Forms, Policies & Procedures

Research Compliance & Ethics Program

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

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

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

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

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

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

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

Small Business Innovative Research (SBIR)/ Small Business Technology Transfer (STTR) Letter of Intent (LOI)

This LOI template is used for SBIR or STTR proposals submitted by UD to small businesses. The letter includes confidentiality language and allows UD to negotiate all terms at the time of award. Please contact your assigned Contract and Grant Analyst if you have specific questions, or if you have questions about other forms and steps in the proposal process. If you are unsure of who holds the Contract and Grant Analyst position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

Space Needed for Externally Sponsored Agreements

1. SCOPE OF PURPOSE
   To provide a financial mechanism for for sponsored activity.
2. POLICY

   When additional space is needed to support an externally sponsored activity and when funds to rent such space can be negotiated with sponsors, it is financially preferable to charge such rents directly to the sponsored agreements. …

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

Travel and Business Hosting Policy

1. SCOPE OF POLICY
   This policy relates to expenses incurred for traveling and entertaining on behalf of the University, regardless of the funding source, and including state, federal, basic budget, and reserves.

   It applies to all travel and business hosting events for all individuals including University administrators, faculty, staff, students, and non-employees. …

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

UD Credit Card

1. SCOPE OF POLICY
   This policy sets forth guidelines and procedures for the University of Delaware Credit Card Program (the Program) which encompass the UD Credit Card and the UD Declining Balance Card.

   These policies are applicable to all UD Credit Card holders and articulate the overall Card Administration including requirements for receiving a credit card, appropriate card usage, and responsibilities and roles pertaining to approval as well as allocation of usage, fraud, cash advances, and reimbursement. …

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

University of Delaware Research Foundation Program

1. PURPOSE
   To outline the administration, type of research supported, and application procedures for grants awarded by the University of Delaware Research Foundation.
2. POLICY
   1. University of Delaware Research Foundation ProgramThe University of Delaware Research Foundation, Inc. is a nonprofit, tax-exempt organization for the support of fundamental research in all fields of science. An independent corporation, it is chartered primarily to support the University’s scientific research programs.

      University of Delaware Research Foundation (UDRF) grants are administered by the Senior Vice Provost for Research, who represents the University on the UDRF Research Committee and is secretary of the UDRF Board of Trustees.

      The Senior Vice Provost for Research disseminates the updated information on UDRF grants to the faculty annually by letter. This letter includes the deadline for applications for grants.

      The appropriate deans and chairs provide the Senior Vice Provost for Research with preliminary evaluations of applications for grants. The Senior Vice Provost combines these evaluations into a University recommendation. The final evaluation and award decision is made by the UDRF Research Committee. Grants are made primarily in the fields of the natural and physical sciences, but any proposal that uses scientific methods and promises quantitative results is eligible for a grant.

   2. GrantsUDRF grants support high quality scientific and engineering projects by early-career, untenured, tenure-track faculty. Costs covered are stipends, graduate student or technical assistance, equipment, supplies, travel, etc. Grants are awarded on the basis of individual merit and specific need.

      The awards are made in April and become effective on the following June 1.

      These grants are not to be used for the support of advanced-degree theses nor for their publication.

      Understandings concerning the research grant programs and patents, copyright, and publishing considerations are stated in the Faculty Handbook and in this Policies and Procedures Manual.

      Patent, copyright, and publication policies are as stated in the University of Delaware Faculty Handbook and in sections 6-6 and 6-7 of this Policies and Procedures Manual.

   3. Understandings and Procedures for Submitting Proposals are found in the UDRF Proposal Guidelines which are updated annually by the committee.

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