Forms, Policies & Procedures

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.

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

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. SCOPE OF POLICY
   1. 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.

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

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

   Read more

    
   

   Policy Details:

   OWNER: Provost

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

   RESPONSIBLE OFFICE: UD Research Office

   POLICY NUMBER (Legacy): 9-Jun

   ORIGINATION DATE: July 15, 1986

   REVISION DATE(S): June 5, 1989; March 1, 1996; January 18, 2008; August 11, 2008

   Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51399

Concur Card Holder General Practices/Guidance

The information contained in this document is to provide Research Office (RO) colleagues with basic information and guidance for the use of their Concur Card.  This information does not replace or modify University Policies and Procurement training/reference tools.  Concur cardholders are required to ensure compliance with the University Policy 3-07 and Policy 5-22 ).

Related Links

• Procurement Concur Training
• Non-Employee Reimbursement Form
• UD’s Online W9 form
  *UD’s online W9 form must be filled out by individuals/consultants/suppliers that may need to be paid for services. Once the form is completed a copy of the reference number should be emailed to dfrisby@udel.edu.

The complete policy and more can be found on the UD Research Office’s web site.

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. SCOPE OF 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).

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

Conflict of Interest Disclosure Form

Disclosure of all involvements of faculty or professional staff with commercial enterprises that may take time from University responsibilities or may directly or indirectly have an impact on or be perceived to have an impact on the University is required (see Policy 6-11, Faculty and Professional Staff Involvement in Commercial Enterprises That Have Relationships With the University of Delaware).

Use the form below to report conflicts of interest.

Conflict of Interest Disclosure Procedure

Log in to the Conflict of Interest (COI) Disclosure webform

• The form describes the different categories of significant financial interest (SFIs) that are required to be disclosed. A table of examples below is provided as a reference. Please know this is not an all inclusive reference, rather, just few examples for illustrative purposes.
• If answering ‘Yes’ to any of the listed questions, a pull down menu of information required will show. Please provide enough detail to facilitate its assessment.
• COI web forms will be automatically routed to the chair or direct supervisor and the dean for review and approval.

Faculty and professional staff must complete a new COI disclosure every year, even when they do not have any SFI to disclose. COI disclosures must be submitted, via web form, on an annual basis or within 30 days of any change to previous disclosures. Please click on the link below, and login using your UDNet ID and password. If the link does not take you directly to the form, look for “Conflict of Interest Disclosure Form” under the tab “Blanks.”

Related Links

• Additional information on UD’s COI disclosure and management procedures can be found in the UD COI training module.
• Further details on reporting requirements specific to PHS-funded research can be found in the Financial Conflict of Interest (FCOI) tutorial provided by NIH.
• Inquiries concerning Institutional Conflict of Interest should be directed to udresearch@udel.edu

Conflict of Interest in Research Policy

1. SCOPE OF POLICY
   This policy addresses the responsibility of the University of Delaware (UD or University) to promote objectivity in research by 1) requiring that faculty, staff and other members of the University-research community disclose their significant financial interests, and 2) providing means for managing conflicts of interest (COI) should they arise.
2. POLICY STATEMENT
   The involvement of faculty, staff and other members of the University-research community with appropriate commercial enterprises aligns with University mission as it is an important part of the transfer of knowledge and is encouraged by the University to enhance teaching, research, and outreach programs. Association of faculty or staff with commercial enterprises should be such that it benefits all the parties involved, including the University. All faculty, staff, and members of the University-research community are expected to conduct their research-related duties with integrity and to avoid association with activities that could diminish or could be perceived as diminishing the effectiveness of their commitment to the University. It is the responsibility and obligation of faculty, staff, and members of the University-research community to disclose all SFIs that may affect, or appear as if they could affect, their University-related responsibilities.

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

Conflict of Interest Management Procedure

• If a COI is determined to exist, a COI management plan is to be developed by the chair and/or dean in agreement with the employee.
• Please use the template for the COI management plan.
• Examples of conditions or restrictions that might be imposed to manage a COI include, but are not limited to:
  1. Public disclosure of the conflict (e.g., when presenting or publishing affected research);
  2. Appointment of an independent monitor capable of taking measures to protect against bias resulting from COI;
  3. Change of personnel or personnel responsibilities, and/or modification of the research plan;
  4. Reduction or elimination of a financial interest;
  5. Severance of relationships that create the conflict(s).
• In addition, please see a detailed guidance for the development of COI management plans in the context of SBIR/STTR awards.
• Additional information on UD’s COI disclosure and management procedures can be found in the UD COI training module.
• Further details on reporting requirements specific to PHS-funded research can be found in the Financial Conflict of Interest (FCOI) tutorial provided by NIH.
• Inquiries concerning Institutional Conflict of Interest should be directed to udresearch@udel.edu

Related Links

NIH Conflict of Interest Tutorial

Conflict of Interest Management Template

This template helps researchers become aware of potential conflicts of interest and develop plans to maintain objectivity in their research.

Consultants for Research, Public Service or Instructional Activities

1. PURPOSE
   The purpose of this policy is to provide for the engagement of non-University personnel (consultants) for expertise required to fulfill University commitments and objectives. It is expected that University activities will be carried out to the maximum extent possible by utilizing regular employees rather than consultants. However, consultants may be utilized when necessary expertise cannot be provided adequately by regular employees within the scope of their University employment agreement. The policies and procedures outlined below are designed to meet University and Federal requirements.
2. SCOPE OF POLICY
   1. Before entering into an agreement with a consultant, the account administrator will ensure that the following criteria have been met and are explained in writing on an attachment to the Contractual Agreement for Consulting Services:
      1. Why the expertise of the person is needed and cannot be met by the utilization of a regular University employee within the context of his or her employment agreement with the University.
      2. The selection process that has been used to secure the most qualified personal available, considering the nature and extent of expertise required. If the Dean/Chair/Director does not have personal knowledge of the consultant’s credentials, vitae must be attached.
      3. Why the fee is appropriate considering the qualification of the person to be utilized, his or her normal charge, and the nature of the expertise to be rendered.
      4. That except in unusual circumstances, the person has not been a regular employee of the University within the twelve calendar months preceding his or her use as a consultant.
      5. That the arrangement will last for a specified period and it is understood that no employment arrangements or repeated or extended arrangement will normally result. Any prior use of the consultant must be disclosed, including dates and amounts. In cases of repeated or extended arrangement with a consultant, the reasons why a recurrence is considered necessary are to be explained.
      6. That funds for a consultant are available in the budget.
      7. That approval for utilizing a consultant has been obtained, if necessary, in the case of an externally sponsored program.
      8. That any restrictions as to per diem rates on externally sponsored programs have been met.
      9. That signed written reports will be provided by the consultant to fulfill the requirements of the work statement.

Related Links

• Consultant Agreement Form
• Consultant Agreement Amendment Form

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

Control of Biohazards in Research and Education

1. PURPOSE
   To ensure all activities related to the use of biological materials are conducted in a safe manner as well as in compliance with all applicable federal, state, local and University regulations.
2. POLICY
   No person shall purchase, receive, possess, use, transfer, or dispose of any biological materials except with the approval of and in accordance with procedures established by the University Biosafety Committee and the Department of Environmental Health and Safety. Certain work outlined in the Biosafety Manual will require the approval of these organizations.

   For more information regarding the University Biosafety program and to access the University Biosafety Manual or 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.

Control of University Owned Property

1. PURPOSE

   To outline procedures and set policy for the transfer of equipment purchased on contracts and grants when the Principal Investigator leaves the University or is no longer directly or indirectly involved with the use of the equipment, and the equipment is University owned.

   Equipment owned by an outside agency can only be transferred in accordance with University Policy 5-3 titled “Procedure for Control of Government Owned Property.”

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