Forms, Policies & Procedures

Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions

1. POLICY
   The University of Delaware recognizes the importance of safety protocols for employees operating University Commercial Motor Vehicles and other employees performing safety sensitive functions and intends to follow all laws, rules and regulations applicable to such activities through application of this policy.
2. SCOPE OF POLICY
   This policy applies to the Employees Subject to Testing and is intended to comply with the Omnibus Transportation Employee Testing Act of 1991 (“OTETA”) and in accordance with Title 49 Code of Federal Regulations, Part 382 and 391, Subpart H.

   Employees Subject to Testing – Full-time, part-time, miscellaneous wage, casual wage, temporary or seasonal employees, who possess a commercial driver’s license (CDL) with the intent of operating a University commercial motor vehicle (this includes any rented leased, or personal vehicle used as a requirement of their job function) requiring such license, as well as employees performing safety sensitive functions, are subject to testing. All Departments are required to advise the University’s Department of Transportation’s (DOT) On-site Coordinator of all employees required to possess a CDL, as a condition of employment.

Related Links

Driver’s Requirements and Verification Web Policy

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

Effort Certification Procedures

Each department assigns an effort administrator who has the procedural responsibility to oversee the reports for that department.

A. Each department assigns an effort administrator who has the procedural responsibility to oversee the reports for that department.

B. Reports are required from every employee whose salary is either directly charged to a sponsored project or used as match/cost sharing for a sponsored project during a particular effort reporting period.

C. For faculty on academic contracts, there are three effort reporting periods. Period 1 includes effort provided during the fall semester of the academic year. Period 2 includes effort provided during the spring semester, and Period 3 includes summer research activity performed during the months of June through August. The following chart describes the three periods for academic faculty: Click to view the sample chart.

D. Following each reporting period, a web based electronic application will produce web views for review. This application will allow interaction (via web journal) to modify transactions through cost transfer submissions. Every certification must be reviewed by a designated Effort Administrator (each unit has one assigned staff member for this role) and the employee personally (unless that employee has terminated or retired from employment with the University in which case an employee with suitable means of verification evaluates effort in lieu of the particular employee). If an employee has an active HR status but is not capable of certifying their own report, the report may be completed by providing certifications (with suitable means of verification) from both the Effort Administrator and the Effort Manager or another Research Office

designee.

E. To facilitate accuracy in initial payroll allocations, the Labor Allocation Module (LAM) allows for timely changes made to an employee’s payroll distribution plan. A LAM calculator exists to assist in the accuracy of percentages to distribute.

F. It is expected that all certifications will be in “completed” status within 90 days of the end of the reporting period. Electronic copies are retained in the Research Office for the retention period required by the sponsored agreement, usually three years after the closeout or final payment of the project.

G. Email notification will be sent to effort administrators listing reports 40 days old in an effort to remind administrators of this responsibility. Notification of delinquent reports still outstanding beyond the 90 day certification period and again at 120 days past the last day of the effort certification period will escalate to the Department Chair, Assistant Dean and Dean. If any reports remain incomplete 150 days past the end of a reporting period, notification will be sent to the Associate Deputy Provost for Research Administration for review and action as necessary. If any reports remain incomplete 180 days past the end of a reporting period, notification will be sent to the Deputy Provost for Research & Scholarship for review and action as necessary. The effort administrator is responsible for completing these reports. Cost disallowances on sponsored projects resulting from the failure to complete an effort report will be removed from the sponsored project to a non-sponsored project.

H. In the event that an error was made during the routing process, the research office has the authority to create revised effort reports which must be completed within 30 days of release. These will be stamped with ‘[REVISION]’ so as to identify the report as such. In order to request a revision the effort administrator must have an adequate justification. Any changes must comply with all other UD policies and federal regulations.

University of Delaware Effort Certification Procedures

I. Routing is as follows:

a. Research Office creates the report (in batch three times annually, or one at a time as needed) (report is now in ‘UNSENT’ status)

b. Effort Administrator reviews and ‘forwards’ to employee (report is now in ‘IN PROGRESS’ status

c. Employee reviews and either clicks yes, I agree (‘review and certify’), or no I do not agree (‘forward’), and the system will require a comment stating what is wrong with the report. Either way it is routed back to the effort administrator.

d. Effort administrator selects ‘review and certify’ (if approved by employee in c.) or takes necessary action to correct the errors identified by the employee (if not approved in c.).

e. If approved in c and ‘review and certify’ in d., the system will set the certification report to ‘COMPLETE’status.

f. Once action is taken in step ‘d’, effort administrator will ‘forward’ back to the employee until the employee is satisfied that this report reflects the effort expended during that effort reporting period.

Revised July 2013

*If employee is terminated or otherwise incapable, someone with suitable means of verification may act as a substitute.Employee will REVIEW AND CERTIFYProxy* will REVIEW AND CERTIFY for otherwise incapable employeesEmployee supervisor * will REVIEW AND CERTIFY for Terminated employeesEA FORWARDS to Effort ManagerWith request for exceptionEffort Manager REVIEWS & CERTIFIES

Effort Certification Reporting

1. POLICY
   Certifications of Effort on Sponsored Projects are required for every University employee whose salary or wages are directly charged to a Sponsored Project account or whose salary or wages are used as cost sharing for a Sponsored Project. Individuals must account for 100 percent of activities which are part of their IBS.
2. SCOPE OF POLICY
   This policy addresses the University of Delaware (“UD” or “University”) obligation to ensure compliance with the applicable federal regulations, Office of Management and Budget (OMB) Circular A-21 requirements or Uniform Guidance 2 CFR 200, for effort reporting and applies to all University departments, units, faculty, staff and students.

Related Links

General Counsel Page for this Policy

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

Effort Certification System Webform

The effort certification system is used to manage the time faculty spend on their individual obligations. These can range from research to teaching obligations to the management of multiple grants. If you have specific questions, please contact your department’s assigned effort administrator. If you are unsure who holds the effort administrator position for your department, please refer to the Administrator Directory search on the Staff Directory Page.

Effort Reporting Template

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.

Emergency Management Policy

1. POLICY
   The State of Delaware can be threatened by emergency and disaster situations both natural, such as flash floods, hurricanes, winter storms and fires, and man-made, such as hazardous materials accidents, nuclear releases, civil disorders and terrorist threats.

   Because the University of Delaware differs in size, complexity, and function from public agencies in the State of Delaware and the County of New Castle, it is prudent for the University to develop an emergency management program of its own to focus on disaster preparedness, response, recovery and mitigation.

Questions related to this policy should be directed to: Executive Director of Campus and Public Safety

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

Emergency Notification Policy

1. POLICY
   The University of Delaware is responsible for providing accurate and timely information to the campus community and the public during emergencies. The University is also responsible to students, faculty, and staff when they express concerns about personal safety and security, and consistent with University policies concerning the release of personal information. This Emergency Notification Policy specifies policies and procedures for facilitating the communication of critical emergency information. The policy utilizes the best science and technology available in order to ensure that the University can notify both University and other interested parties of an emergency and provide appropriate direction on how to avoid potential harm.
2. SCOPE OF PURPOSE
   The University’s approach to crisis incidents follows the Phases of Emergency Management as addressed in the full University Emergency Operations Plan (EOP) and Critical Incident Management Plan (CIMP). These documents can be found online at www.udel.edu/safety/plans.

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

Emergency Response/Fire–Other Emergencies

1. SCOPE OF PURPOSE
   To establish uniform procedures throughout the University for the provision of reasonable life safety for employees, students, and guests of the University in case of a fire or other emergencies.

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

End Use Certification

From time to time University of Delaware researchers need to purchase equipment or research materials that have limitations on export to other countries. The limitation on export may be due to national security or anti-terrorism concerns, or it may be caused by sanctions to the manufacturer for previous violations of U.S. export regulations. If any of these conditions exist, manufacturer may require that the University of Delaware provide a written certification that the equipment/materials will either generally not be reexported from the U.S. or that any reexport will be in compliance with U.S. export regulations. It is important that University of Delaware purchasers of materials and equipment contact the University Export Compliance Officer (UECO) prior to signing End Use Certifications. The UECO will assist the purchaser in determining why the certification is required and in establishing appropriate controls on the equipment/materials to ensure compliance with the certification requirements.

The UECO may be contacted by calling the Research Office or by email to overbyc@udel.edu.

Equipment Inventory Template

This template is used to report equipment inventory to the sponsor. Please contact your assigned Sponsored Research Accountant with any questions regarding this form.

Equipment Screening Policy

1. POLICY
   All proposed purchases of equipment using federal or federal flow-thru funds having a requisition cost of $5,000 or more are subject to the screening program to determine if like equipment exists on campus and is available for use.
2. SCOPE OF PURPOSE
   To meet Federal government requirements for the purchase of equipment funded in sponsored programs.

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.

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

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.