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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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
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Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (16 Policies Entries)
Policy: Contracts and Grant Management
3-Business-Day Internal Proposal Deadline Policy
Policy

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 1,700 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 $145 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 by 8:00am on the day of 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):

9/16/2019

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: Compliance, Conflict of Interest, Contracts and Grant Management, University, Research Administration
Consultants for Research, Public Service or Instructional Activities
Policy

Consultants for Research, Public Service or Instructional Activities

  1. PURPOSE

    The purpose of this policy is to provide for the engagement of non-University personnel (consultants) for expertise required to fulfill University commitments and objectives. It is expected that University activities will be carried out to the maximum extent possible by utilizing regular employees rather than consultants. However, consultants may be utilized when necessary expertise cannot be provided adequately by regular employees within the scope of their University employment agreement. The policies and procedures outlined below are designed to meet University and Federal requirements.

  2. POLICY
    1. Before entering into an agreement with a consultant, the account administrator will ensure that the following criteria have been met and are explained in writing on an attachment to the Contractual Agreement for Consulting Services:
      1. Why the expertise of the person is needed and cannot be met by the utilization of a regular University employee within the context of his or her employment agreement with the University.
      2. The selection process that has been used to secure the most qualified personal available, considering the nature and extent of expertise required. If the Dean/Chair/Director does not have personal knowledge of the consultant’s credentials, vitae must be attached.
      3. Why the fee is appropriate considering the qualification of the person to be utilized, his or her normal charge, and the nature of the expertise to be rendered.
      4. That except in unusual circumstances, the person has not been a regular employee of the University within the twelve calendar months preceding his or her use as a consultant.
      5. That the arrangement will last for a specified period and it is understood that no employment arrangements or repeated or extended arrangement will normally result. Any prior use of the consultant must be disclosed, including dates and amounts. In cases of repeated or extended arrangement with a consultant, the reasons why a recurrence is considered necessary are to be explained.
      6. That funds for a consultant are available in the budget.
      7. That approval for utilizing a consultant has been obtained, if necessary, in the case of an externally sponsored program.
      8. That any restrictions as to per diem rates on externally sponsored programs have been met.
      9. That signed written reports will be provided by the consultant to fulfill the requirements of the work statement.
  3. PROCEDURES
    1. All consulting agreements issued under this policy will:
      1. use the University of Delaware form “Contractual Agreement for Consulting Services.” These forms are available from the Office of the Vice Provost for Research;
      2. be prepared within the department and signed by the account administrator;
      3. include pertinent comments concerning items such as travel expenses, reference to an attached work statement, and report statement;
      4. include a detailed work statement specifying what is required from the consultant, including requirements for written reports. Attach sheets as necessary;
      5. be processed with all appropriate attachments through the following for approval: Chair, Dean, Director or Vice President, Office of the Vice Provost for Research and Provost prior to transmittal to the President for signature. Upon return of the form from the President’s Office, the Office of the Vice Provost for Research will forward the contract to the consultant;
      6. be signed by the consultant, including signing pertinent attachments and returned to the Office of the Vice Provost for Research;
      7. a copy of approved forms and attachments are to be retained by the Office of the Vice Provost for Research and the account administrator. Copy No. 2 of the form will be forwarded to Accounts Payable; and
      8. renewal or extensions of consulting agreements are to be processed using the form “Contractual Agreement for Consulting Services.”
    2. Payment for Consulting or Cost Incurred

      All payments for consulting authorized under a consulting agreement are to be made by Request for Check directly to the individual, firm, or institution providing the expertise and not to a third party. Please include the Number of the Consulting Agreement on your Request for Check or submit a copy of the Consulting Agreement. The fees for consulting are to be separated from transportation and subsistence. If included in the contract, reasonable and necessary travel and subsistence may be reimbursed on the basis of actual costs in accordance with University Travel Policy No. 3-7 supported by customary documentation including receipts submitted with the Request for Check.

Related Links

Consultant Agreement Form

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 4-27

ORIGINATION DATE: June 5, 1989

REVISION DATE(S):

08/29/2001

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



Policy: Contracts and Grant Management
External Sponsorship and Grant
Policy

External Sponsorship and Grant

  1. PURPOSE
    To insure that acceptance of external grants by faculty members does not create unforeseen and unrealized financial burdens for the University.
  2. POLICY
    1. It is important that the long-range implications of the acceptance by the University of any external grant be carefully considered. In the past, the University has sometimes found itself in a position where the acceptance of these grants has resulted in serious budgetary commitments which extended far above and beyond the grant income. This has been particularly true in the case of federal, departmental, or program developmental grants which have involved continuing financial commitments for staff, equipment, and other items.
    2. In order that the acceptance of such grants will not create financial burdens on the University, unforeseen and not realized, such grant applications must be reviewed to insure the following:
      1. That there be no statement in the grant application which will obligate the University to maintain personnel levels or to sustain budgets at any prescribed figure beyond the date of the grant unless specifically approved by the Provost.That the budget approved for the period of the grant be adhered to and that funds earmarked for one-time expenditures for equipment, facilities, visiting professors, or short-time appointments not be transferred into continuing or tenured positions or continuing demands for supplies and equipment except through the allocation of positions from appropriate accounts or from regular operating funds.
      2. That the budget of the grant show clearly that the expenditures will decrease at the expiration of the grant or that the decisions are made previously considering operating funds earmarked for future obligations.
      3. That all such grants carry a statement similar to that in long-term government contracts indicating the continuation of support is contingent on available funds and a decision of the University to continue such programs.
      4. It is important that all signatories to these grant applications be aware of the potential problems and assure themselves that the University is not inadvertently committed to the programs unless such decisions are consciously made.
      5. Externally sponsored proposals and awards may now be approved in accordance with the following schedule when 100% of any required funding is available and there are no exceptions to University policies:
PROPOSAL APPROVALS PROPOSED FIRST-YEAR TOTAL
Principal Investigator (P.I.), Chairperson, and Research Office Up to $500,000
P.I., Chairperson, Dean, and Research Office Up to $1,000,000
P.I., Chairperson, Dean, Research Office, and Provost Up to $2,000,000
P.I., Chairperson, Dean, Research Office, Provost, and President Over $2,000,000

All proposals that include a waiver of indirect costs must be signed by the Dean or their designee.

AWARD APPROVALS TOTAL AWARD
P.I., Research Office Up to $1,000,000
P.I., Research Office, and Provost Up to $2,000,000
P.I., Research Office, and President Over $2,000,000

ALL proposals and awards with the exception of those that fall within the limits of delegated authority must be approved and signed by the Vice Provost for Research or his or her designee.

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): 6-03

ORIGINATION DATE: April 15, 1975

REVISION DATE(S):

September 26, 1990; January 22, 1997; January 18, 2008; August 6, 2008

Policy Source Open Policy



Policy: Contracts and Grant Management
Fly America Act and Open Skies Agreements
Policy

Fly America Act and Open Skies Agreements

Generally, if a traveler is traveling on funds provided by the federal government, he/she must* use a U.S. flag carrier (an airline owned by an American company), regardless of cost or convenience.

If you are scheduling international travel that is federally funded, you must ensure that all flights, where possible, are scheduled on U.S. flag carriers or on foreign air carriers that code share with a U.S. flag carrier. Code sharing occurs when two or more airlines “code” the same flight as if it was their own. In other words, a U.S. airline may sell a seat on the plane of a foreign air carrier; this seat is considered the same as one on a plane operated by a U.S. flag carrier. Compliance with the Fly America Act is satisfied when the U.S. flag air carrier’s designator code is present in the area next to the flight numbers on the airline ticket, boarding pass, or on the documentation for an electronic ticket (passenger receipt).

Related Links

FAQ’s

Fly America Waiver Checklist

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Open Policy



Policy: Contracts and Grant Management, Research Administration
Fringe Benefit Rate Agreement
Policy

Fringe Benefit Rate Agreement

UD FY20 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 Pa11 200. These rates shall be used for forward pricing and billing purposes for the University of Delaware Fiscal Year 2020. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2020.

SECTION I: RATES – TYPE: PROVISIONAL (PROV)

Fringe Benefits Rates:

Type From To Rate Base Applicable To
Prov 7/1/19 6/30/20 40.6% (a) Faculty/ Prof. Employees All
Prov 7/1/19 6/30/20 59.7% (a) Staff Employees All
Prov 7/1/19 6/30/20 11.9% (a) Graduate Students All
Prov 7/1/19 6/30/20 7.1% (a) Other* All

*Excludes student wages exempt from FICA.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 21, 2018

REVISION DATE(S):

7/2/2019

Policy Source Open Policy



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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