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.
FILTER BY
RO Forms, Policies, and Procedures Search 2019

Animal Subjects in Research

For Forms, Policies and Procedures pertaining to Animal Subjects in Research and other resources

Click Here

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)
Information and Checklist for the Temporary Export of Research Equipment
Form

Information and Checklist for the Temporary Export of Research Equipment

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.

When you travel outside the United States with University-owned research equipment, you have an obligation to make sure that the shipment is compliant with all applicable U.S. regulations, as well as the regulations for the destination country.  These include Export/Import regulations and associated documentation requirements. Please try to plan travel with research equipment well in advance, even if you are carrying the equipment with you.  It is important to note that transport of University property is a commercial shipment.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: July 21, 2010

REVISION DATE(S):

07/21/2010, 09/13/2011

Download Form Open Form

Procedure: Export Regulations (ITAR/EAR/OFAC)
Is your UD project in Compliance with Export Controls
Procedure

Is your UD project in Compliance with Export Controls

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

The attached PDF is a flowchart determining whether or not a project needs to be advised upon in terms of its compliance.

Related Links

Download the Export Control Decision Tree (pdf)

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Procedure: Export Regulations (ITAR/EAR/OFAC)
Office of Foreign Asset Control
Procedure

Office of Foreign Asset Control

The Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States. OFAC acts under Presidential national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze assets under U.S. jurisdiction. Many of the sanctions are based on United Nations and other international mandates, are multilateral in scope and involve close cooperation with allied governments.

 

Procedure Details:

OWNER: US Treasury Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Form: Export Regulations (ITAR/EAR/OFAC)
Request to Export Controlled Technical Data or Items
Form

Request to Export Controlled Technical Data or Items

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

Procedure: Export Regulations (ITAR/EAR/OFAC)
Specially Designated Nationals And Blocked Persons List (SDN)
Procedure

Specially Designated Nationals And Blocked Persons List (SDN)

​As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called “Specially Designated Nationals” or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from dealing with them. Click here for more information on Treasury’s Sanctions Programs.

 

Procedure Details:

OWNER: US Treasury Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Form: Export Regulations (ITAR/EAR/OFAC), Templates
Technology Control Plan Template
Form

Technology Control Plan Template

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 6, 2010

REVISION DATE(S):

04/06/2010, 02/09/2012, 01/16/2015

Download Form Open Form

Procedure: Export Regulations (ITAR/EAR/OFAC)
The International Traffic in Arms Regulations (ITAR)
Procedure

The International Traffic in Arms Regulations (ITAR)

The Department of State is responsible for the export and temporary import of defense articles and services governed by 22 U.S.C. 2778 of the Arms Export Control Act (“AECA”; see the AECA Web page) and Executive Order 13637. The International Traffic in Arms Regulations (“ITAR,” 22 CFR 120-130) implements the AECA. The ITAR is available from the Government Printing Office (GPO) as an annual hardcopy or e-document publication as part of the Code of Federal Regulations (CFR) and as an updated e-document.

 

Procedure Details:

OWNER: Department of State

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Policy: Export Regulations (ITAR/EAR/OFAC)
Travel with or Transportation of Research-Related Materials and Data
Policy

Travel with or Transportation of Research-Related Materials and Data

The purpose of this memo isto remind and inform all University of Delaware employees of the laws, policies and procedures that may impact the transportation of University of Delaware property, including research-related materials,software, data,biological materials and equipment. These laws,policies and procedures apply whether the materials, software or data are hand-carried during travel or shipped commercially. The laws,policies and procedures apply to our international visitors as well. Please help them to be aware of the following regulations.

Although the University of Delaware is working to keep compliance on this matter from becoming onerous, candid assessment of the current situation must acknowledge that scholars are increasingly subject to external constraints that can be both unfamiliar and frustrating. As our policies and procedures evolve in light of external constraints and faculty and staff needs, we will work to keep you apprised of changes as quickly as possible. Listed below are some key concepts with which every University of Delaware employee should be aware and in full compliance.

  1. Not all research material may be shipped or hand-carried by air. The Transportation Security Administration (TSA) has rules that limit what airline passengers can place into their checked and carry-on luggage. These rules may prevent research materials and equipment from being brought onto airplanes. Please review the list of permitted and prohibited items posted on the TSA web page found at (https://www.tsa.gov). This list issubject to change and should be checked on a regular basis.
  2. A Material Transfer Agreement (MTA) should be used when University of Delaware research materials,software,biological materials or data sets are received from an outside party or transferred off campus. Similarly an MTA should be used when transferring such materials from the University of Delaware to outside parties.
    • When the University of Delaware is the recipient of the materials, the MTA triggers appropriate health and safety alerts to the Occupational Health and Safety Office concerning the materials received.
    • When the University of Delaware issending materials off campus,the MTA permits review of applicable shipping regulations.
    • An MTA permits review of intellectual property rights to protect the interests of the University of Delaware and individual University of Delaware researchers.

      Appropriate MTA forms are available on the University of Delaware Research Office website (https://research.udel.edu/forms-policies-procedures/).

  3. All transfers of research materials,software or data must comply with export control and trade sanction regulations. Export controls are federal laws that regulate the export of sensitive technologies, equipment, software, biological agents and related data and services. These laws require the use of licenses for the export of these items unless an exemption exists. Trade sanctions are imposed by the Department of State, which may prohibit travel, payment or providing anything of value to sanctioned entities, including countries, businesses, and individuals, regardless of exemptions.Information and guidance on export control and trade sanction compliance is available at https://research.udel.edu/regulatory-affairs/#3. If you have questions about your activity, please contact the Associate Deputy Provost for Research & Regulatory Affairs, Dr. Cordell Overby, at overbyc@udel.edu.
  4. Commercial shipment of hazardous materials must comply with U.S.Department of Transportation regulations. For specific requirements, please contact Occupational Health and Safety.
  5. Federal law and regulation by the USDA,FDA,or EPA can severely limit the interstate shipment of certain biological,recombinant,or toxic materials.
  6. The U.S.Foreign trade Regulations require that all exports (temporary or permanent) with a dollar value greater than $2,500 as well as any licensed export be registered in the AES export system prior to shipment. The AES (Automated Export System) filing includesinformation about the date, method and destination of the export and licensing exception or authority if applicable. The U.S. Census Bureau uses the data to compile export trade statistics. Additionally the information is shared with Customs and Border Patrol, export licensing enforcement and other law enforcement agencies.
  7. The University of Delaware provides compliance assistance to facilitate your transfer and transport of research materials,software and data.
    • Information on export controls and trade sanctions, including international travel: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
    • MTAs for research related transfers: Dr. Cordell Overby (overbyc@udel.edu or 302-831-2383)
    • Shipping and receiving of hazardous materials: OccupationalHealth and Safety Office {302-831-8475)
    • Biological Materials: Krista Murray (klmurray@udel.edu )
    • Chemical Materials: Jane Frank (janejf@udel.edu or 302-831-8288 )
    • Radioactive Materials: Bill Fendt (B_Fendt@facilities.udel.edu )

We welcome your comments regarding clarifications or improvements to the University of Delaware policies and procedures regarding the transfer or transport of University of Delaware research materials, software, data, biological materials, or equipment. Please feel free to contact any of the following individuals:

Dr. Cordell Overby at overbyc@udel.edu

It is important that all University of Delaware employees are aware of these laws, policies and procedures. Please distribute this message to your colleagues across campus.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: November 1, 2014

Policy Source Open Policy



Policy: Export Regulations (ITAR/EAR/OFAC)
University Procedure for International Travel with Electronic Devices
Policy

University Procedure for International Travel with Electronic Devices

The purpose of this memorandum is to remind and inform University of Delaware (UD) employees of the states-of-nature and UD expectations that exist when traveling internationally with mobile devices, laptop computers, personal-digital assistants (PDAs) and other electronic devices.

Consistent with the guidelines offered by the Office of the Director of National Intelligence, U.S. National Counterintelligence & Security Center (NC&SC) (https://www.dni.gov/index.php/ncsc-home), University personnel who are traveling internationally should be aware that:

  1. In most countries, travelers should have no expectation of privacy in internet cafes, hotels, offices or public places. Hotel business centers and telephone networks are regularly monitored in many countries. In some countries, hotel rooms are often searched.
  2. All information that you send electronically by FAX machine, PDA, computer or telephone can be intercepted. Wireless devices are especially vulnerable.
  3. Your movements can be tracked using your mobile telephone or PDA, and the microphone in your device can be turned on even when you think that it is turned off. To prevent this, remove the battery.
  4. Malicious software can be inserted into your electronic device through connections you use. This can also be done if your device is enabled for wireless. When you connect to your home server, the malware can migrate to your home system and/or the University, can inventory your system, and can send information back to the individuals who inserted the software.
  5. Malware can be transferred to your device through thumb drives (Universal-Serial Bus (USB) sticks), computer disks … some of which you may have been given as “gifts”.
  6. Transmitting sensitive information from abroad is risky
  7. While corporate or government officials may be most at risk, it incorrect to assume that you will not be targeted.
  8. Intruders are skilled at posing as someone you trust in order to obtain personal or sensitive information (i.e., phishing).
  9. If customs officials demand to examine your device, or if your hotel room is searched while your device is unattended in the room, you should assume your device has been compromised.

To mitigate these threats, again consistent with NC&SC guidelines, when traveling internationally, University personnel should:

  1. Take only necessary devices.
  2. Take only needed information, including sensitive contact information. Consider the consequences if your information were stolen or otherwise compromised.
  3. Back up all information you take, and leave the backed-up information at home.
  4. If feasible, use a different mobile telephone or PDA from your usual one, and remove the battery when not in use. Have your device examined by your UD information technology (IT) support-personnel when you return.
  5. Monitor official cyber security alerts from https://www.consumer.ftc.gov/features/feature-0038-onguardonline.
    1. Creating a strong password (numbers, upper and lower case letters, special characters – at least eight characters long). Never storing passwords, telephone numbers, or sign-on sequences on any device or in its case.
    2. Changing passwords at regular intervals, and as soon as you return.
    3. Downloading current, up-to-date antivirus protection, spyware protection, operating system security patches, and a personal firewall.
    4. Encrypting all sensitive information on a device. (Note that in some countries, customs officials may not permit you to enter with encrypted information.)
    5. Updating your web browser with strict security settings.
    6. Disabling infrared ports and features you don’t need.

While travelling internationally, you should:

    1. Avoid transporting devices in checked baggage.
    2. Use a digital signature and encryption when possible.
    3. Don’t leave your electronic devices unattended. If you stow a device, remove the battery and subscriber-identity module (SIM) card, and keep them with you.
    4. Don’t use thumb drives given to you – they may be compromised. Similarly, don’t use your own thumb drive in a foreign computer. If you must do either, assume your device has been compromised, and have it cleaned as soon as possible.
    5. Shield passwords from view. Don’t use the “remember me” feature that is found on many websites … retype the password every time.
    6. Be aware of who is looking at your screen, especially in public places.
    7. Terminate connections when you are not using them.
    8. Clear your browser after each use, delete history files, caches, cookies, URL and temporary internet file.
    9. Do not open emails or attachments from unknown sources. Don’t click on links in emails. Empty your “trash” and “recent” folders after every use.
    10. Avoid Wi-Fi networks. They are insecure, and maybe controlled.
    11. If your device or information is stolen, report it immediately to UD and the local US embassy or consulate.

Upon your return from international travel, you should:

      1. Change your password.
      2. Have your UD IT support-personnel examine your device for the presence of malicious software, if you suspect that it may have been compromised.

If you have questions, contact the Research Office at UDResearch@udel.edu or (302) 831- 2383. Additional information regarding “Travel Best Practices for Both Domestic & Abroad” is provided by UD Information Technologies at https://www.udel.edu/it/security/bestpractices/travel.html.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 1, 2016

Policy Source Open Policy



Procedure: Export Regulations (ITAR/EAR/OFAC)
US Bureau of Industry and Security – Export Administration Regulations (EAR)
Procedure

US Bureau of Industry and Security – Export Administration Regulations (EAR)

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

These are the unofficial electronic EAR files created by BIS. The legally official text of the EAR is provided via the Federal Register publications. Incorporation of revisions pursuant to Federal Register regulatory publications are completed by BIS within 72 hours to the best of our abilities. While we strive for perfection, we do make mistakes from time to time. You may email any errors that you find.

 

Procedure Details:

OWNER: US Bureau of Industry and Security

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



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

SUBSCRIBE & CONNECT

From our latest Research Magazine to our latest discoveries, keep in touch with UD Research by signing up for our services below.

Share This