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.
FILTER BY
RO Forms, Policies, and Procedures Search 2019

Animal Subjects in Research

For Forms, Policies and Procedures pertaining to Animal Subjects in Research and other resources

Click Here

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 (97 Policies Entries)
Policy: Contracts and Grant Management
72 Hour Policy
Policy

72 Hour Policy

UD researchers need to have their proposals to UD Research Office by 8:00 a.m. — three business days prior to the agency deadline — or they will not be submitted to the sponsor. The new policy went into effect Jan. 3, 2007, and is reflective of the demands of electronic research administration, specifically the Grants.gov initiative for proposal processing for federal agencies.

Recognizing that the proposal’s scientific content requires maximum time to develop, project management teams will accept proposal packages that include a full proposal budget (including subcontract budgets and details if subcontracts are involved), budget justification, and proposal abstract for review. While the full scientific details of the proposal may not be in hand, the electronic documents can be prepared from these materials and the proposal readied for submission. Proposal packages lacking budget or other elements stated above will be considered incomplete and will be returned to the principal investigator.

“As many of our researchers know, the federal government is continuing to implement Grants.gov, its electronic proposal submission system,” Carolyn Thoroughgood, former UD vice provost for research and graduate studies, said. “As more agencies make use of the electronic system, we need to make sure we have adequate time on the server for reviewing and approving research proposals before their due date. We want to avoid any electronic ‘pile-ups’ that might occur as more and more proposals flow into the pipeline.

“Our goal is to serve the University’s research community in the best way we can, and this policy is designed to safeguard the investment of time and effort that goes into developing high-quality proposals,” Thoroughgood noted.

Currently, Research Management and Operations, a unit of the UD Research Office, processes in excess of 1,300 proposals per year, and of that number, between 400 and 500 proposals typically are funded by such agencies as the National Science Foundation, National Institutes of Health, National Oceanic and Atmospheric Administration.

Depending on the funding agency and grant program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small grant to more than a hundred pages for large, multi-institutional efforts. Those proposals that are successful account for an influx of more than $148 million in research funding to UD each year.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: January 3, 2007

Policy Source Open Policy



Policy: Safety
Abandoned, Found, Removed, or Unclaimed Property
Policy

Abandoned, Found, Removed, or Unclaimed Property

  1. PURPOSE
    To establish a uniform and consistent policy for the retention, accounting, and disposition of abandoned, found, removed, or unclaimed property.
  2. POLICY
    A University employee finding, coming into possession of, or removing abandoned, lost, or unclaimed property shall forward these item(s) either to the Department of Public Safety or an appropriate authority* within or nearest the facility in which the item was located.

    Any person or office designated as a deposit point for such items shall maintain a log containing a description of the property, date and location found, name and address of the finder, and disposition of the item(s).

    Any property deposited with an appropriate authority which is not claimed or returned to the rightful owner within 10 days of the receipt shall be forwarded to the Department of Public Safety.

    Property can be returned or released to a rightful owner if that person can reasonably demonstrate ownership.** Claimants shall provide identification and be required to sign for the item.

    Property which has been found and turned in by a finder who is not an employee or agent of the University may be returned to the finder by the Department of Public Safety after all reasonable efforts to locate the rightful owner have been exhausted.

    In cases where an employee or agent of the University is the finder, the property will be disposed of in accordance with established Public safety departmental procedures.

    Theft of lost or mislaid property occurs when a person exercises control over the property of another which is known to be lost, mislaid, or misdelivered without taking reasonable measures to return the property to its owner, and is a criminal offense.

    * An appropriate authority is a designated person or office location where this type of property is normally deposited and maintained.

    **Any questions, concerns, or disputes in determining rightful ownership should be immediately referred to the Department of Public Safety.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-33

ORIGINATION DATE: October 11, 1988

REVISION DATE(S):

1-Mar-96

Policy Source Open Policy



Policy: Safety
Alarms and Security Monitoring Systems
Policy

Alarms and Security Monitoring Systems

  1. PURPOSE
    To establish a review and approval procedure governing the design, selection, purchase and installation of any intrusion alarms and other security monitoring systems to ensure maximum system compatibility and effectiveness.

  2. POLICY
    Any person or unit of the University considering the purchase or installation of an intrusion alarm or security monitoring system on the University premises* must consult with and receive prior approval from the Director of Public Safety or his designee.

    Anyone considering the purchase or installation of an intrusion alarm or security monitoring system must contact the Department of Public Safety, Technical Services Unit, at 831-2683. the Director of Public Safety or his designee will review the physical and personal security needs of the facility and the persons who will occupy that facility, determine appropriate design parameters, and assist with the selection of the system.

    Prior to placing any intrusion alarm or security monitoring system on line, the contractor or installer must ensure that the system has been tested for proper operation and that an orientation has been conducted with the primary users and Public Safety staff.

    All design specifications must comply with standards established by Facilities Management.

    * This policy applies to new construction, existing facilities, upgrading/changing system designs or specifications, and any other modifications to existing or planned security systems that either report to or are monitored by the Department of Public Safety.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-28

ORIGINATION DATE: October 2, 1985

REVISION DATE(S):

1-Apr-96

Policy Source Open Policy



Policy: Safety
Ambulance Service for University Employees
Policy

Ambulance Service for University Employees

  1. PURPOSE
    To assist in providing immediate medical attention for University employees who are injured or require medical attention while at work.
  2. POLICY
    When an employee is injured at work or is suffering from an ailment that in the exercise of good judgment requires emergency first aid or examination/treatment by a physician, the employee, the supervisor, or someone else who is present should immediately call 911. Outside of the Newark Campus, contact should also be made with Public Safety at 831-2222 (or 645-4333 in Southern Delaware).

    1. The caller should provide the following information:
      1. The location, age, gender, and name (if known) of the injured/sick employee.
      2. As much detail as possible about the nature of the injury or illness.
      3. Information about any hazards that may threaten the victim or responding officers.
      4. The name and department of the caller.
    2. Types of Response
      1. University police and security officers are trained in CPR and basic first aid. They are normally the first responders to medical emergencies on campus. University police officers are dispatched to all life threatening medical emergencies and investigate all accidents resulting in serious injury. If an injury or illness is such that ambulance transportation is not required, the affected individual may be transported in a University Police vehicle.
      2. If an ambulance is needed to transport the employee, University Police Communications Center will transfer the call to the New Castle County Fire board. The Fire board will dispatch an ambulance to the scene. UDECU, University of Delaware Emergency Care Unit, a volunteer Registered Student Organization whose members receive extensive emergency medical training and are Nationally Registered Emergency Medical Technicians-Basic (NREMT-B) would be the first to be contacted to respond. If UDECU is not available for service or the site of the injured/sick employee is outside the Newark Campus, then the appropriate basic life support service provider will be dispatched.
      3. When advanced life support assistance is required, a Paramedic unit will be requested. Paramedics do not provide ambulance service, but will accompany a patient to the most appropriate emergency medical facility.
    3. If transportation is required, the employee will be transported to the appropriate medical facility.*
    4. In non-emergency cases where the employee has been transported to a medical facility by a Public Safety officer, Public Safety will be available for transportation back to campus and/or other reasonable transfers.
    5. In cases where the injured/sick employee is on campus and needs to return home, the employee’s supervisor will ensure that appropriate transportation arrangements are made.

* The University of Delaware recommends Christiana Care, Occupational Health Services to handle job related injuries. Provider information is available on the Environmental Health and Safety Accident Procedures web site. All employees who suffer work related injuries of a non-emergency nature will be transported to Environmental Health during normal business hours. Employees have the option of being taken to a local medical facility instead of Environmental Health if they so chose. In cases involving serious injuries or illnesses, the responding ambulance attendants or Paramedics will determine the most appropriate facility.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-05

ORIGINATION DATE: March 1, 1996

REVISION DATE(S):

December 2000; July 1, 2005

Policy Source Open Policy



Policy: Safety
Asbestos Management
Policy

Asbestos Management

  1. PURPOSE
    To ensure that asbestos exposures of all University personnel, students, guests, visitors and contract personnel are minimized by assuring that all activities that may impact, disturb or dislodge asbestos containing materials and all building conditions that could allow exposure to asbestos fibers are conducted and abated, respectively, in a manner consistent with established safety practices.
  2. LIMITATIONS
    This policy and the associated Asbestos Management Plan is established to address the health concerns posed by exposure to asbestos in University owned and/or occupied buildings.
  3. DEFINITIONS
    1. Asbestos Containing Materials (ACM) – any material containing more than one percent asbestos. Common examples of ACM include but are not limited to: pipe and boiler insulation, sprayed on fire- proofing, troweled on acoustical plaster, floor tile and mastic, floor linoleum, transite shingles, roofing materials, wall and ceiling plaster, ceiling tiles, and gasket materials.
    2. Presumed Asbestos Containing Material – any thermal or surfacing materials present in buildings constructed prior to 1980 that are assumed to contain greater than one percent asbestos but have not been sampled or analyzed to verify or negate the presence of asbestos as defined by the OSHA Asbestos Standard.
    3. Small Operations and Maintenance Activity – any activity conducted by the University’s in-house asbestos team that requires the abatement of less than 25 linear feet or 10 square feet of known or assumed asbestos containing materials.
    4. Suspect Asbestos Containing Materials – any material that may contain more than one percent asbestos but has not been sampled and tested to determine its asbestos content.
  4. POLICY
    1. The Department of Environmental Health and Safety (DEHS) shall write and maintain an Asbestos Management Plan which establishes an asbestos operations and maintenance program and procedural document for the University. The Department of Environmental Health and Safety is responsible for the management and implementation of the Asbestos Management Plan.
    2. Prior to the start of any renovation and/or demolition project, excluding small operations and maintenance activities, the DEHS must be contacted to coordinate a survey for suspect and known asbestos containing materials in the project area. Any suspect asbestos containing material identified in the project area that may be impacted or disturbed must be either sampled and tested to determine its asbestos content following established protocols or assumed to contain asbestos and managed as an asbestos containing material. Small operations and maintenance activities do not need to be coordinated through the DEHS.
    3. Any materials that are known and/or identified to be ACM and will be impacted or disturbed as a result of renovation or demolition activity must be properly abated in accordance with University specifications; State of Delaware Regulations Governing the Control of Asbestos Containing Materials; Environmental Protection Agency NESHAP Regulations; and Environmental Safety and Health Administration Asbestos Standards.
    4. Asbestos abatement projects, excluding small operations and maintenance activities, must be coordinated, supervised and monitored by the DEHS and/or the University’s approved term consultant. Small operations and maintenance activities do not need to be supervised and monitored unless they are completed in public areas. Examples of public areas include but are not limited to offices, classrooms, auditoriums, conference rooms, hallways, bathrooms, living spaces, common building areas and laboratories Any exceptions to the supervision and monitoring requirement must be determined on a case by case basis by the DEHS.
    5. The DEHS shall require that specific University employees receive asbestos awareness training and annual refresher training thereafter. They shall also be responsible for determining which job classifications are subject to training.
    6. University employees who are required to perform asbestos abatement activities, covered under EPA’s NESHAP Regulations must be certified by the State of Delaware as asbestos abatement supervisors/workers.
    7. University employees who are required to perform operations and maintenance activities involving asbestos containing materials must be certified by the State of Delaware for these operations. Any University employee or sub-contractor that identifies any damaged, suspect or known asbestos containing materials shall notify the DEHS immediately upon identification. The DEHS will assess the situation, arrange for the appropriate corrective actions, and notify the regulatory agencies as necessary.
    8. Asbestos consultants that may be contracted by the University to prepare asbestos abatement specifications, conduct facility surveys for ACM, monitor asbestos abatement projects and analyze bulk and air asbestos samples shall be pre-approved by the DOHS.
    9. Asbestos abatement contractors that may be contracted by the University to complete asbestos abatement projects shall be pre- approved by the DEHS.

For further information or copies of the Asbestos Management Plan, please contact 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): 7-42

ORIGINATION DATE: June 26, 1996

REVISION DATE(S):

13-Jan-06

Policy Source Open Policy



Policy: Intellectual Property
Bayh-Dole Act
Policy

Bayh-Dole Act

UD Requirements

In 1980, Congress enacted the Bayh-Dole Act, permitting the University to own inventions and patents made on federal grants.

The University must report its inventions and may elect to own and promote them.

The University has the right to license and commercialize inventions and intellectual property, subject to certain retained government purpose rights.

The University has all new faculty sign a “reminder letter” confirming obligations.

Bayh-Dole Act Background

To report an invention, see these policies and forms and contact the Intellectual Property Office within the Office of Economic Innovation and Partnerships for more information.

When the U.S. Congress passed P. L. 96-517, the Patent and Trademark Law Amendments Act, more commonly known as the “Bayh-Dole Act,” in 1980, a uniform federal patent policy was established, clearly stating that small businesses and non-profit organizations, including universities, could retain ownership of inventions made under federally sponsored research.

In return, the University of Delaware is expected to file for patent protection on inventions and then promote the licensing of those patents by the commercial sector, ensuring the outflow of UD discoveries and technologies from our labs to the marketplace.

Named after the senators who cosponsored it, Birch Bayh of Indiana and Robert Dole of Kansas, the Bayh-Dole Act and its subsequent amendments provide the basis for current university technology transfer practices. The landmark legislation has led to a more rapid transformation of university research into marketable products and technologies of use by and of benefit to society, as well as the launching of new industries and start-up companies to pursue the development of novel university inventions.

At the University of Delaware, the chief goal of the Office of Economic Innovation and Partnerships is to encourage and enable innovation and entrepreneurship; grow, utilize and leverage the University’s knowledge-based assets; and create and capture new economic and community benefits.

If you are a UD researcher with an invention to report, please review these policies and forms and contact Intellectual Property and Compliance within the Office of Economic Innovation and Partnerships for more information.

 

Policy Details:

OWNER: National Institutes of Health

RESPONSIBLE OFFICE: Research Office

Policy Source Open Policy



Policy: Safety
Biosafety Program
Policy

Biosafety Program

The University’s Biosafety program is established to protect individuals from exposure to biohazards through the application of administrative and engineering controls. The program is managed by the Biosafety Officer and has oversight by the University Biosafety Committee. The program is described in the various subject areas listed below:

BIOLOGICAL PROGRAMS

BIOSAFETY RESOURCES

Any Biosafety issues may be addressed to Krista Murray or call 831-1433.

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Policy Source Open Policy



Policy: Safety
Bloodborne Pathogens
Policy

Bloodborne Pathogens

  1. PURPOSE
    To protect workers from the risks of being occupationally infected with the Human Immunodeficiency Virus (HIV), Hepatitis B virus, or other bloodborne pathogens and to implement the OSHA Standard 29 CFR Section 1910.1030 Bloodborne Pathogens.
  2. DEFINITIONS
    1. Blood: means human blood, human blood components, and products made from human blood.
    2. Bloodborne Pathogens: means pathogenic microorganisms that are present in human blood and can cause disease in humans. These pathogens include, but are not limited to, hepatitis B virus (HBV) and human immunodeficiency virus (HIV).
    3. Other Potentially Infectious Materials means:
      1. The following human body fluids: semen, vaginal secretions, cerebrospinal fluid, synovial fluid, pleural fluid, pericardial fluid, peritoneal fluid, amniotic fluid, saliva in dental procedures, any body fluid that is visibly contaminated with blood, and all body fluids in situations where it is difficult or impossible to differentiate between body fluids;
      2. Any unfixed tissue or organ (other than intact skin) from a human (living or dead); and
      3. HIV-containing cell or tissue cultures, organ cultures, and HIV-or HBV-containing culture medium or other solutions; and blood, organs, or other tissues from experimental animals infected with HIV or HBV.
    4. Occupational Exposure: reasonably anticipated skin, eye, mucous membrane, or parenteral contact with blood or other potentially infectious materials that may result from the performance of an employee’s duties.
  3. SCOPE
    This policy applies to all University personnel, employees, students and visitors, who are exposed to blood or other potentially infectious materials as a result of their University sponsored activities.
  4. POLICY
    1. The Director of Environmental Health and Safety shall be responsible for determining which job classifications are subject to regulation by the OSHA Bloodborne Pathogens Standard, hereafter referred to as the Standard.
    2. The DEHS shall write and maintain a current Exposure Control Plan (ECP) for the University which establishes a program to assure compliance with the Standard.
    3. Deans, directors, chairpersons, principal investigators, laboratory instructors, and line supervisors shall assure compliance with the requirements established in the University ECP. Individuals responsible for assuring compliance with this policy shall correct violations upon detection. Disciplinary actions shall be taken as needed.
    4. Hepatitis B vaccinations shall be offered to all individuals occupationally exposed and provided free of charge to employees who are subject to regulation by the Standard.

For further information or copies of the Exposure Control Plan, please contact 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): 7-31

ORIGINATION DATE: August 29, 1988

REVISION DATE(S):

15-Mar-94

Policy Source Open Policy



Policy: Safety
Bloodborne Pathogens Program
Policy

Bloodborne Pathogens Program

The University of Delaware’s Bloodborne Pathogens Program was established in 1993 to protect workers who are exposed to blood or other potentially infectious materials in the workplace. It is designed to provide compliance with the Occupational Safety and Health Administration’s Bloodborne Pathogens Standard. The program requires registration with the Department of Environmental Health and Safety.

Questions regarding bloodborne pathogens issues may be addressed to EHS or call 831-8475.

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health and Safety

Policy Source Open Policy



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



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

SUBSCRIBE & CONNECT

From our latest Research Magazine to our latest discoveries, keep in touch with UD Research by signing up for our services below.

Share This