Forms, Policies & Procedures

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.

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

• Consultant Agreement Form
• Consultant Agreement Amendment Form

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

Intellectual Property Protection, Ownership and Commercialization

1. POLICY
   The University of Delaware strives to support its faculty, staff, and students by pursuing the commercial development of intellectual and tangible research property resulting from University research. The early transfer of such knowledge and rights is consistent with the University’s mission of creating new knowledge and facilitating its application to the benefit of the public. The University has established policies and guidelines that provide incentives for faculty, staff, and students while protecting the integrity of research (also see Legacy Policy 6-11 related to avoidance of conflicts of interest). The University provides a number of administrative and legal services to inventors and authors to effectively and efficiently pursue intellectual property rights and technology transfer.

   It is policy of the University that all inventions and discoveries, together with any tangible research materials, know-how and the scientific data and other records of research including any related government protections (collectively “Intellectual Property”), which are conceived or reduced to practice or developed by University faculty, staff, or students in the course of employment at the University, or result from work directly related to professional or employment responsibilities at the University, or from work carried out on University time, or at University expense, or with the substantial use of University resources, shall be the property of the University. An invention shall constitute any discovery, machine, new and useful process, article of manufacture, composition of matter, life form, design, algorithm, software program, or concept that may have commercial value. University faculty, staff, or students employed by the University who discover or invent or develop a device, product, plant variety, method, or work while associated with the University must cooperate with the University in defining and establishing the rights to such inventions, works, materials, and data. This obligation extends to any Intellectual Property, whether or not made on University time with or without use of University facilities.

   When an invention is made, the inventor shall promptly provide, via the appropriate Department Chair and Dean, and the Vice President for Research, Scholarship and Innovation, or his/her designee, an invention disclosure statement describing the circumstances under which the invention was conceived and reduced to practice …

2. SCOPE OF PURPOSE
   1. To provide a mechanism for placing in the public realm the fruits of research, while safeguarding the interests of the University, the inventor(s), and the sponsor;
   2. To provide procedures to evaluate the significance of inventions, discoveries, research materials, and works, and the opportunities by which such creative advances may be brought to the point of commercial viability;
   3. To provide adequate legal protection for intellectual property including patent, trademark, and copyright protection for inventions and works falling within the scope of this policy, through the collaboration of University faculty, staff, and students with the assigned attorney(s) and Research Office staff;
   4. To establish principles for determining the rights of the University, the inventor(s), or developer(s) or author(s), and the sponsor;
   5. To provide greater incentives for pursuing and commercializing intellectual property by University personnel;
   6. To assist the inventor(s) or developer(s) or author(s) in realizing tangible benefits from the intellectual property;
   7. To satisfy requirements of certain research grants and contracts; and
   8. To provide a basis for establishment of institutional patent, copyright, and trademark agreements with the federal government and other agencies.

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

Policy on Participation in Malign Foreign Talent Recruitment Programs

1. SCOPE OF POLICY
   This policy prohibits all covered individuals employed by or enrolled at the University of Delaware from participating in a malign foreign talent recruitment program(s).
2. DEFINITIONS
   1. Foreign government-sponsored talent recruitment program. Per National Security Presidential Memorandum – 33 (NSPM-33), a foreign government-sponsored talent recruitment program is defined as an effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position).
   2. Malign foreign talent recruitment program. Per the CHIPS and Science Act, the term malign foreign talent recruitment program is defined as:
      1. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual—
         1. engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
         2. being required to recruit trainees or researchers to enroll in such program, position, or activity;
         3. establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
         4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
         5. through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
         6. being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
         7. being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;
         8. being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
         9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
      2.  a program that is sponsored by—
         1. a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;
         2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232); or
         3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115-232).
   3. Covered Individual is an individual who:
      1. contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; and
      2. is designated as a covered individual by the Federal research agency concerned. Consistent with NSPM-33, this means principal investigators (PIs) and other senior/key personnel seeking or receiving Federal research and development funding.

         Federal funding agencies also have the latitude to expand the definition of “covered individuals” as appropriate and consistent with their mission.

   4. Foreign country of concern. Per NSPM-33, a foreign country of concern means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country deemed to be a country of concern as determined by the Department of State.
3. POLICY STATEMENT

   The University of Delaware strictly prohibits covered individuals employed by or enrolled at the University from participating in a malign foreign talent recruitment program(s).

4. POLICY STANDARDS AND PROCEDURES
   1. Covered individual’s participation in a malign foreign talent recruitment program is prohibited.
   2. Faculty, staff, and students participating in sponsored programs are required to comply with sponsor disclosure policies and certification requirements regarding foreign government-sponsored talent recruitment programs.
   3. Disclosures regarding foreign government-sponsored talent recruitment programs must be true, complete and accurate to the best of the discloser’s knowledge and belief.