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 (208 Entries)
Form: Material Transfer, Research Agreement Templates
Uniform Biological Material Transfer Agreement Implementation Letter
Form

Uniform Biological Material Transfer Agreement Implementation Letter

A material transfer agreement (MTA) is used to manage and record the transport of research material from one party to another, and is required for both incoming and outgoing materials. The attached form(s) are used to facilitate these transfers. For more information regarding intellectual property and research, please refer to the Regulatory Affairs page, or for additional questions, please contact Regulatory Affairs at 302-831-2136.

The UBMTA Letter must be used in conjunction with the UBMTA.  The Implementing Letter contains a description of the material and a statement indicating that the material is being transferred in accordance with the terms of the UMBTA. It must be executed by the provider scientist and the recipient scientist, and is subject to UD Research Office approvals.  Please complete the highlighted sections of the form and sign as provider or receiver as appropriate.  Attached the completed UBMTA Letter to the Webform before submitting.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: December 10, 2013

Download Form Open Form

Policy: Research Administration
Uniform Guidance Procurement Standards Update
Policy

Uniform Guidance Procurement Standards Update

MEMO

July 9, 2018

Re: Uniform Guidance Procurement Standards Update

Dear Colleagues,
We would like to update you of Policy changes regarding procurement of goods and services in accordance with the federal government’s Office of Management and Budget (OMB) Uniform Guidance. OMB has recently issued a memorandum that raises the threshold for micro-purchase under Federal financial assistance awards to $10,000, and raises the threshold for simplified acquisitions (large purchases) to $250,000. The University has revised the Procurement Policy 5-01, effective July 1, 2018, accordingly and as follows:

  1. The following quotation/bid thresholds apply:
    1. Federal Contracts and Grants including Mandatory/Voluntary Committed Cost Share and University Service Centers:
      1. Less than $10,000 – Departments should perform due diligence on pricing options to ensure that products or services are obtained at reasonable prices.
      2. $10,000 to $250,000 – Quotes must be obtained from an adequate number of qualified sources (minimum of three sources if available). If there is only one qualified source, a UD Sole Source Justification form must be completed and submitted to Procurement for review and approval.
        http://www1.udel.edu/procurement/forms/Sole-Source-Form-UD.docx
      3. $250,000 and greater – Sealed bids are required with formal advertising by Procurement Services unless there is only one qualified source. A UD Sole Source Justification form must be completed and submitted to Procurement for review and approval.
        http://www1.udel.edu/procurement/forms/Sole-Source-Form-UD.docx
    2. All Other purchases:
      1. Up to $50,000, solicitation of quotations/bids will be at the discretion of Procurement Services. Buyers in Procurement Services are accountable for exercising professional due diligence by soliciting written or telephone quotations (documented) when appropriate.
      2. Purchases over $50,000 require price quotations or sealed bids to be obtained from at least three qualified vendors (if available), solicited by Procurement Services.
      3. In the event that only a single source can be located for a particular purchase exceeding $50,000, Procurement Services will make that determination and the buyer will so document in the purchasing system.

Thank you for your cooperation and effort in this regard. Please contact Procurement Services with any questions.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: VP of Finance / Research Office

ORIGINATION DATE: July 9, 2018

Policy Source Open Policy



Policy: University
University of Delaware Research Foundation Program
Policy

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.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-02

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

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.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 1, 2016

Policy Source Open Policy



Procedure: Export Regulations (ITAR/EAR/OFAC)
US Bureau of Industry and Security – Export Administration Regulations (EAR)
Procedure

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

Given the complicated nature of exportation, this procedure has been created to assist in ensuring that any exportations of your research are in compliance with the standards of the United States and any other nations involved. Please review the material carefully and if there are any questions, please refer to the Regulatory Affairs page.

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 Open Procedure



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

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.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 1, 2011

Policy Source Open Policy



Policy: Safety
Use of Pipettes
Policy

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-25

ORIGINATION DATE: May 5, 1982

REVISION DATE(S):

05/05/1982, 04/01/1996

Policy Source Open Policy



Policy: Safety
Volunteer Fire Service
Policy

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Human Resources Policies

RESPONSIBLE OFFICE: Office of Human Resources

POLICY NUMBER (Legacy): 7-08

ORIGINATION DATE: April 15, 1975

REVISION DATE(S):

04/15/1975, 06/05/1989, 07/01/2005, 11/18/2016

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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