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 (15 Entries)
Policy: Compliance, Conflict of Interest, Contracts and Grant Management, University, Research Administration
Consultants for Research, Public Service or Instructional Activities
Policy

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. 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.
  3. PROCEDURES
    1. All consulting agreements issued under this policy will:
      1. use the University of Delaware form “Contractual Agreement for Consulting Services.” These forms are available from the Office of the Vice Provost for Research;
      2. be prepared within the department and signed by the account administrator;
      3. include pertinent comments concerning items such as travel expenses, reference to an attached work statement, and report statement;
      4. include a detailed work statement specifying what is required from the consultant, including requirements for written reports. Attach sheets as necessary;
      5. be processed with all appropriate attachments through the following for approval: Chair, Dean, Director or Vice President, Office of the Vice Provost for Research and Provost prior to transmittal to the President for signature. Upon return of the form from the President’s Office, the Office of the Vice Provost for Research will forward the contract to the consultant;
      6. be signed by the consultant, including signing pertinent attachments and returned to the Office of the Vice Provost for Research;
      7. a copy of approved forms and attachments are to be retained by the Office of the Vice Provost for Research and the account administrator. Copy No. 2 of the form will be forwarded to Accounts Payable; and
      8. renewal or extensions of consulting agreements are to be processed using the form “Contractual Agreement for Consulting Services.”
    2. Payment for Consulting or Cost Incurred

      All payments for consulting authorized under a consulting agreement are to be made by Request for Check directly to the individual, firm, or institution providing the expertise and not to a third party. Please include the Number of the Consulting Agreement on your Request for Check or submit a copy of the Consulting Agreement. The fees for consulting are to be separated from transportation and subsistence. If included in the contract, reasonable and necessary travel and subsistence may be reimbursed on the basis of actual costs in accordance with University Travel Policy No. 3-7 supported by customary documentation including receipts submitted with the Request for Check.

Related Links

Consultant Agreement Form

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 4-27

ORIGINATION DATE: June 5, 1989

REVISION DATE(S):

08/29/2001

Policy Source Open Policy



Policy: University
Control of University Owned Property
Policy

Control of University Owned Property

  1. PURPOSE

    To outline procedures and set policy for the transfer of equipment purchased on contracts and grants when the Principal Investigator leaves the University or is no longer directly or indirectly involved with the use of the equipment, and the equipment is University owned.

    Equipment owned by an outside agency can only be transferred in accordance with University Policy 5-3 titled “Procedure for Control of Government Owned Property.”

  2. POLICY
    1. The department chair must provide The Research Office and the University Controller with a list of equipment proposed for transfer. This list must include a description of the equipment, University account number, University equipment tag number, agency and grant for which the equipment was purchased, and purchase order number. The Vice Provost for Research must notify the University Controller and the department chair in writing that no federal or other regulations prohibit the proposed transfer, and refer to this policy for the procedure to be followed. The Equipment Activity webform must be used to obtain appropriate approvals to transfer the equipment. Equipment should not be removed from the University of Delaware until the Equipment Activity webform has been completed and all necessary approvals obatined.

      The department chair must also certify in writing to the Dean, the Provost, and the University Controller that the research equipment is unique to the Principal Investigator’s current research, and that the department does not need the equipment.

    2. If the Principal Investigator requires the equipment for further research from the same agency that originally funded the equipment, the equipment, even if it is not unique, may be transferred; with agency approval where required.
      1. “Further research” does not necessarily mean that the specific contract on which the equipment was purchased, or a continuation of that contract must still be active. Nor does there have to be any funded research in the specific area at the precise moment of transfer. The chair’s certification means that the Principal Investigator is actively engaged in research in the area in which the equipment is uniquely necessary, and that he is likely to obtain future sponsorship for additional research in that area.
      2. A standard personal computer would not be defined as “unique to the specific research.” On the other hand, a particular scientific instrument, with a variety of uses in a variety of fields, may be classified as “unique.”
      3. The only equipment that may be considered for transfer is that acquired for a contract or grant by the Principal Investigator on that contract or grant. (On large grants with multiple projects, a researcher heading a subproject may be considered a Principal Investigator.)
    3. If it is decided that the equipment should be retained by the University, the Dean is responsible for reassignment of equipment to other departments as needed within the college.
    4. The Department Chair must send the written approval of the Dean and Provost for the equipment release to the University Controller. Except for compelling reasons or under unusual circumstances, request for the purchase of similar pieces of equipment made by a college or department within one year of the date of transfer will be denied.
    5. If all conditions have been met, written authorization for the transfer is to be made according to the value of the equipment, as follows:
      1. Up to $50,000 – by the University Controller.
      2. 50,001 to 100,000 – by the Executive Vice President.
      3. Over $100,000 – by the President.
    6. The Asset Management will make arrangements for written acceptance of the equipment with his/her counterpart at the institution to which it is being transferred.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-08

ORIGINATION DATE: April 30, 1984

REVISION DATE(S):

June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008; February 11, 2009; December 10, 2013

Policy Source Open Policy



Procedure: University
Cost Accounting Standards Guidelines
Procedure

Cost Accounting Standards Guidelines

The University of Delaware, as an Institution of Higher Education, must comply with a number of regulations and guidelines that restrict the ways in which sponsored funding may be spent. This document is intended to clarify the federal constraints regarding the direct and indirect charging of expenditures to federal awards. It is also intended to provide instructions regarding how to charge costs that are determined to be unallowable, as those charges must never be charged to a federal award.

Related Links

Online Guidelines

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



Form: Contracts and Grant Management, University, Research Agreement Templates
Draft Master Research Agreement with Industry
Form

Draft Master Research Agreement with Industry

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

The Draft Master Research Agreement with Industry is a template of a contract between UD and the sponsor; it specifies the obligations of UD and the sponsor in funding and conducting any scope of work that UD may propose for funding by that sponsor.

 

Form Details:

OWNER: Research Office

ORIGINATION DATE: September 9, 2018

Download Form Open Form

Procedure: Compliance, Conflict of Interest, University
Foreign Involvement
Procedure

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.

Related Links

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 Open Procedure



Policy: University
General University Research Program
Policy

General University Research Program

  1. PURPOSE

    To outline the types of assistance available under the General University Research program and application procedures.

  2. POLICY
    1. General University Research ProgramThe regular budget of the University of Delaware provides funds for assistance to full-time professional and faculty members for individual research and professional development. The University program for use of these funds is designated as the General University Research program.Three types of assistance for scholarly effort are available from General University Research (GUR) funds:
      1. GUR grants are administered by the Vice Provost for Research. In administering this program, the Vice Provost is advised by the Research Committee of the Faculty Senate. The Research Committee recommends budgetary allocation of the funds available for the year, evaluates applications for University research grants, and recommends those to be supported. Grants are primarily in the arts, humanities, and social sciences.Research grants are awarded each year in January for the following fiscal year. The grants support such research costs as stipends, technical assistance, equipment, supplies, travel, etc. Grants in varying amounts are approved on the basis of individual merit and specific need and are normally made for an academic or full calendar year. The amount of the stipend may vary from year to year and will be established by the Associate Provost for Research with the recommendation of the Research Committee. Applicants should clearly state their needs. Grants generally range from $3,500 to $6,000.
    2. General InformationAll full-time professionals and faculty members are eligible to apply for GUR grants. In evaluating proposals, the Faculty Senate Research Committee considers the following criteria and guidelines.
      1. The GUR program is intended primarily for beginning or young faculty members or professionals who need assistance for research projects not sufficiently developed (in terms of the project or the reputation of the investigator) to justify support form outside sponsors.
      2. Others are eligible under the following conditions:
        1. Experienced investigators who are developing new projects and need assistance to try out their ideas before applying for major support elsewhere.
        2. Experienced investigators who want to work on small projects or who are engaged in work for which there would be difficulty in obtaining outside support because of limiting conditions such as the specialized nature of the research or availability of outside funds.
        3. Professionals or faculty members who have been involved in lengthy research projects and need additional support to obtain critical material or to finish their work for publication.
        4. Senior faculty whose proposals are clearly superior and show strong promise of making an exceptional scholarly or artistic contribution.Although there is no restriction on the number of awards an individual may receive over the years, it should be understood that, all other factors being equal, preference will be given to those who have not received awards previously. An investigator is normally not considered for a second or later award unless at least three years have elapsed since the most recent previous award.
      3. Procedure for Submitting Research Proposals are found in the General University Research guidelines. The guidelines are updated annually by the committee.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-01

ORIGINATION DATE: October 1, 1981

REVISION DATE(S):

June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; August 6, 2008

Policy Source Open Policy



Policy: University
Government Owned Property
Policy

Government Owned Property

  1. PURPOSE

    To outline the procedure used in accounting for all government-owned property being held by the University of Delaware.

  2. POLICY
    1. Introduction

      The following shall be the basic governing procedure in accounting for all government owned property being held by the University of Delaware under the terms of government research and development contracts and grants. (Questions on specific agency regulations are to be referred to the Office of the Vice Provost for Research, OVPR).

    2. Definition of Terms Used – Property Accounting Officer

      The Vice Provost for Research (OVPR), is the Property Officer of the University charged with the responsibility of maintaining control of all government owned property in the custody of the University. The Property Records Administrator is responsible for the Plant Property Records System.

      Property Administrator – The government officer “designated by appropriate authority to administer the contract requirements and obligations relative to government property.”

      Principal Investigator – The University employee responsible for the research being conducted under any given contract or grant.

      Government Property – All property where the title is retained by the government, purchased with government funds, or furnished by the government. Such property shall be classified as follows:

      1. Real Property – Land, buildings, structures together with improvements and additions.
      2. Plant Equipment – Personal property costing over $500 and having a life expectancy of over two years.
      3. Material – Government property that may be incorporated into or attached to an end item to be delivered under a contract or that may be consumed in the performance of a contract.Material includes, but is not limited to, raw and processed material, parts, assemblies, small tools and supplies.
    3. Acquisition of Government Property

      Government property may be acquired as follows: (1) by purchase (through the University’s Purchasing Department), or (2) by government surplus, or 3) by fabrication as an end product.

      1. By purchase – The policy and procedure governing all University purchasing shall govern the acquisition of property by purchase for use under any research and development contract. It shall be the responsibility of the Principal Investigator to see that this procedure is followed as well as obtaining the sponsor’s approval for the purchase if such is required. Preacquisition screening prior to purchase is required if DOD or NASA funds are used.
      2. By Government-Approved TransferFrom government surplus – The Principal Investigator shall submit a written request to the Research Office showing the technical reason for a request when ordering items from government surplus sources.
      3. By fabrication as an end product of the contract – When fabrication is completed, the Principal Investigator will notify the Research Office and Property Records Administrator in writing. At that time, appropriate accounting entries will be made by Research Office which will result in the recording of the value of the equipment in the University Plant Property Ledger. The Research Office will provide an identification tag to be affixed to the equipment.
    4. Receipt of Government Property
      1. Acquired by purchase – The Principal Investigator or his/her representative shall acknowledge the receipt of purchased property by advising the Supervisor, Receiving and Delivery.
      2. Acquired by transfer – The Principal Investigator or his/her representative shall acknowledge the receipt of transferred property to the Research Office and the Property Records Administrator.
    5. Identification of Government Property

      The Research Office shall be responsible for the affixing of identification tags on all government property as soon as feasible after such property has been received. These tags shall bear the legend “Property of the U.S. Government,” and shall have an identification number consisting of two parts: a project number, and an item number separated by a dash. The identification tag shall remain on the item of property so long as the item remains under the contract of the same government agency.

      When required, identification numbers issued by the Property Administrator shall also be affixed to items of government property. If transfer of title of government property is made to the University, all government identification tags shall be removed. Unless otherwise specified by the contract, title to each item of equipment costing less than $5,000 and purchased with contract funds shall be vested in the University upon acquisition.

      In all cases, the Property Records Administrator must be advised.

    6. Property Records
      1. The Research Office and Plant Property Records Office shall maintain records necessary to properly account for and control government owned equipment.
      2. The Purchasing Department, in conformity with the University purchasing procedure, shall maintain receiving and delivery slips and purchase orders covering the acquisition by purchase of property for government contracts as evidence of receipt.
      3. The Principal Investigator shall be responsible for advising the Research Office and Property Records Administrator the location of all government property under his/her contract and shall notify same whenever he/she effects any major relocation of such property.
    7. Records of Special Tooling and Test Equipment

      The Principal Investigator will notify the Research Office of all government-owned special tooling and test equipment. The Research Office will then maintain the necessary records.

    8. Record of Material

      All materials furnished by the government shall be considered consumed. No materials are maintained in stock.

    9. Control – Government Owned Facilities

      The Research Office shall furnish the cognizant Property Administrator reports covering government-owned facilities for each agency for which the University is accountable.

    10. Shipping Costs

      Equipment value shall also include shipping costs where such costs are readily identifiable.

    11. Physical Inventories

      As required, or at the termination of a contract (whichever comes first), the Research Office shall furnish the responsible Principal Investigator with a listing of all government property acquired during the life of the contract to date. The Principal Investigator or his/her representative shall make a physical inventory of all the government property held under his/her contract and shall return the listing to the Research Office with the appropriate notation as to location and condition of each item. Based on this listing, the Research Office shall prepare a property accounting statement and submit it to the Property Administrator.

    12. Maintenance Program

      The Principal Investigator shall be responsible for maintaining the property held under his/her contract, exercising due care and security.

    13. Combining of Property

      The Principal Investigator shall not irretrievably combine government- owned property with non-government owned property.

    14. Utilization of Government Property

      The Principal Investigator shall be responsible for seeing that government property in his/her jurisdiction is used only for those purposes authorized in the contract.

    15. Disposals

      The Principal Investigator shall notify the Research Office and Property Records Administrator immediately if an article of government property is stolen, or is rendered beyond repair, or becomes surplus to his/her needs. The Research Office shall then notify the Property Administrator and request appropriate action.

      The Principal Investigator shall not cannibalize or dispose of government property without prior approval by the Property Administrator. The Principal Investigator shall be responsible for obtaining a receipt whenever an item of property is delivered by him/her to a government agency.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 5-03

ORIGINATION DATE: April 30, 1984

REVISION DATE(S):

04/30/1984, 07/02/1990

Policy Source Open Policy



Policy: University
Information and Records Management Policies
Policy

Information and Records Management Policies

  1. PURPOSE
    1. The following policy defines the departmental role for records and information management, including records and information classification, maintenance, retention, retrieval, protection and preservation.
    2. The policy addresses general departmental records and information management issues and responsibilities, while the attached guidelines address policy issues for information and records stored electronically.
  2. POLICY
    The managers of each University area, unit, department or administrative entity must address the following recordkeeping issues inclusive of any and all media on which records and information are stored. Managers have responsibilities to:

    1. Establish and document departmental standards for records classification and file organization to ensure effective retrieval mechanisms for departmental information and records;
    2. Establish and document measures for protecting sensitive or critical departmental information and records from disclosure;
    3. Establish and document procedures that ensure departmental records and information are protected from disaster (See Planning to Assure Business Continuance in the Event of a Disaster);
    4. Develop documentation for department specific systems, such as data bases, spreadsheets or any customized application, to insure continuity of departmental operation;
    5. Comply with the University’s Records Retention Program.
      NOTE: Departmental compliance with this policy will be monitored through the Records Retention Program.
  3. GUIDELINES FOR COMPLIANCE WITH THIS POLICY This document will provide guidance and assistance for departmental compliance with the foregoing University Policy as it relates to records in general, but in particular for records and information stored electronically.
    1. UNIVERSITY CLASSIFICATIONS
      The development of departmental file naming and records classification standards is determined by the department within the context of the University functions carried out by the department.The Office of the University Archives, through its Records Retention Program and Records Management Training, provides records classification and filing assistance to departments.
    2. PROTECTION OF RECORDS AND INFORMATION FROM DESTRUCTION, DISCLOSURE AND MODIFICATIONOnce a department has identified those data or records which contain confidential information or information critical to the operation of the department, measures for protection must be determined. Most of the University’s standard software products provide methods by which files can be password-protected. Specific instructions can be found in the software manuals. Further advice on software which provides file/record protection is available from User Services consultants.
      1. Passwords: The University’s Responsible Computing Policy advises users of the dangers of sharing their passwords with others, and sets forth guidelines for creating passwords that cannot be guessed or “cracked” by system hackers. These warnings apply to setting passwords on centralized University accounts.There is, however, another environment in which passwords are used. Most software that is available for desktop computing systems has provisions for password creation. For instance, word processing, database, and spreadsheet software allow you to protect sensitive or confidential information by assigning a password to a document so that others who may have occasion to use your system cannot view the password- protected document. This can become a problem if the person who password-protected a file is out of the office for any reason, and someone in authority needs access to the password-protected information.

        For this reason, it is recommended that the person who password-protects a departmental file or system be required to notify the office or department manager of the password used. This insures that the office can continue to function and the information can be retrieved in the event that the person who named the password is unavailable.

      2. Protection of MediaT: o protect University information and records from accidental erasure, hardware malfunction, or disaster, back-up procedures for information and records stored on departmental computers must be instituted. Departments will determine a regular back-up schedule and assign responsibility for insuring that the back-up schedule is kept.
        1. Stand-Alone Departmental SystemsIn developing a regular schedule for the backup of information on stand-alone departmental systems, a frequency of back-up must be determined. This should be based on:
          1. Frequency of back-up
            1. the frequency with which changes are made
            2. the volume of changes made
            3. the importance of the records or information to the function of the department.For instance, if the database is updated daily and if the office would suffer operationally without the information in the database, then back-ups should be done on a daily basis.
          2. Number of back-ups: The general rule for good back-up procedures dictates that there be three generations of back-up. For instance, data backed up on a daily basis would have back-up versions for three days. On the fourth day, the oldest back-up version would be overwritten by that day’s back-up procedure.
          3. Provisions for off-site storageThe need for off-site storage is determined by the department. The department must decide what information or records would be necessary to resume operations in the event of a disaster. It is incumbent upon the department to select a back-up and off-site storage schedule (i.e., daily, weekly, monthly) that protects the department and the University from loss of information necessary to the function of the department.The Office of the University Archives has developed a procedure for off-site storage in their facility, and they will assist departments who wish to use their facility.
        2. Networked Department SystemsSome departments have a local area network to which their departmental computers are attached. Normally, the network system administrator has responsibility for backing up files stored on the network, and these procedures are determined by departmental management. It is important to note, however, that one should not assume that their files are being backed up just because their computer is attached to the departmental network. Any file that is created and maintained on a computer attached to a network will only be backed up if the person who created the file takes the extra step of copying the file to the network server. The department, in this case, should publish its network back-up schedule and encourage staff to copy important files to the server.NOTE: Information Technologies’ (IT) Network and System Services staff have responsibility for the back up and protection of all files residing on IT’s centrally supported computing systems.
      3. Protection of Hardware: In the context of protecting University Records and Information, departments must determine whether their computers are vulnerable to theft. Departments are responsible for instituting measures for the physical security of system hardware, if hardware is determined to be vulnerable (by location, traffic, or previous history). Departments should seek assistance in selecting an appropriate physical security device, which can then be installed by the Lock Shop or by the department.
      4. Documentation: Documentation of departmental electronic recordkeeping systems must be available to support the uninterrupted functioning of the department in the event that the person who set up the system(s) is no longer available.It is important to document the following:
        1. the location of software disks and software documentation;
        2. the backup and recovery procedures used by the department;
        3. the file-naming standards and classification schemes used by the department;
        4. a list of data bases and spreadsheets that support departmental functions, including a description of the application and its purpose, listings of spreadsheet cell formulas, listing of database field names, and a definition of any programs that are run in conjunction with departmental applications;
        5. in the case of departmentally developed or modified software, user documentation must be written and the new or modified program code must be printed and on file.
  4. UNIVERSITY RECORDS RETENTION PROGRAM
    The Office of the University Archives is charged, among its other functions, with responsibility for the University Records Retention Program. This program is intended to establish general procedures for the permanent preservation of University records of enduring value and for achieving economy and efficiency in the creation, maintenance, use, and disposition of University records. The Records Retention Program is a mechanism whereby the Office of the Archives discharges its responsibility to University departments by overseeing and assisting with:

    1. the identification of permanently valuable records of the University or those functions and activities for which documentation must be preserved;
    2. the specification, through records retention schedules, of records to be preserved as having archival value;
    3. the authorization, on a continuing basis, of disposal for specified recurring series of records;
    4. the audit process, an annual event, to insure that retention schedules are up-to-date and followed;
    5. training sessions and workshops on procedures to be followed for the creation and implementation of records retention schedules within the University.

      Electronic DocumentsAs the storage and transmission of electronic documents (web forms, HTML files, e-mail, etc.) become the norm, retention schedules in use for paper versions will be carried forward as standards for electronic formats. In general, the modification or setting of retention periods for electronic documents will be determined by the office of record in consultation with the Office of University Archives. Departmental management is responsible for identifying those documents that constitute a record and applying the appropriate retention period to them.

  5. GLOSSARY OF TERMS The following glossary of terms is intended to clarify the language of this document.
    1. Electronic Recordkeeping: The operation of recordkeeping systems in which a computer or machine interface is required for the user to create, manipulate or delete records. Examples are those records residing on magnetic tapes, disks and drums, video files and optical disks.
    2. Guideline: A recommended method. A guideline is not a policy.
    3. Information: Information is data organized and placed into a meaningful context for a specific purpose.
    4. Procedure: A set of steps supporting a guideline, policy or operational process.
    5. Policy: A University rule.
    6. Records: All books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by a department or unit of the University of Delaware or in connection with the transaction of business and preserved or appropriate for preservation by the University of Delaware or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the University or because of the informational value of data in them.

Related Links

Legacy Policy 1-10: University Archives and Records Management Program
Legacy Policy 1-14: Responsible Computing at the University of Delaware
Legacy Policy 1-18: Electronic Mail Management and Retention
Legacy Policy 1-19: Employees’ Use of E-Communications

 

Policy Details:

OWNER: Vice President and University Secretary

SECTION: Information Technologies Policies

RESPONSIBLE OFFICE: Office of the Vice President and University Secretary

POLICY NUMBER (Legacy): 1-13

ORIGINATION DATE: June 5, 1989

REVISION DATE(S):

1995 (1-14 and 1-15, dated 1989, were merged); July 2000; September 2000

Policy Source Open Policy



Form: Contracts and Grant Management, University, Research Agreement Templates, Templates
Institutional Confidentiality and Nondisclosure Agreement
Form

Institutional Confidentiality and Nondisclosure Agreement

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

This is an institutional confidentiality and nondisclosure agreement template between the University of Delaware and a corporation. It is meant as a template for aid in drafting of such agreements.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

REVISION DATE(S):

August 13, 2018

Download Form Open Form

Policy: University
Intergovernmental Personnel Assignment
Policy

Intergovernmental Personnel Assignment

  1. PURPOSE
    To outline the process by which faculty can request approval to accept an Intergovernmental Personnel Assignment (IPA).
  2. POLICY
    1. Faculty members wishing to engage in an IPA with a federal agency must first seek approval from their Department Chair, then the Dean and finally the Provost. Copies of this approved form will be forwarded to the Research Office from the originating department.
    2. Faculty members may not earn more than they would be eligible to earn under the current UD policy during the IPA. Any exception must be approved by the Department Chair, Dean and Provost and as well as the sponsoring agency.
    3. Assignments may be made for up to two years.
    4. Federal agencies will be billed through the Financials System in the Sponsored Programs Accounting Office.
    5. Research office personnel will work with the Faculty member to temporarily assign existing awards to other PI’s as appropriate, and determine appropriateness of involvement in proposal submissions during the period under the IPA.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-16

ORIGINATION DATE: January 11, 2008

REVISION DATE(S):

12-Sep-08

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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