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 (212 Entries)
Form: Internal Funding
UDRF Final Report Template
Form

UDRF Final Report Template

The University requires that a report on the project be submitted to the Research Office no later than 90 days after the end of the grant.

This form serves as a template for the Final Report on GUR and UDRF Grants. Completion of this form affects eligibility for future internally funded grants.

For more info contact
Leigh Botner
lbotner@UDel.Edu
(302) 831-2136

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: March 1, 2016

Download Form Open Form

Form: Internal Funding
UDRF-SI Final Report Template
Form

UDRF-SI Final Report Template

The University requires that a report on the project be submitted to the Research Office no later than 90 days after the end of the grant.

This form serves as a template for the Final Report on GUR and UDRF Grants. Completion of this form affects eligibility for future internally funded grants.

For more info contact
Leigh Botner
lbotner@UDel.Edu
(302) 831-2136

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: August 11, 2016

Download Form Open Form

Policy: Safety
Underground Storage Tank Management
Policy

Underground Storage Tank Management

  1. PURPOSE
    To ensure the management of Underground Storage Tanks (USTs) at the University is conducted in compliance with Federal and State Underground Storage Tank Regulations (7 Del. Code Chapter 74, 40CFR280), NFPA, BOCA, City of Newark and other applicable codes.
  2. DEFINITIONS FOR PURPOSES OF THIS POLICY
    1. OWNER – Facilities Management Department
    2. OPERATOR – The University Department overseeing dispensing of product from the tank.
    3. “UNDERGROUND STORAGE TANK” or “UST” means any one or combination of tanks (containment vessels), including underground pipes connected thereto, which is used to contain an accumulation of regulated substances, and the volume of which, including the volume of underground pipes connected thereto, is 10 percent or more beneath the surface of the ground. Such term does not include any:
      1. Septic tank;
      2. Pipeline facility (including gathering lines) regulated under:
        1. The Natural Gas Pipeline Safety Act of 1968 (49 U.S.C. App. 1671, et seq.), or
        2. The Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S. C. App. 2001, et seq.), or
        3. Which is an intrastate pipeline facility regulated under state laws comparable to the provisions of the law referred to in paragraph B(1) or (2) of this definition;
      3. Surface impoundment, pit, pond, or lagoon;
      4. Storm water or wastewater collection system;
      5. Flow through process tank;
      6. Liquid trap or associated gathering lines directly related to oil or gas production and gathering operations; or
      7. Storage tank situated in an underground area (such as a basement, cellar, mineworking, drift, shaft, or tunnel) if the storage tank is situated upon or above the surface of the floor.
      8. The term “underground storage tank” or “UST” does not include any pipes connected to any tank which is described in Subsections A through G of this definition.
    4. “UNDERGROUND STORAGE TANK SYSTEM” OR “UST SYSTEM” means an underground storage tank (containment vessel), connected underground piping and its associated ancillary equipment, and containment system, if any.
  3. SCOPE
    This policy applies to all University underground storage tanks and underground storage tank systems containing motor fuels, heating oils, waste products, and other regulated products.
  4. POLICY
    1. General Requirements
      1. The Department of Environmental Health and Safety shall be responsible for program development and implementation.
      2. The Department of Environmental Health and Safety shall conduct audits of owners/operators activities.
      3. The Department of Facilities Operations and Maintenance shall be responsible for the routine maintenance of all underground storage tanks.
      4. Before initiating the modification, retrofitting, or installation of any underground storage tank, departments shall involve the Department of Occupational Health and Safety in the project development.
      5. The Department of Environmental Health and Safety shall maintain permanent files for all records required under the applicable regulations and University programs covered under this policy.
    2. New Tank Installations
      1. Facilities Operations and Maintenance and/or Facilities Planning and Construction shall investigate other options such as natural gas, electric or double walled above ground tanks whenever possible. Underground storage tanks shall only be installed when they are determined to be essential.
      2. All new installations shall incorporate all applicable requirements of the Federal and State Underground Storage Tank Regulations, NFPA, BOCA, City of Newark, and other applicable codes.
      3. Plans for all new installations shall be submitted to the Department of Environmental Health and Safety for review prior to construction.
      4. Notification of the Department of Natural Resources and Environmental Control shall be made through the Department of Environmental Health and Safety.
    3. Existing Tanks
      1. Operators are responsible for conducting daily inventory readings for each gasoline tank. This information shall be recorded on a weekly inventory sheet provided by the Department of Environmental Health and Safety. Completed sheets shall be forwarded to the Department of Environmental Health and Safety before the end of the next week.
      2. Double-walled heating oil tanks and associated piping shall have the interstitial spaces monitored monthly by Facilities to check for leaks or infiltration of water. Automatic tank and line gauging systems, maintained in good working order, may also be used to monitor the interstitial spaces in lieu of the interstitial monitoring. Detailed records of monitoring must be documented and maintained by Facilities Operations and Maintenance.
      3. Operators shall notify the Department of Environmental Health and Safety concerning inventory discrepancies as outlined in the guidance document for completing inventory sheets.
      4. All tanks must be inspected and documented per the most recent version of the University’s Spill Prevention Control and Countermeasures Plan (SPCC Plan).
      5. Facilities Management shall be responsible for maintaining the physical integrity of all underground storage tanks and underground storage tank systems.
      6. Retrofits required by State and Federal Underground Storage Tank Regulations shall be the responsibility of Facilities Management.
      7. Notification of the Department of Natural Resources and Environmental Control concerning retrofits shall be made through the Department of Environmental Health and Safety.
      8. The Department of Environmental Health and Safety shall be notified one month prior to any proposed transfer of ownership of a underground storage tank or underground storage tank system.
    4. Abandonment/Closure of Underground Storage Tanks
      1. The Department of Environmental Health and Safety shall be responsible for coordinating the abandonment/closure of all underground storage tanks and/or underground storage tank systems.
      2. Notification of the Department of Natural Resources and Environmental Control regarding abandonment/closure shall be made through the Department of Environmental Health and Safety.
    5. Spills/Releases
      1. Owners shall notify the Department of Environmental Health and Safety immediately upon knowledge of any release of product from an underground storage tank or underground storage tank system.
      2. Notification of the Department of Natural Resources and Environmental Control regarding spills/releases shall be made through the Department of Environmental Health and Safety.
      3. The Department of Environmental Health and Safety shall be responsible for the coordination of all soil remediation activities following the release of a product from an underground storage tank or underground storage tank system.
    6. Financial Assurance

      Financial Assurance provisions required by regulation for potential remediation from spills/releases shall be the responsibility of the Director of Risk Management.

    7. Exceptions

      Exceptions to this policy shall only be made by the Director, Department of Environmental Health and Safety.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-39

ORIGINATION DATE: February 28, 1989

REVISION DATE(S):

April 1, 1996; January 12, 2006

Policy Source Open Policy



Form: Material Transfer, Research Agreement Templates
Uniform Biological Material Transfer Agreement
Form

Uniform Biological Material Transfer Agreement

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.

In 1995, the National Institutes of Health (NIH) published the Uniform Biological Material Transfer Agreement (UBMTA) and an Implementing Letter for the transfer of materials between nonprofit institutions.  The University of Delaware is one of the institutions which has signed the UBMTA which allows signatory institutions to transfer materials to one another using a boilerplate Implementing Letter for the particular transfer.

Use of the UBMTA is optional, UD researchers may opt to use the Non-Biologicals form as an alternative.    Note that the UBMTA Letter must accompany the UBMTA in all cases.  Please provide investigator/scientist information as appropriate and sign as recipient or provider.  Attach the completed UBMTA to the Webform before submitting.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: November 15, 2013

Download Form Open Form

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



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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