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.
*NOTE: As of October 2020 Google Chrome changed how it handles file downloads. If you encounter difficulties, right click on the “Download” button/link and select “save link as.” Once selected the file download will be executed and can be saved to the desktop. A second method is to use a different browser.
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
Form: Research Office
Subrecipient Letter of Intent
Subrecipient Letter of Intent
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
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Form: Environmental Health and Safety
Summary Report of Radioactive Material Use Aboard R/V Hugh R. Sharp
Summary Report of Radioactive Material Use Aboard R/V Hugh R. Sharp
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
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Template: Research Office
Technology Control Plan Template
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.
Template 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
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Procedure: U.S. Department of State
The International Traffic in Arms Regulations (ITAR)
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
Template: Research Office
Third Party Cost-Share Contribution Template
Third Party Cost-Share Contribution Template
This template is used to formally keep track of any third party’s contributions to a project.
Template Details:
OWNER: UD Research Office
RESPONSIBLE OFFICE: UD Research Office
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Form: Research Office
Transfer “FROM UD” Checklist
Transfer “FROM UD” Checklist
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 28, 2012
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Form: Research Office
Transfer “TO UD” Checklist
Transfer “TO UD” Checklist
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 28, 2012
Download Form Email
Procedure: Research Office
Transportation and Shipment of Biological Materials
Transportation and Shipment of Biological Materials
The goal of the University of Delaware is to ensure the safe transportation of biological materials while complying with all applicable regulations. These shipments may be regulated by the Department of Transportation (DOT), the International Air Transport Association (IATA), and the Centers for Disease Control and Prevention (CDC). International shipments may also necessitate importation or exportation requirements such as permits for the shipments. Below are resources to perform these shipments.
- University of Delaware Guideline for Shipping Biological Materials
- University of Delaware Guideline for Transporting Biological Materials
RESOURCES:
- Centers for Disease Control and Prevention
- Federal Express (FedEx) – Dangerous Goods Section
- International Air Transport Association (IATA) – Dangerous Goods Program
- U.S. Department of Agriculture (USDA) – Animal and Plant Inspection Service
Questions regarding shipment or transportation issues may be addressed to Krista Murray or call 831-1433
Procedure Details:
OWNER: Environmental Health & Safety
RESPONSIBLE OFFICE: Environmental Health & Safety
Procedure Source
Email
Policy: General Counsel
Travel and Business Hosting Policy
Travel and Business Hosting Policy
- 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.
Policy Details:
OWNER: Executive Vice President
SECTION: Financial & Business Policies
RESPONSIBLE OFFICE: Office of the Vice President For Finance and Deputy Treasurer
POLICY NUMBER (Legacy): 3-07
ORIGINATION DATE: October 10, 1988
REVISION DATE(S): September 26, 1990; July 1994; June 1, 1996; September 20, 2000; March 16, 2001; August 7, 2002; September 23, 2004; July 1, 2005; September 12, 2005; September 7, 2006; August 11, 2008; February 2010; December 2010; August 1, 2013; June 13, 2017
Policy Source
Email
Policy: Research Office
Travel with or Transportation of Research-Related Materials and Data
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.
- 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.
- 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/).
- 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.
- Commercial shipment of hazardous materials must comply with U.S.Department of Transportation regulations. For specific requirements, please contact Occupational Health and Safety.
- Federal law and regulation by the USDA,FDA,or EPA can severely limit the interstate shipment of certain biological,recombinant,or toxic materials.
- 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.
- 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.
Policy Details:
OWNER: UD Research Regulatory Affairs
RESPONSIBLE OFFICE: Research Office
ORIGINATION DATE: November 1, 2014
Policy Source
Email
Policy: University
UD Credit Card
UD Credit Card
- 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.
Policy Details:
OWNER: Executive Vice President
SECTION: Financial & Business Policies
RESPONSIBLE OFFICE: Office of the Vice President For Finance and Deputy Treasurer
POLICY NUMBER (Legacy): 5-22
ORIGINATION DATE: October 1, 2000
REVISION DATE(S): 07/1/2005, 04/06/2009, 12/01/2010, 08/13/2015, 06/13/2017
Policy Source
Email
Policy: Research Office
UD Individual Development Plan (IDP)
UD Individual Development Plan (IDP)
University of Delaware IDP policy
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.
Reporting
PIs of NIH grants must report on the use of IDPs in their annual Research Progress Performance Report (RPPR) in Section B. Accomplishments, Question B.4. PIs do not need to include actual IDPs; they need to document that graduate students and postdocs funded by the award use IDPs and discuss them with their mentors on an annual basis. Below is suggested wording for inclusion in the RPPR. PIs should modify the text as needed to accurately reflect their activities in encouraging their trainees to develop and utilize IDPs.
The University of Delaware provides a number of resources to support graduate students, postdoctoral fellows and mentors with IDPs. UD recommends that graduate student and postdoctoral researchers utilize “myIDP” provided by AAAS to create and maintain their IDPs. Additional resources for students, postdoctoral fellows, mentors and PIs are available on the University of Delaware website. IDP activity for University of Delaware researchers is tracked in UD’s online IDP reporting system, which maintains privacy of trainees but allows mentors and PIs to monitor IDP-related activities.
Related Links
AAAS “myIDP” Individual Development Planning Tool
UD IDP Assessment Form
Policy Details:
OWNER: Research Office
RESPONSIBLE OFFICE: Research Office
ORIGINATION DATE: December 14, 2015
Policy Source
Email