Research Administration

Research administration is comprised of many facets and serves as a central resource to support the research community at UD by providing guidance and stewardship for the researchers and administrators on all campuses.

Our mission is to provide excellent administrative support to investigators in their pursuit of research and other scholarly activities while ensuring compliance with federal, University and private sponsor regulations, terms and conditions.


IMPORTANT NOTICEUD Research Office will be closed Dec 26, 2022 — Jan 2, 2023

Proposal Development

Reviewing and submitting proposals on behalf of UD.

Award Setup

Once you have received notice of your award it is time to set up your account

Award Management

From fringe benefit rates to budget justifications we help in managing your awards.

Proposal Development

Reviewing and submitting proposals on behalf of UD.

Proposal Development

It takes time and effort to develop a successful proposal — in fact, proposal success rates average 20–33%, depending on the field. Funding agencies reject half the proposals they receive because the applicant did not follow instructions or the proposal did not match the funding program.

However, the rewards for garnering research funding can be great, enabling you to explore new frontiers, instruct your students in the conduct of research, and yield new discoveries and knowledge of benefit to society. Use these resource to get started.

PeopleSoft Reference Guides

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All proposals submitted to external sponsors from the University of Delaware, regardless of the amount, source of funding or the type of project must be reviewed and approved by the Research Office in accordance with UD policy External Sponsorship and Grant.

In order for a proposal to be submitted, a proposal record must be created in the UD grants module system in order to originate a proposal approval form to route for approval of the proposal submission.


Award Setup

Once you have received notice of your award it is time to set up your account

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Award Setup

After receipt of a new sponsored award or continuation from a sponsor, the Research Office will prepare the award for spending. We work with departments and PIs to finalize project budgets, setup backend access and prepare your award to.

Setting up your files at the beginning of an award will help to keep you organized throughout the life of the award and make close-outs and audits a much simpler task. You may find it useful to set up a PROJECT ID folder to track transactions. Subfolders for each budget category or type of transaction allow you to further organize your transaction backup documentation.

When a new purpose is set up by the Research Office for a new project, a copy of the Research Office Chart of Accounts Notification is sent to the PI and department account administrator or department representative (this varies by department). This document is a valuable resource for you to retain to help you in administering your award. The Purpose, Project, Contract, and Proposal IDs are all listed. You will need these IDs to run queries and track your transactions. Validate the accuracy of this report and discuss any discrepancies with the Research Office.

Administrator Directory Search

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Award Management

From fringe benefit rates to budget justifications we help in managing your awards.

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Award Management

The University of Delaware is committed to supporting efficient and compliant award management. It is a shared responsibility of the PI, department, college and core offices to ensure that the award is set up in a manner to best support understanding of award conditions and University policies, meet sponsor expectations for deliverables and prior approvals, and meet financial controls and reporting requirements of the Sponsor.

Each award has unique terms and conditions and the best way to manage an award is to understand the requirements for each.

All federal sponsored awards and many non-governmental sponsors and University policy are based on 2 CFR 200, otherwise known as Uniform Guidance or the UG. These rules are the fundamental basis for most sponsored projects requirements in place at UF.

Many Federal Grants fall under the “Research Terms and Conditions”. Your award will specifically identify if it falls under the Research Terms and Conditions. These conditions provide additional flexibility to UF.

Award Transfers

Guidelines for investigators transferring to or from UD


The roles and responsibilities of research administration at UD

Award Closeout

When an award is ending, the Research Office works to prepare final reports and closing out the account

Award Transfers

Guidelines for investigators transferring to or from UD

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Award Transfer

The two main considerations when transferring to another institution are whether the investigator’s funded projects remain at the University under the direction of a new investigator, or whether the funding is transferred to the new institution where the project is then continued. As all sponsored funding is formally awarded to the University and not to the PI, the University must be involved in any decision to transfer funding to another institution.

Investigators who resign from the University of Delaware have several options to consider if they have sponsored funding.

In addition, new faculty coming to University of Delaware who intend to continue their active sponsored research will have similar considerations.

It is very important to contact your Research Office as soon as possible to discuss these considerations and next steps to ensure a smooth transition.


The roles and responsibilities of research administration at UD

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Subawards are awards provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

When UD’s Proposal Includes a Subaward for an Investigator at Another Institution

  1. Look up the institution in the FDP Expanded Clearinghouse database located at:
  2. Obtain the items listed in the applicable table below, depending on whether or not the subrecipient institution is a member of the FDP Expanded Clearinghouse (see below for explanation).


    Necessary Documents for Subaward Contracts
    Table A Table B
    MEMBER OF FDP Expanded Clearinghouse* NOT A MEMBER of FDP Expanded Clearinghouse*
  3. Include the above items as Attachments to the proposal in the UD Financials Grants System

When UD is a Subrecipient in a Proposal Being Submitted by Another Institution

  1. Look up the other institution in the FDP Expanded Clearinghouse database located at:
  2. If the institution is a member of the FDP Expanded Clearinghouse:
    1. Attach a completed UD FDP Letter of Intent to the Attachments Tab of the UD proposal when routed for internal approvals, to be signed by the Research Office Contract and Grant Administrator.
    2. Do not complete a Subrecipient Information form for the other institution. If they request that you do, politely remind them that UD is a member of the FDP Expanded Clearinghouse (other institution can obtain UD’s data from the Clearinghouse).
  3. If the institution is not a member of the FDP Expanded Clearinghouse:
    1. Attach a completed UD non-FDP Subaward Cover Letter to the Attachments Tab of the UD proposal when routed for internal approvals, to be signed by the Research Office Contract and Grant Administrator.
    2. The other institution may request that we complete their Subrecipient Information form.

Federal Demonstration Project (FDP) Expanded Clearinghouse Participation

UD is a member of the FDP, a non-profit organization comprised of Universities and other research institutions along with representatives of several research-oriented Federal Agencies. Among other activities, the FDP develops tools for its members to streamline the administration of research. One of those tools is the FDP Expanded Clearinghouse, a nation-wide database containing institutional profiles and data of 200+ member institutions. The member institutions agree to obtain the institutional data needed to prepare subrecipient agreements from this database rather than requiring each other to prepare administrative informational forms for every proposal they jointly submit. This saves a great deal of administrative work for all of the participating institutions and provides them with an easily accessible, up-to-date source of this data.


  1. Who determines if the other institution is a member of the FDP Expanded Clearinghouse?
      The Department Administrator or PI looks up the other institution in the FDP Expanded Clearinghouse database when preparing the proposal.
  2. Where do I get a user ID and password for the FDP Expanded Clearinghouse?
      You do not need a user ID or password to be able to access the FDP Expanded Clearinghouse data.
  3. How do I let the Research Office Contract and Grant Administrator know that the subaward institution is a member of the FDP Expanded Clearinghouse?
      Attach the other institution’s FDP-style Letter of Intent to the UD Financials Grant proposal.
  4. Do I need to send UD’s Letter of Intent template (LOI) to the other institution for them to complete?
      Maybe. Member institutions are likely to have their own institution’s LOI to use for proposals with other member institutions. However, you can send them UD’s LOI to use as a sample if they ask for one.
  5. Does the other institution’s Letter of Intent (LOI) need to follow the same format as UD’s FDP LOI?
      No, but, it should provide essentially the same project-specific information, it should not request completion of data that can be obtained from the FDP Expanded Clearinghouse, and it should be signed by the Authorized Official for the subrecipient institution.
  6. What do I do if another FDP Expanded Clearinghouse member institution asks me to complete their Subrecipient Commitment Form?
      Politely inform them that UD is a member of the FDP Expanded Clearinghouse and that you will provide them with a signed FDP Letter of Intent instead.
  7. When UD is a subrecipient under an institution that is not a member of the FDP Expanded Clearinghouse, can I send them a UD FDP Letter of Intent?
  8. Who uses the Letter of Intent (LOI)?
      The LOI is intended for internal use to represent institutional endorsement of the proposed subaward budget and scope of work by the Subrecipient’s Authorized Official. It is not designed to meet any specific sponsor’s proposal requirements, although it may be used in the proposal submitted to the sponsor if desired. The wording of the LOI may be altered slightly to add sponsor-specific requirements if it is acceptable to both institutions.



Award Closeout

When an award is ending, the Research Office works to prepare final reports and closing out the account

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Award Closeout

The last step in a grant or contract’s life cycle, whether cost reimbursable or fixed price, is project closeout. The key feature to any closeout is the on-time submission of all technical, financial, and other required reports to the sponsor.

On-Time Reporting

Typically final reports of federal awards are due no later than 90 days after the expiration date of the award. Final reports for NSF and NIH awards are due 120 days after the expiration date of the award.

For non-federal awards (i.e. state, industry, non-profits), the closing procedures vary, depending on the policies of the sponsor. Most often, final reports have a shorter timeline than the federal rule.

Guides & Grant Resources

Guidelines for investigators transferring to or from UD

Effort Administration

Federal regulations require all use of non-human vertebrate animals in research, teaching, and testing follow established guidelines.

Billing & Cost Share

Billing and Cost Share Resources

Guides & Grant Resources

Guidelines for investigators transferring to or from UD

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Guides and Grant Resources

This information is designed to assist departmental research administrators — professionals who work with researchers in their unit and with contract-and-grant experts in the Research Office in establishing, maintaining, and closing out research awards. If you are seeking guidance on developing a proposal and its budget, please see the Proposal Guide.

PeopleSoft Reference Guides

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Effort Administration

Federal regulations require all use of non-human vertebrate animals in research, teaching, and testing follow established guidelines.

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Effort Admiministration

Effort Certification is defined as the reporting and confirmation of an employee’s time spent conducting any University activity, expressed as a percentage of the total institutional compensated based time — Institutional Based Salary (IBS). The University of Delaware has an online Effort Certification System. Training documents related to Effort and the Effort Certification System are available here.

Employees must review, and if correct, certify their total effort on all sponsored projects for each effort-reporting period. Effort supporting a sponsored project but not funded by the sponsor is considered cost share. Please see the University’s effort reporting policy and procedures here for detailed explanations and instructions.

UD's research enterprise depends on funding from federal and state agencies, private foundations, organizations, and industry. The University's electronic Effort Certification System is the principal means of verifying that salaries and wages charged to or contributed to a sponsored project are fulfilled in a manner consistent with the award documentation and compliant with the federal regulations for which the University is held accountable.

If you need assistance in identifying your effort administrator, please see the Department Administrator Directory within our Staff Directory. To learn more about administering the effort certification process in your department, check out these training opportunities.


Effort training is available on the Research Office website here and through ConnectingU. New grant administrators must attend the next available “Introduction to Effort Administration” class. The class is offered throughout the year – at a minimum in March and September. Log-in to ConnectingU for course times and to enroll.

Effort Reporting Policy and Procedures Effort Reporting System
Effort Training Material Effort Online Training Material

Billing & Cost Share

Billing and Cost Share Resources

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Billing to sponsors and cash received from sponsors is handled by the Research Office. Cash and Billing transactions can be viewed in the Financials queries. It is important to note that cash received prior to the Grants and Billing modules going live in July 2004 is reflected differently than cash that has been received after 7/1/2004. To view all cash received for a Project, it may be necessary to run all three cash queries to get a total.

GMQ_CASH_NOT_PS_BILL Cash received outside of PS Billing — This query gives all Cash received outside of the Billing module.

GMQ_CASH_PS_BILLED Sum of PS billing activity — This query gives you all Cash received as a result of a Billing in PS module.

GMQ_CASH_THRU_2002 Total Cash as of 7/1/02 — This query gives you a total of all cash received prior to 7/1/02 (prior to Financials go-live date).




Cost-share is defined as funds committed for the project that are not budgeted from grant funds. Some examples include equipment, personnel effort, and tuition. If there are cost-share commitments, contact the departments or colleges that have committed funds. Some cost-share will require companion Purposes; others may be tracked using cost-share Speedtypes or UD Userfields. We will go into more detail on different ways to track cost-share transactions in the section on Maintaining Your Award. The cost share policy can be found here. If the cost-share is from a third party, contact the source and outline requirements for documentation so that you can report these transactions along with the internal cost-share expenses. Specific guidance on cost-sharing in relation to federal grants is in the OMB Circular A-110, Subpart C.23 or UG Subpart D.



Federal regulations require all research, teaching, and testing follow established guidelines.

OMB Uniform Guidance

Guidance by which university recipients of federal awards are governed

Roles and Responsibilities

Research Administrator’s roles and responsibilities.

Jeff Friedland

Jeff Friedland
Associate Vice President, Research Administration


Research Notices and Announcements

1. NSF Update 23-1 PAPPG (Wednesday, January 11, 2023)

A revised version of the NSF PAPPG (NSF 23-1) has been issued and can be accessed at:  Proposal & Award Policies & Procedures Guide.  The new PAPPG will be effective for proposals submitted or due on or after January 30, 2023.

Significant changes to the PAPPG include the following:

NSF Biographical Sketch (Biosketch) and Current and Pending (Other) Support (C&P):

  • Updates have been made to increase standardization with the Common Disclosure Form for the Biosketch and C&P documents that have been developed in compliance with National Security Presidential Memorandum 33 (NSPM-33) Implementation Guidance.
  • Senior Personnel will be required to certify that the information provided in their Biosketch and C&P is accurate, current, and complete (certification included in both SciENcv and the NSF fillable format).
  • In accordance with NSPM-33 Implementation Guidance, NSF Program Officers will request an updated C&P prior to making a funding recommendation.
  • Effective October 23, 2023, the use of SciENcv will be required to prepare the Biosketch and C&P documents.

Concept Outlines:
Certain NSF proposal types or funding opportunities will require submission of a Concept Outline prior to submission of a full proposal.  These will be submitted either by email to a designated address or via the online Program Sustainability and Proposal Concept Tool (ProSPCT), as specified in the solicitation.. .  A concept outline will be required to submit the following proposal types:

  • Planning Proposal
  • Rapid Response Research (RAPID)
  • Early-concept Grants for Exploratory Research (EAGER)
  • Research Advanced by Interdisciplinary Science and Engineering (RAISE)  

Off-Campus or Off-Site Research:
A new checkbox will be included on the NSF Cover Sheet to identify Off-Campus or Off-Site Research. When this box is checked, a plan for the proposal must be in place regarding a safe and inclusive working environment.  For purposes of this requirement, off-campus or off-site research is defined as data/information/samples being collected off-campus or off-site, such as fieldwork and research activities on vessels and aircraft.  The organization’s plan for the proposal must be disseminated to individuals participating in the off-campus or off-site research prior to departure.  Proposers should not submit the plan to NSF for review.

Research Security:
In accordance with NSPM-33, NSF requires the following post-award updates to current support after issuance of an NSF award:

  • If an organization discovers a PI or co-PI on an active NSF award failed to disclose current support or in-kind contribution information as a part of the proposal submission process, the AOR must submit the information within 30 calendar days of the identification of the undisclosed current support or in-kind contribution via the Notification and Request Module in
  • PIs and co-PIs on active NSF awards must indicate if there has been a change in active other support since submission of the proposal or the last reporting period in their annual and final project report. If there has been a change, the individual must submit a revised current and pending support document prepared in SciENcv as a part of the project report.
If you have any questions or concerns, please contact Katie Brown
All Announcements

2. Operational Excellence in Research Administration (“OPERA”) initiative (Thursday, March 28, 2019)

March 28, 2019

Dear Colleagues,  

We recently completed an extensive evaluation of the research administration infrastructure at the University of Delaware. The goal of this evaluation was to identify opportunities to enhance processes and technology in support of our research mission and strategic plan for growth.

As a result of this evaluation, the University is now launching the Operational Excellence in Research Administration (“OPERA”) initiative to implement recommended improvements. Our goal is to create an efficient and effective administrative environment in order to increase support to faculty who participate in externally sponsored research.

We have created a webpage to keep you informed about this initiative and invite you to explore its contents. Project updates, outcomes, and links to new policies and procedures will be posted to the website on an ongoing basis to share news of our progress.

Many individuals across the University participated in the initial phase of this initiative, and we hope you continue to provide us with your feedback. We thank you in advance for your contributions to this important endeavor. Please contact us with any questions as we move forward with this new phase.



Charles G. Riordan
Vice President for Research, Scholarship & Innovation

Jeffrey Friedland
Associate Vice President, Research Administration


3. Potential Partial Federal Government Shutdown (Monday, February 11, 2019)

The federal government faces the potential of a repeat partial shutdown when its current budget expires this Friday, February 15, 2019. The agencies that would be impacted are the Departments of: Homeland Security, State, Treasury, Justice, Interior, Agriculture, Housing and Urban Development, and Commerce. Accounts within these agencies include FDA, NIFA, ERS, USDA, NSF, NIST, NOAA, NASA, and many others. As Congress continues to seek resolution with the White House to avert a partial shutdown, I write providing guidance regarding the impact a shutdown would have on UD’s sponsored programs. In brief, it is expected that work on active awards will continue during a shutdown. New awards funded out of the affected agencies will not be initiated nor will pending proposals be reviewed nor processed. Most personnel–program managers, grant administrators, etc.– are prohibited from working, or even accessing their computers during the shutdown. Thus, if you have urgent business to conduct with them, contact federal personnel before the close of business Friday, February 15th. The last federal government shutdown lasted thirty-five days. All other agency budgets were approved and signed into law earlier last fall, and thus, would not be impacted by a shutdown.

As a result of the last shutdown, some but not all, of the proposal deadlines were postponed although NSF FastLane remained open for proposal submission during the shutdown. There is no clarity how the decisions were made for individual programs. Hence, all PIs preparing proposals are encouraged to stay on the current timelines for submission and continue to submit as planned during a shutdown.

Additional information and guidance: 

The Office of Management and Budget (OMB) website lists contingency plans for all the federal agencies. The link to the website is While the site has not yet been updated for this pending shutdown, here is information from this past January.

  1. Federal agency employees who are paid with annual appropriations and who perform an activity associated with contract or grant administration, including oversight, inspection, payment, or accounting will generally not continue work during a shutdown. This means that normal, routine, ongoing operational and administrative activities performed by federal employees relating to contract or grant administration (including payment processing) cannot continue when there is a gap in funding.
  2. Agencies have the ability to halt activity on grants, though this is not expected to happen for research. In general, active grant and contract activity funded with FY2018 or prior year appropriations can continue. However, agency personnel most likely will not be available for approvals, supervisory support, and other administrative functions.
    1. In addition, it is not certain what will be the functionality of automated payment systems. Consequently, institutions should recognize that there is some risk that requests for reimbursement will not be processed.
    2. Other electronic administrative systems may or may not be available, depending on each agency’s approach.
    3. In the event of a shutdown, no new awards will be issued and most likely no new obligations will be made. If your award is incrementally funded and new funds are to be obligated in fiscal year 2018, this will not happen during the shutdown.
    4. Agencies have the ability to delay proposal deadlines to compensate for any lapse in government activity. Most likely, new grant applications will not be accepted, though this also may depend on each agency’s internal approach.
  3. Agency specific guidance should be made available on a case-by-case basis. Agencies are required by OMB to implement agency plans for operation during a shutdown. Most likely, each agency plan will not be identical. In addition, certain programs may have special operating instructions.
If you have any questions or concerns, please contact Research Office

4. Important revisions have been made to the Resumption of Operations at NSF page on the NSF website (Thursday, January 31, 2019)

Important revisions have been made to the Resumption of Operations at NSF page on the NSF website, including identification of new deadline dates for specific solicitations and Dear Colleague Letters. This updated information will be of interest to your membership and we would appreciate your sharing with your colleagues as soon as possible. This page will continue to be updated as new information becomes available.

Policy-related questions regarding the resumption of operations at NSF may be addressed to

If you have any questions or concerns, please contact Jean Feldman

5. New Resumption of Operations at NSF (Monday, January 28, 2019)

A Resumption of Operations at NSF page has been developed that includes Important Notice No. 145, Resumption of Operations at the National Science Foundation, dated January 28, 2019, as well as supplemental guidance that addresses grant and cooperative agreement-related policy and systems issues. This page will be of interest to your membership and we would appreciate your sharing this link as soon as possible. This page will continue to be updated as new information becomes available.

Policy-related questions regarding resumption of operations at NSF may be addressed to

If you have any questions or concerns, please contact Jean Feldman

6. Federal Policy for the Protection of Human Subjects Update (Common Rule) (Monday, January 21, 2019)

Significant revisions to the “Common Rule” – a regulation that governs research involving human subjects conducted or sponsored by the Federal departments and agencies that have adopted those rules – are expected to take full effect on January 21, 2019.

This is the first revision to the Common Rule since its publication in 1991 and aims to strengthen the protection of research participants, while also reducing administrative burden for investigators.

The UD Institutional Review Board (IRB) will continue providing oversight of any studies reviewed and approved prior to January 21, 2019 under the version of the Common Rule under which the study was originally approved (pre-revisions). All new project submissions to the UD IRB beginning January 21, 2019 will be required to comply with the Revised Common Rule and will need to use the new templates as posted in IRBNet.

A new course on the “Revised Common Rule” is available under the University of Delaware training curriculum at Below is a summary of several key provisions and changes that will require compliance beginning January 21, 2019.


If you have any questions or concerns, please contact UD IRB

7. Partial Government Shutdown (Wednesday, January 2, 2019)

A partial government shutdown has continued into the new year. While NIH and the Department of Education are funded, others such as NSF, NASA, NOAA, USDA, NIST, and NEH are not. Agency Contingency Plans and FAQs can be found on the OMB website.

8. UD Financials Upgrade (Monday, April 16, 2018)

UD Financials PeopleSoft upgrade is now complete.

If you have any questions, please contact the Research Office

9. Delay on the Updated Common Rule Effective Date (Monday, January 22, 2018)

In a final rule published on January 19, 2017, federal departments and agencies listed in this document made revisions to the Federal Policy for the Protection of Human Subjects. The Consumer Product Safety Commission (CPSC) adopted the same regulatory changes in a separate final rule published on September 18, 2017. The revised policy, reflected in both final rules, is described here as the “2018 Requirements.” The 2018 Requirements are scheduled to become effective on January 19, 2018, with a general compliance date of January 19, 2018 (with the exception of the revisions to the cooperative research provision).

This interim final rule delays the effective date and general compliance date of the 2018 Requirements to July 19, 2018. The federal departments and agencies listed in this document are in the process of developing a proposed rule to further delay implementation of the 2018 Requirements. The limited implementation delay accomplished by this interim final rule both provides additional time to regulated entities for the preparations necessary to implement the 2018 Requirements, and additional time for the departments and agencies listed in this document to seek input from interested stakeholders through a notice and comment rulemaking process that allows for public engagement on the proposal for a further implementation delay.

If you have any questions or concerns, please contact Maria Palazuelos, PhD

10. NSF accepting proposals related to hurricane Irma (Thursday, September 21, 2017)

With the second major hurricane – Hurricane Irma – to strike the United States, the National Science Foundation (NSF) and its staff remain strongly committed to supporting the people and institutions affected by these storms. Now that the consequences of these disasters are upon us, new science and engineering questions are being raised. Through this Dear Colleague Letter, NSF encourages the submission of proposals that seek to address the challenges related to Hurricane Irma.

Principal Investigator

Principal Investigators Eligibility

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. As such, the University has designated the following personnel as eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects*


  • All full-time faculty regardless of academic rank
  • Visiting faculty/visiting scientists during the time they draw salary support for the performance of the sponsored project through the University
  • Adjunct faculty during the time they draw salary support for the performance of the sponsored project through the University
  • Full-time, academic non-administrative professionals in classified positions at or above Level 31E
  • All full-time postdoctoral fellows* and researchers
  • Under exceptional circumstances documented in writing, other qualified individuals may be designated as a PI. Such designation requires the approval of the Vice President for Research, Scholarship and Innovation, and must be endorsed by the chair of every unit and the dean of every college in which the research project is to be performed. If granted, this PI designation is limited to the proposed research project under consideration, i.e. it does not afford blanket status to serve as a PI on other proposals. To qualify for an exception, the following criteria must be met:
    • Only individuals identified to the external sponsor as a PI or CPI in the submitted proposal need to have the PI eligibility approval form completed
    • The proposed research must be a programmatic priority of the University
    • There must demonstrably be no qualified member of the UD faculty who is capable of serving or available to serve as the PI
    • The proposed PI must possess the academic and experiential qualifications that are prerequisite to service as a PI at UD, and his or her participation as the PI must be demonstrably necessary for the successful funding and execution of the research project
    • The proposal PI must enter into a signed contract with the University assuring that (a) the work will be conducted in accordance with the high standards of quality expected of all PIs; (b) the PI will comply with all University policies relating to the conduct of research; and (c) the research project will be conducted consistent with all federal laws, rules, and regulations relating to the conduct of research
    • Completion of the Research Office PI approval form and submission of a curriculum vitae (CV)

Process for submission of PI Eligibility Form:

  • Form should be completed and all signatures obtained
  • CV must be included with form
  • Email the completed form and CV to your Contract & Grant Analyst who will obtain the required Research Office approval signature
  • Contract & Grant Analyst will return executed form to department administrator

* Principal Investigator/Co-Principal Investigator status may be rescinded for cause.
*A PI approval form is required to permit postdoctoral fellows to serve this role

If an exception is made to make someone an eligible PI and that person isn't a full-time University employee, the chair or dean must be a co-PI on all proposals for that person.

Retired Faculty Serving as Principal Investigators

Some faculty members wish to continue their research programs after retirement from the University, but do not qualify for status as principal investigators because they are no longer full-time UD employees. Retired faculty members may apply for PI status using the existing Research Office PI approval form.

If the request is approved, retired faculty members may serve initially as co-PIs on proposals with a full-time faculty member as PI (this would typically be the department chair or another senior faculty member). If the proposal is funded and the retired faculty member is hired to work on that grant, he or she may then serve as the PI during the life of the grant. At the time of hiring, the retired faculty member may be appointed to an appropriate professional staff position (such as, for example, senior research fellow), but under no conditions may be re-hired on the faculty (as, for example, a research professor).

Graduate Students as Principal Investigators

The Research Office acknowledges the importance of permitting graduate students to lead sponsored projects where appropriate. There are several sponsors who offer pre-doctoral grants whereby the work is conceived of and carried out entirely by a graduate student. In these cases, a faculty member is identified as a mentor and oversees the project nominally. (examples: NASA: Harriett G. Jenkins Predoctoral Fellowship Program (JPFP), NIH: Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research, NIH: Predoctoral Training at the Interface of the Behavioral and Biomedical Sciences, DOE: The National Methane Hydrates R&D Program - Graduate Fellowship Program).

To that end, the eligible PI approval form may be used at the time of proposal routing to permit the graduate student to have this role. Also, please have the department administrators ensure the graduate student’s supervisor code is associated with a chair and dean code. This will allow the proposal approval web form to be routed appropriately. The required completed form must be sent to the Research Office at least ten (10) working days before the deadline for submittal of the proposal to the funding agency.

There are still other sponsors for whom the need for submission and approval from an Authorized Representative of the University is not required. The student may submit these applications directly to the sponsor without coordination with the Research Office or a PI eligibility form (examples include: NSF Fellowship, Ford Foundation Diversity Fellowships for Achieving Excellence in College and University Teaching).

If there are questions concerning which type of funding the grad student is applying, contact the Research Office for guidance.

Responsibilities of a Principal Investigator

Serving as a Principal Investigator (PI) at the University of Delaware brings significant rewards & confers concomitant responsibilities. PIs are responsible for the intellectual direction of research and scholarship and for the education and training of students. In carrying out these critical tasks, PIs are also responsible for compliance with laws and regulations that touch on all aspects of the research enterprise.

To ensure compliance with applicable rules, regulations, and contract requirements the University of Delaware requires all PIs to receive training in the financial management of sponsored projects. Developed for PIs already at the University, the University's training program focuses on stewardship of funds, mandatory reporting requirements and particularized training in the fundamentals of federal grant and contract accounting. PIs must complete mandatory training before the University will release project funding.


OMB Uniform Guidance


OMB Uniform Guidance Overview

The federal Office of Management and Budget (OMB) has made a major change to the underlying guidance by which university recipients of federal awards have operated for decades. OMB combined eight separate circulars, applicable to different types of grantee organizations, into a single document, "CFR Title 2, Part 200: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," commonly referred to as the Uniform Guidance (UG).

The three previous circulars applicable to universities are: A21 – Cost Principles for Educational Institutions, A110 – Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and other Non-profit Organizations and A133 – Audits of States, Local Governments and Non-Profit Organizations. There are similar documents applicable to states, local governments and Indian Tribes. The UG includes portions from all of the previous documents as well as new sections and some deletions. While much of it is similar to the previous guidance, there is the potential for both major and minor changes to university recipients of federal awards. In addition, the OMB document is actually guidance to federal agencies and each granting agency must issue its own implementing regulations. While agency implementation plans were due to OMB in June, final versions have not yet been published.

The effective date is December 26, 2014 and is applicable to new grants and funding increments.

The UG encompasses a wide variety of compliance areas, including what constitutes an allowable charge to a federal award, what costs may be included in the Facilities and Administrative Cost Rate, minimum information required in funding announcements, information needed in equipment records, how long records must be retained, requirements for monitoring subrecipients, the frequency and minimum content of programmatic reporting and a host of other topics.

The University of Delaware must be compliant with the UG in order to remain eligible to receive federal awards. The University’s comprehensive implementation plan is described below. The University community will be kept informed of progress through this website, the research-admin listserv, the newly created UD Research Administrators E-Newsletter and topic specific trainings. Your participation and feedback is encouraged.


The effective date for implementation of Uniform Guidance,2 CFR Part 200, Procurement Standards regulations at the University of Delaware will be fiscal year 2019. The University will follow Procurement Standards (see Uniform Guidance overview and implementation plan for UD here) regulations as specified in OMB Circular A-110, 2 CRF Part 215 through June 30, 2018, as provided in the May 17, 2017, Federal Register update.

UD's Implementation

In preparation for the December 26th, 2014 implementation date, we have created working groups based on each of the subparts and the appendices. Each working group has a chair, as well as representation from colleges and central administration (including staff from outside of the research community for some parts). The groups are responsible for determining the impact of the new regulations to existing policy and process, creating new training materials and revising policies where needed, and ensuring broad and effective communication strategies. Work plans and other materials will be posted as they become available.



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