Forms, Policies & Procedures

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

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Animal Subjects in Research

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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
Human Subjects in Research
Intellectual Property
Internal Funding
Material Transfer
Reporting Misconduct
Research Administration
Research Agreement Templates
RO Forms, Policies, and Procedures Search 2019
Forms, Policies and Procedures (14 Entries)
Policy: Intellectual Property
Bayh-Dole Act
Policy: Intellectual Property

Bayh-Dole Act

UD Requirements

In 1980, Congress enacted the Bayh-Dole Act, permitting the University to own inventions and patents made on federal grants.

The University must report its inventions and may elect to own and promote them.

The University has the right to license and commercialize inventions and intellectual property, subject to certain retained government purpose rights.

The University has all new faculty sign a “reminder letter” confirming obligations.

Bayh-Dole Act Background

To report an invention, see these policies and forms and contact the Intellectual Property Office within the Office of Economic Innovation and Partnerships for more information.

When the U.S. Congress passed P. L. 96-517, the Patent and Trademark Law Amendments Act, more commonly known as the “Bayh-Dole Act,” in 1980, a uniform federal patent policy was established, clearly stating that small businesses and non-profit organizations, including universities, could retain ownership of inventions made under federally sponsored research.

In return, the University of Delaware is expected to file for patent protection on inventions and then promote the licensing of those patents by the commercial sector, ensuring the outflow of UD discoveries and technologies from our labs to the marketplace.

Named after the senators who cosponsored it, Birch Bayh of Indiana and Robert Dole of Kansas, the Bayh-Dole Act and its subsequent amendments provide the basis for current university technology transfer practices. The landmark legislation has led to a more rapid transformation of university research into marketable products and technologies of use by and of benefit to society, as well as the launching of new industries and start-up companies to pursue the development of novel university inventions.

At the University of Delaware, the chief goal of the Office of Economic Innovation and Partnerships is to encourage and enable innovation and entrepreneurship; grow, utilize and leverage the University’s knowledge-based assets; and create and capture new economic and community benefits.

If you are a UD researcher with an invention to report, please review these policies and forms and contact Intellectual Property and Compliance within the Office of Economic Innovation and Partnerships for more information.

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

 

Policy Details:

OWNER: National Institutes of Health

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51629

Policy: General Counsel
Computer Software
Policy: General Counsel

Computer Software

  1. PURPOSE
    The objectives of this policy and the associated administrative procedures are:
    1. to preserve traditional University practices and privileges with respect to the publication of scholarly works;
    2. to encourage faculty, staff, and students to develop software;
    3. to foster the free and creative expression and exchange of ideas and comments;
    4. to establish principles and procedures for equitably sharing income derived from computer software produced at the University in those cases where the University has an interest in the material; and
    5. to protect the University’s assets and imprimatur.
  2. SCOPE OF POLICY
    1. It is the policy of the University that all rights in computer software shall remain with the creator of a work except where
      1. the work is a work made for hire and the copyright vests in the University under copyright law (Title 17, USC, Copyrights, sections 101 and 201); or
      2. the work is commissioned by the University; or
      3. creation of the work entailed significant use of University personnel, funds, or facilities; or
      4. other arrangements are required by the University’s contractual obligations; or
      5. it is otherwise agreed upon in writing between the University and the creator of the work.

        Exceptions to this policy may be granted by the Provost of the University or by his designees.

    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): 9-Jun

    ORIGINATION DATE: July 15, 1986

    REVISION DATE(S): June 5, 1989; March 1, 1996; January 18, 2008; August 11, 2008

    Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51399

Policy: General Counsel
Copyright and Fair Use Policy
Policy: General Counsel

Copyright and Fair Use Policy

  1. POLICY
    The University of Delaware expects all members of the University community to respect copyright law (Title 17, U.S. Code). Except as allowed by law, it is a violation of this policy and law for University of Delaware faculty, staff or students to reproduce, distribute, display publicly, perform, digitally transmit (i.e. in the case of sound recordings) or prepare derivative works based upon a copyrighted work without permission of the copyright owner.Recognizing that copyright law provides certain exemptions that limit the right of the copyright holder (www.copyright.gov/title17/92chap1.html#107), this policy provides guidance to University authors using copyrighted material for educational purposes.
  2. SCOPE OF POLICY
    This policy addresses the use of copyrighted material for instructional purposes and applies to all university departments, faculty, staff and students.

Related Links

Copyright Processing and Funding

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: University of Delaware Library

POLICY NUMBER (Legacy): 6-15

ORIGINATION DATE: July 1, 2005

REVISION DATE(S): 1-Jul-15

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51402

Policy: General Counsel
Copyright Processing and Funding
Policy: General Counsel

Copyright Processing and Funding

  1. PURPOSE
    To outline the University’s policy on processing and funding copyrightable material.
  2. SCOPE OF POLICY

    The University of Delaware recognizes that its faculty and staff, as part of their normal research and other scholarly activities, may develop materials which, in the interest of the author and the University, should be protected by copyrights. Accordingly, it is considered desirable to provide policies and procedures that:

    1. assist faculty and staff in realizing tangible benefits from their creative efforts;
    2. establish guidelines for defining the rights of ownership to materials produced by faculty or staff;
    3. insure control of use, within the University structure, of curriculum material developed at the University by a faculty or staff member;
    4. insure the author against loss of rights of reproduction for non-commercial use of material in which proprietary rights rest with the University; and
    5. provide guidance for safeguarding against loss of proprietary rights through inadvertent public disclosure.

    Related Links

    Copyright and Fair Use Policy

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

     

    Policy Details:

    OWNER: Provost

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

    RESPONSIBLE OFFICE: UD Research Office

    POLICY NUMBER (Legacy): 6-07

    ORIGINATION DATE: October 1, 1981

    REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008

    Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51403

Form: Research Office
FIN Proposal Approval Summary Form
Form: UD Research Office

FIN Proposal Approval Summary Form

This intellectual property form helps to manage, record and protect the intellectual property generated by research done at the University of Delaware. For more information regarding intellectual property and research, please refer to the Regulatory Affairs page. If there are specific questions, please contact Regulatory Affairs at 302-831-2136.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51607

Policy: Research Office
Guide to Intellectual Property
Policy: Research Office

Guide to Intellectual Property

The Ratner Prestia Document gives an overview of the different aspects of patents, trademarks, copyrights, and trade secrets such as how protection is gained, the duration of that protection, who is entitled to the rights, and more.

The complete policy and more can be found on the UD Research Office’s web site.

 

Policy Details:

OWNER: Ratner Prestia

RESPONSIBLE OFFICE: Research Office: UD Research Regulatory Affairs

ORIGINATION DATE: July 20, 2007

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51621

Policy: General Counsel
Instructional TV/Media Materials Contracts
Policy: General Counsel

Instructional TV/Media Materials Contracts

  1. SCOPE OF PURPOSE
    The educational and research activities of the University of Delaware can be enhanced by employing modern audiovisual technology. The goal will be to produce audiovisual works of the highest quality through the joint effort of University of Delaware faculty, professional staff, and technical specialists.
  2. POLICY STATEMENT
    It is the policy of the University to provide the necessary facilities and technical staff to create audiovisual works in cooperation with participating instructors and to release and distribute such works in accordance with the foregoing objectives and the following provisions. …

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: Office of Graduate and Professional Education

POLICY NUMBER (Legacy): 4-15

ORIGINATION DATE: June 5, 1989

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51411

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

Procedure: NIH
NIH Manuscript Submission Portal
Procedure: NIH

NIH Manuscript Submission Portal

  1. Deposit Files:
    Anyone can submit; however, an author or PI should serve as the reviewer. Reviewers are notified of submissions via e-mail.
  2. Initial Approval: Reviewer associates funding and approves the material for processing.
  3. NIHMS Conversion:
    NIHMS converts complete deposits to PMC-ready documents and notifies the reviewer via e-mail when they’re available. (approx. two to three weeks)
  4. Final Approval:
    Reviewer requests corrections to, or approves, PMC-ready documents for inclusion in PMC.
  5. PMCID Assigned: A PMCID is assigned when Final approval is complete and the manuscript is matched to a PubMed Record.

The NIH Manuscript Submission (NIHMS) system supports the deposit of manuscripts into PubMed Central (PMC), as required by the public access policies of NIH and other participating funders.

 

Procedure Details:

OWNER: National Institutes of Health

RESPONSIBLE OFFICE: Research Office

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=51466

Form: Research Office
NIH Manuscript Submission Requirement Addendum
Form: UD Research Office

NIH Manuscript Submission Requirement Addendum

This intellectual property form helps to manage, record and protect the intellectual property generated by research done at the University of Delaware. For more information regarding intellectual property and research, please refer to the Regulatory Affairs page. If there are specific questions, please contact Regulatory Affairs at 302-831-2136.

Related Links

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: April 2, 2008

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51502

Form: Research Office
NIH Manuscript Submission Requirement Letter
Form: UD Research Office

NIH Manuscript Submission Requirement Letter

This intellectual property form helps to manage, record and protect the intellectual property generated by research done at the University of Delaware. For more information regarding intellectual property and research, please refer to the Regulatory Affairs page. If there are specific questions, please contact Regulatory Affairs at 302-831-2136.

Related Links

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: April 2, 2008

Download Form Email https://research.udel.edu/forms-policies-procedures/?entry=51501

Policy: Research Office
Patent Policy
Policy: Research Office

Patent Policy

A patent for an invention is the grant of a property right to the inventor, issued by the U.S. Patent and Trademark Office. Generally, the term of a new patent is 20 years from the date on which the application for the patent was filed in the United States or, in special cases, from the date an earlier related application was filed, subject to the payment of maintenance fees. U.S. patent grants are effective only within the United States, U.S. territories, and U.S. possessions. Under certain circumstances, patent term extensions or adjustments may be available.

The right conferred by the patent grant is, in the language of the statute and of the grant itself, “the right to exclude others from making, using, offering for sale, or selling” the invention in the United States or “importing” the invention into the United States. What is granted is not the right to make, use, offer for sale, sell, or import, but the right to exclude others from making, using, offering for sale, selling, or importing the invention. Once a patent is issued, the patentee must enforce the patent without the aid of the U.S. Patent and Trademark Office.

Throughout the world the first party responsible for filing a patent application is the undisputed owner of the invention. The United States has a one-year time period to file a patent application. This period begins at the formal presentation of the invention. A formal presentation of an invention includes any publication, journal, conference presentation, poster session, newspaper article, Internet publication on a Web page, blog, listserve, etc. In most other countries, you are banned from obtaining patent protection once an invention has been publicly disclosed.

You must file in the United States within one year of the first disclosure of the invention — filing of a provisional application may protect international rights.

It takes an extended period of time to obtain a patent. The patent application can be kept secret while it is pending if you request it; otherwise, it is published by the U.S. Patent and Trademark Office 18 months after filing.

Related Links

The complete policy and more can be found on the UD Research Office’s web site.

 

Policy Details:

OWNER: United States Patent and Trademark Office

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51467

ASSISTANCE

Compliance Hotline
Phone: (302) 831-2792

UD Research Office
210 Hullihen Hall
Newark, DE 19716
Phone: (302) 831-2136
Fax: (302) 831-2828
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