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 (213 Entries)
Form: Budget, Templates
Budget Justification Template
Form

Budget Justification Template

This template is used to justify a budget and should be used to draft expectations of a project. It includes everything from equipment to PI information.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: April 1, 2013

REVISION DATE(S):

04/2013, 12/2014, 04/2016, 07/2018, 03/2019, 04/2019, 05/2019, 07/02/2019, 11/22/2019

Download Form Open Form

Policy: Contracts and Grant Management
Budget Revision for Sponsored Awards
Policy

Budget Revision for Sponsored Awards

Definition/background

The budget plan is the financial expression of the project or program as approved by the sponsor during the award process. During the conduct of a project, the principal investigator may determine that budget changes are necessary to carry-out the project work. Many sponsors allow flexibility in how project funds are expended and permit budget changes needed to meet project requirements. Principal investigators need to be aware of the specific requirements for their awards and to request prior approval for budget changes when the terms and conditions of the sponsor or particular award require it. Revisions to sponsored project budgets that require sponsor prior approval must be reviewed and approved by the Research Office.

Informal rebudgeting occurs when actual expenditures exceed or fall short of the amount budgeted in a specific budget category. If sponsor prior approval is not required by the award terms, it is not required to submit a budget revision-contracts and grants webform to re-align the budget to match actual expenditures.

Procedure when requesting a rebudget of funds on same purpose code:

  • To request rebudgeting of funds on a federal or federal flow-through grant or contract:
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving federal or federal flow-through awards will automatically route to the Research Office for review and approval
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor requires prior approval of budget revisions please note this in the comments
    5. A Research Office Contract & Grant Specialist will review the request and the terms and conditions of the award
    6. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsoring agency
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed by the Contract & Grant Specialist
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    7. If sponsor prior approval is not required, the Contract & Grant Specialist will review the request and if appropriate approve the form and process the budget revision in the financial system
  • To request rebudgeting of funds on a non-federal or federal flow through grant or contract :
    1. Complete a FIN Budget Revision – Contracts and Grants webform
    2. All FIN Budget Revision – Contracts and Grants webforms involving non-federal or federal flow-through awards will automatically copy to the Research Office
    3. Provide an explanation and justification regarding the rebudget request
    4. If sponsor prior approval for budget revisions is required, note this in the explanation comments AND manually forward the form for Research Office review and approval by adding the Research Office to the electronic form routing (forward to wf-grantsbudrev@udel.edu). Note: if sponsor prior approval is required and the form is not forwarded to the Research Office for review, the PI’s department will be responsible to remove any disallowed costs resulting from the unauthorized rebudgeting
    5. When a FIN Budget Revision – Contracts and Grants webform is forwarded to RO for approval, Research Office Contract & Grant Specialist will review the request and the terms of the award. If sponsor prior approval is required, the Contract & Grant Specialist will forward the rebudgeting request to the sponsor
      1. The Research Office waits for determination from sponsor before processing the budget revision webform
      2. If request is approved, the budget revision webform will be approved and processed in the financial system by the Research Office
      3. If request is denied, the budget revision webform will be returned to originator and canceled. The Contract & Grant Specialist will enter an explanation regarding the sponsor’s decision in the comments
    6. If a FIN Budget Revision – Contracts and Grants webform for a non-federal or federal flow-through award is not forwarded to the Research Office manually by the form submitter, once all internal approvals are recorded, the system will automatically apply the budget revision in the financial system

Any questions, please contact your Contract and Grant Administrator.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Open Policy



Policy: Safety
Building Floor Loading
Policy

Building Floor Loading

  1. PURPOSE
    To develop safety procedures to be followed to insure that structural design of building floors are not exceeded to the point of collapse.
  2. POLICY
    It shall be the policy of the University not to exceed the assigned permissible floor loadings of any building as established by Facilities Planning and Construction.

    All buildings are structurally engineered to provide a specific floor loading which should not be exceeded. This is to prevent major collapse which could result in loss of life and major physical damage. Original occupancy of buildings considers placement of equipment to keep the floor loading under these limits. However, with passage of time, considerable changes are effected over the life of a building to accomplish updating with new programs, new equipment, new personnel, and other projects.

    Heavy equipment items such as machinery, computers, heavy blueprint files, kilns, furnaces are often added which are heavy with their own weight. Other equipment items often leading to excessive loading are cold rooms, mass grouping of 4 drawer files, blueprint files, and similar items which become heavy only after being used or occupied.

  3. PROCEDURE
    1. Facilities Planning and Construction

      During remodeling or renovation planning for a building, the Facilities Planning and Construction Department will verify the safe floor loading before the project is approved for construction.

      If maintenance conditions arise in which the integrity of a floor system is questionable, Facilities Planning and Construction will have it reviewed by a licensed structural engineer for verification of the safe floor loading limit. If the safe limit is modified, Facilities Planning and Construction will correct their listing for the area involved.

    2. Purchasing

      Procurement Services will not purchase heavy equipment and material such as cold boxes, machinery and laboratory equipment without prior confirmation of floor load capability by Facilities Management. As a general guide, equipment of this nature should be reviewed if it exceeds 30 lbs./square foot in its floor load. If it is a “container” which may be loaded with items after installation in which the floor load may be questionable, it should also be reviewed by Facilities Management.

    3. Facilities Maintenance and Operations

      Facilities personnel, during the course of performing building maintenance work, will report to the Director of Facilities Maintenance and Operations any structural deficiencies observed and will take necessary action to determine cause of the deficiency and correct it. If a condition is found that is unsafe to personnel, the area will be evacuated until the condition is corrected. Such conditions will be immediately reported to the Public Safety Office and to Facilities Planning and Construction.

      Facilities personnel, who normally move and install most heavy equipment, will report any abnormally heavy loads being installed to the Director of Facilities Maintenance and Operations for verification of safe floor loading. (The guidelines stated for Purchasing above may be used to identify when loads become heavy and require investigation). The Director will verify the conditions with the Facilities Planning and Construction Office for approval or changes needed.

    4. All Other Departments

      Since cases of excessive floor loading may arise over time by purchase of new equipment or gradual concentration of heavy files or equipment, Department personnel must be alert to changing conditions that may exceed designed floor loadings:

      1. Any area suspected to exceed floor weights of 30 pounds per square foot should be brought to the attention of Facilities Planning and Construction for review. If areas must be modified to insure safety, Facilities Planning and Construction shall follow up with the Department involved.
      2. Purchase of new equipment which exceeds a floor load a weight of 30 pounds per square foot shall be reviewed with Facilities Planning and Construction for approval.

        Note: The weight limit of 30 pounds per square foot is the lowest known floor loading in University buildings. Many buildings exceed this rating depending on type of construction and age.

        If it is known that a department’s space has a load limit exceeding 30 pounds per square foot (i.e. 100 pounds per square foot for example) the known rating may be substituted in “1” and “2” above so that verification of loading would be required only when it exceeds the known rating.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Facilities, Real Estate and Auxiliary Services Policies

RESPONSIBLE OFFICE: Facilities, Real Estate and Auxiliary Services

POLICY NUMBER (Legacy): 7-20

ORIGINATION DATE: September 15, 1977

REVISION DATE(S):

June 5, 1989; March 1, 1996; July 1, 2005

Policy Source Open Policy



Policy: Safety
Campus Injuries and Illnesses
Policy

Campus Injuries and Illnesses

  1. PURPOSE
    To outline the appropriate action to be followed when a University employee, visitor or student is involved in a campus injury or illness.
  2. POLICY
    1. NotificationUniversity employees and students must notify their immediate supervisor of all campus injuries or illnesses as soon as possible. Persons responsible for visitors shall report campus injuries or illnesses whenever possible.  Injuries or Illnesses which result in medical expenses for these non-University employees (students and visitors) should be submitted through their personal insurance or Student Health Insurance.
    2. Immediate Medical AttentionIf immediate medical attention is required, injured or ill persons should be transported to the nearest emergency health care facility. Serious or nonroutine medical injuries should be directly referred to Christiana Hospital. This should be accomplished by arranging for emergency transport by calling:
      Newark Campus: Public Safety 911
      All other Campuses: call 9-911
    3. Routine Medical AttentionFor illnesses or injuries that do not require immediate medical attention but do warrant medical consultation, the following options are available:
      1. Employees may visit the University Environmental Health Provider chosen by Labor Relations and Environmental Health and Safety or their personal physician. (Provider information is available on the Environmental Health and Safety Injury/Illness Procedures web page, or from the  Office of Labor Relations) Employees requiring medical attention shall not return to regular activities until released by a medical professional.
      2. Students may use the Student Health Service at Laurel Hall or their personal physician.
      3. Visitors are permitted to use the University’s Environmental Healthcare provider or their personal physician.
      4. Bills for medical expenses resulting from illnesses or injuries for non-University employees (students and visitors) should be submitted through their personal insurance or Student Health Insurance (students).
    4.  Reporting
      1. Employees: The Department of the injured/ill employee must complete and submit a State of Delaware First Report of Occupational Injury or Disease and Injury/Illness Loss Investigation Report Form and submit it to the Office of Labor Relations within 24 hours. Copies of the report should be provided to Environmental Health and Safety and their Departmental Safety Committee Chair, to the extent they exist.
        1. Forms are available from the Office of Labor Relations, 831-8305 or from Environmental Health and Safety’s web site at Environmental Health and Safety.
      2. Students/Visitors: A First Report of Injury and Illness/Injury Loss Investigation Report form must be completed for student/visitors and submitted to the Department of Environmental Health and Safety and their Departmental Safety Committee Chair, to the extent they exist.
        1. Forms are available from the Department of Environmental Health and Safety, 831-8475, or on the EH&S website.
    5. InvestigationAn investigation shall be completed for all reported illnesses/injuries as appropriate. Documentation of these investigations is included with the report form. Departmental Safety Committees are responsible for assuring that corrective actions identified are implemented. Environmental Health and Safety will monitor any investigation into the cause of the injury/illness reported. More information on the University’s accident/illness program can be found at Enviromental Health and Safety Procedures for Injury/Illness.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-03

ORIGINATION DATE: April 15, 1975

REVISION DATE(S):

June 5, 1989; June, 1999; January 9, 2006; February 17, 2006; February 10, 2014

Policy Source Open Policy



Form: Contracts and Grant Management
Cash Advance Worksheet
Form

Cash Advance Worksheet

This form is used to help manage the resources allocated from grants, gifts and sponsored agreements. Both the University and the government have specific protocols in place to prevent the misuse of funds and other resources. Please contact your assigned contract and grant specialist if you have specific questions, or if you have questions about other forms and steps in the award process. If you are unsure of who holds the contract and grant specialist position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

 

Form Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: January 26, 2016

Download Form Open Form

Policy: Safety
Chemical Hygiene Program
Policy

Chemical Hygiene Program

The University of Delaware is committed to providing a safe working environment for its faculty, staff, students and visitors. The goal of the University’s Chemical Hygiene Program is to minimize the risk of injury or illness by ensuring that University personnel have the training, information, support and equipment needed to work safely in the laboratory.

The University Chemical Hygiene Committee facilitates the implementation of the program through the Department of Environmental Health and Safety and develops and maintains the University’s Chemical Hygiene Plan. Further information on the program can be found below:

PROGRAMS AND PROCEDURES:

SPILL AND EMERGENCY RESPONSE PROCEDURES:

GUIDELINES AND RESOURCES:

 

Any questions or concerns related to the Chemical Hygiene Plan should be addressed to the Chemical Hygiene Officer at dehsafety@udel.edu or call 302-831-8475.

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Policy Source Open Policy



Form: Safety
Chemical Storage Information Request Form
Form

Chemical Storage Information Request Form

This form deals with Chemical Hygiene. Please review the form carefully to determine its applicability in your research, as well as the entity that governs this particular form. For questions regarding safety concerns and regulations, please visit UD’s EHS (Environmental Health and Safety) or review the policies and procedures in the Safety Section of this page.

If you do not find the chemical you are looking for in the current data base, please complete the following applicable sections and submit back to DEHS either by fax (831-1528) or email (dehsafety@udel.edu). DEHS will review the information and forward a storage recommendation.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form Open Form

Form: Safety
Chemical Waste Pick-Up Request Webform
Form

Chemical Waste Pick-Up Request Webform

This form deals with Waste Management & Disposal. Please review the form carefully to determine its applicability in your research, as well as the entity that governs this particular form. For questions regarding safety concerns and regulations, please visit UD’s EHS (Environmental Health and Safety) or review the policies and procedures in the Safety Section of this page.

If the waste is mixed-bulk waste stream, under Waste Stream/Chemical or Compound Name describe the waste, do not list the contents (i.e. Solvent Waste, Acid Waste, Chemically Contaminated Lab Trash, etc.). Note: It is important that the waste constituents along with percentages/volumes be listed out on each respective EHS Chemical Waste Label.

DEHS approved chemical waste containers that are NOT damaged or grossly contaminated will be returned within five business days after pick-up.

Chemical waste pickups are made once a week depending on the number of pick-ups called in for that week. Under normal conditions, pick-ups are made on Tuesdays.

We will only pick up waste that has a properly filled out waste label attached.

Reagent chemicals for disposal must be boxed with a packing slip attached to the box. Go to our Laboratory Chemical Waste Disposal Guide or Office and General Waste Disposal Guide for more information on chemical waste disposal.

If you have any questions using this form, please contact Environmental Health & Safety at (302) 831-8475.

 

Form Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Download Form (CAS login required) Open Form

Policy: Contracts and Grant Management
Class I Movable Equipment Policy
Policy

Class I Movable Equipment Policy

  1. PURPOSE
    To establish guidelines to be followed when ordering Class I equipment, parts thereof, or when assembling (from parts and pieces) Class I equipment.
  2. POLICY
    1. Definitions
      1. A building will consist of the shell and other building components. The building shell would include interior walls, floors and ceilings, and whatever is necessary to complete the exterior of the building. Building components include those items that are necessary for the operation of the building regardless of its use, and where removal would involve costly or extensive alterations or repairs to the building. Included in this component category would be the plumbing system, heating system, central air conditioning system, electrical services, standard room lighting fixtures, fire alarm systems, built-in intercom systems, draperies, and the floor covering such as tile or carpet. It will also include duct work for exhaust systems; and conduit and wiring therein, even though equipment may be attached to same.
      2. Class I Equipment
        1. Class I equipment is defined as movable, tangible personal property with an acquisition or declared value of $5,000 or more, is functional for its intended purposes in and of itself (except for an external power supply if needed), and has a useful life of two years or more.
        2. An accessory/peripheral is defined as an item intended to be used, with an otherwise identifiable equipment item, for the purposes of increasing or enhancing the productivity or utility of the equipment item. When the peripheral is purchased with the equipment item to form or enhance a system, the combined system may be considered one item of equipment for purposes of identification and valuation. When purchased separately and added to existing equipment, the value of the accessory/peripheral is added to the equipment value only when the cost of such accessory or peripheral meets or exceeds $2,000.(NOTE: In the inventory and reporting of personal computers/computer systems, all items other than software will be considered a part of the system for cost and/or valuation purposes.)
        3. Fabricated equipment is composed of material purchased for the purpose of building, constructing or assembling of Class I equipment that will be so identified upon completion. Class I equipment at the University of Delaware will include those items in which material costs alone are $5,000 or more, and will not include labor costs.
        4. Repair and/or Replacement Parts are defined as items, regardless of cost, that are necessary to restore an item of equipment to a fully functional status. Repair/replacement parts are not Class I equipment in and of themselves.If the cost of the repair or replacement part is 50% or more of the base equipment item, or if the item significantly enhances the functional capacity of the base equipment item, cost(s) of the part may be considered as equipment purchased and added to the equipment item’s adjusted cost.
        5. Those items of material and/or supplies that are not functional in and of themselves, even if used in conjunction with equipment items, and lose their identity/utility when viewed separately or used over an extended period of time, are considered expendable supplies (S&E).When items of this type are purchased to enhance or increase the performance of identifiable equipment, an adjustment to the value of the (parent) equipment will not be made unless the unit cost of an added item is $2,000 or more.
        6. Equipment, therefore, would include furniture, refrigerators, dishwashers, drawing files, testing equipment, etc. Equipment will also include lab benches, even though they may be bolted to the floor; hoods and associated exhaust fans, even though the duct is not included; specialized equipment, even though utility connections may be required; water coolers, except the built-in type, window air conditioning units, prefabricated facilities such as environmental control rooms that are purchased as a unit, special lighting such as stage lights, and projection screens that can be replaced. In all cases, the cost of the item must be at least $5,000.
      3. An Assembly Part is an item that will be utilized in a building or assembling of a finished Class I equipment item.
      4. The following applies to the above items:
        1. An exception to the above definitions is the Power House Central Heating and Chilled Water Plant which actually consists of a shell, building components and equipment; but for control purposes and cost evaluations will be treated as a single building unit.
        2. Capital Expenditure refers to the cost of an asset, including the cost to put it in place. For equipment, this means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it useful for the purpose for which it was acquired. Charges such as protective and transit insurance, freight, and installation will be included where such costs can be identified. Only external labor will be considered a capital cost.
      5. Asset Management Records are detailed listings of Class I Equipment. They are maintained and segregated by department and building, identified by a University assigned number, and referenced by purchase order number, cost, acquisition date, ownership, fund source, description, etc.
    2. Procedures
      1. Class I Movable Equipment will be purchased against the appropriate account code.
      2. All purchased parts meeting the criteria in II-A-2-b above must be charged to the appropriate account code and referenced to the Class I equipment to which it will be attached (by University of Delaware Tag Number) on purchase documentation (purchase requisition and purchase order).NOTE: Replacement or repair parts are chargeable to an appropriate 400 account code, unless meeting the criteria in II-A-2-d.
      3. An assembly part, when ordered, is charged to the appropriate 053100 account code. When assembled, the code will be charged to the account code 167900 (if its fully assembled value is to be $5,000 or more). If a fully assembled equipment value is to be less than $5,000, all material acquired for this assembly is chargeable to an appropriate 400 account code. When the item is completely assembled and a journal voucher is generated to identify the item and its location, a tag will be assigned to the equipment.
      4. Departments may request computer-generated summaries of Class I equipment by contacting Asset Management.
    3. Responsibilities
      1. Ordering Department
        1. Insure that the appropriate object code is used when preparing documentation for purchase of material.
        2. Provide the existing tag number of the base item of equipment to which items purchased under account code 167900 will be attached.
      2. Office of Vice Provost for Research:
        1. Notify Asset Management of “funding source” and “ownership” codes.
      3. Procurement Services Department:
        1. Insure that information is properly transcribed to the purchase order.
        2. Note on the purchase order when arrangements have been made for delivery to the department.
      4. Asset Management:Conduct a final review and determination of appropriate application of account codes. If the account code is to be changed, the originating department, Procurement Services, Accounts Payable, and the Office of the Vice Provost for Research (where applicable) shall be so notified. Changes after an invoice is paid shall be made by Asset Management and supported with a Journal Voucher.
      5. Accounts Payable:Responsible for notifying Asset Management that there is an invoice outstanding for equipment valued over $50,000. Accounts payable will not pay the invoice until Asset Management confirms that the equipment has a UD inventory tag attached.
  3. RESPONSIBLE AUTHORITY
    The authority to enforce this policy lies within the Procurement Services Department. Any questions may be directed to (302) 831-2161 or procurement@udel.edu.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Financial & Business Policies

RESPONSIBLE OFFICE: Office of the Vice President For Finance and Deputy Treasurer

POLICY NUMBER (Legacy): 5-10

ORIGINATION DATE: April 30, 1984

REVISION DATE(S):

October 2, 1985; April 6, 1989; August 1996; July 2000; July 1, 2005

Policy Source Open Policy



Policy: Intellectual Property
Computer Software
Policy

Computer Software

  1. PURPOSE
    The objectives of this policy and the associated administrative procedures are:
    1. to preserve traditional University practices and privileges with respect to the publication of scholarly works;
    2. to encourage faculty, staff, and students to develop software;
    3. to foster the free and creative expression and exchange of ideas and comments;
    4. to establish principles and procedures for equitably sharing income derived from computer software produced at the University in those cases where the University has an interest in the material; and
    5. to protect the University’s assets and imprimatur.
  2. POLICY
    1. Policy Statement

      It is the policy of the University that all rights in computer software shall remain with the creator of a work except where

      1. the work is a work made for hire and the copyright vests in the University under copyright law (Title 17, USC, Copyrights, sections 101 and 201); or
      2. the work is commissioned by the University; or
      3. creation of the work entailed significant use of University personnel, funds, or facilities; or
      4. other arrangements are required by the University’s contractual obligations; or
      5. it is otherwise agreed upon in writing between the University and the creator of the work.

        INDENT TO THE LEFT
        Exceptions to this policy may be granted by the Provost of the University or by his designees.

    2. Explanation of Terms
      1.  Copyright
        1. Copyrightable works

          Under the federal copyright law, copyright subsists in “original works of authorship” which have been fixed in any tangible medium of expression from which they can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device. Among others, these works include, but are not limited to, software, computer programs, programmed instructional material, and the like.

        2. Scope of copyright protection
          1. Definition of material protected by copyright laws – Copyright protection does not extend to any idea, process, concept, discovery, or the like but only to the work in which it may be embodied, illustrated, or explained. For example, a written description of a manufacturing process is copyrightable, but the copyright prevents only unauthorized copying of the description; the process described can be freely copied unless it enjoys some other protection, such as a patent.
          2. Rights of copyright owner – Subject to various exceptions and limitations provided for in the copyright law, the copyright owner has the exclusive right to reproduce the work, prepare derivative works, distribute copies by sale or otherwise, and display or perform the work publicly. Ownership of copyright is distinct from the ownership of any material object in which the work may be embodied. For example, if one purchases a videotape, one does not necessarily obtain the right to make a public showing for profit.
      2. Works made for hire

        Under the Copyright Act, “a work prepared by an employee within the scope of his or her employment” is a work for hire. This is a broad definition. Also, certain commissioned works are works for hire if the parties so agree in writing. The employer by law is the “author,” and hence the owner, of the works for hire for copyright purposes. University ownership in a work for hire may be relinquished only through written agreement signed by an authorized official of the University. Such written release shall be granted upon request if the University clearly has no basis for claiming rights.

        In interpreting the work-made-for-hire clause, the University shall recognize the obligation of faculty members to publish scholarly works and shall follow the University’s long- standing practices regarding copyrights and royalties (or other income) pertaining to works which result from author-initiated, individual effort. The copyright policy (Policy Manual, Policy No. 6-7, II, Section B.1.) states that “In accordance with established custom at institutions of higher learning, copyright ownership of textbooks, manuscripts, nonprint materials, produced by the individual effort of the author, as well as any royalties therefrom, accrue to the benefit of the author.” There are some exceptions and qualifications to this general rule, which are given in the copyright and software policies respectively.

      3. Computer software

        “Computer software” means a set of computer programs and the manuals or documents associated with these programs. “Program” is defined in the copyright law as “a set of statements or instructions to be used directly or indirectly in a computer in order to bring about a certain result” (Copyright Act, 94 Stat. 3015, 3028, amending 70 U.S.C. sections 101, 117).

    3. Originator’s Responsibility

      Much of the software generated at the University is of interest only to the originator or may be of wider interest for reasons of scholarship only. In such cases, the material may have no market potential, and a formal determination of rights is not required. Where there is a possibility of producing income from the software, the originator must notify the Senior Vice Provost for Research (or other delegated University official) when the commercial potential becomes apparent. Such timely notice preserves the rights of the individual to the software in cases where the University has no equity. If further development of a computer program materially changes the circumstances governing the University’s equity in software, the Senior Vice Provost for Research must be notified.

      To safeguard the individual’s and the University’s interests in the software, a copyright notice must be placed on the software when it is distributed to others, whether or not the software seems to be marketable at that time.

    4. Administrative Responsibility

      The administration of the policy set forth in this document is the responsibility of the Provost of the University. The Provost, however, has delegated day-to-day administration to the Vice Provost for Research, with the understanding that no departures from the stated principles of this policy will be made without the Provost’s prior concurrence.

    5. Establishment of Procedures

      Procedures to implement this policy shall be established and, as necessary, modified from time to time by the Provost or his designee. Sufficient time will be allowed for public comment and review before any material modifications to these procedures are implemented. Such procedures and modifications shall be issued as (a) separate document(s) attached to the policy.

  3. PROCEDURES
    1. General Principles

      In keeping with the general aims and charter requirements of the University, the generation of computer software by faculty, staff, and students is strongly encouraged. Whenever possible, property rights in such material shall vest in the originator of the work. In some cases, such rights shall reside in the University. In either case, income derived from the work may be shared by the University and the originator depending on the circumstances.

      It is now widely recognized that the University resources employed in the production of software may not be limited to the use of some job time, an office, a library, and a secretary. Computer facilities and other special equipment owned or leased by the University are often involved in the modern multimedia publication, and such work frequently requires release time, special funding, and the assistance of University-employed specialists. For such material, prepared with substantial or special University support, exclusive ownership of the product by the originator may be inequitable. There is a need at this time to establish both procedures and a policy that go beyond protection of the traditional faculty interests in scholarly production and that takes account of the current U.S. copyright law. The procedures presented in this document will be followed in determining ownership and income rights related to software developed at the University.

    2. Definitions

      The following definitions apply to terms used in these procedures:

      1. “Computer” means a device capable of accepting information, applying prescribed processes to the information, and supplying the results of those processes.
      2. “Computer software” means a set of computer programs and the manuals or documents associated with the programs. “Program” is defined in the copyright law as “a set of statements to be used directly or indirectly in a computer in order to bring about a certain result.”
      3. “University personnel” means University faculty, staff, and students.
      4. “Originator” means one or more persons contributing to the creation of computer software.
    3. Determination of Rights

      A large volume of software is being generated at the University, and a larger volume is expected in the future. Much of this material is of interest only to the originator or may be of wider interest for reasons of scholarship only. In either case, the material may have no market potential, and a formal determination of rights is not required. If any such material is to be supplied to others, it must be marked with a copyright notice before distribution to protect the interests of the originator and the University. Such marking will facilitate billing the recipients for nominal packaging and shipping costs, and will also preserve rights if the material later has market value. In the latter case, rights will be determined according to these procedures.

      Rights in marketable software will be determined by the circumstances surrounding its creation. Generally the originator will be most familiar with these circumstances, and for that reason he or she should notify the Vice Provost for Research as early as possible, with particular attention to

      1. identifying the sponsor, if any, of the project or program;
      2. stating whether the activity resulting in development of the software is within the originator’s normal activities and responsibilities with respect to his or her University employment;
      3. indicating the extent to which personnel support, software, equipment, or physical facilities provided by the University were used in the work which led to the software;
      4. indicating whether the software was developed under terms of a consulting agreement between the originator and a client; and
      5. noting the existence of any agreement between the originator and the University with respect to the software.

        INDENT TO THE LEFT

        Based on the information supplied by the originator and such other relevant information as may be available, the Vice Provost for Research shall determine the extent to which the University has rights to the material by applying the procedures of section D, below.

        INDENT

        If it is determined by the Vice Provost for Research that the University has rights in the software, the originator agrees to assign all right to, title to, and interest in said software to the University in consideration of the Policy on Computer Software and the compensation provided by his or her employment remuneration. The Vice Provost for Research will promptly determine whether it is appropriate to file either a patent or a copyright application on the software and will initiate such action as required.

        INDENT

        Software developed by University personnel under terms of consulting contracts fall within the provisions of this section C. University personnel may not use University facilities for work related to consulting agreements without prior written approval from the appropriate dean or director. It is the responsibility of University personnel to advise potential consultation clients of their University obligations prior to entering into consulting agreements. (See Faculty Handbook, Sect. III-H, Outside Employment.)

    4. Rights based on Categories of Work
      1. Work Conducted Independently by University Personnel

        Software that is created wholly at the expense of the originator and without use of University facilities, equipment, materials, or specialists is the property of the originator unless section D5 applies. The originator of such work shall grant the University royalty-free rights to copy and use the work for its normal nonprofit research and teaching activities. At the originator’s request, the Provost will state in writing that the University has no interest in the software.

        At the sole option of the originator and with the University’s prior assent, such software may be assigned to the University.

      2. Work Financed with Funds Administered by the University or Which has Involved the Significant Use of University Facilities, Equipment, Materials, or Specialists and in Which the University and the Originator are the Sole Parties in Interest

        Such software shall be promptly evaluated by the Vice Provost for Research for copyrightability or patentability and then

        1. released to the originator if found not to be of interest to the University; or
        2. if of interest, covered by patent in the name of the inventor or by statutory copyright in the name of the University by the Vice Provost for Research. The Vice Provost for Research shall thereafter attempt to bring the software into appropriate use internally, externally, or both to derive maximum benefits therefrom for all parties in interest and shall have sole responsibility for marketing the software. This responsibility may be delegated to or shared with the originator or other member of University personnel when appropriate. (See also section D5 for treatment of works within the scope of the originator’s employment.)
        3. Work Financed Wholly or in Part by Government Funds

          The University is obligated to report to the appropriate government agency all software derived from work which has had any financial support from the government of the United States, for determination of the government’s rights and interests. This determination may result in

          1. the government deciding that the public interest requires that the software be disclosed in the open literature; or
          2. the government acquiring and reserving to itself principal or exclusive rights, in which case exploitation of the software rests with the government; or
          3. the government releasing the software to the University, in which case the University shall follow the procedures of paragraph D2, above.

            INDENT

            Irrespective of which of these alternatives is elected by the government, the government usually retains rights to a royalty-free, nonexclusive, irrevocable license throughout the world under any copyright or patent which may be issued on the software, or to free use of the software for government purposes; and rights to the software granted by the University are subject to prior retained government rights. If the University releases the software to the originator, the release shall specify that the originator agrees to convey to the University such rights as the University may need to fulfill its obligation to the government.

        4. Work Financed Wholly or in Part by Industrial, Philanthropic, or Other Organizations, or by Individuals, Under Contracts or Written Agreements with the University

          Rights with respect to software in this category are governed by the terms of the individual contracts or agreements, and the principal investigator is responsible for informing co-workers of their rights and obligations under such contracts or agreements before initiation of the work. Software which is not required to be assigned by contractual terms shall be processed by the University under the procedures of section D2, above.

        5. Work Made for Hire

          Public Law 94-553 (Oct. 19, 1976) Appendix I defines a “work made for hire” “a work prepared by an employee within the scope of his or her employment,” or as certain specially ordered or commissioned works covered by a written agreement. The law further states that such works are the property of the employer. It is clear that many works considered under sections D1 and D2, above, will fall within the scope of the originator’s employment and will therefore be the property of the University unless released to the originator by a written document.Such written release shall be granted upon request if the University clearly has no basis for claiming rights. In such cases the University retains the royalty-free right to copy and use the work for its normal nonprofit research and teaching activities.In interpreting the “work made for hire” clause, the University shall recognize the obligation of faculty members to publish scholarly works and shall follow the University’s long-standing practices regarding copyrights and royalties (or other income) pertaining to works which result from author- initiated, individual effort: “In accordance with established custom at institutions of higher learning, copyright ownership of textbooks, manuscripts, nonprint materials, produced by the individual effort of the author, as well as any royalties therefrom, accrue to the benefit of the author.” (Policy Manual, Legacy Policy No. 6-7).

    5. Arbitration of Disputes

      If the University and the originator cannot agree with respect to any of their respective rights or obligations hereunder, such dispute shall be submitted for determination to an arbitration panel of three members chosen from the University community and consisting of a member named by the originator, a member named for the University by the Provost, and a chair selected by mutual agreement of these two nominees. The decision of a majority of this panel shall be final and binding upon both the originator and the University.

    6. Distribution of Income

      Income which is received by the University from the sale or licensing (leasing) of software in which the University has an interest (see section D above) shall be shared with the originator unless the University retains the entire right to and interest in the software.Sharing of income shall be governed by the following considerations:

      1. Income received by the University from software covered by the policy shall be used first to reimburse the University for all copyrighting, patenting, and marketing costs. Income which exceeds reimbursable expenses shall be divided one-third to the originator, one-third to the unit, and one-third to the University, unless some other arrangement has been made by the parties in interest. Such an arrangement should be made as soon as commercial potential becomes apparent.
      2. When software is developed under contract with an outside agency as provided in sections D3 and D4, the distribution of income shall be in accordance with the terms of the contract. In the event that any contract with an outside agency provides for the University to receive unrestricted funds from developed software, such funds shall be distributed as provided in F1, above.
      3. If royalties or other income accrue under an agreement granting licenses for software developed independently by two or more originators, the distribution of income among the originators shall be determined by a University committee, using the procedure of F1 as a guide. This committee, which is composed of the Provost, the Vice Provost for Research and the appropriate dean or director, shall utilize legal, accounting, and scientific consultants as deemed necessary in making decisions. If one or more of the originators involved disagrees with the decision of the committee, the matter shall be resolved by arbitration as provided in section E.
      4. The originator’s share of income generated by software developed by the joint efforts of two or more originators shall be divided equally among them unless an agreement specifying a different distribution is filed with the Senir Vice Provost for Research before work is started.
      5. The University’s and units’ shares of income received under section D2 and D5 shall be used for research or educational purposes.
    7. Other Procedures
      1. Whenever software that is determined to be the property of the University is released to the originator, the University
        1. shall retain the royalty-free right to copy and use the software for its normal nonprofit teaching and research purposes and
        2. may claim a share in any income received by the originator, after the deduction of his or her expenses, as a condition of such release. Under this provision the University shall not be entitled to a share of income which would reduce the originator’s share to an amount less than that provided for under section F.
      2. Whenever the University determines that it has no proprietary interest in software covered by the policy, or whenever the University releases software to an originator, the originator agrees not to use the University, or the University’s name, in the exploitation of such software without prior written approval by the University.
      3. The originator agrees to execute all documents, including assignment of the software to the University or its designee, required for legal disposition of rights relative to such materials.
      4. It is the originator’s responsibility to provide the University with a mailing address through which he or she can be reached. This address, as well as any other communications made according to the procedures stated in this document, must be sent to the Senior Vice Provost for Research. If the University is unable to reach the originator through this address and no forwarding address is provided, the originator waives the right to be notified.
      5. The originator is required to affix the words “Copyright 19– by the University of Delaware. All rights reserved.” to all copyrightable software to which the University has rights.
      6. The originator warrants that all software he or she develops is his or her original work and is free from infringement of existing copyright. If the originator incorporates copyrighted materials in such software, he or she shall provide proof of release from the copyright holder prior to such inclusion. Further, the originator agrees to take no action or enter into any agreements or arrangements under which any other person or organization may develop rights in such software without the prior written approval of the University.
      7. When rights to software are vested in the University, the University has the right to modify the software either for internal use or for licensing purposes when such modification shall be deemed necessary and when the originator is for any reason unable or unwilling to make such modifications within 90 (ninety) days of notification that modifications are necessary. In this event, the originator may request that one copy of the unmodified software be retained in the University’s archival files.
      8. When rights to software are vested in the University, the University has the right to have foreign-language versions prepared and copyrighted.
      9. When two or more originators working at two or more institutions (one being the University of Delaware) contribute to a work, ownership and income distribution shall be determined by the terms of the agreement between the institutions, or if no agreement exists, by the procedures of section H.
    8. Other SituationsApplications for computers and requirements for software are steadily evolving and increasing. It is probable that not all situations which may arise are adequately covered in the foregoing procedures. In such cases the Vice Provost for Research, in consultation with the originator of the work in question and the appropriate dean or director, shall establish any required new or modified procedures. Such procedures shall become effective and shall be incorporated in this document upon approval by the Provost. (See section E, “Establishment of Procedures,” above).Some cases not clearly covered by these procedures may require ad hoc treatment. (In these situations adding the procedures to this document may not be necessary.) As an example, books which include software will clearly have to be treated as special cases. Determination of copyright ownership and income distribution will depend on such factors as the nature of the work, i.e., textbooks, research, etc; the relative significance of text vs. software; the originality of the software; and the utility of the software independent of the text.Other works or systems which include software may require similar ad hoc treatment. In all such cases the ownership and income distribution factors shall be determined by the Vice Provost for Research in consultation with the originator and the appropriate dean or director.

Related Links

General Counsel Page for this Policy

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-09

ORIGINATION DATE: July 15, 1986

REVISION DATE(S):

June 5, 1989; March 1, 1996; January 18, 2008; August 11, 2008

Policy Source Open Policy



Policy: Safety
Confined Space Entry
Policy

Confined Space Entry

  1. PURPOSE
    To ensure all activities requiring entry into a confined space are conducted in a manner consistent with established safety procedures so as to minimize risk to workers.
  2. DEFINITION
    A confined space means a space that: is large enough and so configured that an employee can bodily enter and perform assigned work; and has limited or restricted means for entry or exit; and is not designed for continuous employee occupancy.

    1. Permit-required confined space means a confined space that has one or more of the following characteristics:
      1. Contains or has the potential to contain a hazardous atmosphere;
      2. Contains a material that has the potential for engulfing an entrant;
      3. Has an internal configuration such that an entrant could be trapped or asphyxiated by inwardly converging walls or by a floor which slopes downward and tapers to a smaller cross-section;
      4. Contains any other recognized serious safety or health hazard.
    2. A non-permit confined space means a confined space that does not contain or, with respect to atmospheric hazards, have the potential to contain any hazard capable of causing death or serious physical harm.Activities to be conducted in the confined space determines the classification of the space.
    3. A confined space includes, but is not limited to, any of the following if the criteria set forth in the above definition are met:
      1. Storage tanks, tank cars, process vessels, bins, tank trailers, and other tank-like compartments usually with one or more manholes for entry;
      2. Open-topped spaces of more than 4 feet in depth, such as bins, silos, pits, vats, tubs, vaults, vessels, floating roof storage tanks, or trenches;
      3. Ventilation or exhaust ducts, manholes, sewers, tunnels, pipelines, and similar structures;
      4. Ovens, furnaces, kilns, boilers and similar structures.
  3. POLICY
    1. No person shall enter a confined space except with the approval of or in accordance with procedures established by the Department of Environmental Health and Safety.
    2. Confined Space Entry Permits shall be completed in accordance with the established procedures and filed with the Department of Environmental Health and Safety.
    3. The Department of Environmental Health and Safety may evaluate confined spaces and shall audit all confined space activities.
    4. Contractors and Subcontractors shall be subject to this policy.

For a copy of the confined space procedures or more information regarding this policy, contact the Department of Environmental Health and Safety (ext. 8475).

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-36

ORIGINATION DATE: June 5, 1989

REVISION DATE(S):

1-May-96

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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