Forms, Policies & Procedures

Here you will find a repository of forms, policies and procedures related to research at the University of Delaware. This repository draws on sources throughout campus to provide quick and easy access to these resources in a variety of formats, such as html, MSWord and Adobe PDF. We encourage you to explore and use the tools provided to narrow your search by word, resource type or category in order to learn more about the content that governs research at UD.
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RO Forms, Policies, and Procedures Search 2019

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 (21 Entries)
Form: Export Regulations (ITAR/EAR/OFAC), Research Agreement Templates, Templates
Data Transfer and Use Agreement
Form

Data Transfer and Use Agreement

This export regulations form deals with standards from the United States federal government regarding the transport of research material and project staff across national borders. If there are any questions regarding these standards, please review the Research Office’s Regulatory Affairs page.

This agreement template is to be used where transfer of data between the University of Delaware and an external entity are involved. Whether UD is the recipient or provider of the data.

 

Form Details:

OWNER: Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 27, 2019

Download Form Open Form

Policy: Export Regulations (ITAR/EAR/OFAC)
End Use Certification
Policy

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 ma 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 Open Policy



Procedure: Export Regulations (ITAR/EAR/OFAC)
Export Compliance Program Manual
Procedure

Export Compliance Program Manual

The U.S. export control system generally requires export licensing for defense items, for items that have both commercial and military applications, and for exports to sanctioned persons and destinations. U.S. national security, economic interests and foreign policy shape the U.S.export control regime. The export laws and regulations aim at achieving various objectives, such as preventing the proliferation of weapons of mass destruction, advancing the U.S. economic interests at home and abroad, aiding regional stability, implementing anti-terrorism and crime controls, and protecting human rights.

These controls generally restrict the export of products and services based on the type of product and the destination of the export. In both the defense and high-technology sectors, the U.S. government tightly regulates the export not only of equipment and components, but also of technology. Technology includes technical data, such as blueprints and manuals, as well as design services (including the transfer of “knowledge”) and training. U.S. laws assert jurisdiction over U.S.-origin equipment and technology even after it is exported (i.e., restricting the re-export or retransfer to third parties). In addition to general export licensing, the United States maintains economic embargoes against a number of countries whose governments consistently violate human rights or act in support of global terrorism. Such embargoes bar most transactions by U.S. persons with these countries. Finally, the U.S. government maintains lists of Specially Designated Nationals or persons and entities that are barred from conducting export business because of previous activities.

Three principal agencies regulate exports from the United States: the U.S. Department of State Directorate of Defense Trade Controls (“DDTC”) administers export control of defense exports; the U.S. Department of Commerce Bureau of Industry and Security (“BIS”) administers export control of so-called “dual-use” technology exports; and the U.S. Department of the Treasury Office of Foreign Assets Control (“OFAC”) administers exports to embargoed countries and specially designated entities.

DEFINITIONS:

APRRA– Associate Provost for Research & Regulatory Affairs
BIS– Department of Commerce Bureau of Industry and Security
CCL– Commerce Control List
CJ– Commodity Jurisdiction
DDTC– Department of State Directorate of Defense Trade Controls
EAR– Export Administration Regulations
ECCN– Export Control Classification Number
EO– Empowered Official
URC– University Research Counsel
ITAR– International Traffic in Arms Regulations
OFAC– Department of the Treasury Office of Foreign Assets Control
RO– Research Office
PI– Principal Investigator
SDN– List Specially Designated Nationals and Blocked Persons List
TCP– Technology Control Plan
USML– United States Munitions List
UD– University of Delaware

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Form: Export Regulations (ITAR/EAR/OFAC)
Export Control Certification for I-129 Form
Form

Export Control Certification for I-129 Form

This export regulations form deals with standards from the United States federal government regarding the transport of research material and project staff across national borders. If there are any questions regarding these standards, please review the Research Office’s Regulatory Affairs page.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 7, 2011

REVISION DATE(S):

06/07/2011, 08/08/2017

Download Form Open Form

Form: Export Regulations (ITAR/EAR/OFAC)
Export Controlled Project Staff Eligibility Form
Form

Export Controlled Project Staff Eligibility Form

This export regulations form deals with standards from the United States federal government regarding the transport of research material and project staff across national borders. If there are any questions regarding these standards, please review the Research Office’s Regulatory Affairs page.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: April 16, 2010

Download Form Open Form

Policy: Export Regulations (ITAR/EAR/OFAC)
Export Controls and Trade Sanctions
Policy

Export Controls and Trade Sanctions

  1. 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.
  2. DEFINITIONS
    1. EC&TS are federal regulations that govern the export of technologies, equipment, software, select hazardous agents, and related data and services to foreign countries. EC&TS extend to the release or sharing of restricted items, technologies or data/information with foreign nationals (i.e., deemed export) inside or outside the U.S.
    2. “Fundamental Research”, as defined by the U.S. Commerce Department, Bureau of Industry and Security, is basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community. The techniques used during the research are normally publically available or are part of the published information.
    3. “Sponsored Projects” are defined as externally-funded activities in which a formal written agreement, i.e., a grant, contract, or cooperative agreement, is entered into by the University and by the sponsor. A sponsored project may be thought of as a transaction in which there is a specified statement of work with a related, reciprocal transfer of something of value.
    4. The University’s Empowered Official (“EO”) is a representative of the University’s senior administration and is responsible for ensuring EC&TS regulatory compliance and alignment with the University’s mission.
  3. POLICY STATEMENT
    1. 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.
  4. POLICY STANDARDS AND PROCEDURES
    1. The Principal Investigator (PI) on a Sponsored Project has the primary responsibility for determining if the project is Export Controlled. The EO assists in the determination and provides final UD approval.
    2. The PI works with the EO to develop and implement appropriate TCPs for all projects falling under the EC&TS regulations. The TCPs are subject to audit by the EO and/or the University Research Counsel/Advisor.
    3. The EO is responsible for verifying the eligibility of all staff working on controlled projects. The PI is responsible for providing the EO and/or the University Research Counsel/Advisor with the information required for this process and for making sure that all staff members with access to the controlled technologies and/or items have received adequate EC&TS training.
    4. While the EC&TS include provisions for which the fundamental research performed at universities may be exempt from licensing requirements, in general at UD, licenses are required for the export of items and technologies controlled under EC&TS. Should licenses be required to be obtained from the government, the PI will provide all necessary information for the licensing to the EO or the University Research Counsel/Advisor. In instances where UD is engaged in fundamental research involving controlled technologies or items, a TCP is typically employed to limit access to activity participants and require EC&TS training.
    5. The PI is responsible for the appropriate disposition of EC&TS controlled technologies/items in accordance with the TCP at the conclusion of the project and for reporting this disposition to the EO. The EO is responsible for verifying the disposition of the technologies.
    6. The EO is responsible for ensuring that all record keeping requirements for EC&TS controlled technologies are met.

Related Links

General Counsel Page for this Policy

 

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 Open Policy



Policy: Export Regulations (ITAR/EAR/OFAC)
Export Controls and Trade Sanctions Memo
Policy

Export Controls and Trade Sanctions Memo

While federal regulations restricting the export of goods and technologies related to national security interests have been in existence for decades, these regulations have become more restrictive and enforcement has become increasingly rigorous in the years following the events of September 11, 2001. The purpose of this memo is to remind the University community that the University of Delaware must comply with all U.S. government export control regulations. While the vast majority of the work carried out on our campuses falls within the several exemptions to export licensing requirements, it is nonetheless necessary for researchers to be aware of how these laws may apply to their activities.

It is important to recognize that the U.S. Government defines exports to include not only tangible or “physical” items such as biological materials, chemicals, and equipment, but also intangible information, which may include research data and ideas. Furthermore, an export is defined not only as the actual physical shipment, but also includes electronic and voice transmissions out of the United States (e.g., email to colleagues at foreign institutions or even a phone call) as well as the release of technology to foreign nationals within the U.S. These exports are controlled by multiple federal agencies including the Department of State, the Department of Commerce, and the Department of the Treasury. Violation of the export control regulations can result in significant institutional and personal penalties including fines of up to $1,000,000 per violation, incarceration for up to 10 years, and loss of future exporting privileges.

The University of Delaware remains committed to the preservation of academic freedom. Fortunately most, but not all, research activities on campus fall under the “fundamental research exemption,” which provides that basic research activities NOT subject to publication or access restrictions will not be subject to export controls. Other exemptions apply to technology and information shared in the conduct of teaching activities on campus and to information already generally publicly available. However, the export regulations are complex and continually changing, and it is important to consider each activity on an individual basis.

The Research Office will be happy to assist members of the university community with export control compliance. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu), if you need help in assessing the impact of the regulations on your activities or to schedule training on this important issue.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Open Policy



Policy: Export Regulations (ITAR/EAR/OFAC)
Export Regulations
Policy

Export Regulations

University research is subject to U.S. Export Control laws that protect national security and trade, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), and the Commerce Control List (CCL) implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, also is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals.

These regulations control the export of strategic information, technology, and services to foreign countries as well as to foreign nationals inside the United States. Temporary export of controlled items, including laptop computers with controlled technologies, such as encryption software or technical project data also falls under the regulations. Failure to comply with these laws can result in serious consequences, including penalties of up to $1 million in fines and up to 10 years in prison per violation.

It is important for members of the University of Delaware research community to be aware of the University of Delaware Policy on Export Controls (Research Policy 6-17). Additionally, the following tools are available to help researchers become more aware of the issues surrounding Export Controls and to assist them in determining when the regulations are applicable:

  • The Memo on Export Controls and Trade Sanctions gives general information about the Export Control regulations as they apply to the academic research community
  • The Travel with or Transportation of Research- Related materials and Data Memo explains the issues and steps for compliance when traveling.
    Note: University personnel traveling to OFAC sanctioned/embargoed countries, which at the time of this writing include Cuba, Iran, North Korea, Syria, and Sudan, should contact the Research Office – Associate Deputy Provost for Research and Regulatory Affairs, Cordell Overby, overbyc@udel.edu , or University Research Counsel Sean Hayes, hayes@udel.edu – for guidance prior to travel. UD personnel should travel with a “clean” laptop that contains software and data that are not export controlled. In this way, previously utilized and generated export controlled software and unpublished research data will remain at home or work and therefore are neither exported nor deemed-exported.
  • The Export Control Decision Tree may be used to help determine if projects are subject to the Export Control Regulations and how to obtain further project-specific information to make sure the work remains in compliance with the laws.
  • Our Export Control FAQ ‘s provide basic information to help you understand the Export Control regulations and how they might apply to you.

The Research Office will work with individual researchers to make all necessary checks of the ITAR, EAR, and OFAC regulations to determine when licensing is necessary for shipment or disclosure to foreign countries or nationals. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for assistance.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Open Policy



Policy: Export Regulations (ITAR/EAR/OFAC)
Export Regulations for Online Courses
Policy

Export Regulations for Online Courses

Online Courses

Export controls and trade sanctions must be considered and, unless specifically excluded, applied to online courses. As is generally the case with universities, UD online courses possibly may be excluded from export control and trade sanction regulations.

  • Per EAR regulations, information and software that “are released by instruction in a catalog course or associated teaching laboratory of an academic institution” are not subject to the EAR. 15 CFR 734.3(b)(3)(iii). Please note that some encryption technology is excluded from this EAR exclusion.
  • Per ITAR regulations, the definition of Technical Data subject to ITAR “does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities.” 22 CFR 120.10(b).2
  • OFAC legislation provides in 50 USC 1702(b)(3):
      (b) The authority granted to the President by this section does not include the authority to regulate or prohibit, directly or indirectly—

      (3) the importation from any country, or the exportation to any country, whether commercial or otherwise, regardless of format or medium of transmission, of any information or informational materials, including but not limited to, publications, films, posters, phonograph records, photographs, microfilms, microfiche, tapes, compact disks, CD ROMs, artworks and news wire feeds.

    UD courses generally may be classified as “information and informational materials.” The online presentation does not alter this characterization. Therefore, pursuant to the OFAC legislation cited above, online courses typically are not OFAC-prohibited.

  • Exclusions do not apply to all subject matter that may be presented in online courses. The provision of principles not commonly taught in schools, colleges and universities, defense services, ITAR technical data, encryption technology and nuclear technology may not be excluded from control. Online-course instructors of such topics shall complete the export control training found at: http://www1.udel.edu/research/swf/UD-export-controls-training/
  • Online courses cannot be taught to students from OFAC-sanctioned countries without a license. Currently comprehensive or selective sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Questions regarding UD online course compliance with export controls and trade sanctions should be directed to UDresearch@udel.edu.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 3, 2018

REVISION DATE(S):

5/13/2019

Policy Source Open Policy



Policy: Export Regulations (ITAR/EAR/OFAC)
Gifts Used for Research-Related Purposes
Policy

Gifts Used for Research-Related Purposes

Gifts to the University of Delaware (UD) that are to be used for research-related (RR) investigations and/or activities should be directed to the Research Office (RO) for evaluation, and for possible oversight, to help ensure that gift usages will be compliant with U.S. export control and trade sanctions (EC&TS). All UD research-related investigations and/or activities, including those using resources originating from gifts to UD, must be performed consistent with OFAC, ITAR and EAR requirements.

Researchers conducting RR investigations and/or activities using items of value acquired from gifts to the University (both monetary and research-related non-monetary) shall 1) have their planned RR investigation and/or activity evaluated by the RO for EC&TS compliance, and 2) if the RO deems it necessary, obtain a written statement of support/approval from the associated department’s chair and associated college’s dean for the planned RR investigation and/or activity.

After receipt of the associated department and associated college support/approval statement, final UD support/approval for the planned investigation and/or activity will be determined by the UD Vice President for Research, Scholarship & Innovation and the UD Provost.

As with all UD research-related investigations and/or activities, the University may determine that institutional EC&TS compliance requires written institutional-oversight plans or export-licenses. All research-related uses of resources stemming from gifts to UD are evaluated by the RO on a case-by-case basis.

Questions regarding gifts to UD to be used for research-related investigations and/or activities should be submitted to udresearch@udel.edu.

Related Links

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 3, 2018

Policy Source Open Policy



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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