Forms, Policies & Procedures

Here you will find a repository of forms, policies and procedures related to research at the University of Delaware. This repository draws on sources throughout campus to provide quick and easy access to these resources in a variety of formats, such as html, MSWord and Adobe PDF. We encourage you to explore and use the tools provided to narrow your search by word, resource type or category in order to learn more about the content that governs research at UD.


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Animal Subjects in Research

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Conflict of Interest
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 (104 Policies Entries)
Policy: Research Office
Cost Shares for Equipment
Policy: Research Office

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): 10/2/18

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51441

Policy: General Counsel
Cost Sharing Policy
Policy: General Counsel

Cost Sharing Policy

  1. POLICY
    The University engages in cost sharing when it is in the best overall interest of the University, 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.
  2. 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.

Related Links

Cost Share for Equipment Policy

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

 

Policy Details:

OWNER: Vice President for Research, Scholarship, and Innovation

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, 02/05/2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51404

Policy: General Counsel
Department Safety Committee Policy
Policy: General Counsel

Department Safety Committee Policy

  1. PURPOSE
    This policy is developed to provide guidance to Department Safety Committees by establishing uniform administrative procedures and minimum requirements. It is the Department Safety Committee’s charge along with the Department of Environmental Health and Safety to provide the University Community with a safe and healthful work environment. It is also the intent of the Department Safety Committee to assure compliance with all University Safety Policies.
  2. SCOPE OF POLICY
    1. Establishment of Committees
      While all departments are encouraged to have Safety Committees, departments designated by the Director of Environmental Health and Safety shall establish Department Safety Committees. A list of current department safety committees can be found at Environmental Health and Safety web site.
    2. Establishment of Contacts
      Department heads or his/her designee will serve as the Safety contact in all University departments who do not have safety committees. These contacts will receive communications from the Department of Environmental Health and Safety regarding safety issues and serve as the safety liaison for their department. A list of current department safety contacts can be found at Environmental Health and Safety web site.
    3. Membership
      Department heads shall appoint Safety Committee members and designate a Chairperson. The names of committee members shall be forwarded to the Director of Environmental Health and Safety each year by June 30. Terms shall be at the discretion of the Department Head.The Director of the Department of Environmental Health and Safety or their designee shall serve as an ex officio member on all Safety Committees.Department Safety Committee membership should, when applicable, include representatives of the professional staff, faculty, salaried staff, hourly employees and students.
    4. Meetings
      Department Safety Committees shall meet periodically at a frequency determined by the committee, but not less than four times per year. By June 30 each year Safety Committee Chairs shall communicate to the Director of Environmental Health and Safety the months in which meetings are planned for the next fiscal year. Minutes shall be recorded. Minutes should include members attending, members absent, disposition of old business and new business covering items identified under Minimum Requirements (section IV).
    5. Annual Report
      Individual departments shall submit an annual report of their committee’s activities to the Department of Environmental Health and Safety. The reports are to be submitted using the forms developed by Environmental Health and Safety which can be found at Environmental Health and Safety web site. These reports are due by June 30 for the previous year. A summary of these reports is presented to the Risk Management Advisory Council annually.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-02

ORIGINATION DATE: September 1, 1988

REVISION DATE(S): June 5, 1989; December 18, 1991; November 1994; August 1999; January 9, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51590

Policy: General Counsel
Driver’s Requirements and Verification
Policy: General Counsel

Driver’s Requirements and Verification

  1. PURPOSE
    To provide reasonable assurance that each individual who operates any motor vehicle on university business possesses a valid license of the appropriate classification and to minimize the University’s liability in motor vehicle accidents.

Questions pertaining to Driver’s Licensing and classification can be referred to the Delaware Division of Motor Vehicles.

Questions pertaining to insurance coverage can be referred to the Office of Risk Management, 302-831-2971.

Related Links

Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions Web Policy

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Facilities, Real Estate and Auxiliary Services Policies

RESPONSIBLE OFFICE: Facilities, Real Estate and Auxiliary Services

POLICY NUMBER (Legacy): 7-34

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): September 1997; October 14, 2003; December 3, 2004; July 1, 2005; May, 2007

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51570

Policy: General Counsel
Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions
Policy: General Counsel

Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions

  1. POLICY
    The University of Delaware recognizes the importance of safety protocols for employees operating University Commercial Motor Vehicles and other employees performing safety sensitive functions and intends to follow all laws, rules and regulations applicable to such activities through application of this policy.
  2. SCOPE OF POLICY
    This policy applies to the Employees Subject to Testing and is intended to comply with the Omnibus Transportation Employee Testing Act of 1991 (“OTETA”) and in accordance with Title 49 Code of Federal Regulations, Part 382 and 391, Subpart H.

    Employees Subject to Testing – Full-time, part-time, miscellaneous wage, casual wage, temporary or seasonal employees, who possess a commercial driver’s license (CDL) with the intent of operating a University commercial motor vehicle (this includes any rented leased, or personal vehicle used as a requirement of their job function) requiring such license, as well as employees performing safety sensitive functions, are subject to testing. All Departments are required to advise the University’s Department of Transportation’s (DOT) On-site Coordinator of all employees required to possess a CDL, as a condition of employment.

Related Links

Driver’s Requirements and Verification Web Policy

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Human Resources Policies

RESPONSIBLE OFFICE: Office of Human Resources

POLICY NUMBER (Legacy): 7-44

ORIGINATION DATE: February 1, 1999

REVISION DATE(S): July 2015; March 2016; July 2016

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51569

Policy: General Counsel
Effort Certification Reporting
Policy: General Counsel

Effort Certification Reporting

  1. POLICY
    Certifications of Effort on Sponsored Projects are required for every University employee whose salary or wages are directly charged to a Sponsored Project account or whose salary or wages are used as cost sharing for a Sponsored Project. Individuals must account for 100 percent of activities which are part of their IBS.
  2. SCOPE OF POLICY
    This policy addresses the University of Delaware (“UD” or “University”) obligation to ensure compliance with the applicable federal regulations, Office of Management and Budget (OMB) Circular A-21 requirements or Uniform Guidance 2 CFR 200, for effort reporting and applies to all University departments, units, faculty, staff and students.

Related Links

General Counsel Page for this Policy

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

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 06-05

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; August 8, 2008, January 2009, July 2009; September, 2010; August 10, 2011; August 2012; July 21, 2015; March 2016; May 2016; April 2019: August 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51405

Policy: General Counsel
Emergency Management Policy
Policy: General Counsel

Emergency Management Policy

  1. POLICY
    The State of Delaware can be threatened by emergency and disaster situations both natural, such as flash floods, hurricanes, winter storms and fires, and man-made, such as hazardous materials accidents, nuclear releases, civil disorders and terrorist threats.

    Because the University of Delaware differs in size, complexity, and function from public agencies in the State of Delaware and the County of New Castle, it is prudent for the University to develop an emergency management program of its own to focus on disaster preparedness, response, recovery and mitigation.

Questions related to this policy should be directed to: Executive Director of Campus and Public Safety

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-54

ORIGINATION DATE: May 3, 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51576

Policy: General Counsel
Emergency Notification Policy
Policy: General Counsel

Emergency Notification Policy

  1. POLICY
    The University of Delaware is responsible for providing accurate and timely information to the campus community and the public during emergencies. The University is also responsible to students, faculty, and staff when they express concerns about personal safety and security, and consistent with University policies concerning the release of personal information. This Emergency Notification Policy specifies policies and procedures for facilitating the communication of critical emergency information. The policy utilizes the best science and technology available in order to ensure that the University can notify both University and other interested parties of an emergency and provide appropriate direction on how to avoid potential harm.
  2. SCOPE OF PURPOSE
    The University’s approach to crisis incidents follows the Phases of Emergency Management as addressed in the full University Emergency Operations Plan (EOP) and Critical Incident Management Plan (CIMP). These documents can be found online at www.udel.edu/safety/plans.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-52

ORIGINATION DATE: April 23, 2008

REVISION DATE(S): May 8, 2012; January 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51593

Policy: General Counsel
Emergency Response/Fire–Other Emergencies
Policy: General Counsel

Emergency Response/Fire–Other Emergencies

  1. SCOPE OF PURPOSE
    To establish uniform procedures throughout the University for the provision of reasonable life safety for employees, students, and guests of the University in case of a fire or other emergencies.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-06

ORIGINATION DATE: November 15, 1978

REVISION DATE(S): September 26, 2003; June 5, 1989; October 1, 1990; May 1, 1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51592

Policy: Research Office
End Use Certification
Policy: Research Office

End Use Certification

From time to time University of Delaware researchers need to purchase equipment or research materials that have limitations on export to other countries. The limitation on export may be due to national security or anti-terrorism concerns, or it may be caused by sanctions to the manufacturer for previous violations of U.S. export regulations. If any of these conditions exist, manufacturer may require that the University of Delaware provide a written certification that the equipment/materials will either generally not be reexported from the U.S. or that any reexport will be in compliance with U.S. export regulations. It is important that University of Delaware purchasers of materials and equipment contact the University Export Compliance Officer (UECO) prior to signing End Use Certifications. The UECO will assist the purchaser in determining why the certification is required and in establishing appropriate controls on the equipment/materials to ensure compliance with the certification requirements.

The UECO may be contacted by calling the Research Office or by email to overbyc@udel.edu.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51624

Policy: General Counsel
Equipment Screening Policy
Policy: General Counsel

Equipment Screening Policy

  1. 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.
  2. SCOPE OF PURPOSE
    To meet Federal government requirements for the purchase of equipment funded in sponsored programs.

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.

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

 

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 Email https://research.udel.edu/forms-policies-procedures/?entry=51442

Policy: General Counsel
Export Controls and Trade Sanctions
Policy: General Counsel

Export Controls and Trade Sanctions

  1. POLICY

    The University shall comply with EC&TS regulations governing applicable Sponsored Projects, as provided in the University of Delaware Export Compliance Program Manual. By delegation from the Provost, the Deputy Provost for Research & Scholarship serves as the final authority in any dispute resolution, and designates the Associate Deputy Provost for Research & Regulatory Affairs the EO.

    1. The EO is responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including the signing of Technology Control Plans (TCPs) (which prescribe required training and handling), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies.
    2. The EO develops appropriate procedures and is responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.
  2. SCOPE OF POLICY
    This policy addresses the requirements to ensure compliance with U.S. Export Control and Trade Sanctions (“EC&TS”) regulations governing research at the University of Delaware (“UD” or “University”) and applies to all University departments, units, faculty, staff and students.

Related Links

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

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-17

ORIGINATION DATE: April 5, 2008

REVISION DATE(S): April 22, 2010; May 8, 2015

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51406

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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