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
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Material Transfer
Reporting Misconduct
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RO Forms, Policies, and Procedures Search 2019

Forms, Policies and Procedures (11 Entries)
Form: Research Office
Conflict of Interest Disclosure Form
Form: UD Research Office

Conflict of Interest Disclosure Form

Disclosure of all involvements of faculty or professional staff with commercial enterprises that may take time from University responsibilities or may directly or indirectly have an impact on or be perceived to have an impact on the University is required (see Policy 6-11, Faculty and Professional Staff Involvement in Commercial Enterprises That Have Relationships With the University of Delaware).

Use the form below to report conflicts of interest.

 

Form Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Download Form (CAS login) Email https://research.udel.edu/forms-policies-procedures/?entry=51471

Procedure: Research Office
Conflict of Interest Disclosure Procedure
Procedure: Research Office

Conflict of Interest Disclosure Procedure

Log in to the Conflict of Interest (COI) Disclosure webform

  • The form describes the different categories of significant financial interest (SFIs) that are required to be disclosed. A table of examples below is provided as a reference. Please know this is not an all inclusive reference, rather, just few examples for illustrative purposes.
  • If answering ‘Yes’ to any of the listed questions, a pull down menu of information required will show. Please provide enough detail to facilitate its assessment.
  • COI web forms will be automatically routed to the chair or direct supervisor and the dean for review and approval.

Faculty and professional staff must complete a new COI disclosure every year, even when they do not have any SFI to disclose. COI disclosures must be submitted, via web form, on an annual basis or within 30 days of any change to previous disclosures. Please click on the link below, and login using your UDNet ID and password. If the link does not take you directly to the form, look for “Conflict of Interest Disclosure Form” under the tab “Blanks.”

Significant Financial Interest (SFI) Must Be Disclosed Does NOT Need To Be Disclosed
Publicly traded entity(ies) Any remuneration from the entity during the previous 12 months that, when aggregated, exceeds $5,000; and/or any equity interest that represents more than 5 percent ownership in a single entity Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles
Non-publicly traded entity(ies) Any remuneration during the previous 12 months received from the entity that, when aggregated, exceeds $5,000; and/or any equity interest  
Intellectual property(ies) Royalties, inventions, discoveries and patents under NOT assigned to UD Royalties, inventions, discoveries and patents under assigned to UD through Policy 6-6, and/or Policy 6-7
Consulting activity(ies) Any arrangements that involve a consulting agreement, or other outside professional activities Seminars, lectures, teaching engagements or income from service on advisory committees or review panels sponsored by a federal, state or local government agency, or an institution of higher education
Entity(ies) related to employee’s institutional responsibilities Participation in, or personal sponsorship from, any entity that invests in, or provides financial support for, activities related to the employee’s University areas of responsibility.  
Commercial enterprise(s) An appointment as an officer, director or any other managerial position in a commercial enterprise; participation in the day-to-day operations, including serving on the scientific advisory board, of a commercial enterprise.  
Potential conflict(s) of interest Situations where students are directed into research areas or other activities from which the employee intends to realize personal financial gain.  
Reimbursed or sponsored travel   Travel reimbursed or sponsored by a federal, state or local government agency, or an institution of higher education

 

Related Links

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51449

Policy: General Counsel
Conflict of Interest in Research Policy
Policy: General Counsel

Conflict of Interest in Research Policy

  1. SCOPE OF POLICY
    This policy addresses the responsibility of the University of Delaware (UD or University) to promote objectivity in research by 1) requiring that faculty, staff and other members of the University-research community disclose their significant financial interests, and 2) providing means for managing conflicts of interest (COI) should they arise.
  2. POLICY STATEMENT
    The involvement of faculty, staff and other members of the University-research community with appropriate commercial enterprises aligns with University mission as it is an important part of the transfer of knowledge and is encouraged by the University to enhance teaching, research, and outreach programs. Association of faculty or staff with commercial enterprises should be such that it benefits all the parties involved, including the University. All faculty, staff, and members of the University-research community are expected to conduct their research-related duties with integrity and to avoid association with activities that could diminish or could be perceived as diminishing the effectiveness of their commitment to the University. It is the responsibility and obligation of faculty, staff, and members of the University-research community to disclose all SFIs that may affect, or appear as if they could affect, their University-related responsibilities.

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

 

Policy Details:

OWNER: Vice President for Research, Scholarship & Innovation

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER: 11-Jun

POLICY NUMBER (Legacy): 6-11

ORIGINATION DATE: November 15, 1989

REVISION DATE(S): December 3, 2020; March 1, 1996; February 18, 2002; January 18, 2008; August 11, 2008; August 23, 2012; May 8, 2015

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51400

Procedure: Research Office
Conflict of Interest Management Procedure
Procedure: Research Office

Conflict of Interest Management Procedure

  • If a COI is determined to exist, a COI management plan is to be developed by the chair and/or dean in agreement with the employee.
  • Please use the template for the COI management plan.
  • Examples of conditions or restrictions that might be imposed to manage a COI include, but are not limited to:
    1. Public disclosure of the conflict (e.g., when presenting or publishing affected research);
    2. Appointment of an independent monitor capable of taking measures to protect against bias resulting from COI;
    3. Change of personnel or personnel responsibilities, and/or modification of the research plan;
    4. Reduction or elimination of a financial interest;
    5. Severance of relationships that create the conflict(s).
  • In addition, please see a detailed guidance for the development of COI management plans in the context of SBIR/STTR awards.
  • Additional information on UD’s COI disclosure and management procedures can be found in the UD COI training module.
  • Further details on reporting requirements specific to PHS-funded research can be found in the Financial Conflict of Interest (FCOI) tutorial provided by NIH.
  • Inquiries concerning Institutional Conflict of Interest should be directed to udresearch@udel.edu

Related Links

NIH Conflict of Interest Tutorial

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51450

Template: Research Office
Conflict of Interest Management Template
Template: UD Research Office

Conflict of Interest Management Template

This template helps researchers become aware of potential conflicts of interest and develop plans to maintain objectivity in their research.

 

Template Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: September 24, 2014

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51613

Policy: General Counsel
Consultants for Research, Public Service or Instructional Activities
Policy: General Counsel

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. SCOPE OF 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.

Related Links

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

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 4-27

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 8/29/01

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

Procedure: Research Office
Foreign Involvement
Procedure: Research Office

Foreign Involvement

Strengthening interdisciplinary and global programs is a strategic priority at the University of Delaware (UD). International collaboration enhances student education, results in increased opportunities for publication and scholarship, and keeps UD investigators on the cutting edge of their fields. These benefits result from foreign collaborators physically working on UD’s campus, collaboration in the form of providing or receiving materials from foreign entities, or receipt of payment from foreign entities. Foreign collaboration, though, could pose a risk. The activity could result in violations of University practice and policy, violations of regulations and requirements, and potential loss of funding.

FOREIGN ENTITIES ASSOCIATED ISSUES

While international collaborations may be acceptable, UD personnel are expected to disclose foreign involvement to ensure that potential issues are properly addressed and resolved. The following issues should be considered.

To find out more visit Foreign Involvement Best Practices

Subjects covered on this resource are:

  • Conflicts of Interest
  • Export Control
  • Financial Disclosures
  • Foreign Components
  • International Travel
  • Performance Reviews
  • Restricted Party Screening
  • Office of Foreign Assets Control

and more

 

Procedure Details:

OWNER: Cordell Overby

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 12, 2019

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51669

Policy: General Counsel
Intellectual Property Protection, Ownership and Commercialization
Policy: General Counsel

Intellectual Property Protection, Ownership and Commercialization

  1. POLICY
    The University of Delaware strives to support its faculty, staff, and students by pursuing the commercial development of intellectual and tangible research property resulting from University research. The early transfer of such knowledge and rights is consistent with the University’s mission of creating new knowledge and facilitating its application to the benefit of the public. The University has established policies and guidelines that provide incentives for faculty, staff, and students while protecting the integrity of research (also see Legacy Policy 6-11 related to avoidance of conflicts of interest). The University provides a number of administrative and legal services to inventors and authors to effectively and efficiently pursue intellectual property rights and technology transfer.

    It is policy of the University that all inventions and discoveries, together with any tangible research materials, know-how and the scientific data and other records of research including any related government protections (collectively “Intellectual Property”), which are conceived or reduced to practice or developed by University faculty, staff, or students in the course of employment at the University, or result from work directly related to professional or employment responsibilities at the University, or from work carried out on University time, or at University expense, or with the substantial use of University resources, shall be the property of the University. An invention shall constitute any discovery, machine, new and useful process, article of manufacture, composition of matter, life form, design, algorithm, software program, or concept that may have commercial value. University faculty, staff, or students employed by the University who discover or invent or develop a device, product, plant variety, method, or work while associated with the University must cooperate with the University in defining and establishing the rights to such inventions, works, materials, and data. This obligation extends to any Intellectual Property, whether or not made on University time with or without use of University facilities.

    When an invention is made, the inventor shall promptly provide, via the appropriate Department Chair and Dean, and the Vice President for Research, Scholarship and Innovation, or his/her designee, an invention disclosure statement describing the circumstances under which the invention was conceived and reduced to practice …

  2. SCOPE OF PURPOSE
    1. To provide a mechanism for placing in the public realm the fruits of research, while safeguarding the interests of the University, the inventor(s), and the sponsor;
    2. To provide procedures to evaluate the significance of inventions, discoveries, research materials, and works, and the opportunities by which such creative advances may be brought to the point of commercial viability;
    3. To provide adequate legal protection for intellectual property including patent, trademark, and copyright protection for inventions and works falling within the scope of this policy, through the collaboration of University faculty, staff, and students with the assigned attorney(s) and Research Office staff;
    4. To establish principles for determining the rights of the University, the inventor(s), or developer(s) or author(s), and the sponsor;
    5. To provide greater incentives for pursuing and commercializing intellectual property by University personnel;
    6. To assist the inventor(s) or developer(s) or author(s) in realizing tangible benefits from the intellectual property;
    7. To satisfy requirements of certain research grants and contracts; and
    8. To provide a basis for establishment of institutional patent, copyright, and trademark agreements with the federal government and other agencies.

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): 6-06

ORIGINATION DATE: October 1, 1981

REVISION DATE(S): June 5, 1989; March 1, 1996; March 6, 2002; March 3, 2005; September 6, 2005; May 22, 2007; January 18, 2008; February 28, 2008; August 11, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51412

Template: Research Office
NASA’s China Funding Restriction Certification Template
Template: Research Office

NASA’s China Funding Restriction Certification Template

The federal Appropriations Acts which fund the National Aeronautics and Space Administration (NASA) include a prohibition regarding the People’s Republic of China (PRC). This restriction prohibits NASA and the White House Office of Science and Technology Policy from funding any joint scientific activity with the PRC. Since the federal restriction was implemented in 2011, NASA has included terms in grants, contracts and solicitations stating that proposers and award recipients may be ineligible for funding if the NASA project includes bilateral involvement of China or Chinese owned companies.

The China restriction on NASA funding originated in Public Law 112-10 (2011) and has been included in each subsequent U.S. Consolidated Appropriations Act.

In order to verify there will be no bilateral involvement of the Chinese government or Chinese-owned companies, the University of Delaware requires that a certification form be completed by every member of UD senior/key personnel prior to the submission of each NASA proposal. This applies to both proposals in which UD is serving as the lead or as a subrecipient. The signed form(s) should be uploaded to the UD proposal record as an attachment named “2#A#####_NASA_Cert” at the time of routing the proposal.

 

Template Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

REVISION DATE(S): 06/17/2024

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=112425

Policy: Research Office
Policy on Participation in Malign Foreign Talent Recruitment Programs
Policy: Research Office

Policy on Participation in Malign Foreign Talent Recruitment Programs

  1. SCOPE OF POLICY
    This policy prohibits all covered individuals employed by or enrolled at the University of Delaware from participating in a malign foreign talent recruitment program(s).
  2. DEFINITIONS
    1. Foreign government-sponsored talent recruitment program. Per National Security Presidential Memorandum – 33 (NSPM-33), a foreign government-sponsored talent recruitment program is defined as an effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position).
    2. Malign foreign talent recruitment program. Per the CHIPS and Science Act, the term malign foreign talent recruitment program is defined as:
      1. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual—
        1. engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
        2. being required to recruit trainees or researchers to enroll in such program, position, or activity;
        3. establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
        4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
        5. through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
        6. being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
        7. being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;
        8. being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
        9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
      2.  a program that is sponsored by—
        1. a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;
        2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232); or
        3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232).
    3. Covered Individual is an individual who:
      1. contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; and
      2. is designated as a covered individual by the Federal research agency concerned. Consistent with NSPM-33, this means principal investigators (PIs) and other senior/key personnel seeking or receiving Federal research and development funding.

        Federal funding agencies also have the latitude to expand the definition of “covered individuals” as appropriate and consistent with their mission.

    4. Foreign country of concern. Per NSPM-33, a foreign country of concern means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country deemed to be a country of concern as determined by the Department of State.
  3. POLICY STATEMENT

    The University of Delaware strictly prohibits covered individuals employed by or enrolled at the University from participating in a malign foreign talent recruitment program(s).

  4. POLICY STANDARDS AND PROCEDURES
    1. Covered individual’s participation in a malign foreign talent recruitment program is prohibited.
    2. Faculty, staff, and students participating in sponsored programs are required to comply with sponsor disclosure policies and certification requirements regarding foreign government-sponsored talent recruitment programs.
    3. Disclosures regarding foreign government-sponsored talent recruitment programs must be true, complete and accurate to the best of the discloser’s knowledge and belief.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=113573

Procedure: Research Office
Research Compliance & Ethics Program
Procedure: Research Office

Research Compliance & Ethics Program

The University of Delaware (UD or University), its faculty, staff and students are committed to conducting their research and scholarly endeavors with the highest ethical standards. Consistent with federal government guidelines and requirements, and with widely-recognized best practices to achieve the responsible conduct of research, the University has developed, conducts and maintains current an effective Research Compliance & Ethics Program (RCEP). In doing so, UD exercises due diligence to prevent, detect and correct any research-related conduct that is not consistent with government and best-practice collective tenets. Additionally, the University creates and promotes (in an ongoing fashion) an institution-wide culture that encourages behavior/conduct that is ethical and compliant, and in accord with applicable research-related requirements, guidelines and best practices.

To those ends, the University established and maintains standards and procedures to prevent, detect and correct research-related behaviors that may be (or have the potential to become) aberrant. Methods to keep UD executive leadership knowledgeable with regard to the University RCEP are in place and maintained, so as to accommodate oversight of Program efficacy. Program standards, guidance and training extend to research efforts that include (or potentially include) matters concerning 1) animal care & use, 2) conflict of interest, 3) confidentiality, 4) cost accounting, 5) data management, 6) export controls & trade sanctions, 7) freedom-of-information requests, 8) human subject protection, 9) intellectual property, 10) research integrity and misconduct, 11) research-related agreements and 12) research-related safety (bio-, chemical & hygiene, hazardous substances, radiation and LASER).

The vice president for research, innovation and scholarship, is the University’s chief research administrator and advocate. The Office of Research and Scholarship ensures the presence and maintenance of an adequately-funded and effective research RCEP. Day-to-day operational responsibility for the Program is delegated to the associate deputy provost for research and regulatory affairs, who with colleagues and in cooperation with UD faculty who serve on and chair University compliance and safety committees, are tasked to knowledgeably and competently perform the multi-disciplinary duties needed to ensure that the UD research community goes about its work in a compliant and responsible manner. All University persons performing day-to-day operations aimed at maintaining the integrity of the RCEP 1) have no-known transgressions (past or current) from Program tenets, and 2) have direct access to the Office of the University Research and Regulatory Affairs.

In order to maintain Program effectiveness, the Office of the University Research and Regulatory Affairs oversees and provides a wide spectrum of research-related compliance and ethics training. Training media include web-based presentations and face-to-face presentations. Face-to-face training is offered for groups or individuals, and is offered on regularly scheduled intervals and upon request. Training is typically tailored for students, research-support staff, faculty and other research professionals, across the full spectrum of research-related RCEP topics.

To ensure that UD’s research community adheres to the requirements of the Program, provisions for periodic monitoring and audit are in place. Additionally, the Program offers anonymous avenues for the reporting of University-research activities that may be suspected of being inconsistent with the responsible conduct of research. As a result of an institutional-wide adherence to a Program of recognized and required research-related compliance and ethical morays, UD maintains an ability to provide an open and supportive environment for the conduct of research, while remaining able to quickly identify abhorrent behavior and suspend offenders.

Finally, to help ensure (and confirm) institutional commitment to providing an effective RCEP, the UD Program is periodically assessed internally (with the assistance non-Program University personnel), and modified as necessary to remain aligned with, and responsive to, modifications in federal government and best-practice standards.

Additional information regarding the University RCEP may be accessed by sending an email request to udresearch@udel.edu.

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51630

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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