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

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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: General Counsel
Department Safety Committee Policy
Policy: General Counsel

Department Safety Committee Policy

  1. PURPOSE
    This policy is developed to provide guidance to Department Safety Committees by establishing uniform administrative procedures and minimum requirements. It is the Department Safety Committee’s charge along with the Department of Environmental Health and Safety to provide the University Community with a safe and healthful work environment. It is also the intent of the Department Safety Committee to assure compliance with all University Safety Policies.
  2. SCOPE OF POLICY
    1. Establishment of Committees
      While all departments are encouraged to have Safety Committees, departments designated by the Director of Environmental Health and Safety shall establish Department Safety Committees. A list of current department safety committees can be found at Environmental Health and Safety web site.
    2. Establishment of Contacts
      Department heads or his/her designee will serve as the Safety contact in all University departments who do not have safety committees. These contacts will receive communications from the Department of Environmental Health and Safety regarding safety issues and serve as the safety liaison for their department. A list of current department safety contacts can be found at Environmental Health and Safety web site.
    3. Membership
      Department heads shall appoint Safety Committee members and designate a Chairperson. The names of committee members shall be forwarded to the Director of Environmental Health and Safety each year by June 30. Terms shall be at the discretion of the Department Head.The Director of the Department of Environmental Health and Safety or their designee shall serve as an ex officio member on all Safety Committees.Department Safety Committee membership should, when applicable, include representatives of the professional staff, faculty, salaried staff, hourly employees and students.
    4. Meetings
      Department Safety Committees shall meet periodically at a frequency determined by the committee, but not less than four times per year. By June 30 each year Safety Committee Chairs shall communicate to the Director of Environmental Health and Safety the months in which meetings are planned for the next fiscal year. Minutes shall be recorded. Minutes should include members attending, members absent, disposition of old business and new business covering items identified under Minimum Requirements (section IV).
    5. Annual Report
      Individual departments shall submit an annual report of their committee’s activities to the Department of Environmental Health and Safety. The reports are to be submitted using the forms developed by Environmental Health and Safety which can be found at Environmental Health and Safety web site. These reports are due by June 30 for the previous year. A summary of these reports is presented to the Risk Management Advisory Council annually.

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): 7-02

ORIGINATION DATE: September 1, 1988

REVISION DATE(S): June 5, 1989; December 18, 1991; November 1994; August 1999; January 9, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51590

Policy: General Counsel
Driver’s Requirements and Verification
Policy: General Counsel

Driver’s Requirements and Verification

  1. PURPOSE
    To provide reasonable assurance that each individual who operates any motor vehicle on university business possesses a valid license of the appropriate classification and to minimize the University’s liability in motor vehicle accidents.

Questions pertaining to Driver’s Licensing and classification can be referred to the Delaware Division of Motor Vehicles.

Questions pertaining to insurance coverage can be referred to the Office of Risk Management, 302-831-2971.

Related Links

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

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

 

Policy Details:

OWNER: Executive Vice President

SECTION: Facilities, Real Estate and Auxiliary Services Policies

RESPONSIBLE OFFICE: Facilities, Real Estate and Auxiliary Services

POLICY NUMBER (Legacy): 7-34

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): September 1997; October 14, 2003; December 3, 2004; July 1, 2005; May, 2007

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51570

Policy: General Counsel
Drug/Alcohol Testing – Commercial Driver’s Licenses and Safety Sensitive Functions
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Human Resources Policies

RESPONSIBLE OFFICE: Office of Human Resources

POLICY NUMBER (Legacy): 7-44

ORIGINATION DATE: February 1, 1999

REVISION DATE(S): July 2015; March 2016; July 2016

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51569

Policy: General Counsel
Effort Certification Reporting
Policy: General Counsel

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.

 

Policy Details:

OWNER: Provost

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

RESPONSIBLE OFFICE: UD Research Office

POLICY NUMBER (Legacy): 06-05

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; August 8, 2008, January 2009, July 2009; September, 2010; August 10, 2011; August 2012; July 21, 2015; March 2016; May 2016; April 2019: August 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51405

Policy: General Counsel
Emergency Management Policy
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Campus and Public Safety

POLICY NUMBER (Legacy): 7-54

ORIGINATION DATE: May 3, 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51576

Policy: General Counsel
Emergency Notification Policy
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-52

ORIGINATION DATE: April 23, 2008

REVISION DATE(S): May 8, 2012; January 2013

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51593

Policy: General Counsel
Emergency Response/Fire–Other Emergencies
Policy: General Counsel

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.

 

Policy Details:

OWNER: Executive Vice President

SECTION: Campus Safety and Security Policies

RESPONSIBLE OFFICE: Office of Environmental Health and Safety

POLICY NUMBER (Legacy): 7-06

ORIGINATION DATE: November 15, 1978

REVISION DATE(S): September 26, 2003; June 5, 1989; October 1, 1990; May 1, 1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51592

Policy: Research Office
End Use Certification
Policy: Research Office

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.

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51624

Policy: General Counsel
Equipment Screening Policy
Policy: General Counsel

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.

 

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): 5-21

ORIGINATION DATE: November 14, 1991

REVISION DATE(S): April 2000; July 1, 2005

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51442

Policy: General Counsel
Export Controls and Trade Sanctions
Policy: General Counsel

Export Controls and Trade Sanctions

  1. POLICY

    The University shall comply with EC&TS regulations governing applicable Sponsored Projects, as provided in the University of Delaware Export Compliance Program Manual. By delegation from the Provost, the Deputy Provost for Research & Scholarship serves as the final authority in any dispute resolution, and designates the Associate Deputy Provost for Research & Regulatory Affairs the EO.

    1. The EO is responsible for EC&TS policies and procedures and will oversee the EC&TS compliance program including the signing of Technology Control Plans (TCPs) (which prescribe required training and handling), license and disclosure requests, auditing of controlled Sponsored Projects and reporting of any EC&TS violations to the appropriate agencies.
    2. The EO develops appropriate procedures and is responsible for implementing and maintaining EC&TS compliance procedures including TCP management, auditing and documentation.
  2. SCOPE OF POLICY
    This policy addresses the requirements to ensure compliance with U.S. Export Control and Trade Sanctions (“EC&TS”) regulations governing research at the University of Delaware (“UD” or “University”) and applies to all University departments, units, faculty, staff and students.

Related Links

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): 6-17

ORIGINATION DATE: April 5, 2008

REVISION DATE(S): April 22, 2010; May 8, 2015

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51406

Policy: Research Office
Export Controls and Trade Sanctions Memo
Policy: Research Office

Export Controls and Trade Sanctions Memo

MEMO

While federal regulations restricting the export of goods and technologies related to national security interests have been in existence for decades, these regulations have become more restrictive and enforcement has become increasingly rigorous in the years following the events of September 11, 2001. The purpose of this memo is to remind the University community that the University of Delaware must comply with all U.S. government export control regulations. While the vast majority of the work carried out on our campuses falls within the several exemptions to export licensing requirements, it is nonetheless necessary for researchers to be aware of how these laws may apply to their activities.

It is important to recognize that the U.S. Government defines exports to include not only tangible or “physical” items such as biological materials, chemicals, and equipment, but also intangible information, which may include research data and ideas. Furthermore, an export is defined not only as the actual physical shipment, but also includes electronic and voice transmissions out of the United States (e.g., email to colleagues at foreign institutions or even a phone call) as well as the release of technology to foreign nationals within the U.S. These exports are controlled by multiple federal agencies including the Department of State, the Department of Commerce, and the Department of the Treasury. Violation of the export control regulations can result in significant institutional and personal penalties including fines of up to $1,000,000 per violation, incarceration for up to 10 years, and loss of future exporting privileges.

The University of Delaware remains committed to the preservation of academic freedom. Fortunately most, but not all, research activities on campus fall under the “fundamental research exemption,” which provides that basic research activities NOT subject to publication or access restrictions will not be subject to export controls. Other exemptions apply to technology and information shared in the conduct of teaching activities on campus and to information already generally publicly available. However, the export regulations are complex and continually changing, and it is important to consider each activity on an individual basis.

The Research Office will be happy to assist members of the university community with export control compliance. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu), if you need help in assessing the impact of the regulations on your activities or to schedule training on this important issue.

Related Links

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51456

Policy: Research Office
Export Regulations
Policy: Research Office

Export Regulations

University research is subject to U.S. Export Control laws that protect national security and trade, including the International Traffic in Arms Regulations (ITAR), implemented by the U.S. Department of State, and the Export Administration Regulations (EAR), and the Commerce Control List (CCL) implemented by the U.S. Department of Commerce. The Office of Foreign Asset Control (OFAC), which is part of the U.S. Department of the Treasury, also is responsible for administering and enforcing economic and trade sanctions against certain nations, entities, and individuals.

These regulations control the export of strategic information, technology, and services to foreign countries as well as to foreign nationals inside the United States. Temporary export of controlled items, including laptop computers with controlled technologies, such as encryption software or technical project data also falls under the regulations. Failure to comply with these laws can result in serious consequences, including penalties of up to $1 million in fines and up to 10 years in prison per violation.

It is important for members of the University of Delaware research community to be aware of the University of Delaware Policy on Export Controls (Research Policy 6-17). Additionally, the following tools are available to help researchers become more aware of the issues surrounding Export Controls and to assist them in determining when the regulations are applicable:

  • The Memo on Export Controls and Trade Sanctions gives general information about the Export Control regulations as they apply to the academic research community
  • The Travel with or Transportation of Research- Related materials and Data Memo explains the issues and steps for compliance when traveling.
    Note: University personnel traveling to OFAC sanctioned/embargoed countries, which at the time of this writing include Cuba, Iran, North Korea, Syria, and Sudan, should contact the Research Office – Associate Deputy Provost for Research and Regulatory Affairs, Cordell Overby, overbyc@udel.edu , or University Research Counsel Sean Hayes, hayes@udel.edu – for guidance prior to travel. UD personnel should travel with a “clean” laptop that contains software and data that are not export controlled. In this way, previously utilized and generated export controlled software and unpublished research data will remain at home or work and therefore are neither exported nor deemed-exported.
  • The Export Control Decision Tree may be used to help determine if projects are subject to the Export Control Regulations and how to obtain further project-specific information to make sure the work remains in compliance with the laws.
  • Our Export Control FAQ ‘s provide basic information to help you understand the Export Control regulations and how they might apply to you.

The Research Office will work with individual researchers to make all necessary checks of the ITAR, EAR, and OFAC regulations to determine when licensing is necessary for shipment or disclosure to foreign countries or nationals. Please contact Dr. Cordell Overby, Associate Deputy Provost for Research and Regulatory Affairs (overbyc@udel.edu) for assistance.

Related Links

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51470

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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