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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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 (104 Policies Entries)
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

Policy: Research Office
Export Regulations for Online Courses
Policy: Research Office

Export Regulations for Online Courses

Online Courses

Export controls and trade sanctions must be considered and, unless specifically excluded, applied to online courses. As is generally the case with universities, UD online courses possibly may be excluded from export control and trade sanction regulations.

  • Per EAR regulations, information and software that “are released by instruction in a catalog course or associated teaching laboratory of an academic institution” are not subject to the EAR. 15 CFR 734.3(b)(3)(iii). Please note that some encryption technology is excluded from this EAR exclusion.
  • Per ITAR regulations, the definition of Technical Data subject to ITAR “does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities.” 22 CFR 120.10(b).2
  • OFAC legislation provides in 50 USC 1702(b)(3):
      (b) The authority granted to the President by this section does not include the authority to regulate or prohibit, directly or indirectly—

      (3) the importation from any country, or the exportation to any country, whether commercial or otherwise, regardless of format or medium of transmission, of any information or informational materials, including but not limited to, publications, films, posters, phonograph records, photographs, microfilms, microfiche, tapes, compact disks, CD ROMs, artworks and news wire feeds.

    UD courses generally may be classified as “information and informational materials.” The online presentation does not alter this characterization. Therefore, pursuant to the OFAC legislation cited above, online courses typically are not OFAC-prohibited.

  • Exclusions do not apply to all subject matter that may be presented in online courses. The provision of principles not commonly taught in schools, colleges and universities, defense services, ITAR technical data, encryption technology and nuclear technology may not be excluded from control. Online-course instructors of such topics shall complete the export control training found at: http://www1.udel.edu/research/swf/UD-export-controls-training/
  • Online courses cannot be taught to students from OFAC-sanctioned countries without a license. Currently comprehensive or selective sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Guidance for Foreign On-Line Education

Countries/ Regions*

Undergraduate Courses

Graduate Courses

Research

Export Control Concerns

Most Countries

Permissible

Permissible

Permissible

Low: Course and/or research-related materials should be examined by Research Office (RO)

Sanctioned Countries*

Permissible

STEM: Limited Permissible (Masters-level coursework; /capstone courses on case-by-case basis)
SOCIAL SCIENCES: likely permissible

Limited Permissible: Review/analysis/discussion of public domain information; otherwise, Case-by-Case permissible basis

High: Course-related materials should be reviewed by RO prior to shipping or electronic transfer Research-related materials and/or information should be reviewed by RO prior to permanent or temporary transfer

Cuba

Permissible

Problematic: Must be in U.S. on valid visa

Limited Permissible: Cuban scholars authorized to teach or conduct research, with restrictions

Restrictive: License required if student or scholar not in U.S.

Iran

Limited Permissible: undergraduate online courses in humanities, social sciences, law, or business are permissible

Problematic: Must be in U.S on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

North Korea

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

Sudan

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

Syria

Problematic

Problematic: Must be in U.S. on valid visa

Problematic: Must be in U.S. on valid visa

Restrictive: License required if student or scholar not in U.S.

*This column refers to foreign nationals of the identified nationality participating in on-line education in that country.
Sanctioned countries include the Balkans, Belarus, Burunda, Central African Republic, Cuba, Democratic Republic of Congo, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, Sudan and Darfur, Syria, Ukraine/Russia, Venezuela, Yemen, and Zimbabwe. The list of sanctioned countries is updated periodically – https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.

Questions regarding UD online course compliance with export controls and trade sanctions should be directed to UDresearch@udel.edu.

Related Links

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 3, 2018

REVISION DATE(S): 5/13/19

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51652

Policy: General Counsel
Extension Cords
Policy: General Counsel

Extension Cords

  1. PURPOSE
    To establish a uniform policy regarding the use of extension cords.
  2. POLICY
    All extension cord use shall comply with NFPA 70 (National Electric Code).

    1. Extension cords shall not be used as a substitute for the fixed wiring of a facility, laboratory or shop.
    2. Extension cords shall not be used for permanent or semi-permanent installations, ie, must be less than 30 days. Exception: Extension cords designed for use with portable equipment.
    3. Extension cords shall be listed by the Underwriters’ Laboratory (U.L.) and bear the U.L. label.
    4. Extension cords shall be a minimum of 16 gauge copper wire and rated for not less than 13 amperes, shall be of the grounding type (three wire) and shall not be used in excess of their rated capacity.
    5. Extension cords shall be used only in continuous lengths without splice or tap. Terminals and insulation shall be free of defects such as cracked, split or nicked insulation; exposed wires; knots; burn marks; loose connectors; or other damage that may present a fire or electrocution hazard. Destroy any extension cords showing defects.
    6. Extension cords shall not be connected in series.
    7. Extension cords shall not be used in bathrooms. Extension cords used in wet or damp areas shall be connected to a ground fault interrupter device or GFCI circuit only.
    8. For three wire extension cords, the ground prong shall not be removed. Departments shall request the installation of three prong type wall outlets where not provided.
    9. Proper polarization shall be maintained at all times.
    10. For extension cords equipped with single plug-in capability, a multiple plug adapter may be utilized provided the adapter is U.L. listed and rated for not less than 125 volts/15 amperes. Multiple plug adapters are not otherwise permitted in conjunction with an extension cord.
    11. Extension cords shall not be covered by carpeting, clothing, furniture, or other objects that could prevent adequate air circulation and cooling of the cord.
    12. Extension cords shall not be tacked, stapled or otherwise affixed in semi-permanent or permanent manner. Major appliances such as refrigerators, television sets, or other devices drawing currents for starting motors shall not be connected to an extension cord.
    13. Multi-plug devices may be used for: computer equipment, televisions, stereos, radios and similar devices. They may not be used with refrigerators, microwaves, coffee pots, hot plates toaster ovens and similar devices. Multi-plug devices must be Underwriters Laboratory approved or approved by a similar nationally recognized testing laboratory and they must contain an integral circuit breaker.

For more information regarding this policy, contact either the Department of Environmental Health and Safety at extension 8475 or the Supervisor of Electrical Services at extension 2621.

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): 7-13

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): November 1, 1988; June 27, 1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51594

Policy: General Counsel
External Sponsorship and Grant
Policy: General Counsel

External Sponsorship and Grant

  1. POLICY
    It is important that the long-range implications of the acceptance by the University of any external grant be carefully considered. In the past, the University has sometimes found itself in a position where the acceptance of these grants has resulted in serious budgetary commitments which extended far above and beyond the grant income. This has been particularly true in the case of federal, departmental, or program developmental grants which have involved continuing financial commitments for staff, equipment, and other items.
  2. SCOPE OF PURPOSE
    To insure that acceptance of external grants by faculty members does not create unforeseen and unrealized financial burdens for the University.

ALL proposals and awards with the exception of those that fall within the limits of delegated authority must be approved and signed by the Vice Provost for Research or his or her designee.

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): 6-03

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): September 26, 1990; January 22, 1997; January 18, 2008; August 6, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51407

Policy: General Counsel
Eye Protection Policy
Policy: General Counsel

Eye Protection Policy

  1. PURPOSE
    To establish an eye protection policy that protects the University community from the hazards which can lead to eye injuries.
  2. SCOPE AND APPLICATION
    This policy applies to all University personnel, contract personnel, and visitors in applicable University facilities and/or University operations.

For additional information visit Environmental Health and Safety web site.

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): 7-23

ORIGINATION DATE: May 5, 1982

REVISION DATE(S): June 5, 1989; November 1992; May 1, 1996; January 10, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51597

Policy: General Counsel
Facility Safety Equipment
Policy: General Counsel

Facility Safety Equipment

  1. SCOPE OF PURPOSE
    To establish minimum safety equipment requirements for new or newly renovated laboratories, rooms, areas or facilities where hazardous chemicals will be used or stored or where other hazardous operations will occur.
  2. POLICY
    Unless otherwise specified or exempted by the Director of the Department of Environmental Health and Safety, each new or newly renovated laboratory, room, area or facility in which hazardous chemicals or materials are used or stored shall be equipped with the following…

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): 7-29

ORIGINATION DATE: July 1, 1987

REVISION DATE(S): June 1999; January 12, 2006; November 15, 2007; October 10, 2008; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51595

Policy: General Counsel
Fire Protection/Life Safety Equipment, Design, Installation and Maintenance
Policy: General Counsel

Fire Protection/Life Safety Equipment, Design, Installation and Maintenance

  1. SCOPE OF PURPOSE
    To ensure all activities involving fire protection/life safety equipment and systems are conducted in compliance with all applicable federal, state, local regulations and according to the procedures established by 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): 7-07

ORIGINATION DATE: October 2, 1995

REVISION DATE(S): May 3, 1989; December 18, 1991; April 1, 1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51539

Policy: General Counsel
First Aid Kits
Policy: General Counsel

First Aid Kits

  1. SCOPE OF PURPOSE
    To establish a uniform standard approved by the University Physician and the Department of Environmental Health and Safety for First Aid Supplies.

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): 4-Jul

ORIGINATION DATE: October 1, 1981

REVISION DATE(S): September 1, 1988; June 5, 1989; January 10, 1995; June 21, 1999; February 17, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51596

Policy: Research Office
Fly America Act and Open Skies Agreements
Policy: Research Office

Fly America Act and Open Skies Agreements

Generally, if a traveler is traveling on funds provided by the federal government, he/she must* use a U.S. flag carrier (an airline owned by an American company), regardless of cost or convenience.

If you are scheduling international travel that is federally funded, you must ensure that all flights, where possible, are scheduled on U.S. flag carriers or on foreign air carriers that code share with a U.S. flag carrier. Code sharing occurs when two or more airlines “code” the same flight as if it was their own. In other words, a U.S. airline may sell a seat on the plane of a foreign air carrier; this seat is considered the same as one on a plane operated by a U.S. flag carrier. Compliance with the Fly America Act is satisfied when the U.S. flag air carrier’s designator code is present in the area next to the flight numbers on the airline ticket, boarding pass, or on the documentation for an electronic ticket (passenger receipt).

 

Related Links

FAQ’s

Fly America Waiver Checklist

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51469

Policy: Research Office
Fringe Benefit Rate Agreement
Policy: Research Office

Fringe Benefit Rate Agreement

UD FY23 Fringe Benefit Rate Agreement

INSTITUTION: UNIVERSITY OF DELAWARE, NEWARK, DE 19716-0099

The Fringe Benefits rates contained herein are for use on grants, contracts and/or other agreements issued or awarded to the University of Delaware by all Federal Agencies of the United States of America, in accordance with the cost principles mandated by 2 CFR Pa11 200. These rates shall be used for forward pricing and billing purposes for the University of Delaware Fiscal Year 2023. This rate agreement supersedes all previous rate agreements/determinations for Fiscal Year 2023.

SECTION I: RATES – TYPE: FIXED

Fringe Benefits Rates:

Type From To Rate Ag Appropriation (3A) Applicable
Fixed 7/1/22 6/30/23 39.1% 31.4% Faculty/ Prof. Employees
Fixed 7/1/22 6/30/23 75.1% 56% Staff Employees
Fixed 7/1/22 6/30/23 13.1% 13.1% Graduate Students
Fixed 7/1/22 6/30/23 7.9% 7.9% Other*

*Excludes student wages exempt from FICA.

 

Policy Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: June 21, 2018

REVISION DATE(S): 11/22/2019, 7/2/2019, 7/1/2020, 7/9/2020, 6/23/2021, 7/5/2022

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51618

Policy: General Counsel
General University Research Program
Policy: General Counsel

General University Research Program

  1. PURPOSE

    To outline the types of assistance available under the General University Research program and application procedures.

  2. POLICY
    1. General University Research Program
      The regular budget of the University of Delaware provides funds for assistance to full-time professional and faculty members for individual research and professional development. The University program for use of these funds is designated as the General University Research program. Three types of assistance for scholarly effort are available from General University Research (GUR) funds:

      1. GUR grants are administered by the Vice Provost for Research. In administering this program, the Vice Provost is advised by the Research Committee of the Faculty Senate. The Research Committee recommends budgetary allocation of the funds available for the year, evaluates applications for University research grants, and recommends those to be supported. Grants are primarily in the arts, humanities, and social sciences.Research grants are awarded each year in January for the following fiscal year. The grants support such research costs as stipends, technical assistance, equipment, supplies, travel, etc. Grants in varying amounts are approved on the basis of individual merit and specific need and are normally made for an academic or full calendar year. The amount of the stipend may vary from year to year and will be established by the Associate Provost for Research with the recommendation of the Research Committee. Applicants should clearly state their needs. Grants generally range from $3,500 to $6,000.
    2. General Information
      All full-time professionals and faculty members are eligible to apply for GUR grants. In evaluating proposals, the Faculty Senate Research Committee considers the following criteria and guidelines.

      1. The GUR program is intended primarily for beginning or young faculty members or professionals who need assistance for research projects not sufficiently developed (in terms of the project or the reputation of the investigator) to justify support form outside sponsors.
      2. Others are eligible under the following conditions:
        1. Experienced investigators who are developing new projects and need assistance to try out their ideas before applying for major support elsewhere.
        2. Experienced investigators who want to work on small projects or who are engaged in work for which there would be difficulty in obtaining outside support because of limiting conditions such as the specialized nature of the research or availability of outside funds.
        3. Professionals or faculty members who have been involved in lengthy research projects and need additional support to obtain critical material or to finish their work for publication.
        4. Senior faculty whose proposals are clearly superior and show strong promise of making an exceptional scholarly or artistic contribution.Although there is no restriction on the number of awards an individual may receive over the years, it should be understood that, all other factors being equal, preference will be given to those who have not received awards previously. An investigator is normally not considered for a second or later award unless at least three years have elapsed since the most recent previous award.
      3. Procedure for Submitting Research Proposals are found in the General University Research guidelines. The guidelines are updated annually by the committee.

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): 6-01

ORIGINATION DATE: October 1, 1981

REVISION DATE(S): June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; August 6, 2008

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51408

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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