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.


*NOTE: As of October 2020 Google Chrome changed how it handles file downloads. If you encounter difficulties, right click on the “Download” button/link and select “save link as.” Once selected the file download will be executed and can be saved to the desktop. A second method is to use a different browser.

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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

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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
Research Development
RO Forms, Policies, and Procedures Search 2019

Forms, Policies and Procedures (104 Policies Entries)
Policy: Research Office
Patent Policy
Policy: Research Office

Patent Policy

A patent for an invention is the grant of a property right to the inventor, issued by the U.S. Patent and Trademark Office. Generally, the term of a new patent is 20 years from the date on which the application for the patent was filed in the United States or, in special cases, from the date an earlier related application was filed, subject to the payment of maintenance fees. U.S. patent grants are effective only within the United States, U.S. territories, and U.S. possessions. Under certain circumstances, patent term extensions or adjustments may be available.

The right conferred by the patent grant is, in the language of the statute and of the grant itself, “the right to exclude others from making, using, offering for sale, or selling” the invention in the United States or “importing” the invention into the United States. What is granted is not the right to make, use, offer for sale, sell, or import, but the right to exclude others from making, using, offering for sale, selling, or importing the invention. Once a patent is issued, the patentee must enforce the patent without the aid of the U.S. Patent and Trademark Office.

Throughout the world the first party responsible for filing a patent application is the undisputed owner of the invention. The United States has a one-year time period to file a patent application. This period begins at the formal presentation of the invention. A formal presentation of an invention includes any publication, journal, conference presentation, poster session, newspaper article, Internet publication on a Web page, blog, listserve, etc. In most other countries, you are banned from obtaining patent protection once an invention has been publicly disclosed.

You must file in the United States within one year of the first disclosure of the invention — filing of a provisional application may protect international rights.

It takes an extended period of time to obtain a patent. The patent application can be kept secret while it is pending if you request it; otherwise, it is published by the U.S. Patent and Trademark Office 18 months after filing.

Related Links

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

 

Policy Details:

OWNER: United States Patent and Trademark Office

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51467

Policy: General Counsel
Personal Protective Equipment
Policy: General Counsel

Personal Protective Equipment

  1. SCOPE OF PURPOSE
    To establish personal protective equipment requirements for the University.
  2. SCOPE AND APPLICATION
    This policy applies to all University personnel, contract personnel, and visitors in applicable University facilities and/or University operations. …

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): 7-40

ORIGINATION DATE: November 1, 1992

REVISION DATE(S): May 21, 1993; January 13, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51584

Policy: Research Office
PI Eligibility
Policy: Research Office

PI Eligibility

Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. As such, the University has designated the following personnel as eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects*:

  • All full-time faculty regardless of academic rank
  • Visiting faculty/visiting scientists during the time they draw salary support for the performance of the sponsored project through the University
  • Adjunct faculty during the time they draw salary support for the performance of the sponsored project through the University
  • Full-time, academic non-administrative professionals in classified positions at or above Level 31E
  • All full-time postdoctoral fellows* and researchers
  • Under exceptional circumstances documented in writing, other qualified individuals may be designated as a PI. Such designation requires the approval of the Vice President for Research, Scholarship and Innovation, and must be endorsed by the chair of every unit and the dean of every college in which the research project is to be performed. If granted, this PI designation is limited to the proposed research project under consideration, i.e. it does not afford blanket status to serve as a PI on other proposals. To qualify for an exception, the following criteria must be met:
    • Only individuals identified to the external sponsor as a PI or CPI in the submitted proposal need to have the PI eligibility approval form completed
    • The proposed research must be a programmatic priority of the University
    • There must demonstrably be no qualified member of the UD faculty who is capable of serving or available to serve as the PI
    • The proposed PI must possess the academic and experiential qualifications that are prerequisite to service as a PI at UD, and his or her participation as the PI must be demonstrably necessary for the successful funding and execution of the research project
    • The proposal PI must enter into a signed contract with the University assuring that (a) the work will be conducted in accordance with the high standards of quality expected of all PIs; (b) the PI will comply with all University policies relating to the conduct of research; and (c) the research project will be conducted consistent with all federal laws, rules, and regulations relating to the conduct of research
    • Completion of the Research Office PI approval form and submission of a curriculum vitae (CV)

* Principal Investigator/Co-Principal Investigator status may be rescinded for cause.

*A PI approval form is required to permit postdoctoral fellows to serve this role

If an exception is made to make someone an eligible PI and that person isn’t a full-time University employee, the chair or dean must be a co-PI on all proposals for that person.

Retired Faculty Serving as Principal Investigators

Some faculty members wish to continue their research programs after retirement from the University, but do not qualify for status as principal investigators because they are no longer full-time UD employees. Retired faculty members may apply for PI status using the existing Research Office PI approval form.

If the request is approved, retired faculty members may serve initially as co-PIs on proposals with a full-time faculty member as PI (this would typically be the department chair or another senior faculty member). If the proposal is funded and the retired faculty member is hired to work on that grant, he or she may then serve as the PI during the life of the grant. At the time of hiring, the retired faculty member may be appointed to an appropriate professional staff position (such as, for example, senior research fellow), but under no conditions may be re-hired on the faculty (as, for example, a research professor).

Graduate Students as Principal Investigators

The Research Office acknowledges the importance of permitting graduate students to lead sponsored projects where appropriate. There are several sponsors who offer pre-doctoral grants whereby the work is conceived of and carried out entirely by a graduate student. In these cases, a faculty member is identified as a mentor and oversees the project nominally. (examples: NASA: Harriett G. Jenkins Predoctoral Fellowship Program (JPFP), NIH: Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research, NIH: Predoctoral Training at the Interface of the Behavioral and Biomedical Sciences, DOE: The National Methane Hydrates R&D Program – Graduate Fellowship Program).

To that end, the eligible PI approval form may be used at the time of proposal routing to permit the graduate student to have this role. Also, please have the department administrators ensure the graduate student’s supervisor code is associated with a chair and dean code. This will allow the proposal approval web form to be routed appropriately. The required completed form must be sent to the Research Office at least ten (10) working days before the deadline for submittal of the proposal to the funding agency.

There are still other sponsors for whom the need for submission and approval from an Authorized Representative of the University is not required. The student may submit these applications directly to the sponsor without coordination with the Research Office or a PI eligibility form (examples include: NSF Fellowship, Ford Foundation Diversity Fellowships for Achieving Excellence in College and University Teaching).

If there are questions concerning which type of funding the grad student is applying, contact the Research Office for guidance.

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: October 14, 2008

REVISION DATE(S): 1/4/17

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51445

Policy: General Counsel
Possession and Use of Firearms on University Property
Policy: General Counsel

Possession and Use of Firearms on University Property

  1. SCOPE OF PURPOSE
    The University of Delaware is committed to providing a safe and secure environment for all members of the campus community, and for its visitors, through the reasonable regulation of weapons, ammunition, explosives, and other dangerous instruments.
  2. POLICY
    The University prohibits the possession, storage, or use of any guns, firearms, explosives, ammunition, and other weapons and dangerous instruments (herein collectively “Weapons”) on University property, including any land, building, or vehicle that the University owns, leases, rents, occupies, operates or controls, unless expressly authorized by the University of Delaware Police Department. …

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): 7-26

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): March 1, 1996, December 2013; December 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51587

Policy: General Counsel
Protection of Potable Water Supply
Policy: General Counsel

Protection of Potable Water Supply

  1. SCOPE OF PURPOSE
    To ensure potable water supply systems are designed, installed, maintained and utilized in such a manner as to prevent contamination from nonpotable liquids, solids or gases.
  2. POLICY

    Potable water supply system shall be designed, installed and maintained in such a manner as to prevent contamination from nonpotable liquids, solids or gases being introduced into the potable water supply through cross-connections or any other piping connections to the system. The Facilities Planning and Construction Department shall ensure new facilities and renovations comply with the requirements of The IBC Plumbing Code or the latest plumbing code adopted by the City of Newark. The Facilities Management Department shall ensure facilities are maintained in accordance with this code. …

For more information regarding this policy and backflow prevention contact the Facilities Management Department or the Department of Environmental Health and 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 Environmental Health and Safety

POLICY NUMBER (Legacy): 7-30

ORIGINATION DATE: August 29, 1988

REVISION DATE(S): April 1, 1996; January 12, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51588

Policy: General Counsel
Radioactive Material and Machines Capable of Producing Ionizing Radiation
Policy: General Counsel

Radioactive Material and Machines Capable of Producing Ionizing Radiation

  1. SCOPE OF PURPOSE
    To ensure all activities related to sources of ionizing radiation are conducted in compliance with U.S. Nuclear Regulatory Commission regulations and license conditions, Delaware Radiation Control Regulations, and University Regulations.

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): 7-09

ORIGINATION DATE: February 15, 1976

REVISION DATE(S): 02/15/1976, 06/05/1989

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51549

Policy: General Counsel
Refrigeration Units
Policy: General Counsel

Refrigeration Units

  1. SCOPE OF PURPOSE
    To outline the University’s policy regulating the purchase and use of refrigeration units utilized in laboratory, research or other risk areas. The purchase of refrigeration units used exclusively for the refrigeration of items intended for human consumption are not included in this policy.

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): 7-14

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): October 1, 1981; June 5, 1989; January 9, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51602

Policy: General Counsel
Registered University Trademarks and Service Marks
Policy: General Counsel

Registered University Trademarks and Service Marks

  1. POLICY
    The University reserves the right of proprietorship of a number of symbols of identification of the University used in connection with a variety of consumer goods or services related to athletic, business, and educational events or activities of the University. These trademarks and service marks, in the form of emblems and logos, are registered with the State of Delaware and/or the United States Federal Trademark and Patent Office. Original documentation for each mark is on file in the University Archives and copies are maintained in the Office of the University Secretary 126 Hullihen Hall.
  2. The use of University trademarks and service marks is prohibited without the express permission of the University of Delaware. All inquiries should be directed to the Office of Communications and Public Affairs.
  3. University employees are directed to the UD Brand Style Guide for further information about use of the registered University marks.

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

 

Policy Details:

OWNER: Vice President for Communications and Public Affairs

SECTION: External Relations Policies

RESPONSIBLE OFFICE: Office of Communications and Public Affairs

POLICY NUMBER (Legacy): 1-12

ORIGINATION DATE: October 2, 1985

REVISION DATE(S): April 1, 1996; April, 2005; August 2010; April 27, 2011

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51622

Policy: General Counsel
Removal of Dangerous Material
Policy: General Counsel

Removal of Dangerous Material

  1. SCOPE OF PURPOSE
    To protect the health and safety of individuals when dangerous materials which could present an imminent danger to life and health are found in University buildings. …

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): 7-10

ORIGINATION DATE: April 5, 1975

REVISION DATE(S): June 5, 1989; April 1, 1996; January 9, 2006

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51603

Policy: General Counsel
Research Misconduct
Policy: General Counsel

Research Misconduct

  1. SCOPE OF PURPOSE
    The Federal Office of Science and Technology Policy (OSTP) defines research misconduct as “fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, performing, or reporting research results.” It is the policy of the University of Delaware to abide by the OSTP policy in all University research. Any intentional distortion of research data or intentional distortions of information or conclusions derived from research data constitutes misconduct in research and is prohibited by University 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): 6-10

ORIGINATION DATE: January 5, 1988

REVISION DATE(S): June 5, 1989; March 1, 1996, January 2005; June 2005; January 18, 2008; May 14, 2008; August 11, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51414

Policy: Research Office
Research vs. Quality Assurance / Improvement Guidance
Policy: Research Office

Research vs. Quality Assurance / Improvement Guidance

The Department of Health and Human Services (DHHS), Office of Human Research Protections (OHRP), federal regulations that govern human subjects research (45 CFR 46) requires research with human subjects to be reviewed and approved by an Institutional Review Board (IRB) prior to initiation.

To determine whether a project constitutes research or QA/QI can be challenging. The IRB does not have the authority to retrospectively review a protocol or provide retroactive approval. It is therefore important to determine whether an activity meets the criteria for human subjects research or a QA/QI initiative BEFORE the activity is initiated.

Use this resource for additional guidance.

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

 

Policy Details:

OWNER: Maria Palazuelos

RESPONSIBLE OFFICE: Research Office: UD Research Regulatory Affairs

ORIGINATION DATE: June 1, 2022

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=98100

Policy: General Counsel
Residual Balance Transfer
Policy: General Counsel

Residual Balance Transfer

  1. POLICY

    The Residual Balance policy sets forth the final disposition of residual balances on Fixed-Price, Fixed-Rate, and Non-Refundable grants and contracts at the University of Delaware (UD) in which no designation was made by the sponsor as to the use of any unexpended balance.

    This policy sets forth the requirements for justification, approval, and management of unexpended balances for Fixed-Price, Fixed-Rate or Non-Refundable contracts. If assurances and justifications are provided per this policy, an unexpended balance may be transferred to the appropriate residual account defined by the administering department.

    Residual balances will be distributed proportionately between direct costs and F&A costs, with the direct cost amount being transferred to the administering department. The F&A costs will be transferred to the Central F&A pool.

    All residual balance requests require a Residual Balance Transfer form be completed and submitted to the Research Office for processing.

Related Links

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: Research Office

POLICY NUMBER (Legacy): 5-21

ORIGINATION DATE: December 2, 2020

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=69490

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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