Forms, Policies & Procedures

Safety Policy

1. POLICY
   The policy of the University of Delaware is to provide the university community with a safe and healthful work environment. Serious attempts will be made to minimize recognizable hazards. It is the intent of the University to comply with all environmental health, safety, and fire regulations and recommended practices. …

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

Safety Responsibilities during Laboratory Principal Investigator Leaves/Absences

1. SCOPE OF PURPOSE
   To ensure the safety of laboratory workers during periods when the laboratory principal investigator is absent.
2. 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. …

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

   Read more

    
   

   Policy Details:

   OWNER: Executive Vice President

   SECTION: Campus Safety and Security Policies

   RESPONSIBLE OFFICE: Office of Environmental Health and Safety

   POLICY NUMBER (Legacy): 7-50

   ORIGINATION DATE: November 1, 2006

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

Secondary Phone Lines

1. SCOPE OF 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.

   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. …

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

Read more

 


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

Space Needed for Externally Sponsored Agreements

1. SCOPE OF PURPOSE
   To provide a financial mechanism for for sponsored activity.
2. POLICY

   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. …

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

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:

   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

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

Storm Water Management

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

Travel and Business Hosting Policy

1. SCOPE OF POLICY
   This policy relates to expenses incurred for traveling and entertaining on behalf of the University, regardless of the funding source, and including state, federal, basic budget, and reserves.

   It applies to all travel and business hosting events for all individuals including University administrators, faculty, staff, students, and non-employees. …

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

Travel with or Transportation of Research-Related Materials and Data

The purpose of this memo isto remind and inform all University of Delaware employees of the laws, policies and procedures that may impact the transportation of University of Delaware property, including research-related materials,software, data,biological materials and equipment. These laws,policies and procedures apply whether the materials, software or data are hand-carried during travel or shipped commercially. The laws,policies and procedures apply to our international visitors as well. Please help them to be aware of the following regulations.

Although the University of Delaware is working to keep compliance on this matter from becoming onerous, candid assessment of the current situation must acknowledge that scholars are increasingly subject to external constraints that can be both unfamiliar and frustrating. As our policies and procedures evolve in light of external constraints and faculty and staff needs, we will work to keep you apprised of changes as quickly as possible. Listed below are some key concepts with which every University of Delaware employee should be aware and in full compliance.

1. Not all research material may be shipped or hand-carried by air. The Transportation Security Administration (TSA) has rules that limit what airline passengers can place into their checked and carry-on luggage. These rules may prevent research materials and equipment from being brought onto airplanes. Please review the list of permitted and prohibited items posted on the TSA web page found at (https://www.tsa.gov). This list issubject to change and should be checked on a regular basis.
2. A Material Transfer Agreement (MTA) should be used when University of Delaware research materials,software,biological materials or data sets are received from an outside party or transferred off campus. Similarly an MTA should be used when transferring such materials from the University of Delaware to outside parties.
   • When the University of Delaware is the recipient of the materials, the MTA triggers appropriate health and safety alerts to the Occupational Health and Safety Office concerning the materials received.
   • When the University of Delaware issending materials off campus,the MTA permits review of applicable shipping regulations.
   • An MTA permits review of intellectual property rights to protect the interests of the University of Delaware and individual University of Delaware researchers.

     Appropriate MTA forms are available on the University of Delaware Research Office website (https://research.udel.edu/forms-policies-procedures/).

3. All transfers of research materials,software or data must comply with export control and trade sanction regulations. Export controls are federal laws that regulate the export of sensitive technologies, equipment, software, biological agents and related data and services. These laws require the use of licenses for the export of these items unless an exemption exists. Trade sanctions are imposed by the Department of State, which may prohibit travel, payment or providing anything of value to sanctioned entities, including countries, businesses, and individuals, regardless of exemptions.Information and guidance on export control and trade sanction compliance is available at https://research.udel.edu/regulatory-affairs/#3. If you have questions about your activity, please contact the Associate Deputy Provost for Research & Regulatory Affairs, Dr. Cordell Overby, at overbyc@udel.edu.
4. Commercial shipment of hazardous materials must comply with U.S.Department of Transportation regulations. For specific requirements, please contact Occupational Health and Safety.
5. Federal law and regulation by the USDA,FDA,or EPA can severely limit the interstate shipment of certain biological,recombinant,or toxic materials.
6. The U.S.Foreign trade Regulations require that all exports (temporary or permanent) with a dollar value greater than $2,500 as well as any licensed export be registered in the AES export system prior to shipment. The AES (Automated Export System) filing includesinformation about the date, method and destination of the export and licensing exception or authority if applicable. The U.S. Census Bureau uses the data to compile export trade statistics. Additionally the information is shared with Customs and Border Patrol, export licensing enforcement and other law enforcement agencies.
7. The University of Delaware provides compliance assistance to facilitate your transfer and transport of research materials,software and data.
   • Information on export controls and trade sanctions, including international travel: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
   • MTAs for research related transfers: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
   • Shipping and receiving of hazardous materials: OccupationalHealth and Safety Office {302-831-8475)
   • Biological Materials: Krista Murray (klmurray@udel.edu )
   • Chemical Materials: Jane Frank (janejf@udel.edu or 302-831-8288 )
   • Radioactive Materials: Bill Fendt (B_Fendt@facilities.udel.edu )

We welcome your comments regarding clarifications or improvements to the University of Delaware policies and procedures regarding the transfer or transport of University of Delaware research materials, software, data, biological materials, or equipment. Please feel free to contact any of the following individuals:

Dr. Cordell Overby at overbyc@udel.edu

It is important that all University of Delaware employees are aware of these laws, policies and procedures. Please distribute this message to your colleagues across campus.

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

UD Credit Card

1. SCOPE OF POLICY
   This policy sets forth guidelines and procedures for the University of Delaware Credit Card Program (the Program) which encompass the UD Credit Card and the UD Declining Balance Card.

   These policies are applicable to all UD Credit Card holders and articulate the overall Card Administration including requirements for receiving a credit card, appropriate card usage, and responsibilities and roles pertaining to approval as well as allocation of usage, fraud, cash advances, and reimbursement. …

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

UD Individual Development Plan Assessment Form (IDP Form)

University of Delaware IDP Assessment Form
The University of Delaware requires Individual Development Plans (IDPs) to be completed for graduate students and postdocs funded by NIH (regardless of funding mechanism) each year. The use of IDPs for all graduate students and postdocs is encouraged as a means for professional development and career planning. Additionally, other funding agencies are beginning to request IDPs. To aide in this requirement the UD Research Office is providing an IDP Assessment Form that will help with this effort.

Related Links

AAAS “myIDP” Individual Development Planning Tool
UD Individual Development Plan (IDP) Policy

Underground Storage Tank Management

1. SCOPE OF PURPOSE
   To ensure the management of Underground Storage Tanks (USTs) at the University is conducted in compliance with Federal and State Underground Storage Tank Regulations (7 Del. Code Chapter 74, 40CFR280), NFPA, BOCA, City of Newark and other applicable codes.

   This policy applies to all University underground storage tanks and underground storage tank systems containing motor fuels, heating oils, waste products, and other regulated products. …

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

Uniform Biological Material Transfer Agreement

In 1995, the National Institutes of Health (NIH) published the Uniform Biological Material Transfer Agreement (UBMTA) and an Implementing Letter for the transfer of materials between nonprofit institutions.  The University of Delaware is one of the institutions which has signed the UBMTA which allows signatory institutions to transfer materials to one another using a boilerplate Implementing Letter for the particular transfer.

Use of the UBMTA is optional, UD researchers may opt to use the Non-Biologicals form as an alternative.    Note that the UBMTA Letter must accompany the UBMTA in all cases.  Please provide investigator/scientist information as appropriate and sign as recipient or provider.  Attach the completed UBMTA to the Webform before submitting.

Related Links

• Material Transfer Agreement Required Webform
• Material Transfer Agreement Template – Incoming
• Material Transfer Agreement Template – Outgoing
• Uniform Biological Material Transfer Agreement
• Uniform Biological Material Transfer Agreement Implementation Letter