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
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
Policy: General Counsel
Copyright and Fair Use Policy
Copyright and Fair Use Policy
- POLICY
The University of Delaware expects all members of the University community to respect copyright law (Title 17, U.S. Code). Except as allowed by law, it is a violation of this policy and law for University of Delaware faculty, staff or students to reproduce, distribute, display publicly, perform, digitally transmit (i.e. in the case of sound recordings) or prepare derivative works based upon a copyrighted work without permission of the copyright owner.Recognizing that copyright law provides certain exemptions that limit the right of the copyright holder (www.copyright.gov/title17/92chap1.html#107), this policy provides guidance to University authors using copyrighted material for educational purposes. - SCOPE OF POLICY
This policy addresses the use of copyrighted material for instructional purposes and applies to all university departments, faculty, staff and students.
Related Links
Copyright Processing and Funding
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: University of Delaware Library
POLICY NUMBER (Legacy): 6-15
ORIGINATION DATE: July 1, 2005
REVISION DATE(S): 1-Jul-15
Policy Source
Email
Policy: General Counsel
Copyright Processing and Funding
Copyright Processing and Funding
- PURPOSE
To outline the University’s policy on processing and funding copyrightable material. - SCOPE OF POLICY
The University of Delaware recognizes that its faculty and staff, as part of their normal research and other scholarly activities, may develop materials which, in the interest of the author and the University, should be protected by copyrights. Accordingly, it is considered desirable to provide policies and procedures that:
- assist faculty and staff in realizing tangible benefits from their creative efforts;
- establish guidelines for defining the rights of ownership to materials produced by faculty or staff;
- insure control of use, within the University structure, of curriculum material developed at the University by a faculty or staff member;
- insure the author against loss of rights of reproduction for non-commercial use of material in which proprietary rights rest with the University; and
- provide guidance for safeguarding against loss of proprietary rights through inadvertent public disclosure.
Related Links
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): 6-07
ORIGINATION DATE: October 1, 1981
REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008
Policy Source Email
https://research.udel.edu/forms-policies-procedures/?entry=51403
Procedure: Research Office
Cost Accounting Standards Guidelines
Cost Accounting Standards Guidelines
The University of Delaware, as an Institution of Higher Education, must comply with a number of regulations and guidelines that restrict the ways in which sponsored funding may be spent. This document is intended to clarify the federal constraints regarding the direct and indirect charging of expenditures to federal awards. It is also intended to provide instructions regarding how to charge costs that are determined to be unallowable, as those charges must never be charged to a federal award.
Procedure Details:
OWNER: Research Office
RESPONSIBLE OFFICE: Research Office
Procedure Source
Email
Policy: Research Office
Cost Shares for Equipment
Cost Shares for Equipment
Research Office equipment cost share dollars are available when proposals either require equipment cost share or the project budget exceeds the available funding in the area of equipment. Research Office policy allows for one-time requests of up to $50,000. Up to $50,000 for each of the years of funding proposed may be requested in case of large scale proposals of strategic significance to UD and that involve multiple academic units. All sums requested from the Research Office must also be matched in the equivalent amount by the college/unit (i.e., $50K from the Research Office requires an equal $50K from the college/unit).
Cost share letters and or commitments, including equipment, require sufficient justification and often a long lead time for approvals. PIs should start this conversation with their respective department chairs, or college research office/deans as early as possible. All proposals that require such commitments and/or letters of support from UD leadership (President, Provost, VP Research) should follow the steps outlined here. Please route all such requests via email to researchdev@udel.edu. Decision time on requests depends on the amount requested and the status will be conveyed back to the PI usually within a few days.
Formal approval for Research Office match of the cost share occurs at the time of the proposal submission through inclusion in the grant budget. The Proposal Approval Form will automatically be routed to those responsible for the cost share approval and for commitment to cover additional cost overrun attributed multi-year equipment match funding.
For further questions about Equipment Cost Share policy, please contact your Contract and Grant Administrator.
Policy Details:
OWNER: UD Research Office
RESPONSIBLE OFFICE: UD Research Office
REVISION DATE(S): 10/2/18
Policy Source
Email
Policy: General Counsel
Cost Sharing Policy
Cost Sharing Policy
- POLICY
The University engages in cost sharing when it is in the best overall interest of the University, limited to situations in which it is mandated by the sponsor per solicitation or policy guidelines, or deemed appropriate in light of specific and compelling circumstances. - SCOPE OF POLICY
This policy establishes the requirements and procedures for proposing, approving, administering, and documenting Cost Sharing on Sponsored Projects, including all contributions, such as cash and in-kind, that a recipient makes to an award at the University of Delaware (“UD” or “University”). This policy also sets forth requirements to ensure compliance with federal regulations (Office of Management and Budget (OMB) Circulars A-110 and A-21 or Uniform Guidance 2 CFR 200). This policy applies to all University departments, units, faculty, staff and students.
Related Links
Cost Share for Equipment Policy
The complete policy and more can be found on the General Counsel’s web site.
Policy Details:
OWNER: Vice President for Research, Scholarship, and Innovation
SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies
RESPONSIBLE OFFICE: UD Research Office
POLICY NUMBER (Legacy): 6-19
ORIGINATION DATE: November 3, 2009
REVISION DATE(S): 11/03/2009, 07/21/2015, 02/05/2020
Policy Source
Email
Template: Research Office
Data Transfer and Use Agreement Template
Data Transfer and Use Agreement Template
This agreement template is to be used where transfer of data between the University of Delaware and an external entity are involved. Whether UD is the recipient or provider of the data.
Template Details:
OWNER: Regulatory Affairs
RESPONSIBLE OFFICE: Research Office
ORIGINATION DATE: June 27, 2019
REVISION DATE(S): 2/4/20
Download Form Email
Form: Research Office
Debarment Statement
Debarment Statement
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: September 29, 2008
Download Form Email
Policy: General Counsel
Department Safety Committee Policy
Department Safety Committee Policy
- PURPOSE
This policy is developed to provide guidance to Department Safety Committees by establishing uniform administrative procedures and minimum requirements. It is the Department Safety Committee’s charge along with the Department of Environmental Health and Safety to provide the University Community with a safe and healthful work environment. It is also the intent of the Department Safety Committee to assure compliance with all University Safety Policies. - SCOPE OF POLICY
- Establishment of Committees
While all departments are encouraged to have Safety Committees, departments designated by the Director of Environmental Health and Safety shall establish Department Safety Committees. A list of current department safety committees can be found at Environmental Health and Safety web site. - Establishment of Contacts
Department heads or his/her designee will serve as the Safety contact in all University departments who do not have safety committees. These contacts will receive communications from the Department of Environmental Health and Safety regarding safety issues and serve as the safety liaison for their department. A list of current department safety contacts can be found at Environmental Health and Safety web site. - Membership
Department heads shall appoint Safety Committee members and designate a Chairperson. The names of committee members shall be forwarded to the Director of Environmental Health and Safety each year by June 30. Terms shall be at the discretion of the Department Head.The Director of the Department of Environmental Health and Safety or their designee shall serve as an ex officio member on all Safety Committees.Department Safety Committee membership should, when applicable, include representatives of the professional staff, faculty, salaried staff, hourly employees and students. - Meetings
Department Safety Committees shall meet periodically at a frequency determined by the committee, but not less than four times per year. By June 30 each year Safety Committee Chairs shall communicate to the Director of Environmental Health and Safety the months in which meetings are planned for the next fiscal year. Minutes shall be recorded. Minutes should include members attending, members absent, disposition of old business and new business covering items identified under Minimum Requirements (section IV). - Annual Report
Individual departments shall submit an annual report of their committee’s activities to the Department of Environmental Health and Safety. The reports are to be submitted using the forms developed by Environmental Health and Safety which can be found at Environmental Health and Safety web site. These reports are due by June 30 for the previous year. A summary of these reports is presented to the Risk Management Advisory Council annually.
- Establishment of Committees
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): 7-02
ORIGINATION DATE: September 1, 1988
REVISION DATE(S): June 5, 1989; December 18, 1991; November 1994; August 1999; January 9, 2006; February 10, 2014
Policy Source
Email
Procedure: Research Office
Direct Charging Procedure
Direct Charging Procedure
- SCOPE OF PROCEDURE
This procedure outlines University of Delaware (“UD” or “University”) requirements for allocating direct costs to sponsored projects, and applies to all University departments, units, faculty, staff and students involved in externally sponsored research. - DEFINITIONS
- Direct Costs – Costs which can be identified specifically with a particular sponsored project and which can be directly assigned to such activities, relatively easily and with a high degree of accuracy.
- Facilities & Administrative (F&A) Costs – Costs incurred for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives.
- Cost Principles – Fundamental conditions for ensuring costs are permissible on a sponsored project, including:
- Allowability or Allowable – Costs must be permissible under the terms and conditions of the award, including the authorized budget and applicable regulations
- Allocability or Allocable – Costs must provide a sole benefit to the sponsored project or provide proportionately assignable benefits to the sponsored project.
- 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.
- 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.
- Allocation – The process of assigning a cost, or a group of costs, to one or more sponsored projects and/or cost objectives.
- 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).
- 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.
- PROCEDURE STATEMENT
The purpose of this procedure is to ensure University compliance with applicable cost principles and federal regulations set forth for allocating direct costs per Office of Management and Budget (OMB) Circular A-21 and Uniform Guidance 2 CFR 200. Key guidance under this procedure includes:- Direct costs must meet conditions for allocability, allowability, reasonableness and consistency established under federal regulations.
- A cost is allocable to a sponsored project if the goods or services involved are chargeable or assignable to that sponsored project in accordance with relative benefits received.
- STANDARDS AND PROCEDURES
- Direct vs. F&A Cost Considerations
- Uniform Guidance establishes principles to help determine the applicability of costs to federal grants, contracts, and other agreements. It prescribes which costs are allowable for recovery from the government and, of the allowable costs, whether the educational institution should treat them as direct or facilities & administrative (F&A) costs
- Common examples of F&A costs include:
- Administrative/Clerical Staff
- General Office Supplies/Equipment
- Postage
- Communications (ex. Cells Phones, Telephones, Internet)
- Facilities Operations & Maintenance
- Costs that are normally considered F&A costs may be allowable as direct costs if they meet all the following criteria:
- An unlike circumstance exists in which a sponsored project requires resources beyond those normally expected for a typical research project;
- The cost can be associated with the specific sponsored project with a high degree of accuracy;
- The costs are not also recovered as indirect costs; and
- The awarding agency has explicitly approved the cost as a direct expense in the awarded budget or per written prior approval.
- If costs that are normally considered F&A costs are allocated as direct costs to a sponsored project, but do not meet approval criteria per section (3)(d) above, sufficient supporting justification is required to ensure the costs are allowable on the sponsored project. Otherwise, the costs will be deemed unallowable and must be removed from the sponsored project. An after-the-fact explanation attesting to the benefit to the award is insufficient justification to treat these expenses as direct costs on federal awards.
- Direct Cost Allocation Methodologies
- Direct costs may be allocated only if they advance the work of the sponsored project(s) in the same proportion as the cost.
- Direct cost allocations on sponsored projects should not be based on budget, funding or availability of funds, as these factors are not evidence of the allocability of a cost.
- Direct Cost Allocation Principles:
- If a cost benefits one sponsored project, it should be charged in its entirety to the sponsored project.
- If a cost benefits two or more sponsored projects or activities in proportions that can be determined without undue effort or cost, the cost must be allocated to the sponsored projects based on the proportional benefit.
- If a cost benefits two or more sponsored projects or activities in proportions that cannot be determined because of the interrelationship of the work involved, then, notwithstanding paragraph (d) of this section, the costs may be allocated or transferred to benefitted sponsored projects on any reasonable documented basis.
- Where the purchase of equipment or other capital asset is specifically authorized under a federal award, the costs are assignable to the federal award regardless of the use that may be made of the equipment or other capital asset involved when it is no longer needed for the purpose for which it was originally required.
- Examples of Cost Allocation Methodologies:
- Project A: Week 1: 25 Experiments, Week 2: 39 Experiments
- Project B: Week 1: 19 Experiments, Week 2: 16 Experiments
GENERALLY ACCEPTABLE
Allocation Basis
Example
Effort
A research assistant spends 80% effort on Project A and 20% effort on Project B. The research assistant uses supplies totaling $3,000/month on the two projects. Usage is directly related to the amount of effort devoted to each project, therefore, $2,400 (80% of $3,000) is charged to Project A and $600 (20% of $3,000) is charged to Project B.
FTEs
There are 5 FTEs employed on Project A and 8.5 FTEs employed on project B. These are the only two sponsored projects that are performed and managed in the lab, and the monthly supplies total $5,500. Project A should be charged $2,037.04 (5/13.5 x $5,500) and Project B should be charged $3,462.96 (8.5/13.5 x $5,500).
Usage
The monthly cost of supplies/expendables to maintain a lab computer system is $1,000. The computer system is used solely for projects A and B. The computer operating system keeps a log of users and their time on the system. A reasonable base to allocate the expense would be computer user hours. Project A assistants have 100 combined user hours a month and project B assistants have 80 combined user hours a month. The cost allocated to project A is $560 (100 user hrs. /180 total user hrs. x $1,000). The cost allocated to project B would be $440 (80 user hrs. /180 total user’s hrs. x $1,000).
Number of Experiments
A PI uses syringes to conduct experiments on two of his research grants. The syringes are only good for one experiment and then they must be thrown away. The PI keeps a log of how many experiments are performed on each project per week. Syringes are ordered every two weeks at $1.05 per syringe. The log indicates the following:
The total cost of the syringes is $103.95 (99 experiments x $1.05/syringe). Project A should be charged $67.20 (64 experiments x $1.05/syringe) and Project B should be charged $36.75 (35 experiments x $1.05/syringe).
Square Footage
A student is paid a salary of $1,500 a month to clean glassware in two laboratories that are conducting similar research. In this example, the square footage of the laboratories could be used as a reasonable basis. Lab A is 1,600 square feet and Lab B is 1,200 square feet. Lab A is charged $855 (1,600-sq. ft/2,800 sq. ft x $1,500) and Lab B charged $645 (1,200-sq. ft/2,800 sq. ft x $1,500).
Reasonable Determination without Undue Effort or Cost
The lab has two ongoing sponsored projects and purchases a $3,000 apparatus to be used equally on both projects, so both Project A and Project B are each charged $1,500 (50%). Since Uniform Guidance allows for proportions to be determined without undue effort or cost, the supporting justification explaining the reasonable determination is generally acceptable.
Other Quantitative Rationale
The PI provides a quantitative rationale that is both reasonable and adequately supported with documentation, whereby the total cost can be divided based on a percentage calculated using the quantitative rationale.
GENERALLY QUESTIONALBE OR UNACCEPTABLE
Allocation Basis
Example
Restocking
Restocking materials and supplies is an acceptable practice only if the usage of materials and supplies is tracked or logged and included with the supporting documentation for the transaction. If the usage is not tracked or logged, it is infeasible to adequately support that restocking transactions are allocable to the sponsored project. If the usage is not included with the supporting documentation, there is insufficient support to determine that materials and supplies benefitted the sponsored project.
Offset
Costs were charged to Project A one month, and the next month costs were charged to Project B to offset what should have been split allocations each month between the two projects.
Available Funding
27% of costs were allocated to Project A to zero out the remaining available balance, and the remaining 73% of costs were allocated to Project B. An exception to this would be if the entire cost was allocable to the sponsored project, but a portion of the cost was allocated to non-sponsored project funding (ex., start-up funds).
Unreasonable Determination without Undue Effort or Cost
The lab has three ongoing sponsored projects and purchases a $3,000 apparatus to be used on each project, so Project A is charged $1,350 (45%), Project B is charged $450 (15%), and Project C is charged is charged $1,200 (40%). This is generally an unreasonable determination without additional documentation to support the specific percentages selected for the split allocation.
- PI/Department Responsibilities
- Determine the appropriate allocation methodology to use to allocate direct costs consistent with the benefits received to each sponsored program.
- Maintain documentation supporting allocations and review/update the methodologies as necessary.
- Review sponsored research projects on a regular basis (at least monthly) to ensure that all direct costs charged are correct and appropriate.
- Ensure that all personnel engaged in financial administration of federally-funded sponsored projects are familiar with the University direct charging procedures.
- Research Office Responsibilities
- Develop and implement direct charging procedures in accordance with the regulations outlined in Uniform Guidance 2 CFR 200, Subpart E – Cost Principles.
- Assist in the interpretation and implementation of the direct charging procedures.
- Periodically review justifications and/or supporting documentation provided for direct cost allocations to sponsored programs to ensure documented adherence to the direct charging procedures.
- Direct vs. F&A Cost Considerations
Procedure Details:
OWNER: UD Research Office
RESPONSIBLE OFFICE: UD Research Office
ORIGINATION DATE: February 7, 2020
Procedure Source
Email
Template: Human Subjects in Research, Templates, University
Documentation Consent Process Form and Log
Documentation Consent Process Form and Log
Informed consent is a process and involves providing a potential subject with adequate information about the research to allow for an informed decision about the subject’s voluntary participation in a research study. Informed consent is a process. Documenting informed consent occurs after explaining the research, addressing any questions, and assessing participant comprehension.
- Documentation of informed consent requires the signature of informed consent by the research participant (or their legally authorized representative or parent(s), as applicable) unless a waiver of that signature has been approved by the IRB.
- The forms here are two different suggested templates that can be used so that the person obtaining consent notates the following: current and IRB-approved informed consent forms were used, that he/she explained the research to the participant, ensured that the participant understood the research and that the participant freely agreed to enroll.
- These forms should be utilized at the beginning of the study and throughout the study, when updates and revisions to the consent form(s) require re-consent.
- The templates herein provide a framework for documenting the consent discussion and process with each potential study participant and should be customized to different studies as applicable.
- Modify the form as needed/desired to add or remove any additional consent information, such as:
- If a legally authorized representative is present
Information related to signatures as applicable
Template Details:
OWNER: UD Research Regulatory Affairs
RESPONSIBLE OFFICE: Research Office
ORIGINATION DATE: January 5, 2022
Download Form Email
Template: Research Office
Draft Master Research Agreement with Industry
Draft Master Research Agreement with Industry
The Draft Master Research Agreement with Industry is a template of a contract between UD and the sponsor; it specifies the obligations of UD and the sponsor in funding and conducting any scope of work that UD may propose for funding by that sponsor.
Template Details:
OWNER: Research Office
ORIGINATION DATE: September 9, 2018
Download Form Email
Policy: General Counsel
Driver’s Requirements and Verification
Driver’s Requirements and Verification
- PURPOSE
To provide reasonable assurance that each individual who operates any motor vehicle on university business possesses a valid license of the appropriate classification and to minimize the University’s liability in motor vehicle accidents.
Questions pertaining to Driver’s Licensing and classification can be referred to the Delaware Division of Motor Vehicles.
Questions pertaining to insurance coverage can be referred to the Office of Risk Management, 302-831-2971.
Related Links
Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions Web Policy
The complete policy and more can be found on the General Counsel’s web site.
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): 7-34
ORIGINATION DATE: June 5, 1989
REVISION DATE(S): September 1997; October 14, 2003; December 3, 2004; July 1, 2005; May, 2007
Policy Source
Email