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

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Conflict of Interest
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Human Subjects in Research
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RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (100 Policies Entries)
Policy: Research Office
3-Business-Day Internal Proposal Deadline Policy
Policy: Research Office

3-Business-Day Internal Proposal Deadline Policy

  1. SCOPE OF POLICY

    This policy addresses the internal deadline set forth for proposal review and submission by the Research Office, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware (UD).

    UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor.

    Currently, the Research Office processes over 1,800 proposals per year at UD, and of that number, between 600 and 700 proposals typically are funded by a wide range of sponsoring agencies. Successful proposals account for an influx of more than $161 million in research expenditures each year.

    Depending on the funding agency and program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small proposal to more than a thousand pages for large, multi-institutional efforts. The Research Office conducts a thorough review of proposals prior to submission to increase their funding success rate. Due to the large volume of proposals submitted, the 3-Business-Day Internal Proposal Deadline Policy has been established to facilitate this review and ensure a smooth and successful proposal submission process at UD.

  2. DEFINITIONS
    1. Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
    2. Proposal – A formal application by UD to participate in an externally-sponsored project, made in response to a funding opportunity.
    3. Sponsor or Sponsoring Agency – A external entity responsible for providing project funding if UD’s proposal is accepted and an official award agreement is subsequently executed.
    4. Proposal Review and Submission – The process by which a proposal is formally reviewed by UD and submitted to an external sponsoring agency.
    5. Internal Proposal Deadline – The deadline by which proposals must be provided to the Research Office for full review prior to the sponsor proposal deadline.
    6. Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
    7. Sponsor or Sponsoring Agency Proposal Deadline – The deadline by which a UD proposal must be submitted to an external sponsoring agency for review and consideration, typically outlined via the funding opportunity.
  3. POLICY STATEMENT
    The Research Office is committed to facilitating the submission of proposals of the highest quality to increase the probability of research funding success at UD. The 3-Business-Day Internal Proposal Deadline Policy allows the Research Office to conduct a meaningful review of the final proposal package prior to submission. This includes a thorough review for compliance with sponsor and UD rules and regulations, while allowing time for principal investigators and their administrators to finalize the scientific content.
  4. POLICY STANDARDS AND PROCEDURES
    1. Internal Deadlines for Proposal Submission
      1. UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor. Recognizing that the proposal’s technical content requires maximum time to develop, the Research Office accepts proposal packages for review excluding the final technical component/narrative. This allows the proposal package to be prepared and readied for submission while the technical content is finalized. Final technical content must be provided to the Research Office no less than 9 business hours prior to the agency deadline to ensure all formatting requirements are met and potential submission issues are avoided.
      2. Submitting departments, units, and schools may have their own review timeline that is outside the scope of the Research Office deadline. Both the Research Office and the Principal Investigator’s submitting department/unit need adequate time to review and approve proposal submissions. Proactive coordination is important to ensure all complexities are understood and addressed well in advance of the sponsor deadline, especially for complex awards.
    2. Proposal Packages
      1. Proposal packages must contain all elements listed below for review by the Research Office. If any of the elements below are missing, the proposal will be considered incomplete, and will be returned to the Principal Investigator:
        1. Program Solicitation
        2. Fully-Approved Proposal Webform
        3. Statement of Work (SOW) and/or Abstract.
          1. Final Science/Technical content may be omitted until 8:00am on the agency deadline.
        4. Detailed Budget
        5. Budget Justification
        6. Subaward Documents (SOW, Budget, Budget Justification, etc.)
        7. Up-to-Date Conflict of Interest Disclosure (per the COI Policy)
        8. Other Components (per Sponsor and UD requirements)
    3. Proposal Review and Submission
      1. Proposals received prior to the 3-Business-Day deadline will take precedence over those received after the internal deadline. After all proposals received on-time have been processed and submitted, the Research Office will review and submit, to the best of its ability, all other proposals.
      2. The Research Office follows a “staggered” review process wherein the date a proposal is received dictates the level of review provided per below:
        1. Full Review if received at least 3 business days prior to the sponsor deadline.
        2. Limited Review if received 2 business days prior to the sponsor deadline.
        3. Minimal Review if received 1 business day prior to the sponsor deadline.

           

          Full Review
          ≥3 Business Days

          Limited Review
          2 Business Days

          Minimal Review
          ≤1 Business Day

          PI Eligibility

          Fully-Approved Proposal Webform

          UD, Federal, and State Compliances

          Sponsor Guidelines, Terms, and Conditions

           

          Consultation with Other UD Administrative Offices

           

          Proposal Details

           

           

          Other Management Plans

           

           

           

      3. Proposals received after the 3-Business-Day internal deadline will be submitted to external sponsors with “Minimal” or “Limited” review per above. Any proposal submitted without “Full” review is subject to the following:
        1. If any grave errors are found (i.e. budget and/or compliance) upon full review post-submission, the application will be withdrawn by the Research Office.
        2. The submitting department/unit agrees to assume responsibility for any budget errors/omissions made in the proposal.
        3. The submitting department/unit acknowledges that proposals may contain terms and conditions that may be non-negotiable and, if not resolved, may require UD to decline an award.
      4. Proposals submitted with insufficient review present a greater risk of being rejected/invalidated from the sponsor and/or becoming subject to various adverse scenarios such as:
        1. Risk of proposal rejection due to non-compliance with sponsor guidelines
        2. Risk of proposal rejection due to electronic system failure
        3. Risk of department/unit incurring financial burden due to budget errors or omissions
        4. Risk of UD withdrawal of proposal post-submission or UD rejection of the award

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: January 3, 2007

REVISION DATE(S): 9/16/19

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51418

Policy: General Counsel
Abandoned, Found, Removed, or Unclaimed Property
Policy: General Counsel

Abandoned, Found, Removed, or Unclaimed Property

  1. PURPOSE
    To establish a uniform and consistent policy for the retention, accounting, and disposition of abandoned, found, removed, or unclaimed property.
  2. SCOPE OF POLICY
    A University employee finding, coming into possession of, or removing abandoned, lost, or unclaimed property shall forward these item(s) either to the Department of Public Safety or an appropriate authority* within or nearest the facility in which the item was located.

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 Campus and Public Safety

POLICY NUMBER (Legacy): Jul-33

ORIGINATION DATE: October 11, 1988

REVISION DATE(S): 1-Mar-96

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51572

Policy: General Counsel
Alarms and Security Monitoring Systems
Policy: General Counsel

Alarms and Security Monitoring Systems

  1. PURPOSE
    To establish a review and approval procedure governing the design, selection, purchase and installation of any intrusion alarms and other security monitoring systems to ensure maximum system compatibility and effectiveness.

  2. SCOPE OF POLICY
    Any person or unit of the University considering the purchase or installation of an intrusion alarm or security monitoring system on the University premises must consult with and receive prior approval from the Director of Public Safety or his designee.

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 Campus and Public Safety

POLICY NUMBER (Legacy): 28-Jul

ORIGINATION DATE: October 2, 1985

REVISION DATE(S): 1-Apr-96

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51591

Policy: General Counsel
Ambulance Service for University Employees
Policy: General Counsel

Ambulance Service for University Employees

  1. PURPOSE
    To assist in providing immediate medical attention for University employees who are injured or require medical attention while at work.
  2. SCOPE OF POLICY
    When an employee is injured at work or is suffering from an ailment that in the exercise of good judgment requires emergency first aid or examination/treatment by a physician, the employee, the supervisor, or someone else who is present should immediately call 911. Outside of the Newark Campus, contact should also be made with Public Safety at 831-2222 (or 645-4333 in Southern Delaware).

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 Campus and Public Safety

POLICY NUMBER (Legacy): 5-Jul

ORIGINATION DATE: March 1, 1996

REVISION DATE(S): December 2000; July 1, 2005

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51573

Policy: General Counsel
Asbestos Management
Policy: General Counsel

Asbestos Management

  1. PURPOSE
    To ensure that asbestos exposures of all University personnel, students, guests, visitors and contract personnel are minimized by assuring that all activities that may impact, disturb or dislodge asbestos containing materials and all building conditions that could allow exposure to asbestos fibers are conducted and abated, respectively, in a manner consistent with established safety practices.

For further information or copies of the Asbestos Management Plan, please contact Environmental Health and Safety, ext 8475.

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): Jul-42

ORIGINATION DATE: June 26, 1996

REVISION DATE(S): 13-Jan-06

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51574

Policy: Intellectual Property
Bayh-Dole Act
Policy: Intellectual Property

Bayh-Dole Act

UD Requirements

In 1980, Congress enacted the Bayh-Dole Act, permitting the University to own inventions and patents made on federal grants.

The University must report its inventions and may elect to own and promote them.

The University has the right to license and commercialize inventions and intellectual property, subject to certain retained government purpose rights.

The University has all new faculty sign a “reminder letter” confirming obligations.

Bayh-Dole Act Background

To report an invention, see these policies and forms and contact the Intellectual Property Office within the Office of Economic Innovation and Partnerships for more information.

When the U.S. Congress passed P. L. 96-517, the Patent and Trademark Law Amendments Act, more commonly known as the “Bayh-Dole Act,” in 1980, a uniform federal patent policy was established, clearly stating that small businesses and non-profit organizations, including universities, could retain ownership of inventions made under federally sponsored research.

In return, the University of Delaware is expected to file for patent protection on inventions and then promote the licensing of those patents by the commercial sector, ensuring the outflow of UD discoveries and technologies from our labs to the marketplace.

Named after the senators who cosponsored it, Birch Bayh of Indiana and Robert Dole of Kansas, the Bayh-Dole Act and its subsequent amendments provide the basis for current university technology transfer practices. The landmark legislation has led to a more rapid transformation of university research into marketable products and technologies of use by and of benefit to society, as well as the launching of new industries and start-up companies to pursue the development of novel university inventions.

At the University of Delaware, the chief goal of the Office of Economic Innovation and Partnerships is to encourage and enable innovation and entrepreneurship; grow, utilize and leverage the University’s knowledge-based assets; and create and capture new economic and community benefits.

If you are a UD researcher with an invention to report, please review these policies and forms and contact Intellectual Property and Compliance within the Office of Economic Innovation and Partnerships for more information.

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

 

Policy Details:

OWNER: National Institutes of Health

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51629

Policy: Environmental Health and Safety
Biosafety Program
Policy: Environmental Health and Safety

Biosafety Program

The University’s Biosafety program is established to protect individuals from exposure to biohazards through the application of administrative and engineering controls. The program is managed by the Biosafety Officer and has oversight by the University Biosafety Committee. The program is described in the various subject areas listed below:

BIOLOGICAL PROGRAMS

BIOSAFETY RESOURCES

Any Biosafety issues may be addressed to Krista Murray or call 831-1433.

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

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51535

Policy: General Counsel
Bloodborne Pathogens
Policy: General Counsel

Bloodborne Pathogens

  1. PURPOSE
    To protect workers from the risks of being occupationally infected with the Human Immunodeficiency Virus (HIV), Hepatitis B virus, or other bloodborne pathogens and to implement the OSHA Standard 29 CFR Section 1910.1030 Bloodborne Pathogens.
  2. SCOPE OF POLICY
    This policy applies to all University personnel, employees, students and visitors, who are exposed to blood or other potentially infectious materials as a result of their University sponsored activities.

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): 31-Jul

ORIGINATION DATE: August 29, 1988

REVISION DATE(S): 15-Mar-94

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51537

Policy: Environmental Health and Safety
Bloodborne Pathogens Program
Policy: Environmental Health and Safety

Bloodborne Pathogens Program

The University of Delaware’s Bloodborne Pathogens Program was established in 1993 to protect workers who are exposed to blood or other potentially infectious materials in the workplace. It is designed to provide compliance with the Occupational Safety and Health Administration’s Bloodborne Pathogens Standard. The program requires registration with the Department of Environmental Health and Safety.

Questions regarding bloodborne pathogens issues may be addressed to EHS or call 831-8475.

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

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health and Safety

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51536

Policy: Research Office
Budget Revision for Sponsored Awards
Policy: Research Office

Budget Revision for Sponsored Awards

Definition/background

The budget plan is the financial expression of the project or program as approved by the sponsor during the award process. During the conduct of a project, the principal investigator may determine that budget changes are necessary to carry-out the project work. Many sponsors allow flexibility in how project funds are expended and permit budget changes needed to meet project requirements. Principal investigators need to be aware of the specific requirements for their awards and to request prior approval for budget changes when the terms and conditions of the sponsor or particular award require it. Revisions to sponsored project budgets that require sponsor prior approval must be reviewed and approved by the Research Office.

Informal rebudgeting occurs when actual expenditures exceed or fall short of the amount budgeted in a specific budget category. If sponsor prior approval is not required by the award terms, it is not required to submit a budget revision-contracts and grants webform to re-align the budget to match actual expenditures.

Procedure when requesting a rebudget of funds on same purpose code:

  • To request rebudgeting of funds on a federal or federal flow-through grant or contract:
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving federal or federal flow-through awards will automatically route to the Research Office for review and approval
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor requires prior approval of budget revisions please note this in the comments
    5. A Research Office Contract & Grant Specialist will review the request and the terms and conditions of the award
    6. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsoring agency
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed by the Contract & Grant Specialist
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    7. If sponsor prior approval is not required, the Contract & Grant Specialist will review the request and if appropriate approve the form and process the budget revision in the financial system
  • To request rebudgeting of funds on a non-federal or federal flow through grant or contract :
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving non-federal or federal flow-through awards will automatically copy to the Research Office
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor prior approval for budget revisions is required, note this in the explanation comments AND manually forward the form for Research Office review and approval by adding the Research Office to the electronic form routing (forward to wf-grantsbudrev@udel.edu). Note: if sponsor prior approval is required and the form is not forwarded to the Research Office for review, the PI’s department will be responsible to remove any disallowed costs resulting from the unauthorized rebudgeting
    5. When a FIN Budget Revision – Contracts and Grants webform is forwarded to RO for approval, Research Office Contract & Grant Specialist will review the request and the terms of the award. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsor
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed in the financial system by the Research Office
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    6. If a FIN Budget Revision – Contracts and Grants webform for a non-federal or federal flow-through award is not forwarded to the Research Office manually by the form submitter, once all internal approvals are recorded, the system will automatically apply the budget revision in the financial system

Any questions, please contact your Contract and Grant Administrator.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51438

Policy: General Counsel
Building Floor Loading
Policy: General Counsel

Building Floor Loading

  1. PURPOSE
    To develop safety procedures to be followed to insure that structural design of building floors are not exceeded to the point of collapse.
  2. SCOPE OF POLICY
    It shall be the policy of the University not to exceed the assigned permissible floor loadings of any building as established by Facilities Planning and Construction.

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): 20-Jul

ORIGINATION DATE: September 15, 1977

REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51575

Policy: General Counsel
Campus Injuries and Illnesses
Policy: General Counsel

Campus Injuries and Illnesses

  1. PURPOSE
    To outline the appropriate action to be followed when a University employee, visitor or student is involved in a campus injury or illness.
  2. SCOPE OF POLICY
    1. Notification
      University employees and students must notify their immediate supervisor of all campus injuries or illnesses as soon as possible. Persons responsible for visitors shall report campus injuries or illnesses whenever possible.  Injuries or Illnesses which result in medical expenses for these non-University employees (students and visitors) should be submitted through their personal insurance or Student Health Insurance.
    2. Immediate Medical Attention
      If immediate medical attention is required, injured or ill persons should be transported to the nearest emergency health care facility. Serious or nonroutine medical injuries should be directly referred to Christiana Hospital. This should be accomplished by arranging for emergency transport by calling:
      Newark Campus: Public Safety 911
      All other Campuses: call 9-911
    3. Routine Medical Attention
      For illnesses or injuries that do not require immediate medical attention but do warrant medical consultation, the following options are available:

        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): 3-Jul

        ORIGINATION DATE: April 15, 1975

        REVISION DATE(S): June 5, 1989; June, 1999; January 9, 2006; February 17, 2006; February 10, 2014

        Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51577

    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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