Forms, Policies & Procedures

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.

Outdoor C-14 Incubation Record and Checklist

The proper completion and submission of this worksheet is required by the Radiation Safety Committee for each incubation using radioactive materials on the dock outside the Marine Operations Building. Failure to do so may result in the issuance of a permit violation.

Outside Employment

1. SCOPE OF POLICY
   This policy addresses employment outside of the University and applies to all exempt and non-exempt employees.
2. POLICY
   The first duty and responsibility of University employees is to render to the University the most effective service possible. No outside service should be undertaken that might interfere with the discharge of this prime responsibility or bring the employee into conflict with the interests of the University.

   The University will assume no responsibility for outside services rendered by eligible employees, and it must be made clear to any person with whom the University employee works that the work has no official connection with the University. …

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

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

• United States Patent and Trademark Office
• USPTO guide to types of Patents
• University of Delaware Intellectual Property Policy
• USPTO: Laws, Regulations, Policies, Procedures, Guidance, and Training

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

Permit Supervisor Training Certification for Radiation Material Users

General form to record degree of training for personnel to be used for department records.

Permit Supervisor Training Certification for X-Ray Workers

Certification for worker qualifications to use x-ray machines for departmental records.

Personal Protective Equipment

1. SCOPE OF PURPOSE
   To establish personal protective equipment requirements for the University.
2. SCOPE AND APPLICATION
   This policy applies to all University personnel, contract personnel, and visitors in applicable University facilities and/or University operations. …

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

PI Eligibility

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. As such, the University has designated the following personnel as eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects*:

• All full-time faculty regardless of academic rank
• Visiting faculty/visiting scientists during the time they draw salary support for the performance of the sponsored project through the University
• Adjunct faculty during the time they draw salary support for the performance of the sponsored project through the University
• Full-time, academic non-administrative professionals in classified positions at or above Level 31E
• All full-time postdoctoral fellows* and researchers
• Under exceptional circumstances documented in writing, other qualified individuals may be designated as a PI. Such designation requires the approval of the Vice President for Research, Scholarship and Innovation, and must be endorsed by the chair of every unit and the dean of every college in which the research project is to be performed. If granted, this PI designation is limited to the proposed research project under consideration, i.e. it does not afford blanket status to serve as a PI on other proposals. To qualify for an exception, the following criteria must be met:
• Only individuals identified to the external sponsor as a PI or CPI in the submitted proposal need to have the PI eligibility approval form completed
• The proposed research must be a programmatic priority of the University
• There must demonstrably be no qualified member of the UD faculty who is capable of serving or available to serve as the PI
• The proposed PI must possess the academic and experiential qualifications that are prerequisite to service as a PI at UD, and his or her participation as the PI must be demonstrably necessary for the successful funding and execution of the research project
• The proposal PI must enter into a signed contract with the University assuring that (a) the work will be conducted in accordance with the high standards of quality expected of all PIs; (b) the PI will comply with all University policies relating to the conduct of research; and (c) the research project will be conducted consistent with all federal laws, rules, and regulations relating to the conduct of research
• Completion of the Research Office PI approval form and submission of a curriculum vitae (CV)

* Principal Investigator/Co-Principal Investigator status may be rescinded for cause.

*A PI approval form is required to permit postdoctoral fellows to serve this role

If an exception is made to make someone an eligible PI and that person isn’t a full-time University employee, the chair or dean must be a co-PI on all proposals for that person.

Retired Faculty Serving as Principal Investigators

Some faculty members wish to continue their research programs after retirement from the University, but do not qualify for status as principal investigators because they are no longer full-time UD employees. Retired faculty members may apply for PI status using the existing Research Office PI approval form.

If the request is approved, retired faculty members may serve initially as co-PIs on proposals with a full-time faculty member as PI (this would typically be the department chair or another senior faculty member). If the proposal is funded and the retired faculty member is hired to work on that grant, he or she may then serve as the PI during the life of the grant. At the time of hiring, the retired faculty member may be appointed to an appropriate professional staff position (such as, for example, senior research fellow), but under no conditions may be re-hired on the faculty (as, for example, a research professor).

Graduate Students as Principal Investigators

The Research Office acknowledges the importance of permitting graduate students to lead sponsored projects where appropriate. There are several sponsors who offer pre-doctoral grants whereby the work is conceived of and carried out entirely by a graduate student. In these cases, a faculty member is identified as a mentor and oversees the project nominally. (examples: NASA: Harriett G. Jenkins Predoctoral Fellowship Program (JPFP), NIH: Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research, NIH: Predoctoral Training at the Interface of the Behavioral and Biomedical Sciences, DOE: The National Methane Hydrates R&D Program – Graduate Fellowship Program).

To that end, the eligible PI approval form may be used at the time of proposal routing to permit the graduate student to have this role. Also, please have the department administrators ensure the graduate student’s supervisor code is associated with a chair and dean code. This will allow the proposal approval web form to be routed appropriately. The required completed form must be sent to the Research Office at least ten (10) working days before the deadline for submittal of the proposal to the funding agency.

There are still other sponsors for whom the need for submission and approval from an Authorized Representative of the University is not required. The student may submit these applications directly to the sponsor without coordination with the Research Office or a PI eligibility form (examples include: NSF Fellowship, Ford Foundation Diversity Fellowships for Achieving Excellence in College and University Teaching).

If there are questions concerning which type of funding the grad student is applying, contact the Research Office for guidance.

PI Eligibility Approval Form

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. The guidelines for Principal Investigator Eligibility require this form to be submitted as a request to serve as Principal Investigator (PI) on a project. The PI will be required to provide a CV and proper training and experience documentation.

Policy on Participation in Malign Foreign Talent Recruitment Programs

1. SCOPE OF POLICY
   This policy prohibits all covered individuals employed by or enrolled at the University of Delaware from participating in a malign foreign talent recruitment program(s).
2. DEFINITIONS
   1. Foreign government-sponsored talent recruitment program. Per National Security Presidential Memorandum – 33 (NSPM-33), a foreign government-sponsored talent recruitment program is defined as an effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position).
   2. Malign foreign talent recruitment program. Per the CHIPS and Science Act, the term malign foreign talent recruitment program is defined as:
      1. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual—
         1. engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
         2. being required to recruit trainees or researchers to enroll in such program, position, or activity;
         3. establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
         4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
         5. through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
         6. being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
         7. being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;
         8. being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
         9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
      2.  a program that is sponsored by—
         1. a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;
         2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232); or
         3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232).
   3. Covered Individual is an individual who:
      1. contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; and
      2. is designated as a covered individual by the Federal research agency concerned. Consistent with NSPM-33, this means principal investigators (PIs) and other senior/key personnel seeking or receiving Federal research and development funding.

         Federal funding agencies also have the latitude to expand the definition of “covered individuals” as appropriate and consistent with their mission.

   4. Foreign country of concern. Per NSPM-33, a foreign country of concern means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country deemed to be a country of concern as determined by the Department of State.
3. POLICY STATEMENT

   The University of Delaware strictly prohibits covered individuals employed by or enrolled at the University from participating in a malign foreign talent recruitment program(s).

4. POLICY STANDARDS AND PROCEDURES
   1. Covered individual’s participation in a malign foreign talent recruitment program is prohibited.
   2. Faculty, staff, and students participating in sponsored programs are required to comply with sponsor disclosure policies and certification requirements regarding foreign government-sponsored talent recruitment programs.
   3. Disclosures regarding foreign government-sponsored talent recruitment programs must be true, complete and accurate to the best of the discloser’s knowledge and belief.

Possession and Use of Firearms on University Property

1. SCOPE OF PURPOSE
   The University of Delaware is committed to providing a safe and secure environment for all members of the campus community, and for its visitors, through the reasonable regulation of weapons, ammunition, explosives, and other dangerous instruments.
2. POLICY
   The University prohibits the possession, storage, or use of any guns, firearms, explosives, ammunition, and other weapons and dangerous instruments (herein collectively “Weapons”) on University property, including any land, building, or vehicle that the University owns, leases, rents, occupies, operates or controls, unless expressly authorized by the University of Delaware Police Department. …

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

Preparing a Sequence Listing for the USPTO

These instructions are based on the U.S. Code of Federal Regulations, 37 CFR Sections 1.821-1.825. The sequence rules require the use of standard symbols and a standard format for sequence data and submission of the data in computer readable form. The sequence listing must be in ASCII text. Instructions for formatting the sequence listing and a sample sequence listing are presented on the following pages. The USPTO has a software program, “PatentIn,” to help you prepare sequence listings in the proper format.You can download the software and obtain instructions for using the software from Patentin Software

Related Links

Patentin Software