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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RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (5 Policies Entries)
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): 27-Apr

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 8/29/01

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51664



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

Fringe Benefit Rate Agreement

UD FY21 Fringe Benefit Rate Agreement

INSTITUTION: UNIVERSITY OF DELAWARE, NEWARK, DE 19716-0099

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 2021. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2021.

SECTION I: RATES – TYPE: FIXED

Fringe Benefits Rates:

TypeFromToRateApplicableTo
Fixed7/1/206/30/2138.8%Faculty/ Prof. EmployeesAll
Fixed7/1/206/30/2160.5%Staff EmployeesAll
Fixed7/1/206/30/2112.0%Graduate StudentsAll
Fixed7/1/206/30/216.7%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): 11/22/2019, 7/2/2019, 7/1/2020, 7/9/2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51618



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

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 6, 2019

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51658



Policy: Contracts and Grant Management, Research Administration
Subaward Management Policy
Policy

Subaward Management Policy

  1. SCOPE OF POLICY
    This policy sets forth requirements for issuance and administration of outgoing subawards and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware (UD).
  2. DEFINITIONS
    1. Sponsor or Sponsoring Agency or Prime Sponsor – An external entity responsible for providing project funding to UD under a formal award agreement. Also known as Prime Sponsor.
    2. Sponsored Award or Prime Award – A formal award agreement issuing funding from an external sponsoring agency to UD to achieve specified project goals. Also known as Prime Sponsored Award.
    3. Pass Through Funds – Funds originally issued to UD which are subsequently transferred to a subrecipient to implement sponsored award activities.
    4. Subrecipient – An external entity that receives pass-through funds via a subaward from UD to implement a specified portion of sponsored award activities. Also known as subawardee, subgrantee, or subcontractee.
    5. Contractor – An external entity that receives funding from UD via a procurement contract to provide goods or services related to the sponsored award. Examples of external contractors include a Consultant, Vendor, or Service Provider relationship.
    6. Subaward – A formal award agreement issuing pass through funds from UD to a subrecipient to implement a specified portion of sponsored award activities. Also known as a subagreement, subgrant, or subcontract.
    7. Procurement Contract – A formal contract agreement issued from UD to a contractor to provide specified goods or services under the prime sponsored award.
    8. Single Audit – A compliance and financial audit required of any institution receiving over $750,000 in federal funds to assure effective management and use of funds. Also known as the “A-133” audit.
    9. Authorized Institutional Official – An individual officially designated with institutional authority to legally bind UD in grants administration matters.
    10. Federal Funding Accounting and Transparency Act (FFATA) – A 2006 act of Congress that requires information on federal awards to be made available to the public via www.USASpending.gov
  3. POLICY STATEMENT
    The objective of this policy is to provide guidance to Principal Investigators (PIs), Department/College Administrators, Research Office Administrators, and other responsible UD parties for issuing and administering outgoing subawards.

    Key administrative activities related to subaward management include:

    • Accurate determination of external collaborators as subrecipients or contractors.
    • Inclusion of subawards during UD proposal submissions.
    • Assessment of subrecipient risk level prior to subaward issuance or modification.
    • Incorporation of applicable monitoring requirements into subaward terms and conditions based on risk level.
    • Issuance or modification of subaward agreements in coordination with subrecipients.
    • Monitoring of programmatic and financial activities associated with the subaward.
    • Termination of a subaward via normal closeout activities or extenuating circumstances
  4. POLICY STANDARDS AND PROCEDURES
    1. General Considerations
      1. UD may issue an outgoing subaward to a subrecipient to conduct a specified portion of the work performed under a sponsored award. As the prime recipient of the sponsored award, UD is obligated to undertake certain stewardship activities to ensure the subrecipient:
        1. Possesses adequate technical expertise and potential ability to successfully perform their scope of work in alignment with the prime sponsored award objectives.
        2. Proposes an appropriate budget for their applicable scope of work.
        3. Manages funds and meets performance goals stipulated by the prime sponsored award.
        4. Complies with governing laws, regulations, and special terms and conditions associated with the prime award; this includes compliance with federal regulations set forth per Uniform Guidance including 2 CFR 200.330 as applicable for federal and federal flow-through awards.
      2. UD PIs are responsible for initiating the request for UD engagement with a subrecipient. This request typically occurs during proposal submission, but may also occur during the course of the award:
        1. Upon funding of a proposal, the prime sponsored award issued to UD typically includes specific authorization and an explicit budget for any proposed subawards.
        2. Occasionally, the need for a subaward develops after a sponsored award has already been issued to UD. These instances may require UD to obtain prior written approval from the sponsor to issue a subaward; please confirm prior approval requirements with the Research Office.
    2. Subrecipient v. Contractor Determination
      1. The appropriate classification of a subaward or other procurement action at the time a sponsored award is proposed and funded is essential for ensuring:
        1. Proper budgeting and accounting for related costs.
        2. Adherence to applicable compliance requirements for subrecipients versus contractors.
      2. UD utilizes a standard “Provider Category Determination Worksheet” (PCDW) to correctly classify UD’s substantive relationship with an external collaborator as that of a subrecipient or contractor.

         

        Subrecipient Characteristics:

        Contractor Characteristics:

        • Performs substantive programmatic work related to the sponsored award
        • Bears responsibility for programmatic decision making
        • Is accountable for measurable performance requirements
        • Must adhere to compliance requirements specified by the sponsored award
        • Provides goods or services which are ancillary to the sponsored award operations
        • Normally operates in a competitive environment
        • Provides similar goods or services to many different purchasers
        • Is not subject to compliance requirements of the sponsored award

        Use of Judgement: All characteristics listed above may not be present in all cases. UD will use its judgment in correctly classifying the relationship between UD and an external entity.

      3. Key considerations utilized for subrecipient versus contractor determination are outlined below:
      4. In determining whether an agreement between UD and an external entity casts the latter as a subrecipient or a contractor, the substance of the relationship is more important than the form of the agreement. As such, UD must use judgment in classifying each agreement as a subaward or a procurement contract, as certain characteristics outlined above may not be present in all cases.
    3. Subaward Issuance and Modifications
      1. The Research Office prepares, issues and administers subawards jointly with the UD PI and his/her unit administration to ensure subrecipient compliance with the prime sponsored award.
      2. Subawards may only be issued, modified and executed on behalf of the University by an authorized institutional official with delegated signature authority.
        1. A UD PI or other unauthorized individual may not approve a subrecipient to begin working without a fully-executed subaward from UD. Subrecipients that prematurely commence work do so at their own risk, and have no assurance of payment from UD.
        2. UD is a member of the Federal Demonstration Partnership (FDP) and requires utilization of standard FDP templates to expedite subaward execution when possible.
        3. Subaward modifications are executed by UD in accordance with any modifications to the prime sponsored award (e.g. incremental funding or renewal), or as a result of actions required due to subrecipient monitoring (e.g. changes to a subaward’s terms and conditions). Subaward modifications are normally issued annually to coincide with routine monitoring activities
      3. Components below must be completed prior to UD issuance or modification of a subaward:
        1. Establishment of the prime sponsored award in UD’s financial system.
        2. Establishment of the subaward purchase order requisition or amendment.
        3. Confirmation that subrecipients receiving federal or federal flow through funds have a DUNS# and an active SAM registration.
        4. Completion of subrecipient risk assessment or monitoring activities per subsequent sections of this policy. UD reserves the right not to enter into a subaward or terminate an existing relationship wherein the risk of engagement is deemed too high or excessive.
      4. Key items outlined in the subaward agreement issued by UD should include:
        1. Payment Terms
          1. Subawards are typically issued on a cost-reimbursement basis by UD.
          2. UD will issue a fixed price subaward with a predetermined payment schedule under limited circumstances. Fixed price awards typically:
            1. Require prior written approval (or waiver thereof) by the sponsor.
            2. Require a specific project scope in alignment with prime sponsored award objectives, wherein subrecipient accountability is based on performance and results.
            3. May not exceed $150,000 funds wherein:
              1. The fixed funding amount is based on adequate cost, historical, or unit pricing data used to reasonably estimate actual costs.
              2. Payments are based on meeting requirements of the sponsored award.
              3. Mandatory cost sharing or match is not required by the sponsored award.
              4. The subrecipient will realize no increment above actual costs.
            4. Must specify and utilize one of the following payment methods:
              1. Payments made for a set of specific milestones agreed upon prior to work performed and set forth in the prime sponsored award.
              2. Payments made on a per-unit basis at defined prices agreed upon prior to work performed and set forth in the prime sponsored award.
              3. Lump sum payment made at time of award completion.
        2. Authorized Funding Amount and Period of Performance
          1. Subawards will be issued and modified in alignment with their allotted budget amount and timeline authorized per UD’s prime sponsored award.
          2. Subawards are normally issued annually to coincide with routine monitoring activities. Only in unique situations will a subaward be issued in increments greater than one year.
        3. Facilities and Administrative Costs (F&A)
          1. UD personnel may not require/suggest subrecipients forego their entitled F&A.
          2. UD will issue a subaward using the subrecipient’s federally negotiated F&A rate except under circumstances specified below:
            1. UD and subrecipients are required to limit total F&A to a cap specified per written sponsor policy or the funding opportunity.
            2. If the subrecipient does not have a federally negotiated F&A rate, a de miniumus 10% F&A rate will be used on the subaward’s Modified Total Direct Costs (MTDC) per Uniform Guidance 2 CFR 200.414. Subrecipients which have had a federally negotiated F&A rate in the past are not eligible for the de minimus 10% F&A rate.
    4. Subrecipient Risk Assessment and Monitoring
      1. It is UD’s policy to complete a risk assessment prior to issuing a subaward/amendment, no less than annually. This ensures that the most appropriate subrecipient monitoring plan is:
        1. Developed based on a standardized process,
        2. Communicated to the subrecipient, and
        3. Documented in the terms of the subaward
      2. UD’s risk assessment categorizes a subrecipient as “Low”, “Moderate” or “High” risk based on a predetermined set of risk factors. Typical implications for subrecipient monitoring based on their assigned risk level are outlined below:

         

        Risk Level

        Subrecipient Monitoring Guidelines

        Low Risk

        Check all subrecipient invoices to confirm they:

        • Adhere to the required format as specified in the subaward agreement which requires inclusion of the following:
          • UD Purchase Order Number
          • UD Award Number
          • Invoice line items per the approved subaward budget
          • Current and Cumulative Totals by budget category (including Cost Share)
          • A signed certification statement as to the accuracy and appropriateness of the charges from an authorized Subrecipient Institutional Official
        • Are within the allowable subaward project period start and end dates
        • Contain F&A charges calculated in accordance with the subrecipient’s federally negotiated F&A rate agreement
        • Contain billed amounts which appear reasonable based on technical progress towards project goals
        • Do not contain any unallowable charges such as alcohol, meals, postage, office supplies or other unallowable items except where specifically authorized as per the subaward agreement
        • For Final Invoices, invoices are clearly marked “FINAL” and accompanied by the Subaward Closeout Form.

        Note: A subrecipient invoice will not be approved for payment until all errors, discrepancies, or questionable items have been adequately and fully resolved.

        Moderate Risk

        Incorporate additional requirements dependent on UD management decision:

        • Required copies of supporting/backup documentation for subaward invoice charges such as:
          • Payroll records to support invoice personnel charges
          • Copies of receipts for specific charges (travel, supplies, equipment, etc.)
          • Copies of consultant hourly rates and time charged
          • Transactional detail from the subrecipient’s accounting system of record
        • More frequent submission of subrecipient invoices and technical reports

        Requirement to align subrecipient invoice payments to technical progress

        High Risk

        Incorporate additional requirements dependent on UD management decision:

        • Mandated regularly scheduled conference calls with the UD PI and subrecipient institutional representative
        • Financial Desk Audits

        Site visits, both technical and financial

      3. It is UD’s responsibility to ensure that all agreed-upon monitoring activities occur and that the results of the risk assessment are updated accordingly.
        1. UD may adjust a subrecipient’s assigned risk level and applicable monitoring activities throughout the course of a sponsored award.
          1. The PI is responsible for monitoring the technical progress of the subrecipient to ensure their performance is aligned with objectives outlined in the subaward and the prime sponsored award, including:
            1. Advancing toward the completion of programmatic goals.
            2. Submitting accurate and timely invoices and technical reports as required.
        2. One or more of the following actions may be taken by UD for subrecipients deemed noncompliant as a result of subaward monitoring activities:
          1. Temporarily withholding cash payments pending correction of the deficiency,
          2. Denying both use of funds and any applicable matching credit for all or part of the cost of the activity or action,
          3. Wholly or partly suspending or terminating the subaward, and/or
          4. Taking other remedies that may be legally available.
          5. Note: In most cases, noncompliance must be documented to support above actions.
    5. Subaward Closeout and Termination
      1. Normal closeout and termination of a subaward occurs upon expiration of the subaward period of performance. Action should be taken to complete key activities in a timely manner, including:
        1. Confirmation by the UD PI that all subaward deliverables have been met.
        2. UD receipt of a final subaward invoice and associated closeout documents:
          1. The final subaward invoice must be clearly marked “FINAL” with certification statements signed by the Subrecipient Institutional Official
          2. UD requires the subrecipient’s final invoice be accompanied by a completed “Subaward Closeout Form” signed by the Subrecipient Institutional Official and the Subrecipient PI prior to releasing payment. This form contains:
            1. Confirmation that the subrecipient sent a final invoice to UD
            2. Confirmation of the final subaward expenditures.
            3. Amount of required cost share.
            4. Completion of all final technical/patent/equipment reports and deliverables.
          3. UD typically incorporates a 60-day grace period from the subaward end date for the receipt of the subrecipient’s final invoice.
          4. If UD does not obtain the subrecipient’s final invoice in a timely manner, UD reserves the right to treat the last invoice received from the subrecipient as the final invoice.
        3. Closeout of the subaward purchase order via a Purchase Order Amendment Webform after the final subaward invoice is paid.
      2. Early closeout and termination of a subaward occurs when the subaward is terminated prior to the original subaward end date specified in the subaward agreement.
        1. An agreement may need to be terminated early at the request of the sponsor, UD, or by mutual agreement between UD and the subrecipient.
          1. The UD PI may consider termination due to factors related to suboptimal subrecipient performance towards project milestones, services, or objectives specified in the subaward agreement. Any UD PI contemplating early termination of a subaward should immediately contact the Subaward Team within Research Office for appropriate action.
        2. Sponsor regulations and subaward specific terms and conditions detail the steps needed to process an early termination of a fully-executed subaward agreement.
          1. UD typically incorporates a clause into the subaward agreement outlining UD’s right to terminate a subaward within 30-days of official written notice to the subrecipient.
            1. A “Stop Work Order” is a formal notification to the subrecipient to discontinue all work on a subaward. UD will issue a “Stop Work Order” to a subrecipient in the rare instance when all other remediation means have been unsuccessful.
          2. The Research Office will work with the PI and their unit administration to ensure all required termination actions and documentation is completed.
    6. Roles and Responsibilities
      1. Successful administration of subawards relies heavily on the involvement and coordination of multiple parties across campus including the UD PI, unit administration, the Research Office, and others. The table below provides an overview of applicable roles and responsibilities for subawards:

         

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 7, 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51659



Policy: Research Administration
Uniform Guidance Procurement Standards Update
Policy

Uniform Guidance Procurement Standards Update

MEMO

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.
        http://www1.udel.edu/procurement/forms/Sole-Source-Form-UD.docx
      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.
        http://www1.udel.edu/procurement/forms/Sole-Source-Form-UD.docx
    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

ORIGINATION DATE: July 9, 2018

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51640



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Phone: (302) 831-2792

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Phone: (302) 831-2136
Fax: (302) 831-2828
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Subaward Management
Policy and Procedures

Responsible Party
P = Primary, S = Secondary, O = Oversight, I = Input

Unit Administration

Research Office

Action

Principal Investigator

Department/ College Administrator

Contract & Grants Specialist

Subaward Team

Post-Award Team

Proposed Subawards

Identifies the need for an external entity’s participation for a sponsored award

P

S

O

I

 

Establishes and maintains primary communication with the subrecipient

P

S

 

 

 

Collects all required subaward documentation from the subrecipient (SOW, budget, budget justification, compliance info, etc.)

P

S

O

 

 

Completes the Provider Category Determination Worksheet to categorize the external entity as a subrecipient or contractor

P

 

O

I

 

Confirms alignment of the subrecipient’s scope of work with prime award objectives

P

S

O

 

 

Verifies appropriateness and accuracy of the budget proposed by the subrecipient

P

S

O

 

 

Verifies Conflict of Interest status between the subrecipient and UD key personnel

P

S

O

 

 

Reviews and submits subawards for proposals and prior approvals to the sponsor

S

S

P

 

 

Subaward Issuance and Modifications

Ensures Research Office receipt of all required information for subaward issuance/modification

S

P

O

I

 

Prepares, negotiates, and executes new subawards and modifications

I

I

I

P

 

Makes a final determination for UD’s substantive relationship with the external entity as that of a subrecipient or contractor

 

 

 

P

 

Reviews appropriateness of the subaward budget including the applicable F&A rate

I

S

P

 

 

Determines the appropriate type of subaward agreement in coordination with Procurement

I

I

S

P

 

Initiates the Subaward Purchase Order (PO) requisition/amendment via webforms

 

P

I

O

 

Reviews and approves the Subaward Purchase Order (PO) requisition/amendment via webforms

 

P

S

O

 

Drafts terms and conditions of the subaward per assessed subrecipient risk level

I

 

S

P

 

Reviews and accepts subaward terms and conditions

P

 

S

 

 

Negotiates terms and conditions of the subaward agreement with the subrecipient

I

 

I

P

 

Ensures issuance and receipt of fully-executed subawards and modifications

 

 

 

P

 

Distributes fully-executed documents to PIs and their unit administrators

 

 

 

P