Forms, Policies and 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.

Forms, Policies and Procedures (96 Policies Entries)
Policy: Conflict of Interest, Intellectual Property
Intellectual Property Protection, Ownership and Commercialization
Policy

Intellectual Property Protection, Ownership and Commercialization

  1. PURPOSES
    1. to provide a mechanism for placing in the public realm the fruits of research, while safeguarding the interests of the University, the inventor(s), and the sponsor;
    2. to provide procedures to evaluate the significance of inventions, discoveries, research materials, and works, and the opportunities by which such creative advances may be brought to the point of commercial viability;
    3. to provide adequate legal protection for intellectual property including patent, trademark, and copyright protection for inventions and works falling within the scope of this policy, through the collaboration of University faculty, staff, and students with the assigned attorney(s) and Research Office staff;
    4. to establish principles for determining the rights of the University, the inventor(s), or developer(s) or author(s), and the sponsor;
    5. to provide greater incentives for pursuing and commercializing intellectual property by University personnel;
    6. to assist the inventor(s) or developer(s) or author(s) in realizing tangible benefits from the intellectual property;
    7. to satisfy requirements of certain research grants and contracts; and
    8. to provide a basis for establishment of institutional patent, copyright, and trademark agreements with the federal government and other agencies.
  2. POLICY
    1. General policy statementThe University of Delaware strives to support its faculty, staff, and students by pursuing the commercial development of intellectual and tangible research property resulting from University research. The early transfer of such knowledge and rights is consistent with the University’s mission of creating new knowledge and facilitating its application to the benefit of the public. The University has established policies and guidelines that provide incentives for faculty, staff, and students while protecting the integrity of research (also see Legacy Policy 6-11 related to avoidance of conflicts of interest). The University provides a number of administrative and legal services to inventors and authors to effectively and efficiently pursue intellectual property rights and technology transfer.It is policy of the University that all inventions and discoveries, together with any tangible research materials, know-how and the scientific data and other records of research including any related government protections (collectively “Intellectual Property”), which are conceived or reduced to practice or developed by University faculty, staff, or students in the course of employment at the University, or result from work directly related to professional or employment responsibilities at the University, or from work carried out on University time, or at University expense, or with the substantial use of University resources, shall be the property of the University. An invention shall constitute any discovery, machine, new and useful process, article of manufacture, composition of matter, life form, design, algorithm, software program, or concept that may have commercial value. University faculty, staff, or students employed by the University who discover or invent or develop a device, product, plant variety, method, or work while associated with the University must cooperate with the University in defining and establishing the rights to such inventions, works, materials, and data. This obligation extends to any Intellectual Property, whether or not made on University time with or without use of University facilities.When an invention is made, the inventor shall promptly provide, via the appropriate Department Chair and Dean, and the University Senior Vice Provost for Research, or his/her designee, an invention disclosure statement describing the circumstances under which the invention was conceived and reduced to practice, with particular attention to:
      1. describing the invention, including how the invention is made and used (i.e., its utility or applications), and including the results of a patent search establishing the novelty of the invention;
      2. indicating whether the invention was made under terms of a consulting or other personal agreement between the inventor(s) and client;
      3. indentifying in a business plan the anticipated business/societal value of the invention, and indicating those countries in which patent protection may be desirable;
      4. identifying the sponsor, if any, of the project or program;
      5. stating whether the invention is within the inventor’s normal activities and responsibilities with respect to his/her University employment; and
      6. indicating the extent to which equipment or physical facilities provided by the University were used in the work which led to the invention.

      To implement University Legacy Policy 6-7 on Copyright Processing and Funding, an author or developer who may wish to pursue copyright or trademark protection for a work or development would file a memorandum with the Research Office requesting review of the material and opportunities for intellectual property protection.

    2. Administrative Responsibility
      The administration of the principles and policies set forth in succeeding sections of this document is the responsibility of the Provost of the University. The Provost, however, has delegated routine administration to the Senior Vice Provost for Research, with the understanding that no departures from the stated principles and policies will be made without his/her prior concurrence.Inventions, developments, and works in which the University and the inventor(s)/developer(s) are the sole parties in interest shall be promptly evaluated for filing by the Chair(s) of the Department(s) involved and the Dean(s) of the College(s) involved, and a recommendation regarding how to proceed with patent filing (simple provisional patent application, fully developed provisional patent application, no provisional patent application) shall then be forwarded for review and appropriate action by Office of the Senior Vice Provost for Research and patent counsel for patentability or novelty for registration. Should the Dean(s) of the College(s) involved decide not to proceed with the patent filing, that decision may be appealed to the University Research Council. Following this review and evaluation, the inventions, developments, or works will then:

      1. be referred to counsel, who shall work with the full cooperation of the University inventor(s), to draft, file, and prosecute a patent application or to file a trademark or copyright application, or;
      2. be considered by the University (or the UD Technology Corporation if the Intellectual Property has been assigned to the University’s commercialization affiliate, see Section C-5, below), in collaboration with the inventor(s), for opportunities to commercialize the invention;
      3. be offered to the Federal funding agency when the University initially elected to retain title under the Bayh-Dole statue but the invention and associated patent application(s) are no longer of interest to the University;
      4. be released to the inventor if found not to be of interest to the University or any Federal agency which may have funded the research leading to the invention; or
      5. in certain cases referred to brokers or outside entities with whom the University has contracts to assess commercial potential and interest in their filing and attempting commercial development.
    3. Rights and Obligations of the University, Faculty, Staff, and StudentsThe respective rights and obligations of the University, faculty, staff, and students in various situations are as follows:
      1. University-funded researchIntellectual Property resulting from efforts conducted by faculty, staff, or students, that have been financed wholly by the University or have involved the use of University facilities, equipment, or materials, are covered by section B, above.
      2. Government-funded researchInventions or discoveries that result from efforts financed wholly or in part by Federal funds will be treated in accordance with the provisions of Public Law 96-517, “The Patent and Trademark Amendments of 1980” known as the Bayh-Dole Act. This act provides that the contractor (University of Delaware) may retain full title, right, and interest in inventions made under contract with the government, with certain exceptions for unusual circumstances. Except as specifically superseded by provisions of a specific funding agreement, inventions and discoveries covered by this section will be treated as outlined in section B, above.
      3. Research funded by grants or other contractsIntellectual Property resulting from research conducted by faculty, staff, or students, which research has been financed wholly or partially by industrial, philanthropic or other organizations, or by individuals, under contracts or written agreements are governed by the terms of such contracts or agreements, and the principal investigator is responsible for informing co- workers of their rights under such contracts or agreements before initiation of the research. Intellectual Property not required to be assigned by contractual terms may be processed or disposed of by the University as provided in section B, above.
      4. Intellectual Property resulting from research conducted wholly at the expense of the individual, without use of University facilities, equipment, or materials, and are outside the individual’s normal field of activities and employment responsibilities are the property of the individual, and the University undertakes no responsibility with respect to such Intellectual Property. In all such cases the Provost will confirm the individual’s ownership rights to the Intellectual Property to the inventor(s) or developer(s) to dispose of as the inventor(s) or developers see(s) fit. At the sole option of the inventor(s) or developer(s) and with the University’s prior assent, such Intellectual Property may be conveyed by assignment to the University.
      5. It is the policy of the University, with reference to all creative work of faculty, staff, and students, to recognize the interests of all parties involved, to provide a mechanism for the identification of commercial opportunities, to provide guidelines for making a proper and equitable distribution of benefits, and to assist the inventor(s) or developer(s) in benefiting from his or her creative efforts. It is important to realize, however, that under U.S. law the parties identified as possible joint inventors are those who have contributed to the conception of an invention and sign a declaration attesting to their role. The decision on inventorship is a legal decision and different from the guidelines used to establish co-authorship. In situations where the University pursues commercialization through the licensing or transfer of rights in the Intellectual Property to another entity, the University normally elects to do so by assigning its rights to the UD Technology Corporation, a University affiliate established to facilitate such commercialization.
    4. Roles and Responsibilities in Patent ProcurementThe patent procurement system involves technical and legal efforts over a number of years to obtain meaningful, enforeceable patents to protect valuable intellectual property developed through research programs at the University. After a University inventor files an Invention Disclosure to initiate the patenting process with the Research Office, there are four stages of patent prosecution over a 3-5 year period. The most critical decisions in this process, however, occur within the first 30 months and carry with them significant costs. This policy defines the critical elements and procedures of the process and allocates technical, legal, and financial responsibilities attendant with each element.
      1. Invention Disclosures, prepared by University research personnel, are submitted to the Research Office via the Department Chair(s) and the Dean(s) of the College(s) involved for review, approval, and action as described in Section B above. If approved, the Research Office will arrange for an appropriate U.S. provisional patent application to be prepared and filed with the USPTO through outside counsel. In the case of industry-supported research agreements, the costs associated with the preparation and filing of the provisional application will be borne by the industrial collaborator.
      2. Costs incurred for patenting inventions from research not supported by an industrial partner will be shared as follows.
          1. for the simple form of the provisional patent application, costs will be paid by the Research Office; or
          2. if the fully developed form of the provisional patent application is selected as appropriate and filed, the costs will be shared one-third by the Research Office; one-third by the department(s) of the inventor(s); and one-third by college(s) of the inventor(s).

        If the University determines it will not file, the inventor(s) shall have the right to appeal such a decision to the University Research Council.

      3. If agreed by the inventor(s), the Department Chair(s), and the Dean(s) of the College(s), the provisional patent application will be converted to a non-provisional, utility application and a global foreign application under the Patent Cooperation Treaty (“PCT”) will be filed within one year of the original filing of the provisional application. Costs associated with this industry-supported research agreements, or as follows for all others:
        1. one-third of the costs by the Research Office;
        2. one-third of the costs by the Department(s) of the inventor(s);
        3. one-third of the costs by the College(s) of the inventor(s).If the University determines it does not wish to continue, the inventor(s) shall have the right to appeal such a decision to the University Research Council. If the Dean(s) of the College(s) elect(s) not to proceed and the University does not wish to continue, the invention and associated patent application(s) shall be offered to the inventor(s) as per Paragraph II.B.4 above. If accepted by the inventor(s), they shall be fully responsible for all future costs, governmental notifications, and other obligations. No conversion to a utility application, or filing of a PCT application, will be made until the inventor(s) have developed a detailed plan and/or identified an industrial partner to further develop the invention. The University Intellectual Property Committee will be asked to assist in evaluating the intellectual property for future marketing and utilization and to identify potential industrial partners to further develop the invention.
      4. At 30 months after the original filing of the provisional application, a decision regarding in which foreign countries to pursue a patent (enter the PCT National Phase) by the inventor(s), the Department Chair(s), and the Dean(s) must be made. Costs associated with this selection of countries in which to pursue foreign patents will be borne by the industrial collaborator for industry-supported research agreements, or as follows for all others:
        1. one-third of the costs by the Research Office;
        2. one-third of the costs by the Department(s) of the inventor(s);
        3. one-third of the costs by the College(s) of the inventor(s).If the University determines it does not wish to continue, the inventor(s) shall have the right to appeal such a decision to the University Research Council. If the Dean of the College elects not to proceed and the University does not wish to continue, the invention and associated patent application(s) shall be offered to the inventor(s) per Paragraph II.B.4 above. If accepted by the inventor(s), they shall be fully responsible for all future costs, governmental notifications, and other obligations.
      5. The decision to continue prosecution of the U.S. utility patent application and any associated foreign patent applications shall be reviewed periodically among the inventor(s), the Department Chair(s) of the appropriate Department(s), the Dean(s) of the appropriate College(s), and the University. Costs associated with continued patent prosecution will be borne by the industrial collaborator for industry-supported research agreements, or as follows for all others:
          1. one-third of the costs by the Research Office;
          2. one-third of the costs by the Department(s) of the inventor(s);
          3. one-third of the costs by the College(s) of the inventor(s).

        If the University determines it does not wish to continue, the inventor(s) shall have the right to appeal such a decision to the University Research Council. If the Dean of the College elects not to proceed and the University does not wish to continue, the invention and associated patent application(s) shall be offered to the inventor(s) as per Paragraph II.B.4 above. If accepted by the inventor(s), they shall be fully responsible for all future costs, governmental notifications, and other obligations. NOTE: In the event the patent application has been licensed or is subject to other legal obligations, prosecution of such applications shall continue until expiration or release of such obligation(s).

      6. The Research Office will operate to manage the patent prosecution effort and oversee the activities of outside counsel. The Research Office shall communicate information and coordinate decisions with the inventor(s), Department Chair(s), and the Dean(s) of the appropriate College(s) involved to ensure the implementation of academic directives.
      7. If the patent(s) are successfully licensed, for the purpose of recovering patent prosecution costs, Net Revenues from the licenses will be allocated in accord with the allocation formulas of Section F, below.
      8. Appeals of any decision not to file an application or to discontinue patent prosecution of a pending patent application shall be taken to the University Research Council.
    5. Arbitration of DisputesIn the event the University and the inventor(s) or developer(s) cannot agree with respect to any of their respective rights or obligations hereunder regarding a non-patent procurement matter, such dispute shall be submitted for determination to an arbitration panel of three members chosen from the University community and having a member named by the inventor(s), or developer(s), a member named for the University by the Provost, and a chair selected by mutual agreement of these two nominees. The decision of a majority of such panel shall be final and binding upon both the inventor(s) and the University.
    6. Division of Income
      1. Income received by the University or the UD Technology Corporation from the commercialization of Intellectual Property, including but not limited to upfront technology access fees, royalties, approvals to assign rights, equity interests, compensatory damages for infringement and other direct damages awards (“Revenue”) shall be used first to reimburse the parties (the University, UD Technology Corporation and other University units as appropriate) that shared in the costs for direct assignable or foreseeable future expenses arising in connection with obtaining or litigating the Intellectual Property (“Expenses”). An additional 15 percent of the net Revenue remaining after recovery of expenses shall be retained by the University or UD Technology Corporation for management expenses to cover overhead.
      2. For the case where income is coming from all sources except litigation, the remaining balance, “Net Revenue” shall be distributed quarterly and divided one-third to the inventor(s), one-sixth to the department(s) of the inventor, one-sixth to the College(s) of the inventor(s), and one-third to the University or UD Technology Corporation.
      3. For the case where income is coming from litigation, “Net Revenue” up to $3 million dollars shall be distributed quarterly and divided one-third to the inventor, one-third to the College(s) of the inventor(s), and one-third to the University or UD Technology Corporation. Above $3 million dollars, “Net Revenue” shall be distributed quarterly and divided one-fifth to the inventor, two-fifths to the College, and two-fifths to the University or UD Technology Corporation. Punitive damages and/or treble damage awards obtained in litigation of IP matters shall be retained solely by the University.
      4. If two or more inventors or developers are entitled to share in the portion of “Net Revenue” earned by them under Section II.F(i), the inventors and developers must sign, have notarized, and present to the University an agreement stipulating how such income will be shared among themselves before the University will distribute any “Net Revenue” to such inventors and/or developers. In the absence of an agreement among the inventors providing specific guidance regarding the distribution of their shares of “Net Revenue”, the University (or UD Technology Corporation) shall distribute the inventors’ share of “Net Revenue” in equal shares to each University inventor.
      5. In the event that compensation from the Intellectual Property is in the form of restricted or unrestricted common or preferred stock, such stock will be distributed in accordance with Section II.F(i) as soon as practical after receipt by the University, or the appropriate portion of shares may be registered directly with the inventor(s) or developer(s). It shall be the sole responsibility of the inventor(s) or developer(s) to satisfy any personal tax obligations related to stock distributed to them under Section II.F(i).
      6. When Intellectual Property is created under contract with an outside agency as provided in Sections II.C-2 and II.C-3, the division of income shall be in accordance with the terms of the contract. In the event that any contract with an outside agency provides for the University to receive unrestricted funds from the Intellectual Property, such funds shall be divided as provided in Section II.F(i).
      7. In the event that Revenue is received under an agreement granting licenses for two or more patents or works, the prorating of income among the patents or works shall be determined by the University Patent Committee(see Section II.F(i), above) using the procedure of Section B as a guide. This Committee shall utilize legal, accounting, and scientific consultants as it deems necessary in making its decisions. If one or more of the inventors named in the patents or works involved disagrees with the decision of the committee, the matter shall be resolved by arbitration as provided in Section II.E.
      8. Revenues less than $100.00 received by the University or UD Technology Corporation shall be retained by the University or UD Technology Corporation and not distributed.

 

Policy Details:

OWNER: Provost

SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-06

ORIGINATION DATE: October 1, 1981

REVISION DATE(S): June 5, 1989; March 1, 1996; March 6, 2002; March 3, 2005; September 6, 2005; May 22, 2007; January 18, 2008; February 28, 2008; August 11, 2008

Policy Source Open Policy



Policy: Research Administration, Research Agreement Templates
Fixed Fringe Benefit Rate Agreement
Policy

Fixed Fringe Benefit Rate Agreement

UD FY19 Fixed Fringe Benefit Rate Agreement

INSTITUTION: UNIVERSITY OF DELAWARE, NEWARK, DE 19716-4005

The Fringe Benefits rates contained herein are for use on grants, contracts and/or other agreements issued or awarded to the University of Delaware by all Federal Agencies of the United States of America, in accordance with the cost principles mandated by 2 CFR Part 200. These rates shall be used for forward pricing and billing purposes for the University of Delaware Fiscal Year 2019. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2019.

SECTION I: RATES – TYPE: FIXED (FIXED)

Fringe Benefits Rates:

Type From To Rate Base Applicable To
Fixed 7/1/18 6/30/19 40.8% (a) Faculty/ Prof. Employees All
Fixed 7/1/18 6/30/19 65.2% (a) Staff Employees All
Fixed 7/1/18 6/30/19 5.9% (a) Graduate Students All
Fixed 7/1/18 6/30/19 40.8% (a) Other* All

*Excludes student wages exempt from FICA.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 21, 2018

Policy Source Open Policy



Policy: Human Subjects in Research, Intellectual Property
Guide to Intellectual Property
Policy

Guide to Intellectual Property

The Ratner Prestia Document gives an overview of the different aspects of patents, trademarks, copyrights, and trade secrets such as how protection is gained, the duration of that protection, who is entitled to the rights, and more.

 

Policy Details:

OWNER: Ratner Prestia

RESPONSIBLE OFFICE: Research Office: UD Research Regulatory Affairs

ORIGINATION DATE: July 20, 2007

Policy Source Open Policy



Policy: Conflict of Interest
Conflict of Interest Policy and Procedures for Faculty and Professional Staff
Policy

Conflict of Interest Policy and Procedures for Faculty and Professional Staff

  1. SCOPE OF POLICY
    This policy addresses the University of Delaware’s (UD or University) responsibility to promote objectivity in research and education activities by 1) requiring that significant financial interests of faculty, staff and other members of the University-research community be disclosed, and 2) providing means for managing conflicts of interest (COI) should they arise.
  2. DEFINITIONS
    A potential COI occurs when there is a divergence between an individual’s private interests and his or her professional obligations, such that an independent observer might reasonably question whether the individual’s professional judgment, commitment, actions, or decisions could be influenced by considerations of personal gain, financial or otherwise. Whether a COI exists depends on the circumstances, and should be determined on a case by case basis.

    1. As used in this policy, the following terms shall have the meanings indicated:Financial Conflict of Interest (FCOI) refers to a significant financial interest (SFI) that could directly and significantly affect the design, conduct, or reporting of research.
    2. SFI refers to a financial interest, as described in Section IV of this policy that reasonably appears to be related to the employee’s institutional responsibilities. SFI does not include income, payment, or sponsorship received from: a federal, state, or local government agency, an institution of higher education as defined in 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute affiliated with an institution of higher education.
    3. Investigator refers to the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research (may include collaborators and consultants).
    4. Remuneration includes salary and any payment not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship, etc.).
    5. Equity interest includes any stock, stock option, or other ownership interests as determined through reference to public determination or other reasonable measures of fair market.
  3. POLICY STATEMENT
    The involvement of faculty, staff and other members of the University-research community with appropriate commercial enterprises is an important part of the transfer of knowledge and is encouraged by the University to enhance teaching, research and outreach programs. Association of faculty or professional staff with commercial enterprises should be such that it benefits all the parties involved, including the University. All faculty, staff and members of the University-research community are expected to conduct their research-related duties with integrity, and to avoid association with activities that could diminish or could be perceived as diminishing the effectiveness of their commitment to the University. It is the responsibility and obligation of faculty, staff and members of the University-research community to disclose all SFIs that may affect, or appear as if they could affect, their University-related responsibilities.
  4. POLICY STANDARDS AND PROCEDURES
    1. SFIs (including those of the employee’s spouse and dependent children) must be disclosed on an annual basis.  On or before February 15, and within 30 days of any changes in their previously disclosed interests, faculty and professional staff are obligated to submit complete written disclosure to the chair, dean, unit head, or supervisor for all of the following:
      1. With regard to any publicly traded entity: any remuneration during the previous 12 months received from the entity, and the value of any equity interest in the entity that when aggregated exceeds $5,000; and/or any equity interest that represents more than 5% ownership in a single entity.
      2. With regard to any non-publicly traded entity: any remuneration during the previous 12 months received from the entity that when aggregated exceeds $5,000; and/or any equity interest.
      3. Intellectual property rights and interests (e.g., patents, author’s rights, etc.), other than those assigned to UD and shared through proper agreements (Intellectual Property Protection, Ownership, and Commercialization), upon receipt of related income that when aggregated exceeds $5,000.
      4. Any reimbursed or sponsored travel during the previous 12 months by an entity different from those listed in the definition of SFI (Section V of this policy).
      5. Any arrangements that involve a consulting agreement or other outside professional activities.
      6. Participation in, or personal sponsorship from, any entity that invests in, or provides financial support for, activities related to the employee’s University areas of responsibility.
      7. An appointment as an officer, director, or any other managerial position in a commercial enterprise; participation in the day-to-day operations, including serving on the scientific advisory board, of a commercial enterprise.

      Any situation that has the potential for, or could be perceived as, a conflict of interest (i.e., might interfere with the employee’s institutional responsibilities).

    2. Information to be disclosed about any and all SFI(s) previously identified shall include details of:
      1. the nature of the relationship;
      2. the name and address of the enterprise, the type of business, and its relationship with the University;
      3. the expected benefits to the enterprise, the University, and the faculty or professional staff member in terms of professional growth, technology transfer, and commercial feedback;
      4. basis for avoiding conflict of interest between the SFI and professional obligations to the University;
      5. With respect to a disclosed travel event:
        1. the purpose of the trip,
        2. the identity of the sponsor or organizer,
        3. the destination,
        4. the duration of the trip, and
        5. if known, the monetary value of the reimbursement or sponsorship.
    3. Disclosures of SFIs must be directed to the appropriate chair, dean, unit head, or supervisor for review, COI determination, approval, and direct management, and forwarded to the Research Office for compliance monitoring.
    4. Conflict Of Interest Management
      1. The chair, dean, unit head, or supervisor shall review the SFI disclosure to determine if any of the SFIs disclosed could generate a COI. A COI exists when an SFI is related to a specific research project and/or any other institutional responsibility of the employee, and could have a significant and direct effect on it.
      2. If, after reviewing the facts, an SFI is deemed to be a COI, the chair, dean, unit head, or supervisor shall develop and implement a management plan jointly with the faculty or staff member. Examples of conditions or restrictions that might be imposed to manage a COI include, but are not limited to:
        1. Public disclosure of the conflict (e.g., when presenting or publishing affected research);
        2. Appointment of an independent monitor capable of taking measures to protect against bias resulting from COI;
        3. Change of personnel or personnel responsibilities, and/or modification of the research plan;
        4. Reduction or elimination of a financial interest;
        5. Severance of relationships that create the conflict(s).
      3. If the situation remains unresolved following this review, the chair, dean, unit head, or supervisor may submit the matter to a Conflicts Advisory Committee appointed by the dean (or equivalent). This committee will consider the situation and recommend steps necessary to resolve the matter. The dean (or equivalent) may accept, reject, or modify the committee’s recommendations.
      4. If the faculty or staff member objects to the resolution offered by the dean (or equivalent), the matter shall be referred to the Provost (or equivalent) who shall appoint, convene, and seek advice from a university level ad hoc Conflicts Committee. The Committee, which shall include no less than five members representing the colleges and other constituencies as appropriate, shall serve as a resource in the identification and resolution of the specific conflict of interest. The Provost (or equivalent) shall make a final decision regarding the resolution of any conflicts.
      5. Management plans will be monitored for compliance during the life of the COI by the chair, dean, unit head, or supervisor with the assistance of the Research Office. Failure to disclose an SFI which is later determined to be a COI, failure by the University to review and manage such COI, or failure to comply with a management plan, would be considered a noncompliance event.
      6. If a noncompliance event is identified, then, within 120 days of such determination, the appropriate supervisor, with the assistance of the Research Office, will perform a retrospective review of the employee’s activities to determine if any bias occurred during the noncompliance time period. The retrospective review will be documented including all the following as applicable: the project number, project title, project director, name of the investigator with the SFI/COI, name of entity with which the SFI/COI exists, reason for the retrospective review, detailed methodology used for the review process, compositions of the review panel, and findings and conclusion of the review.
      7. If bias is found, the University will promptly inform the appropriate sponsor and submit a mitigation report. The mitigation report will include the key elements from the retrospective review and a description of the impact of the bias, and the University’s plan of action or actions taken to eliminate or mitigate the bias.
      8. Records of financial disclosures and all decisions and actions taken by the University will be maintained by the Research Office for three years from effort closeout.
      9. Agency Specific Requirements

        As provided by federal regulation (42 C.F.R. Part 50, Subpart F, and 45 C.F.R. Part 94), COI policy compliance for research projects funded by, or requesting funding from, any awarding component of the Public Health Service (PHS) will be monitored as follows:

        1. Prior to the expenditure of any funds under a PHS-funded research project, the disclosures of SFIs from all involved investigators will be evaluated according to this policy for determination of a potential FCOI relevant to that PHS-funded project based on the following criteria:
          1. An SFI is related to PHS-funded research if the SFI could be affected by that research.
          2. An FCOI exists when it is determined that the SFI could directly and significantly affect the design, conduct or reporting of the PHS-funded research.
        2. Whenever the University identifies an SFI not disclosed timely, or not previously reviewed, the dean (or equivalent) shall within 60 days evaluate the SFI and determine if it is an FCOI, in which case a management plan will be implemented.
        3. In an event of noncompliance (i.e., FCOI not identified or managed in a timely manner, and/or failure to comply with a management plan), the University shall, within 120 days, complete a retrospective review to determine whether bias occurred during the noncompliance period.
        4. If bias is found, the University is required to notify the PHS awarding component promptly and submit a mitigation report, including a description of the impact of the bias on the research project and the Institution’s plan of action or actions taken to eliminate or mitigate the effect of the bias.
        5. Elements to include in the retrospective review and the mitigation reports can be found in 42 C.F.R. §50.605.
        6. In any case in which HHS determines that a PHS-funded research project of clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment has been affected by a FCOI not properly managed or reported the University shall require the Investigator involved to:
          1. Disclose the FCOI in each public presentation of the results of the research, and
          2. Request an addendum to previously published presentations.
        7. As required by the regulations, SFI(s) disclosed to the University and related to PHS-funded research will be made available to the funding agency within five days of a formal request.
        8. Disclosures related to federally funded projects, records will be kept for three years from the date of submission of the financial closeout documentation.

Related Links

General Counsel Page for this Policy

 

Policy Details:

OWNER: Provost

SECTION: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER: 6-11

ORIGINATION DATE: November 15, 1989

REVISION DATE(S): March 1, 1996; February 18, 2002; January 18, 2008; August 11, 2008; August 23, 2012; May 8, 2015

Policy Source Open Policy



Policy: Contracts and Grant Management
72 Hour Policy
Policy

72 Hour Policy

UD researchers need to have their proposals to UD Research Office by 8:00 a.m. — three business days prior to the agency deadline — or they will not be submitted to the sponsor. The new policy went into effect Jan. 3, 2007, and is reflective of the demands of electronic research administration, specifically the Grants.gov initiative for proposal processing for federal agencies.

Recognizing that the proposal’s scientific content requires maximum time to develop, project management teams will accept proposal packages that include a full proposal budget (including subcontract budgets and details if subcontracts are involved), budget justification, and proposal abstract for review. While the full scientific details of the proposal may not be in hand, the electronic documents can be prepared from these materials and the proposal readied for submission. Proposal packages lacking budget or other elements stated above will be considered incomplete and will be returned to the principal investigator.

“As many of our researchers know, the federal government is continuing to implement Grants.gov, its electronic proposal submission system,” Carolyn Thoroughgood, former UD vice provost for research and graduate studies, said. “As more agencies make use of the electronic system, we need to make sure we have adequate time on the server for reviewing and approving research proposals before their due date. We want to avoid any electronic ‘pile-ups’ that might occur as more and more proposals flow into the pipeline.

“Our goal is to serve the University’s research community in the best way we can, and this policy is designed to safeguard the investment of time and effort that goes into developing high-quality proposals,” Thoroughgood noted.

Currently, Research Management and Operations, a unit of the UD Research Office, processes in excess of 1,300 proposals per year, and of that number, between 400 and 500 proposals typically are funded by such agencies as the National Science Foundation, National Institutes of Health, National Oceanic and Atmospheric Administration.

Depending on the funding agency and grant program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small grant to more than a hundred pages for large, multi-institutional efforts. Those proposals that are successful account for an influx of more than $148 million in research funding to UD each year.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: January 3, 2007

Policy Source Open Policy



Policy: Contracts and Grant Management
Budget Revision for Sponsored Awards
Policy

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 Open Policy



Policy: Contracts and Grant Management
Class I Movable Equipment Policy
Policy

Class I Movable Equipment Policy

  1. PURPOSE
    To establish guidelines to be followed when ordering Class I equipment, parts thereof, or when assembling (from parts and pieces) Class I equipment.
  2. POLICY
    1. Definitions
      1. A building will consist of the shell and other building components. The building shell would include interior walls, floors and ceilings, and whatever is necessary to complete the exterior of the building. Building components include those items that are necessary for the operation of the building regardless of its use, and where removal would involve costly or extensive alterations or repairs to the building. Included in this component category would be the plumbing system, heating system, central air conditioning system, electrical services, standard room lighting fixtures, fire alarm systems, built-in intercom systems, draperies, and the floor covering such as tile or carpet. It will also include duct work for exhaust systems; and conduit and wiring therein, even though equipment may be attached to same.
      2. Class I Equipment
        1. Class I equipment is defined as movable, tangible personal property with an acquisition or declared value of $5,000 or more, is functional for its intended purposes in and of itself (except for an external power supply if needed), and has a useful life of two years or more.
        2. An accessory/peripheral is defined as an item intended to be used, with an otherwise identifiable equipment item, for the purposes of increasing or enhancing the productivity or utility of the equipment item. When the peripheral is purchased with the equipment item to form or enhance a system, the combined system may be considered one item of equipment for purposes of identification and valuation. When purchased separately and added to existing equipment, the value of the accessory/peripheral is added to the equipment value only when the cost of such accessory or peripheral meets or exceeds $2,000.(NOTE: In the inventory and reporting of personal computers/computer systems, all items other than software will be considered a part of the system for cost and/or valuation purposes.)
        3. Fabricated equipment is composed of material purchased for the purpose of building, constructing or assembling of Class I equipment that will be so identified upon completion. Class I equipment at the University of Delaware will include those items in which material costs alone are $5,000 or more, and will not include labor costs.
        4. Repair and/or Replacement Parts are defined as items, regardless of cost, that are necessary to restore an item of equipment to a fully functional status. Repair/replacement parts are not Class I equipment in and of themselves.If the cost of the repair or replacement part is 50% or more of the base equipment item, or if the item significantly enhances the functional capacity of the base equipment item, cost(s) of the part may be considered as equipment purchased and added to the equipment item’s adjusted cost.
        5. Those items of material and/or supplies that are not functional in and of themselves, even if used in conjunction with equipment items, and lose their identity/utility when viewed separately or used over an extended period of time, are considered expendable supplies (S&E).When items of this type are purchased to enhance or increase the performance of identifiable equipment, an adjustment to the value of the (parent) equipment will not be made unless the unit cost of an added item is $2,000 or more.
        6. Equipment, therefore, would include furniture, refrigerators, dishwashers, drawing files, testing equipment, etc. Equipment will also include lab benches, even though they may be bolted to the floor; hoods and associated exhaust fans, even though the duct is not included; specialized equipment, even though utility connections may be required; water coolers, except the built-in type, window air conditioning units, prefabricated facilities such as environmental control rooms that are purchased as a unit, special lighting such as stage lights, and projection screens that can be replaced. In all cases, the cost of the item must be at least $5,000.
      3. An Assembly Part is an item that will be utilized in a building or assembling of a finished Class I equipment item.
      4. The following applies to the above items:
        1. An exception to the above definitions is the Power House Central Heating and Chilled Water Plant which actually consists of a shell, building components and equipment; but for control purposes and cost evaluations will be treated as a single building unit.
        2. Capital Expenditure refers to the cost of an asset, including the cost to put it in place. For equipment, this means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it useful for the purpose for which it was acquired. Charges such as protective and transit insurance, freight, and installation will be included where such costs can be identified. Only external labor will be considered a capital cost.
      5. Asset Management Records are detailed listings of Class I Equipment. They are maintained and segregated by department and building, identified by a University assigned number, and referenced by purchase order number, cost, acquisition date, ownership, fund source, description, etc.
    2. Procedures
      1. Class I Movable Equipment will be purchased against the appropriate account code.
      2. All purchased parts meeting the criteria in II-A-2-b above must be charged to the appropriate account code and referenced to the Class I equipment to which it will be attached (by University of Delaware Tag Number) on purchase documentation (purchase requisition and purchase order).NOTE: Replacement or repair parts are chargeable to an appropriate 400 account code, unless meeting the criteria in II-A-2-d.
      3. An assembly part, when ordered, is charged to the appropriate 053100 account code. When assembled, the code will be charged to the account code 167900 (if its fully assembled value is to be $5,000 or more). If a fully assembled equipment value is to be less than $5,000, all material acquired for this assembly is chargeable to an appropriate 400 account code. When the item is completely assembled and a journal voucher is generated to identify the item and its location, a tag will be assigned to the equipment.
      4. Departments may request computer-generated summaries of Class I equipment by contacting Asset Management.
    3. Responsibilities
      1. Ordering Department
        1. Insure that the appropriate object code is used when preparing documentation for purchase of material.
        2. Provide the existing tag number of the base item of equipment to which items purchased under account code 167900 will be attached.
      2. Office of Vice Provost for Research:
        1. Notify Asset Management of “funding source” and “ownership” codes.
      3. Procurement Services Department:
        1. Insure that information is properly transcribed to the purchase order.
        2. Note on the purchase order when arrangements have been made for delivery to the department.
      4. Asset Management:Conduct a final review and determination of appropriate application of account codes. If the account code is to be changed, the originating department, Procurement Services, Accounts Payable, and the Office of the Vice Provost for Research (where applicable) shall be so notified. Changes after an invoice is paid shall be made by Asset Management and supported with a Journal Voucher.
      5. Accounts Payable:Responsible for notifying Asset Management that there is an invoice outstanding for equipment valued over $50,000. Accounts payable will not pay the invoice until Asset Management confirms that the equipment has a UD inventory tag attached.
  3. RESPONSIBLE AUTHORITY
    The authority to enforce this policy lies within the Procurement Services Department. Any questions may be directed to (302) 831-2161 or procurement@udel.edu.

 

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): 5-10

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): October 2, 1985; April 6, 1989; August 1996; July 2000; July 1, 2005

Policy Source Open Policy



Policy: Contracts and Grant Management
Cost Shares for Equipment
Policy

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): 10/02/2018

Policy Source Open Policy



Policy: Contracts and Grant Management
Cost Sharing Policy
Policy

Cost Sharing Policy

  1. 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.
  2. DEFINITIONS
    1. A “Cost Sharing” or “Cost Matching” represents the portion of award costs not borne by a sponsoring agency. Any Cost Sharing committed on a proposal, if awarded, is an assumed/committed budget amount that must be identified, utilized and tracked in the award.
    2. The term “Allowable”, for purposes of this Policy, shall refer to costs that must be consistent with the terms and condition of the specific award, University and federal regulations.
    3. The term “Allocable”, for purposes of this Policy, shall refer to costs that must provide a sole benefit to the project or provide proportionately assignable benefits to the project and other work.
    4. The term “Reasonable”, for purposes of this Policy, shall refer to costs that are reasonable when the cost is necessary for the performance of the Sponsored Project, when an individual would normally purchase the item at that price given the circumstances, and when the cost is incurred consistent with established University policies.
    5. “Committed Effort” is the amount or percentage of time a University employee has agreed to work on a specific Sponsored Project. It is not necessarily the actual effort expended each month, but a projected amount to be achieved over a period of time (for example, a semester or a year). This commitment is set at the time of the award.
    6. Facilities and Administrative Costs (“F&A Costs”) are indirect costs that are incurred for common and joint objectives and therefore cannot be identified readily and specifically with a particular sponsored activity.
    7. “Effort Certification” is an employee’s documentation of his/her effort report and is an affirmation that his/her reporting of effort is accurate and complete.
    8. A Principal Investigator (“PI”) is defined as 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) including programmatic reporting.
  3. POLICY STATEMENT
    The University engages in cost sharing when it is in the best overall interest of the University, but 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.
  4. POLICY STANDARDS AND PROCEDURES
    1. Approval for Cost Share should occur at the time of proposal submission via inclusion in the award budget. Cost Share represents a commitment of resources by the University that can be made through contributions of, but not limited to labor (effort provided on a project), tuition scholarships, equipment funds, or third party (sub award or collaborator) contributions. Once Cost Sharing is specified and quantified in the proposed budget, budget justification, or budget narrative by the University, the institution is committed to the Cost Share even if Cost Share is not required by a sponsor. Cost incurred by the University to fulfill Cost Sharing commitments must coincide with the budget period of the award.
    2. The PI on a Sponsored Project is responsible for maintaining records of all project related costs for both the award and Cost Share components.
    3. The University reserves the right to proportionately reduce the Cost Share commitment if funds awarded are less than proposed.
    4. Categories of Cost Share
      1. Mandatory Cost Share
        Cost Sharing should be provided only in sponsor-mandated instances. If cost share is mandated by a sponsor, it should be limited to the minimum amount necessary to meet the sponsor’s requirement.
      2. Voluntary-Committed Cost Share
        Voluntary Cost Share is committed when the University has determined that a contribution of additional resources is necessary to ensure a competitive advantage for award. The University discourages voluntary-committed Cost Share. Under 2 CFR 200, voluntary-committed Cost Share is not expected and will not be used by sponsors when evaluating proposal technical merit unless it is in accordance with the Federal awarding agency regulations and notated in the Federal Funding Opportunity.
      3. Voluntary-Uncommitted Cost Share
        A commitment of University resources beyond the budgeted commitments is considered voluntary-uncommitted Cost Share. An example includes effort provided by a faculty member beyond that which is budgeted. In these circumstances, it is not necessary to track or account for these costs.
    5. Allowable Cost Share
      1. Cost Shares must be:
        1. Allowable and Allocable under federal cost principles as referenced in the above Scope of Policy section and as defined above;
        2. Verifiable from University records when applicable;
        3. Necessary and reasonable for proper and efficient accomplishment of project objectives;
        4. Identified in the approved award budget set up by the Research Office when applicable;
        5. In compliance with the criteria outlined in the applicable federal regulations; and
        6. Determined by the sponsor’s specific award terms and conditions.
    1. Effort Cost Share
      1. A minimum effort level of 1% for all sponsored activity awards has been established by the University in response to federal guidance which states that federally-funded research programs must have some level of committed faculty (or senior researchers) effort, paid or unpaid, from the sponsored award. If the required minimum is not met as effort, then Cost Share will be used to satisfy the minimum effort. This does not apply to major research instrumentation, awards solely for travel and infrequent other special circumstances.
      2. If salary is not charged directly to a sponsor, an appropriate amount of Cost Share effort should be provided. It is not acceptable for a PI to submit a sponsored activity proposal without some level of commitment by the PI to the proposed project. This requirement is not applicable to equipment awards, dissertation or training support, fellowship, or other limited purpose awards (e.g., travel grants, conference grants) that require little or no additional time from the PI.
      3. Effort may be committed and met at any time within a project year (summer months, academic year, or both). Committed Effort, whether mandatory or voluntary, must be met and reported during the periods in which it was accomplished. Any effort provided in excess of the level committed to a sponsor is referred to as voluntary-uncommitted cost share, and is not required to be reported as Cost-Share.
    2. Equipment Cost Share
      1. Equipment committed as Cost Share in a proposal, whether mandatory or voluntary, must be purchased, tracked, and reported during the periods in which it was utilized. Any equipment Cost Share provided in excess of the level committed to a sponsor is referred to as voluntary-uncommitted cost share, and is not required to be reported as Cost Share.
      2. University equipment Cost Share dollars are available when a sponsor requires mandatory equipment Cost Share or the project budget exceeds the available funding for equipment. Equipment specifics (e.g., cost limits and life expectancies) are consistent with UD Policy 5-01.
      3. The PI may submit requests of up to $50,000 from the Research Office with one-to-one match assistance from the PI’s college or unit. For example, $50,000 from the Research Office requires an equal $50,000 from the college or unit. These funds must be used on equipment and cannot be used for any other purpose.
      4. In the case of major center proposals that involve multiple academic units and multiple years of potential funding, the PI may submit requests of up to $50,000 for each year of funding. The requested amount must be matched one-to-one by the college or unit for each of the years that the Research Office provides funding.
      5. The University has an annual equipment cost share budget. Any overrun amounts to the equipment budget are proportionately divided among those colleges and units benefiting from the Cost Share during that fiscal year.
    3. Non-Equipment Expenses
      Non-equipment expenses, such as travel and supplies, may be Cost Shared when they are deemed necessary to meet mandatory cost share requirements or for project performance. These expenses must comply with federal regulations.
    4. Third Party Cost Share
      Third Party Cost Share contributions are those given to a specific grant or contract by an individual or group from outside both the University and the sponsoring agency. PIs are responsible for obtaining and monitoring supportive financial documentation to verify that Cost Share requirements have been met. A letter of Cost Share commitment must be provided by the third party. Third party Cost Share must be verified and documented.
    5. Waived Facilities & Administrative Rate (F&A) Cost Share
      Unrecovered F&A costs on federal projects may be included as Cost Sharing only with the prior approval of the federal awarding agency. These amounts shall be documented in the University’s financials system and shall be reflected in the closeout analysis. These amounts shall be tracked in the University’s financial accounting system as analysis type values of WFA (Waived Facilities and Administrative) and CFA (Cost-shared Facilities and Administrative).
    6. Subawards
      During the proposal process, if a potential subaward recipient proposes Cost Share, the Cost Share shall be documented in the letter of intent. When awarded, committed Cost Share shall be documented in the subaward agreement and must be tracked by the prime awardee throughout the life of the award. The prime awardee is responsible for ensuring the entire Cost Share commitment is met.
    7. Unallowable Cost Share
      The following types of Cost Sharing are not allowed:

      1. Federal to Federal – Federal appropriations or contracts and grants funded by Federal agencies, either directly or indirectly as flow-through funding, are not allowable as Cost Sharing for other Federal projects. Federal contracts and grants may generally be used as Cost Sharing on any non-Federal contract or grant unless restricted by the non-Federal sponsor.
      2. Expenditures Included in the F&A Rate – Costs that are included as part of the facilities and administrative cost rate calculation, such as space used for instruction and research, equipment depreciation, utilities, department administration, etc., cannot be cited as Cost Sharing expenditures.
      3. Double Counting – Cost Sharing can only be committed and reported as Cost Sharing once. If Cost Sharing relates to two or more projects, it shall be pro-rated among the projects so that, in total, it is only reported once.
      4. Costs Incurred Outside the Project Period – Costs that have already been incurred and are documented in the University accounting system prior to the project award start date are generally ineligible for Cost Sharing, unless allowed as pre-award costs.
      5. Lack of Technical Relationship – Costs that are not specifically related to the performance of the project cannot be used as Cost Share. Therefore, if another University sponsored project or gift is identified as a Cost Sharing contribution, the technical relationship between the two (or more) projects must be established and documented.
      6. Costs Specifically Not Allowable under Federal Regulations – These costs include alcohol, entertainment, advertising, memberships, etc. In addition, any costs associated with a Principal Investigator’s sabbatical leave are generally not allowable unless specifically approved by the sponsoring agency.
      7. Expenses prohibited by the award terms and conditions.

Related Links

General Counsel Page for this Policy

 

Policy Details:

OWNER: Provost

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

Policy Source Open Policy



Policy: Contracts and Grant Management
Equipment Screening Policy
Policy

Equipment Screening Policy

  1. PURPOSE
    To meet Federal government requirements for the purchase of equipment funded in sponsored programs.
  2. POLICY
    All proposed purchases of equipment using federal or federal flow-thru funds having a requisition cost of $5,000 or more are subject to the screening program to determine if like equipment exists on campus and is available for use.
  3. PROCEDURE
    1. Screening for equipment with a unit value of $5,000 to $9,999 will be carried out by the department and will be restricted to screening of like equipment in the custody of that department. Access to or a listing of departmental equipment can be requested from the Office of Procurement Services, Asset Management.
    2. Screening for equipment with a unit value of $10,000 and more will be carried out by a joint effort of the department and the Office of Procurement Services, Asset Management. This screening will encompass the total like equipment on campus.

      Asset Management will provide a listing annually of equipment costing $10,000 and over to departments with sponsored funds or to any department upon request. If a department does not have an equipment listing please contact the Office of Procurment Services, Asset Management @ 831-8951.

      The following certification is to be placed on requisitions for the purchase of equipment:

      This is to certify that a determination has been made in accordance with University Policy No. 5-21 that there is no like equipment in this department or on campus that is available for use in lieu of item(s) requested.

  4. RESPONSIBLE AUTHORITYThe authority to enforce this policy lies within the Procurement Services Department. Any questions may be directed to (302) 831- 2161 or procurement@udel.edu.

Related Links

General Counsel Page for this Policy.

 

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): 5-21

ORIGINATION DATE: November 14, 1991

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

Policy Source Open Policy



FILTER BY
Animal Subjects in Research

For Forms, Policies and Procedures pertaining to Animal Subjects in Research and other resources

Click Here

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 Agreement Templates
ASSISTANCE

Compliance Hotline
Phone: (302) 831-2792

UD Research Office
Phone: (302) 831-2136
Fax: (302) 831-2828

SUBSCRIBE & CONNECT

From our latest Research Magazine to our latest discoveries, keep in touch with UD Research by signing up for our services below.

Share This