed by the subrecipient

P

S

O

 

 

Verifies Conflict of Interest status between the subrecipient and UD key personnel

P

S

O

 

 

Reviews and submits subawards for proposals and prior approvals to the sponsor

S

S

P

 

 

Subaward Issuance and Modifications

Ensures Research Office receipt of all required information for subaward issuance/modification

S

P

O

I

 

Prepares, negotiates, and executes new subawards and modifications

I

I

I

P

 

Makes a final determination for UD’s substantive relationship with the external entity as that of a subrecipient or contractor

 

 

 

P

 

Reviews appropriateness of the subaward budget including the applicable F&A rate

I

S

P

 

 

Determines the appropriate type of subaward agreement in coordination with Procurement

I

I

S

P

 

Initiates the Subaward Purchase Order (PO) requisition/amendment via webforms

 

P

I

O

 

Reviews and approves the Subaward Purchase Order (PO) requisition/amendment via webforms

 

P

S

O

 

Drafts terms and conditions of the subaward per assessed subrecipient risk level

I

 

S

P

 

Reviews and accepts subaward terms and conditions

P

 

S

 

 

Negotiates terms and conditions of the subaward agreement with the subrecipient

I

 

I

P

 

Ensures issuance and receipt of fully-executed subawards and modifications

 

 

 

P

 

Distributes fully-executed documents to PIs and their unit administrators

 

 

 

P