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.

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Animal Subjects in Research

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

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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 (101 Policies Entries)
Policy: Environmental Health and Safety
Chemical Hygiene Program
Policy: Environmental Health and Safety

Chemical Hygiene Program

The University of Delaware is committed to providing a safe working environment for its faculty, staff, students and visitors. The goal of the University’s Chemical Hygiene Program is to minimize the risk of injury or illness by ensuring that University personnel have the training, information, support and equipment needed to work safely in the laboratory.

The University Chemical Hygiene Committee facilitates the implementation of the program through the Department of Environmental Health and Safety and develops and maintains the University’s Chemical Hygiene Plan.

SPILL AND EMERGENCY RESPONSE PROCEDURES:

Any questions or concerns related to the Chemical Hygiene Plan should be addressed to the Chemical Hygiene Officer at dehsafety@udel.edu or call 302-831-8475.

The complete policy and more can be found on the Environmental Health and Safety’s web site.

 

Policy Details:

OWNER: Environmental Health & Safety

RESPONSIBLE OFFICE: Environmental Health & Safety

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51522

Policy: General Counsel
Class I Movable Equipment Policy
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Financial & Business Policies

RESPONSIBLE OFFICE: Office of the Vice President For Finance and Deputy Treasurer

POLICY NUMBER (Legacy): 5-10

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): October 2, 1985; April 6, 1989; August 1996; July 2000; July 1, 2005

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51642

Policy: General Counsel
Computer Software
Policy: General Counsel

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.

     

    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

Policy: General Counsel
Confined Space Entry
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): Jul-36

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 1-May-96

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51589

Policy: General Counsel
Conflict of Interest in Research Policy
Policy: General Counsel

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.

 

Policy Details:

OWNER: Vice President for Research, Scholarship & Innovation

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER: 11-Jun

POLICY NUMBER (Legacy): 6-11

ORIGINATION DATE: November 15, 1989

REVISION DATE(S): December 3, 2020; March 1, 1996; February 18, 2002; January 18, 2008; August 11, 2008; August 23, 2012; May 8, 2015

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51400

Policy: General Counsel
Consultants for Research, Public Service or Instructional Activities
Policy: General Counsel

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

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

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

POLICY NUMBER (Legacy): 4-27

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 8/29/01

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51664

Policy: General Counsel
Control of Biohazards in Research and Education
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-19

ORIGINATION DATE: September 15, 1977

REVISION DATE(S): June 5, 1989; January 12, 1999; March 27, 2003; May 8, 2003; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51517

Policy: General Counsel
Control of University Owned Property
Policy: General Counsel

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.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-08

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008; February 11, 2009; December 10, 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51401

Policy: General Counsel
Copyright and Fair Use Policy
Policy: General Counsel

Copyright and Fair Use Policy

  1. POLICY
    The University of Delaware expects all members of the University community to respect copyright law (Title 17, U.S. Code). Except as allowed by law, it is a violation of this policy and law for University of Delaware faculty, staff or students to reproduce, distribute, display publicly, perform, digitally transmit (i.e. in the case of sound recordings) or prepare derivative works based upon a copyrighted work without permission of the copyright owner.Recognizing that copyright law provides certain exemptions that limit the right of the copyright holder (www.copyright.gov/title17/92chap1.html#107), this policy provides guidance to University authors using copyrighted material for educational purposes.
  2. SCOPE OF POLICY
    This policy addresses the use of copyrighted material for instructional purposes and applies to all university departments, faculty, staff and students.

Related Links

Copyright Processing and Funding

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

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: University of Delaware Library

POLICY NUMBER (Legacy): 6-15

ORIGINATION DATE: July 1, 2005

REVISION DATE(S): 1-Jul-15

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51402

Policy: General Counsel
Copyright Processing and Funding
Policy: General Counsel

Copyright Processing and Funding

  1. PURPOSE
    To outline the University’s policy on processing and funding copyrightable material.
  2. SCOPE OF POLICY

    The University of Delaware recognizes that its faculty and staff, as part of their normal research and other scholarly activities, may develop materials which, in the interest of the author and the University, should be protected by copyrights. Accordingly, it is considered desirable to provide policies and procedures that:

    1. assist faculty and staff in realizing tangible benefits from their creative efforts;
    2. establish guidelines for defining the rights of ownership to materials produced by faculty or staff;
    3. insure control of use, within the University structure, of curriculum material developed at the University by a faculty or staff member;
    4. insure the author against loss of rights of reproduction for non-commercial use of material in which proprietary rights rest with the University; and
    5. provide guidance for safeguarding against loss of proprietary rights through inadvertent public disclosure.

    Related Links

    Copyright and Fair Use Policy

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

     

    Policy Details:

    OWNER: Provost

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

    RESPONSIBLE OFFICE: UD Research Office

    POLICY NUMBER (Legacy): 6-07

    ORIGINATION DATE: October 1, 1981

    REVISION DATE(S): June 5, 1989; March 1, 1996; July 1, 2005; January 18, 2008; August 11, 2008

    Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51403

Policy: Research Office
Cost Shares for Equipment
Policy: Research Office

Cost Shares for Equipment

Research Office equipment cost share dollars are available when proposals either require equipment cost share or the project budget exceeds the available funding in the area of equipment. Research Office policy allows for one-time requests of up to $50,000. Up to $50,000 for each of the years of funding proposed may be requested in case of large scale proposals of strategic significance to UD and that involve multiple academic units. All sums requested from the Research Office must also be matched in the equivalent amount by the college/unit (i.e., $50K from the Research Office requires an equal $50K from the college/unit).

Cost share letters and or commitments, including equipment, require sufficient justification and often a long lead time for approvals. PIs should start this conversation with their respective department chairs, or college research office/deans as early as possible. All proposals that require such commitments and/or letters of support from UD leadership (President, Provost, VP Research) should follow the steps outlined here. Please route all such requests via email to researchdev@udel.edu. Decision time on requests depends on the amount requested and the status will be conveyed back to the PI usually within a few days.

Formal approval for Research Office match of the cost share occurs at the time of the proposal submission through inclusion in the grant budget. The Proposal Approval Form will automatically be routed to those responsible for the cost share approval and for commitment to cover additional cost overrun attributed multi-year equipment match funding.

For further questions about Equipment Cost Share policy, please contact your Contract and Grant Administrator.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

REVISION DATE(S): 10/2/18

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51441

Policy: General Counsel
Cost Sharing Policy
Policy: General Counsel

Cost Sharing Policy

  1. POLICY
    The University engages in cost sharing when it is in the best overall interest of the University, limited to situations in which it is mandated by the sponsor per solicitation or policy guidelines, or deemed appropriate in light of specific and compelling circumstances.
  2. SCOPE OF POLICY
    This policy establishes the requirements and procedures for proposing, approving, administering, and documenting Cost Sharing on Sponsored Projects, including all contributions, such as cash and in-kind, that a recipient makes to an award at the University of Delaware (“UD” or “University”). This policy also sets forth requirements to ensure compliance with federal regulations (Office of Management and Budget (OMB) Circulars A-110 and A-21 or Uniform Guidance 2 CFR 200). This policy applies to all University departments, units, faculty, staff and students.

Related Links

Cost Share for Equipment Policy

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

 

Policy Details:

OWNER: Vice President for Research, Scholarship, and Innovation

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 6-19

ORIGINATION DATE: November 3, 2009

REVISION DATE(S): 11/03/2009, 07/21/2015, 02/05/2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51404

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

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