Forms, Policies & Procedures

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.

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.

Third Party Cost-Share Contribution Template

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

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.

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.

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
  • Importation Permits
• 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

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 (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.

Related Links

AAAS “myIDP” Individual Development Planning Tool
UD IDP Assessment Form

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

UD Service Maintenance Contract Procedure Advance Payment on Sponsored Projects Internal Guidance

Service/maintenance contracts on sponsored projects are agreements with a vendor to perform services to ensure the equipment’s satisfactory operation during the life of a sponsored project. There are two types of payment options for service/maintenance contracts: advance payment or a payment schedule. This guidance addresses advance payments for equipment contracts.

Advance payment can be advantageous if the vendor offers a significant discount for early payment. The vendor may also require advance payment. Advance payment requires documentation to support why this payment option is required and/or necessary.

If it is determined that advance payment is the optimal course, it must be reasonable, allowable, allocable, and applicable to the sponsored project. To confirm this, the following questions should be considered:

1) Was the associated piece of equipment charged to the project?
2) Is the service/maintenance contract important, necessary, critical, or vital to the
continued operation of the equipment?
3) What are the implications to the sponsored project if the service/maintenance
contract is forfeited?

To be in compliance with Uniform Guidance – Subpart D, E, & F, this documentation should be included in the UD Exchange (UDX) requisition request. A document may be attached, or a comment can be included on the requisition (for example):

“This contract is vital to the project due to [INSERT EXPLANATION]. Research
would halt with any delay due to equipment malfunction because [INSERT
EQUIPMENT NAME] is necessary and integral to project to [INSERT EXPLANATION].”

If the vendor requires advance payment, and there were no other qualified vendor options, please add a note to UDX regarding that. After determining the service / maintenance contract is essential to the project, appropriate allocation of the cost can be managed according to the term of the contract:

1) Contracts covering twelve months or less; or
2) Multi-year contracts covering more than twelve months.

Contracts covering twelve months or less

Service/maintenance contracts that cover twelve months or less can be charged directly to the sponsored project within the same budget period as paid.

Multi-year service/maintenance contracts covering more than twelve months
Multi-year service/maintenance contracts on sponsored projects are allowable. In the event of a multi-year contract, it is recommended, if possible, to seek quarterly or annual payment.

1) If a multi-year contract is advantageous to the project, the justification (cost, service level, etc.) must be provided in UDX for review and approval by the Research Office. The period approved will be allowable to the sponsored project as paid.
2) For multi-year contracts which are disallowed to be charged to the project under (1) above, the first-year costs may be allocated to the sponsored project as paid, while subsequent years must be allocated to a departmental non-sponsored source of funding. Subsequent year costs may be reallocated to the allocable sponsored project within each budget period corresponding to the service/maintenance contract as paid.

Example Scenarios
Example 1 – Twelve-month contract or less
Invoice received: 03/12/2023
Federal Award: 9021086936
Award period: 03/01/2021-08/31/2025
Maintenance contract period: 04/01/2023-03/31/2024
Annual Maintenance Total: $18,500.00
Accounting: $18,500.00 to award in March 2023 (when invoice received)

Sticking with the main example above, except changing the what ifs below:
What if: invoice received 06/01/2023 and contract period was 06/01/2023-05/31/2024.
Accounting: charge $18,500.00 to award in June 2023

What if: invoice received 06/01/2023 and contract period was 06/25/2023-05/24/2024.
Accounting: charge $18,500.00 to award in June 2023

What if: invoice received 10/01/2024 and contract period was 10/01/2024-09/30/2025.
Accounting: charge 11/12ths of $18,500 to award in October 2024 (award ends 08/31/2025)

Example 2 – Multi-year contract
Invoice received: 05/12/2023
Federal Award: 5021086639
Award period: 07/01/2022-06/30/2026

Maintenance contract period:
Year 1: 04/17/2023- 04/16/2024; $75,250.25
Year 2: 04/17/2024- 04/16/2025; $79,440.48
Year 3: 04/17/2025- 04/16/2026; $80,996.75
Annual Maintenance Total: $235,687.48

Example 2: Accounting- if allowed in full:
Charge full contract amount, $235,687.48, to award in May 2023 (when invoice received) (Allowed in full: justification provided for vital criteria/implications to sponsored project)

Example 2: Accounting- if disallowed in full:
Charge Year 1, $75,250.25 to award in May 2023 (when invoice received)
Charge Years 2-3 total, $160,437.23 to a department discretionary code in May 2023 (when invoice received)

Note: with multi-year contracts, the out years charge must be allocated to a department discretionary purpose code and reallocated to the award yearly corresponding to the service contract year making sure it falls within the award period.