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 (235 Entries)
Policy: University
University of Delaware Research Foundation Program
Policy: University

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.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 2-Jun

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 Email https://research.udel.edu/forms-policies-procedures/?entry=51417

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

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.

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

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 1, 2016

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51459

Procedure: NIH
Updated Requirements for NIH “Other Support”
Procedure: NIH

Updated Requirements for NIH “Other Support”

BACKGROUND AND IMPORTANCE
The National Institutes of Health (NIH) needs to understand the degree to which the Principal Investigator (PI) or other senior/key personnel have support and/or resources from other sources for their research activities.  The primary drivers cited for seeking this information are to ensure proper commitment of time (avoiding both under-commitment and over-commitment) by the senior personnel working on the project and avoiding duplication of funding for research requests.   Given the recent additional scrutiny by the federal government on foreign influence (and particularly, scans for an inappropriate foreign influence), additional information is being requested.  These requirements continue to evolve, and this page will be updated to reflect the latest information.

DEFINITION of “Other Support”:
(NIH Grants Policy Statement, December 2021)

“…includes all resources made available to researcher or senior key personnel in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant. Other support does not include training awards, prizes, start-up support from the US based institution, or gifts (note: Gifts are resources provided where there is no expectation of anything (e.g. time, services, specific research activities, money, etc.) in return).”
 
Data that is requested for each reportable activity includes (in this order):

 

Active AND Pending

*** Consultants (Research Only)

*** Resources/ Financial Support

In-Kind Active and Pending
 (not intended for use on the project being proposed)

Title

 

 

Major Goals

 

 

Status of Support

 

 

Project number

 

 

Name of Principal Investigator (contact PI if multi-PI study)

 

 

Source of support (fund source)

Primary Place of Performance

 

 

Proposal Start and End Date

Provide when applicable

Total Award Amount (see below) *New

Estimated value of in-kind contribution

Person Months devoted by reporting investigator per budget period (see NIH guidance) **New

 

 

(or reasonable estimate)

Entity (Foreign or Domestic)

 

 

Description

 

 

 

*For each reportable activity, include the total award amount (including Facilities and Administrative Costs) for the entire award period.     
**Number of person-months per budget period to be devoted (e.g., 1.5 months).
***State “None” if Consultants and/or Resources do not apply.
 

Also required are:
*Overlap: After listing all support, summarize any potential overlap with the active or pending projects and activities, other positions, affiliations, and resources and this application in terms of the science, budget, or an individual’s committed effort.
*Signature: Each PD/PI or other senior/key personnel must electronically sign their respective Other Support form prior to submission. This signature certifies that the statements are true, complete and accurate.

 
WHO MUST REPORT:

  • Principal Investigator
  • All other senior/key personnel listed in a grant application except Other Significant Contributors and Program Directors, training faculty, and other individuals involved in the oversight of training grants
  • All senior/key personnel, excluding consultants, in progress reports when there has been a change in active support except Program Directors, training faculty, and other individuals involved in the oversight of training grants

 

WHEN TO REPORT:
Expected starting May 25, 2021 and required starting January 25, 2022:

  • Just-in-Time (upon request by NIH after proposal submission but prior to award).
  • After Just-in-Time but prior to receipt of award (reporting required only if changes are substantive* in nature)
  • Via Prior Approval Request for substantive* changes that occur during the award period but prior to the due date of the next RPPR. 
  • Research Performance Progress Reports (annual progress reports) – report changes only
  • Upon request by NIH 

*While NIH does not define “substantive”, the concept is that the change is of a magnitude that NIH might prudently need to review the new arrangements to ascertain whether the existence, timing or the amount of NIH’s award might need to change in light of the new information (e.g. substantive new support that alters the reporting investigators availability or where a prudent person might question whether there is scientific or financial overlap) 
 
FORMS/INSTRUCTIONS FOR REPORTING
NIH Other Support Format Page:
            https://grants.nih.gov/grants/forms/othersupport.htm
 
WHAT TO REPORT:
Other Support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant. This includes but is not limited to:

  • Resources and/or financial support from all foreign and domestic entities, that are available to the researcher. This includes but is not limited to, financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.). Institutional resources, such as core facilities or shared equipment that are made broadly available, should not be included in Other Support, but rather listed under Facilities and Other Resources.
  • Consulting agreements, when the PD/PI or other senior/key personnel will be conducting research as part of the consulting activities. Non-research consulting activities are not Other Support.
  • In-kind contributions, e.g. office/laboratory space, equipment, supplies, or employees or students supported by an outside source. If the time commitment or dollar value of the in-kind contribution is not readily ascertainable, the recipient must provide reasonable estimates.
  • If in-kind contributions are intended for use on the project being proposed to NIH in this application, the information must be included as part of the Facilities and Other Resources or Equipment section of the application and need not be replicated on this form. 
  • In-kind contributions not intended for use on the project/proposal being proposed in this application must be reported below. If the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided.

Other support does not include training awards, prizes, or gifts. Gifts are resources provided where there is no expectation of anything (e.g. time, services, specific research activities, money, etc.) in return. An item or service given with the expectation of an associated time commitment is not a gift and is instead an in-kind contribution and must be reported as such.

SUPPORTING DOCUMENTATION:
Provide copies of contracts specific to senior/key-personnel foreign appointments and/or employment with a foreign institution for all foreign activities and resources that are reported in Other Support. If they are not in English, recipients must provide translated copies. This does not include personal service contracts, or employment contracts for fellows supported by foreign entities. Supporting Documentation should be provided as a PDF following the Other Support form. This documentation must be supplied to the Grants Analyst from the senior/key-person at the time other support is due. If you have questions regarding foreign components (appointments or other employment), please contact Research Office Regulatory Affairs.  

ADDITONAL GUIDANCE FROM NIH:
NIH has a webpage devoted to Other Support, which includes FAQs and instructions, as well as a page that includes examples on what to disclose
See also:

IN SUMMARY:

Other Support Changes

Effective
May 25, 2021

Effective
January 25, 2022

Disclose all sources of Other Support and related information, including outside activities (e.g. consulting, visiting professorships) if conducting research, In-Kind support, and gifts if donor expects anything in return (e.g. time, services, research).

Required

Required

Follow new format

Not required

Required

Separate sections for Project/Proposal Support and In-Kind

Not required

Required

Completed Support for the last 3 years

Not required

Required

Submit copies of agreements for investigator’s foreign appointment/employment if listed as Other Support

Not required

Required

If agreement not in English, provide translated copy

Not required

Required

Redact confidential information expect for key provisions (e.g. award amount, dates)

Not required

Required

When requested, provide copies of agreements for investigator’s foreign appointment/employment if listed as Other Support

Required

Required

Each senior/key person electronically signs PDF of their Other Support

Not required

Required

If Other Support signed, flatten PDF prior to submission

Required

Required

Submit updated Other Support immediately upon learning a source of Other Support for an active NIH grant was not disclosed

Required

Required

 

Procedure Details:

OWNER: National Institutes of Health

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: May 24, 2021

REVISION DATE(S): 1/10/2022, 1/19/2022

Procedure Source Email https://research.udel.edu/forms-policies-procedures/?entry=94522

Procedure: U.S. Department of Commerce
US Bureau of Industry and Security – Export Administration Regulations (EAR)
Procedure: U.S. Department of Commerce

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

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 Email https://research.udel.edu/forms-policies-procedures/?entry=51457

Policy: Export Regulations (ITAR/EAR/OFAC)
USCIS I-129 Export Control Certification Requirement
Policy: Export Regulations (ITAR/EAR/OFAC)

USCIS I-129 Export Control Certification Requirement

Recent changes to the United States Citizenship and Immigration Services (USCIS) regulations require the use of the new I‐129 petition form. The University of Delaware must certify whether or not the foreign person will be performing work that is subject to the U.S. Department of State (ITAR) or U.S. Department of Commerce (EAR) export regulations and if export licensing will be required for the work. It is important to note that the release of controlled technology or technical data to aforeign person in the United States is a “deemed export” and subject to the relevant export regulations. While most of the research conducted by foreign nationals at the University of Delaware qualifies as “fundamental research” (is performed without restrictions on publication or on who may participate), it is important to understand the specific terms of the contract or grant on which foreign national employees are working, as well as the nature of the research in order to correctly complete the new I‐129 form. The Office for International Students and Scholars will continue to manage the filing of I‐ 129 forms at the University of Delaware. A new “Export Control for Certification on I‐129 Form” has been instituted. This form must be submitted with other supporting documentation in order for the Office of International Students and Scholars to complete the I‐129 for potential employees. Additionally, if a foreign national employee’s source of funding changes, a new certification form is required so that the University of Delaware may appropriately amend the I‐129 filing.

The Research Office is available to answer questions and provide training on the U.S. export control regulations. Please contact the Associate Vice President for Research, Dr. Cordell Overby at overbyc@udel.edu.

The Office for International Students and Scholars is available to assist with questions about hiring foreign nationals. Please contact Younes Haboussi, Coordinator of Immigration Services at younesh@udel.edu.

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

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 1, 2011

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51626

Policy: Safety
Use of Pipettes
Policy: Safety

Use of Pipettes

  1. PURPOSE
    To establish a policy for use of pipettes.
  2. POLICY
    A variety of hazardous material are used in University laboratories, both for teaching and for research, and student, faculty, and staff exposure to such material should be kept at a minimum. Oral pipetting — suction by mouth or blowing through pipettes — is one of the most common means of exposure to hazardous materials. Oral pipetting, including oral pipetting for the purpose of starting siphons, is strictly prohibited at the University. Pipetting shall be done with a mechanical pipetting or siphoning device.

    Requests for exemption shall be submitted in writing to the Department of Environmental Health and Safety for Review.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 25-Jul

ORIGINATION DATE: May 5, 1982

REVISION DATE(S): 05/05/1982, 04/01/1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51586

Policy: Safety
Volunteer Fire Service
Policy: Safety

Volunteer Fire Service

  1. SCOPE OF POLICY
    This policy addresses volunteer firefighter service during working hours.
  2. POLICY STATEMENT
    To assist with the protection and safety of the Newark, Wilmington, Lewes and other campus communities, the University may release designated employees, who are volunteer fire fighters, to assist local fire companies in fighting fires during normal working hours without loss of pay.
  3. POLICY STANDARDS AND PROCEDURES
    To qualify for release time under this policy, an employee must secure the written approval of the fire chief of the department for which the employee volunteers and the employee’s supervisor.  The written approval of the fire chief is to be updated annually.  The employee’s supervisor at his/her discretion may restrict an employee’s response to fires as business needs require.  Once the response is initiated, it is understood that the employee represents the fire department and must abide and comply with direction given by the fire chief in command of the incident. The University assumes no liability for any injury or activity arising from volunteer fire service.

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Human Resources Policies

RESPONSIBLE OFFICE: Office of Human Resources

POLICY NUMBER (Legacy): 8-Jul

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): 04/15/1975, 06/05/1989, 07/01/2005, 11/18/2016

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51540

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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