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.
RO Forms, Policies, and Procedures Search 2019

Animal Subjects in Research

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
Internal Funding
Material Transfer
Reporting Misconduct
Research Administration
Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (4 Policies Entries)
Policy: Compliance, Conflict of Interest, Contracts and Grant Management, University, Research Administration
Consultants for Research, Public Service or Instructional Activities

Consultants for Research, Public Service or Instructional Activities


    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.

    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.
    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


POLICY NUMBER (Legacy): 4-27




Policy Source Open Policy

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

Fringe Benefit Rate Agreement

UD FY20 Fringe Benefit Rate Agreement


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.


Fringe Benefits Rates:

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

*Excludes student wages exempt from FICA.


Policy Details:

OWNER: Research Office




7/2/2019, 11/22/2019

Policy Source Open Policy

Policy: Contracts and Grant Management, Research Administration
NSF Two-Month Rule Policy

NSF Two-Month Rule Policy

As a general policy, NSF limits the salary compensation requested in the proposal budget for senior personnel to no more than two months of their regular salary in any one year. It is the organization’s responsibility to define and consistently apply the term “year”, and to specify this definition in the budget justification. This limit includes salary compensation received from all NSF-funded grants. This effort must be documented in accordance with 2 CFR § 200, Subpart E, including 2 CFR § 200.430(i). If anticipated, any compensation for such personnel in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and must be specifically approved by NSF in the award notice budget.

Under normal budgeting authority, a grantee can internally approve an increase or decrease in person months devoted to the project after an award is made, even if doing so results in salary support for senior personnel exceeding the two-month salary policy. No prior approval from NSF is necessary unless the re-budgeting would case the objectives or scope of the project to change.

University Post-Award Guidance

By this policy, NSF intends to limit the amount of funds institutions request from NSF, and therefore the amount NSF will award. Departments should review the proposal budget, budget justification, and award notice to confirm if compensation in excess of two months was already approved within the NSF award. If not already approved and additional effort in excess of two months is required to successfully address the research aspects of the proposed project, submit a re-budget request for internal approval. NSF prior approval is necessary if the objectives or scope of the project change.

Although the NSF two-month rule identifies the salary limit as applicable to “any one year”, for award expenditures UD has defined the year as September – August. Departments should routinely reconcile budget versus expenses, and conduct an annual fiscal review of salary expenditures for the one year period (September – August). Lack of approval and appropriate justification can lead to removal of the salary in excess of two months.

Related Links

NSF Proposal & Award Policies & Procedures Guide (PAPPG)


Policy Details:

OWNER: National Science Foundation



Policy Source Open Policy

Policy: Research Administration
Uniform Guidance Procurement Standards Update

Uniform Guidance Procurement Standards Update


July 9, 2018

Re: Uniform Guidance Procurement Standards Update

Dear Colleagues,
We would like to update you of Policy changes regarding procurement of goods and services in accordance with the federal government’s Office of Management and Budget (OMB) Uniform Guidance. OMB has recently issued a memorandum that raises the threshold for micro-purchase under Federal financial assistance awards to $10,000, and raises the threshold for simplified acquisitions (large purchases) to $250,000. The University has revised the Procurement Policy 5-01, effective July 1, 2018, accordingly and as follows:

  1. The following quotation/bid thresholds apply:
    1. Federal Contracts and Grants including Mandatory/Voluntary Committed Cost Share and University Service Centers:
      1. Less than $10,000 – Departments should perform due diligence on pricing options to ensure that products or services are obtained at reasonable prices.
      2. $10,000 to $250,000 – Quotes must be obtained from an adequate number of qualified sources (minimum of three sources if available). If there is only one qualified source, a UD Sole Source Justification form must be completed and submitted to Procurement for review and approval.
      3. $250,000 and greater – Sealed bids are required with formal advertising by Procurement Services unless there is only one qualified source. A UD Sole Source Justification form must be completed and submitted to Procurement for review and approval.
    2. All Other purchases:
      1. Up to $50,000, solicitation of quotations/bids will be at the discretion of Procurement Services. Buyers in Procurement Services are accountable for exercising professional due diligence by soliciting written or telephone quotations (documented) when appropriate.
      2. Purchases over $50,000 require price quotations or sealed bids to be obtained from at least three qualified vendors (if available), solicited by Procurement Services.
      3. In the event that only a single source can be located for a particular purchase exceeding $50,000, Procurement Services will make that determination and the buyer will so document in the purchasing system.

Thank you for your cooperation and effort in this regard. Please contact Procurement Services with any questions.


Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: VP of Finance / Research Office


Policy Source Open Policy


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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