Forms, Policies & Procedures

EthicsPoint Reporting Portal for Research

Secure and Anonymous webportal for reporting misconduct in the following situations:

• Conflict of Interest – Research Concerns related to violations of conflict of interest policies governing researchers.
• Data Privacy – Refers to the technical, contractual, administrative and physical steps taken by the institution to protect against unauthorized access to and disclosure of personally identifiable data of students, faculty and other third parties that we possess. Includes the theft of, and intentional or inadvertent loss of such data.
• Environmental and Safety Matters- Environmental and Safety Matters Failure to meet the requirements of any applicable law, rule or regulation relating to the environment, working conditions or workplace safety, including, without limitation, regulations promulgated by the U.S. Occupational Safety and Health Administration, the U.S. Environmental Protection Agency, and similar agencies in other jurisdictions. Includes a failure to inform supervisors regarding failure to meet the requirements.
• Fraud – Research – The intentional misrepresentation or concealment of information in order to deceive, mislead, or acquire something of value. A fraud is an intentional deception perpetrated to secure an unfair gain.
• Human or Animal Research – Inappropriate use of humans or animals involved in research.
• Intellectual Property Infringement, Misappropriation or Disclosure – Any unauthorized or inappropriate use, misappropriation or disclosure of confidential information (in any form) or intellectual property belonging to the institution or any institution’s customer, supplier or business partner, including, without limitation, any intellectual property protected under any U.S. or other laws relating to copyrights, patents or trade secrets. Also includes any unauthorized or inappropriate use of any institution computer system.
• Research Grant Misconduct or Misappropriation of Costs – Unallowable or questionable expenditures or cost transfers to government grants, contracts or other agreements. Any expenditures or cost transfers that may be in violation of OMB Circular A-21.
• Scientific Misconduct – Fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. Fabrication is making up data or results and recording or reprinting them. Falsification is manipulating research materials, equipment or processes, or changing or omitting data or results, such that the research is not accurately reported in the research record. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.
• Other Research Matters – Other matters of concern not specifically outlined above.

 

Export Controls and Trade Sanctions

1. POLICY

   The University shall comply with EC&TS regulations governing applicable Sponsored Projects, as provided in the University of Delaware Export Compliance Program Manual. By delegation from the Provost, the Deputy Provost for Research & Scholarship serves as the final authority in any dispute resolution, and designates the Associate Deputy Provost for Research & Regulatory Affairs the EO.

   1. The EO is responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including the signing of Technology Control Plans (TCPs) (which prescribe required training and handling), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies.
   2. The EO develops appropriate procedures and is responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.
2. SCOPE OF POLICY
   This policy addresses the requirements to ensure compliance with U.S. Export Control and Trade Sanctions (“EC&TS”) regulations governing research at the University of Delaware (“UD” or “University”) and applies to all University departments, units, faculty, staff and students.

Related Links

• Export Controls and Trade Sanctions Memo PDF
• Export Regulations Web Policy
• Export Regulations for Online Courses Web Policy

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

 

Export Controls and Trade Sanctions Memo

MEMO

While federal regulations restricting the export of goods and technologies related to national security interests have been in existence for decades, these regulations have become more restrictive and enforcement has become increasingly rigorous in the years following the events of September 11, 2001. The purpose of this memo is to remind the University community that the University of Delaware must comply with all U.S. government export control regulations. While the vast majority of the work carried out on our campuses falls within the several exemptions to export licensing requirements, it is nonetheless necessary for researchers to be aware of how these laws may apply to their activities.

It is important to recognize that the U.S. Government defines exports to include not only tangible or “physical” items such as biological materials, chemicals, and equipment, but also intangible information, which may include research data and ideas. Furthermore, an export is defined not only as the actual physical shipment, but also includes electronic and voice transmissions out of the United States (e.g., email to colleagues at foreign institutions or even a phone call) as well as the release of technology to foreign nationals within the U.S. These exports are controlled by multiple federal agencies including the Department of State, the Department of Commerce, and the Department of the Treasury. Violation of the export control regulations can result in significant institutional and personal penalties including fines of up to $1,000,000 per violation, incarceration for up to 10 years, and loss of future exporting privileges.

The University of Delaware remains committed to the preservation of academic freedom. Fortunately most, but not all, research activities on campus fall under the “fundamental research exemption,” which provides that basic research activities NOT subject to publication or access restrictions will not be subject to export controls. Other exemptions apply to technology and information shared in the conduct of teaching activities on campus and to information already generally publicly available. However, the export regulations are complex and continually changing, and it is important to consider each activity on an individual basis.

The Research Office will be happy to assist members of the university community with export control compliance. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu), if you need help in assessing the impact of the regulations on your activities or to schedule training on this important issue.

Download Memo

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Regulations Web Policy
• Export Regulations for Online Courses Web Policy

 

Export Regulations

University research is subject to U.S. Export Control laws that protect national security and trade, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), and the Commerce Control List (CCL) implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, also is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals.

These regulations control the export of strategic information, technology, and services to foreign countries as well as to foreign nationals inside the United States. Temporary export of controlled items, including laptop computers with controlled technologies, such as encryption software or technical project data also falls under the regulations. Failure to comply with these laws can result in serious consequences, including penalties of up to $1 million in fines and up to 10 years in prison per violation.

It is important for members of the University of Delaware research community to be aware of the University of Delaware Policy on Export Controls (Research Policy 6-17). Additionally, the following tools are available to help researchers become more aware of the issues surrounding Export Controls and to assist them in determining when the regulations are applicable:

• The Memo on Export Controls and Trade Sanctions gives general information about the Export Control regulations as they apply to the academic research community
• The Travel with or Transportation of Research- Related materials and Data Memo explains the issues and steps for compliance when traveling.
  Note: University personnel traveling to OFAC sanctioned/embargoed countries, which at the time of this writing include Cuba, Iran, North Korea, Syria, and Sudan, should contact the Research Office – Associate Deputy Provost for Research and Regulatory Affairs, Cordell Overby, overbyc@udel.edu , or University Research Counsel Sean Hayes, hayes@udel.edu – for guidance prior to travel. UD personnel should travel with a “clean” laptop that contains software and data that are not export controlled. In this way, previously utilized and generated export controlled software and unpublished research data will remain at home or work and therefore are neither exported nor deemed-exported.
• The Export Control Decision Tree may be used to help determine if projects are subject to the Export Control Regulations and how to obtain further project-specific information to make sure the work remains in compliance with the laws.
• Our Export Control FAQ ‘s provide basic information to help you understand the Export Control regulations and how they might apply to you.

The Research Office will work with individual researchers to make all necessary checks of the ITAR, EAR, and OFAC regulations to determine when licensing is necessary for shipment or disclosure to foreign countries or nationals. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for assistance.

Read more

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Controls and Trade Sanctions Memo PDF
• Export Regulations for Online Courses Web Policy

 

Export Regulations for Online Courses

Online Courses

Export controls and trade sanctions must be considered and, unless specifically excluded, applied to online courses. As is generally the case with universities, UD online courses possibly may be excluded from export control and trade sanction regulations.

• Per EAR regulations, information and software that “are released by instruction in a catalog course or associated teaching laboratory of an academic institution” are not subject to the EAR. 15 CFR 734.3(b)(3)(iii). Please note that some encryption technology is excluded from this EAR exclusion.
• Per ITAR regulations, the definition of Technical Data subject to ITAR “does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities.” 22 CFR 120.10(b).2
• OFAC legislation provides in 50 USC 1702(b)(3):
  (b) The authority granted to the President by this section does not include the authority to regulate or prohibit, directly or indirectly—
  (3) the importation from any country, or the exportation to any country, whether commercial or otherwise, regardless of format or medium of transmission, of any information or informational materials, including but not limited to, publications, films, posters, phonograph records, photographs, microfilms, microfiche, tapes, compact disks, CD ROMs, artworks and news wire feeds.

  UD courses generally may be classified as “information and informational materials.” The online presentation does not alter this characterization. Therefore, pursuant to the OFAC legislation cited above, online courses typically are not OFAC-prohibited.

• Exclusions do not apply to all subject matter that may be presented in online courses. The provision of principles not commonly taught in schools, colleges and universities, defense services, ITAR technical data, encryption technology and nuclear technology may not be excluded from control. Online-course instructors of such topics shall complete the export control training found at: https://research.udel.edu/training/#1
• Online courses cannot be taught to students from OFAC-sanctioned countries without a license. Currently comprehensive or selective sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Guidance for Foreign On-Line Education

Countries/ Regions*

Undergraduate Courses

Graduate Courses

Research

Export Control Concerns

Most Countries

Permissible

Permissible

Permissible

Low: Course and/or research-related materials should be examined by Research Office (RO)

Sanctioned Countries*

Permissible

STEM: Limited Permissible (Masters-level coursework; /capstone courses on case-by-case basis)
SOCIAL SCIENCES: likely permissible

Limited Permissible: Review/analysis/discussion of public domain information; otherwise, Case-by-Case permissible basis

High: Course-related materials should be reviewed by RO prior to shipping or electronic transfer Research-related materials and/or information should be reviewed by RO prior to permanent or temporary transfer

Cuba

Permissible

Problematic: Must be in U.S. on valid visa

Limited Permissible: Cuban scholars authorized to teach or conduct research, with restrictions

Restrictive: License required if student or scholar not in U.S.

Iran

Limited Permissible: undergraduate online courses in humanities, social sciences, law, or business are permissible

Problematic: Must be in U.S on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

North Korea

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

Sudan

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

Syria

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

*This column refers to foreign nationals of the identified nationality participating in on-line education in that country.
Sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen, and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Questions regarding UD online course compliance with export controls and trade sanctions should be directed to RO-Agreement@udel.edu.

Related Links

• Export Controls and Trade Sanctions Web Policy
• Export Controls and Trade Sanctions Memo PDF
• Export Regulations Web Policy

 

Extension Cords

1. PURPOSE
   To establish a uniform policy regarding the use of extension cords.
2. POLICY
   All extension cord use shall comply with NFPA 70 (National Electric Code).
   1. Extension cords shall not be used as a substitute for the fixed wiring of a facility, laboratory or shop.
   2. Extension cords shall not be used for permanent or semi-permanent installations, ie, must be less than 30 days. Exception: Extension cords designed for use with portable equipment.
   3. Extension cords shall be listed by the Underwriters’ Laboratory (U.L.) and bear the U.L. label.
   4. Extension cords shall be a minimum of 16 gauge copper wire and rated for not less than 13 amperes, shall be of the grounding type (three wire) and shall not be used in excess of their rated capacity.
   5. Extension cords shall be used only in continuous lengths without splice or tap. Terminals and insulation shall be free of defects such as cracked, split or nicked insulation; exposed wires; knots; burn marks; loose connectors; or other damage that may present a fire or electrocution hazard. Destroy any extension cords showing defects.
   6. Extension cords shall not be connected in series.
   7. Extension cords shall not be used in bathrooms. Extension cords used in wet or damp areas shall be connected to a ground fault interrupter device or GFCI circuit only.
   8. For three wire extension cords, the ground prong shall not be removed. Departments shall request the installation of three prong type wall outlets where not provided.
   9. Proper polarization shall be maintained at all times.
   10. For extension cords equipped with single plug-in capability, a multiple plug adapter may be utilized provided the adapter is U.L. listed and rated for not less than 125 volts/15 amperes. Multiple plug adapters are not otherwise permitted in conjunction with an extension cord.
   11. Extension cords shall not be covered by carpeting, clothing, furniture, or other objects that could prevent adequate air circulation and cooling of the cord.
   12. Extension cords shall not be tacked, stapled or otherwise affixed in semi-permanent or permanent manner. Major appliances such as refrigerators, television sets, or other devices drawing currents for starting motors shall not be connected to an extension cord.
   13. Multi-plug devices may be used for: computer equipment, televisions, stereos, radios and similar devices. They may not be used with refrigerators, microwaves, coffee pots, hot plates toaster ovens and similar devices. Multi-plug devices must be Underwriters Laboratory approved or approved by a similar nationally recognized testing laboratory and they must contain an integral circuit breaker.

For more information regarding this policy, contact either the Department of Environmental Health and Safety at extension 8475 or the Supervisor of Electrical Services at extension 2621.

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

 

External Sponsorship and Grant

1. POLICY
   It is important that the long-range implications of the acceptance by the University of any external grant be carefully considered. In the past, the University has sometimes found itself in a position where the acceptance of these grants has resulted in serious budgetary commitments which extended far above and beyond the grant income. This has been particularly true in the case of federal, departmental, or program developmental grants which have involved continuing financial commitments for staff, equipment, and other items.
2. SCOPE OF PURPOSE
   To insure that acceptance of external grants by faculty members does not create unforeseen and unrealized financial burdens for the University.

ALL proposals and awards with the exception of those that fall within the limits of delegated authority must be approved and signed by the Vice Provost for Research or his or her designee.

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

 

Eye Protection Policy

1. PURPOSE
   To establish an eye protection policy that protects the University community from the hazards which can lead to eye injuries.
2. SCOPE AND APPLICATION
   This policy applies to all University personnel, contract personnel, and visitors in applicable University facilities and/or University operations.

For additional information visit Environmental Health and Safety web site.

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

 

Facility Safety Equipment

1. SCOPE OF PURPOSE
   To establish minimum safety equipment requirements for new or newly renovated laboratories, rooms, areas or facilities where hazardous chemicals will be used or stored or where other hazardous operations will occur.
2. POLICY
   Unless otherwise specified or exempted by the Director of the Department of Environmental Health and Safety, each new or newly renovated laboratory, room, area or facility in which hazardous chemicals or materials are used or stored shall be equipped with the following…

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

 

Fire Prevention/Fire Protection Programs

The University of Delaware Fire Prevention/Fire Protection Program was established to protect students, employees, and visitors from the perils of fires, explosions, hazardous gas releases and other types of emergencies which may cause injury to persons or damage to University facilities. This program is designed to ensure the University of Delaware is in the forefront of fire safety by maintaining compliance with Federal Laws, State of Delaware Fire Prevention Regulations and local laws governing basic life safety and building protection.

• Annual Fire Safety Report
• University of Delaware Policy 7-6:
  Emergency Response to Fire and Other Emergencies
• University of Delaware Policy 7-7:
  Fire Protection/Life Safety Equipment-Design, Installation and Maintenance
• Student Fire Safety
• Center for Campus Fire Safety – Cooking
• Fire Protection Engineering
• Fire Code Compliance

RESOURCES

• Campus Fire Watch
• Center for Campus Fire Safety
• Delaware State Fire Prevention Regulation
• Delaware Volunteer Firemen’s Association
• FEMA Fire Administration – USFA, College Parents of America Urge College Community to Focus on Fire Safety
• The College Students Guide to Fire Prevention and Safety
• Winter Fire Safety
• Portable Heater Safety

Questions regarding the fire prevention/fire protection program may be addressed to Kevin McSweeney or call 302-831-6847.

 

Fire Protection/Life Safety Equipment, Design, Installation and Maintenance

1. SCOPE OF PURPOSE
   To ensure all activities involving fire protection/life safety equipment and systems are conducted in compliance with all applicable federal, state, local regulations and according to the procedures established by the Department of Environmental Health and Safety.

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

 

First Aid Kits

1. SCOPE OF PURPOSE
   To establish a uniform standard approved by the University Physician and the Department of Environmental Health and Safety for First Aid Supplies.

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