Forms, Policies & Procedures

General University Research Program

1. PURPOSE

   To outline the types of assistance available under the General University Research program and application procedures.

2. POLICY
   1. General University Research Program
      The regular budget of the University of Delaware provides funds for assistance to full-time professional and faculty members for individual research and professional development. The University program for use of these funds is designated as the General University Research program. Three types of assistance for scholarly effort are available from General University Research (GUR) funds:
      1. GUR grants are administered by the Vice Provost for Research. In administering this program, the Vice Provost is advised by the Research Committee of the Faculty Senate. The Research Committee recommends budgetary allocation of the funds available for the year, evaluates applications for University research grants, and recommends those to be supported. Grants are primarily in the arts, humanities, and social sciences.Research grants are awarded each year in January for the following fiscal year. The grants support such research costs as stipends, technical assistance, equipment, supplies, travel, etc. Grants in varying amounts are approved on the basis of individual merit and specific need and are normally made for an academic or full calendar year. The amount of the stipend may vary from year to year and will be established by the Associate Provost for Research with the recommendation of the Research Committee. Applicants should clearly state their needs. Grants generally range from $3,500 to $6,000.
   2. General Information
      All full-time professionals and faculty members are eligible to apply for GUR grants. In evaluating proposals, the Faculty Senate Research Committee considers the following criteria and guidelines.
      1. The GUR program is intended primarily for beginning or young faculty members or professionals who need assistance for research projects not sufficiently developed (in terms of the project or the reputation of the investigator) to justify support form outside sponsors.
      2. Others are eligible under the following conditions:
         1. Experienced investigators who are developing new projects and need assistance to try out their ideas before applying for major support elsewhere.
         2. Experienced investigators who want to work on small projects or who are engaged in work for which there would be difficulty in obtaining outside support because of limiting conditions such as the specialized nature of the research or availability of outside funds.
         3. Professionals or faculty members who have been involved in lengthy research projects and need additional support to obtain critical material or to finish their work for publication.
         4. Senior faculty whose proposals are clearly superior and show strong promise of making an exceptional scholarly or artistic contribution.Although there is no restriction on the number of awards an individual may receive over the years, it should be understood that, all other factors being equal, preference will be given to those who have not received awards previously. An investigator is normally not considered for a second or later award unless at least three years have elapsed since the most recent previous award.
      3. Procedure for Submitting Research Proposals are found in the General University Research guidelines. The guidelines are updated annually by the committee.

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

Government Owned Property

1. POLICY

   The basic governing procedure in accounting for all government owned property being held by the University of Delaware under the terms of government research and development contracts and grants. (Questions on specific agency regulations are to be referred to the Office of the Vice Provost for Research, OVPR).

2. SCOPE OF PURPOSE
   To outline the procedure used in accounting for all government-owned property being held by the University of Delaware.

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

Guidelines for Faculty and Professional Consulting Agreements

The main University policies and procedures relating to faculty consulting activities include the following:

Professional Consultation

• Inventions, Discoveries, and Patents
• Copyrightable Material
• Faculty and Professional Staff Involvement in Commercial Enterprises That Have Relationships with the University of Delaware

Responsibility for Private Professional Services
The University assumes no responsibility for private professional services performed by members of its faculty or staff. The name of the University is not in any way to be connected with the service rendered or the results obtained. The faculty member must make it clear that his or her consulting work is a personal matter. He or she must not use the official stationery of the University nor stationery having a University address or a University telephone number.
A faculty or staff member shall not accept or retain employment which would bring him or her as an expert or in any other capacity, into conflict of commitment or in competition with the interests and purposes of the University.

Use of University Facilities and Resources
The use of University Facilities and Resources is addressed in Section 4: Personnel Policies for Faculty of the Faculty Handbook in the subsection “Academic Freedom and Standards of Conduct: Consulting and Other Outside Employment.”

Rate of Compensation and Tax Consequences
The University will not comment on or offer input regarding the rate of compensation or the tax consequences associated with faculty consulting activities.

Intellectual Property Issues
• As a condition of employment by the University, all faculty and staff agree to abide by the University’s Intellectual Property Policies and Procedures and to assign to the University all rights to intellectual property developed (a) with the use of University facilities or resources or (b) in the field of expertise and/or within the scope of responsibilities covered by their employment/appointment/ association with the University.

• Faculty and staff may, within the scope of a consulting agreement, assign rights to intellectual property developed under consulting agreements to organizations engaging their services where the organization has a legitimate prior claim to the technology being developed. Examples include consulting activity leading to the refinement of an organization’s existing product or process or to a development for which the organization has background patents or prior art claims.
• It is inappropriate for faculty or staff consultants to assign Delaware intellectual property to organizations engaging their services.
• Consulting agreements should be examined to ensure that the assignment of rights to intellectual property evolving from consulting activities does not conflict with the University’s Intellectual Property Policies and Procedures.
• Faculty or staff consultants must avoid entering into consulting agreements that are in violation of the terms of their employment by the University.
• By assigning intellectual property rights to organizations engaging their services faculty or staff consultants may: (1) be prohibited from further activities in that field, (2) limit opportunities to profit from commercial applications or their
work, (3) limit opportunities to obtain funding from industry; and (4) restrict freedom to publish.

Terms and Conditions Recommended for Inclusion in Faculty Consulting Agreements
• Consulting agreements should recognize that all faculty and staff members have agreed to abide by the University’s Intellectual Property Policies and Procedures and that Delaware intellectual property cannot be transferred to an entity via a consulting agreement. Consulting agreements should also recognize that a faculty or staff member’s first duty and first responsibility is to Delaware. The University recommends including the following language:
“Entity agrees and understands that Consultant is an employee of The University of Delaware. Consultant’s primary responsibility is to the University. In connection with such employment, Consultant has entered into certain agreements with the University relating to ownership of intellectual property rights, conflicts of interest and other matters, and is subject to certain policy statements of the University. If any provision of this Agreement is hereinafter determined to be in conflict with these policies, then the policies will govern to the extent of such conflict, and the conflicting provisions of this Agreement will not apply. Consultant is not aware of any such conflict.”

• Consulting agreements should acknowledge the importance of documenting the nature and scope of the consulting activities and outline a process for preparing a written summary or minutes of the consulting activities. All written information provided by the entity to the consultant should be clearly marked “Confidential” or “Proprietary.” The University recommends including the following language:
“The Entity shall from time to time prepare a written summary or “minutes” of the consulting activities of Consultant. Consultant shall also record all documentation relative to Consulting Services separate from his/her other work, including work for the University. The parties shall have the right to periodically compare said documentation to ensure both parties have a consistent understanding as to the scope and nature of consulting services provided hereunder.”

Consider including language such that the consultant has the right to refuse to accept entity confidential information. The University recommends including the following language: “Prior to disclosure of Confidential Information hereunder, Entity shall make
a non-enabling summary disclosure to Consultant so that Consultant may determine whether to accept disclosure. Said summary shall be sufficient to enable Consultant to determine whether the disclosure involves technology or information already under development in Consultant’s University Laboratory, or whether he/she is otherwise bound by confidentiality concerning related information and/or technology.

Entity will take reasonable precautions to clearly mark information disclosed hereunder as “confidential” or “proprietary.” Entity will provide to Consultant a written summary of the matters discussed or considered during consulting provided hereunder in a timely manner. The confidentiality restrictions hereunder will not apply where the information was previously known to or developed by Consultant or Consultant’s research group, where the information is part of the public domain, or where the information came into the possession of Consultant through no fault or wrongdoing of Consultant.”

Terms and Conditions to be Avoided in Faculty Consulting Agreements
• Avoid accepting “fiduciary” duty or responsibility. Consultants required to accept “fiduciary” responsibility should be covered by insurance protection provided by the entity.
• Consulting activities should be performed in a relatively narrow and well-defined field. Avoid broad definitions such as “Entity Business.”
• Avoid or use caution in accepting exclusive consulting arrangements. Consider the ramifications of agreeing to consult with only one entity in a broad field.
• Carefully consider the term (duration) of the consulting agreement. Is there an exit? Can the faculty member terminate the consulting agreement “without cause”?
• Carefully review any requirements for representations and warranties, especially with regard to intellectual property issues.

Hazardous Chemical Information

1. SCOPE OF PURPOSE
   The State of Delaware Hazardous Chemical Information Act, Title 16 Delaware Code, Chapter 24, requires employers to provide information regarding hazardous chemicals to employees and students who may be exposed to such chemicals in the workplace, laboratory, classroom, etc. This policy and its accompanying procedures establish mechanisms to assure compliance with the Hazardous Chemical Information Act.

   Effective Date: This policy shall be effective on July 1, 1985.

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

Hazardous Material Shipments/Transportation

1. SCOPE OF PURPOSE
   To assure all shipments of hazardous materials off-campus are prepared in accordance with Department of Transportation (DOT) Regulations, International Air Transportation Authority (IATA) and International Civil Aviation Organization (ICAO) and to minimize the exposure of all persons to hazardous materials during their transport.

For further information please refer to the shipping procedures on the Environmental Health and Safety website, or contact ext 8475.

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

Hazardous Waste Disposal

1. SCOPE OF PURPOSE
   To ensure the disposal of hazardous waste is conducted in compliance with the Resource Conservation and Recovery Act and Delaware regulations governing the disposal of hazardous waste.
2. POLICY
   Common examples of chemical waste requiring disposal under this policy include but are not limited to: spent solvents, outdated laboratory research chemicals, spent acids and bases, lead-acid batteries, nickel/cadmium batteries, unusable or broken mercury thermometers and barometers, chemical waste generated from experiments, waste silica gel, full or partially full aerosol cans, non-returnable gas cylinders, paint materials and used oil filters. …

For more information regarding this policy, contact the Department of Environmental Health and Safety (ext. 8475).

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

Human Subjects in Research and Research-Related Activities

1. SCOPE OF POLICY
   This policy addresses the University of Delaware (“UD” or “University”) obligation to ensure the protection of the rights and welfare of individuals used as subjects in research-related activities and applies to all University departments, units, faculty, staff and students.
2. POLICY
   UD bears full responsibility for the performance of all research involving Human Subjects, including complying with federal, state, and local laws as they may relate to such research. In meeting its obligations in this area, the University is guided by the ethical principles set forth in the report of the Ethical Principles and Guidelines for the Protection of Human Subjects of Research (the “Belmont Report”), and adheres to the regulations of Title 45, Part 46 of the Code of Federal Regulations, 45 CFR 46, and the University’s FWA with the U.S. Department of Health and Human Services (and all other requirements from governmental entities with legal jurisdiction oversight) for the protection of Human Subjects in research.

   The UD Provost appoints the Deputy Provost for Research & Scholarship as IO for research involving Human Subjects. The Deputy Provost for Research and Scholarship may appoint the Associate Deputy Provost for Research & Regulatory Affairs to act in the capacity of IO. …

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

Infectious Waste Management

1. SCOPE OF PURPOSE
   To ensure the management of infectious waste* at the University is conducted in compliance with Section 11 of the State of Delaware Regulations Governing Solid Waste, 7 Delaware Code, Chapter 60.

* As defined in Section 11 of the Delaware Regulations Governing Solid Waste and the University of Delaware Infectious Waste Management Procedures.

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

Information and Records Management Policies

1. SCOPE OF PURPOSE
   1. This policy defines the departmental role for records and information management, including records and information classification, maintenance, retention, retrieval, protection and preservation.
   2. The policy addresses general departmental records and information management issues and responsibilities, while the attached guidelines address policy issues for information and records stored electronically. …

Related Links

• Legacy Policy 1-10: University Archives and Records Management Program
• Legacy Policy 1-14: Responsible Computing at the University of Delaware
• Legacy Policy 1-18: Electronic Mail Management and Retention
• Legacy Policy 1-19: Employees’ Use of E-Communications

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

Instructional TV/Media Materials Contracts

1. SCOPE OF PURPOSE
   The educational and research activities of the University of Delaware can be enhanced by employing modern audiovisual technology. The goal will be to produce audiovisual works of the highest quality through the joint effort of University of Delaware faculty, professional staff, and technical specialists.
2. POLICY STATEMENT
   It is the policy of the University to provide the necessary facilities and technical staff to create audiovisual works in cooperation with participating instructors and to release and distribute such works in accordance with the foregoing objectives and the following provisions. …

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

Intellectual Property Protection, Ownership and Commercialization

1. POLICY
   The University of Delaware strives to support its faculty, staff, and students by pursuing the commercial development of intellectual and tangible research property resulting from University research. The early transfer of such knowledge and rights is consistent with the University’s mission of creating new knowledge and facilitating its application to the benefit of the public. The University has established policies and guidelines that provide incentives for faculty, staff, and students while protecting the integrity of research (also see Legacy Policy 6-11 related to avoidance of conflicts of interest). The University provides a number of administrative and legal services to inventors and authors to effectively and efficiently pursue intellectual property rights and technology transfer.

   It is policy of the University that all inventions and discoveries, together with any tangible research materials, know-how and the scientific data and other records of research including any related government protections (collectively “Intellectual Property”), which are conceived or reduced to practice or developed by University faculty, staff, or students in the course of employment at the University, or result from work directly related to professional or employment responsibilities at the University, or from work carried out on University time, or at University expense, or with the substantial use of University resources, shall be the property of the University. An invention shall constitute any discovery, machine, new and useful process, article of manufacture, composition of matter, life form, design, algorithm, software program, or concept that may have commercial value. University faculty, staff, or students employed by the University who discover or invent or develop a device, product, plant variety, method, or work while associated with the University must cooperate with the University in defining and establishing the rights to such inventions, works, materials, and data. This obligation extends to any Intellectual Property, whether or not made on University time with or without use of University facilities.

   When an invention is made, the inventor shall promptly provide, via the appropriate Department Chair and Dean, and the Vice President for Research, Scholarship and Innovation, or his/her designee, an invention disclosure statement describing the circumstances under which the invention was conceived and reduced to practice …

2. SCOPE OF PURPOSE
   1. To provide a mechanism for placing in the public realm the fruits of research, while safeguarding the interests of the University, the inventor(s), and the sponsor;
   2. To provide procedures to evaluate the significance of inventions, discoveries, research materials, and works, and the opportunities by which such creative advances may be brought to the point of commercial viability;
   3. To provide adequate legal protection for intellectual property including patent, trademark, and copyright protection for inventions and works falling within the scope of this policy, through the collaboration of University faculty, staff, and students with the assigned attorney(s) and Research Office staff;
   4. To establish principles for determining the rights of the University, the inventor(s), or developer(s) or author(s), and the sponsor;
   5. To provide greater incentives for pursuing and commercializing intellectual property by University personnel;
   6. To assist the inventor(s) or developer(s) or author(s) in realizing tangible benefits from the intellectual property;
   7. To satisfy requirements of certain research grants and contracts; and
   8. To provide a basis for establishment of institutional patent, copyright, and trademark agreements with the federal government and other agencies.

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

Intergovernmental Personnel Assignment

1. SCOPE OF PURPOSE
   To outline the process by which faculty can request approval to accept an Intergovernmental Personnel Assignment (IPA).
2. POLICY

   Faculty members wishing to engage in an IPA with a federal agency must first seek approval from their Department Chair, then the Dean and finally the Provost. Copies of this approved form will be forwarded to the Research Office from the originating department. …

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