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.

FILTER BY
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

Click Here

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
Gifts Used for Research-Related Purposes
Policy: Research Office

Gifts Used for Research-Related Purposes

Gifts to the University of Delaware (UD) that are to be used for research-related (RR) investigations and/or activities should be directed to the Research Office (RO) for evaluation, and for possible oversight, to help ensure that gift usages will be compliant with U.S. export control and trade sanctions (EC&TS). All UD research-related investigations and/or activities, including those using resources originating from gifts to UD, must be performed consistent with OFAC, ITAR and EAR requirements.

Researchers conducting RR investigations and/or activities using items of value acquired from gifts to the University (both monetary and research-related non-monetary) shall 1) have their planned RR investigation and/or activity evaluated by the RO for EC&TS compliance, and 2) if the RO deems it necessary, obtain a written statement of support/approval from the associated department’s chair and associated college’s dean for the planned RR investigation and/or activity.

After receipt of the associated department and associated college support/approval statement, final UD support/approval for the planned investigation and/or activity will be determined by the UD Vice President for Research, Scholarship & Innovation and the UD Provost.

As with all UD research-related investigations and/or activities, the University may determine that institutional EC&TS compliance requires written institutional-oversight plans or export-licenses. All research-related uses of resources stemming from gifts to UD are evaluated by the RO on a case-by-case basis.

Questions regarding gifts to UD to be used for research-related investigations and/or activities should be submitted to udresearch@udel.edu.

Related Links

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

ORIGINATION DATE: October 3, 2018

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51654

Policy: General Counsel
Government Owned Property
Policy: General Counsel

Government Owned Property

  1. POLICY

    The basic governing procedure in accounting for all government owned property being held by the University of Delaware under the terms of government research and development contracts and grants. (Questions on specific agency regulations are to be referred to the Office of the Vice Provost for Research, OVPR).

  2. SCOPE OF PURPOSE
    To outline the procedure used in accounting for all government-owned property being held by the University of Delaware.

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): 5-03

ORIGINATION DATE: April 30, 1984

REVISION DATE(S): 04/30/1984, 07/02/1990

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51409

Policy: Research Office
Graduate Tuition Policy
Policy: Research Office

Graduate Tuition Policy

  1. SCOPE OF POLICY

    This policy sets forth graduate tuition requirements for proposals and awards, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware.

  2. POLICY STATEMENT

    The Research Office requires graduate tuition to be budgeted to grants and contracts at a minimum rate of 40% of the full-time tuition, per student, at the university base rate of $979 per credit hour for the fall and spring semesters. Exceptions to this policy may be granted under specific circumstances as outlined per this policy.

  3. POLICY STANDARDS AND PROCEDURES
    1. Budgeting Requirements
      1. Graduate tuition must be budgeted as a direct charge to all grants and contracts at a minimum rate of 40% of the full-time tuition, per student, at the university base rate of $979 per credit hour for the fall and spring semesters.
      2. Full tuition is considered 9 credit hours per semester at the university rate of $979 per credit hour.
        1. If a graduate student is being budgeted at less than 100% of their stipend, the rate of the tuition should be prorated proportionately across all proposals, if applicable.
          1. For example, for a student budgeted at 40% of their stipend, a minimum of 40% of the tuition should be budgeted on the proposal. For a student budgeted at 50% of their stipend, a minimum of 40% and up to 50% of the tuition may be budgeted on the proposal. Or, for a student budgeted at 50% of their stipend on two proposals, a minimum of 40% and up to 50% of the tuition may be budgeted across both proposals (not per proposal).
        2. If a sponsor provides a stated amount for cost of education, the full amount as stated by the sponsor may be budgeted.
  4. Policy Exception Requests
    1. Exceptions to this policy may be granted with approval of both the PI’s Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) in cases where:
      1. the funding organization has a written policy precluding or limiting the charging of graduate tuition to awards, or
      2. the total funding available to the PI(s) for the project is less than $75,000 per year.
    2. Exception Requests During Proposal Submission: A request for an exception to the graduate tuition policy should be processed via the Proposal Approval Summary Webform.
      1. If the request is due to a written sponsor policy, the sponsor policy should be attached to the UD Financials: PeopleSoft Proposal Attachments page using the naming convention “[ProposalID]_Tuition_other”. This will feed into the webform for review.
      2. If the request is for an exception is due to the PI project being less than $75,000, the Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) will review and approve the exception via the proposal approval form routing prior to submission
    3. Exceptions Requests During Award Establishment: If a proposal that did not originally meet the exception criteria is subsequently awarded for less than $75,000 per year, an email approval from the Dean (or designee) should be routed to the Contract & Grant Analyst during award establishment. The request for an exception will be sent to Vice President for Research, Scholarship and Innovation (or designee) for review and approval.
  5. Post-Award Requirements
    1. The allocation of tuition costs must be allowable per the award guidelines and must not exceed the distribution of effort as reported through salary charges.
    2. Any re-budgeting of graduate student stipends should include the proportionate re-budgeting of tuition.
    3. Department/college research administrators should routinely reconcile tuition expenses for fiscal compliance.
    4. The Research Office will review tuition expenses during the closeout process for the fall and spring semesters referencing the following student salary expense account codes:
      1. 122600 GRADUATE ASSISTANT (O/H CHARGE)
      2. 122610 GRADUATE TRAINEES
      3. 122700 GRADUATE FELLOW
      4. 126900 GRAD STDT-ENROLLED < 1/2 TIME

 

Policy Details:

OWNER: UD Research Office

RESPONSIBLE OFFICE: UD Research Office

ORIGINATION DATE: February 1, 2016

REVISION DATE(S): 9/16/19, 3/10/2021, 11/22/21

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51443

Policy: Research Office
Guide to Intellectual Property
Policy: Research Office

Guide to Intellectual Property

The Ratner Prestia Document gives an overview of the different aspects of patents, trademarks, copyrights, and trade secrets such as how protection is gained, the duration of that protection, who is entitled to the rights, and more.

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

 

Policy Details:

OWNER: Ratner Prestia

RESPONSIBLE OFFICE: Research Office: UD Research Regulatory Affairs

ORIGINATION DATE: July 20, 2007

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51621

Policy: General Counsel
Hazardous Chemical Information
Policy: General Counsel

Hazardous Chemical Information

  1. SCOPE OF PURPOSE
    The State of Delaware Hazardous Chemical Information Act, Title 16 Delaware Code, Chapter 24, requires employers to provide information regarding hazardous chemicals to employees and students who may be exposed to such chemicals in the workplace, laboratory, classroom, etc. This policy and its accompanying procedures establish mechanisms to assure compliance with the Hazardous Chemical Information Act.

    Effective Date: This policy shall be effective on July 1, 1985.

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): 27-Jul

ORIGINATION DATE: October 2, 1985

REVISION DATE(S): June 5, 1989; December 18, 1991; April 28, 1992; January 12, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51523

Policy: General Counsel
Hazardous Material Shipments/Transportation
Policy: General Counsel

Hazardous Material Shipments/Transportation

  1. SCOPE OF PURPOSE
    To assure all shipments of hazardous materials off-campus are prepared in accordance with Department of Transportation (DOT) Regulations, International Air Transportation Authority (IATA) and International Civil Aviation Organization (ICAO) and to minimize the exposure of all persons to hazardous materials during their transport.

For further information please refer to the shipping procedures on the Environmental Health and Safety website, or contact 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-43

ORIGINATION DATE: April 30, 1997

REVISION DATE(S): January 13, 2006; February 10, 2014

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51524

Policy: General Counsel
Hazardous Waste Disposal
Policy: General Counsel

Hazardous Waste Disposal

  1. SCOPE OF PURPOSE
    To ensure the disposal of hazardous waste is conducted in compliance with the Resource Conservation and Recovery Act and Delaware regulations governing the disposal of hazardous waste.
  2. POLICY
    Common examples of chemical waste requiring disposal under this policy include but are not limited to: spent solvents, outdated laboratory research chemicals, spent acids and bases, lead-acid batteries, nickel/cadmium batteries, unusable or broken mercury thermometers and barometers, chemical waste generated from experiments, waste silica gel, full or partially full aerosol cans, non-returnable gas cylinders, paint materials and used oil filters. …

For 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: Environmental Health and Safety

POLICY NUMBER (Legacy): 18-Jul

ORIGINATION DATE: November 15, 1978

REVISION DATE(S): June 5, 1989; May 1, 1996

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51561

Policy: Research Office
HIPAA Hybrid Statement
Policy: Research Office

HIPAA Hybrid Statement

  1. Introduction
    As with some other research-intensive institutions1 , the University of Delaware (“UD”) recognizes that the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) is a consumer protection law intended to protect individually identifiable information relating to the physical or mental health of an individual, the provision of health care to the individual, or the payment for the provision of health care to the individual. HIPAA applies to “Covered Entities,” which include health care providers, health plans and health care clearinghouses that conduct specified transactions electronically (“Covered Entities” or each a “Covered Entity”)2 . UD is engaged in both Covered Entity and non-Covered Entity activities. HIPAA allows entities that are engaged in both Covered Entity functions and other activities that are not Covered Entity functions to designate themselves as “Hybrid Entities,” with the result that the HIPAA regulations do not apply to the non-covered functions.

    1For Example, Vanderbilt University (https://ww2.mc.vanderbilt.edu/osp/51235).

    2https://www.hhs.gov/hipaa/for-professionals/covered-entities/index.html.

  2. Hybrid Entity Status Assessment
    Based upon an assessment of UD units and a review of HIPAA standards, UD designates itself as a Hybrid Entity under HIPAA. Identification of individuals and entities that are part of the UD Covered Entity (“UDCE”) is complicated by the fact that UD is engaged in multiple covered functions and non-covered functions with a mission that includes education, health care, and research. Workforce members often have multiple roles, both covered and non-covered. Therefore, determination of those entities and individuals who are included in the UDCE is a dynamic and ongoing process that is based upon the data used and/or being disclosed, not based upon any particular overall department mission or activity.

    The UDCE includes health-related research centers, interdisciplinary programs, and University-wide programs. Whether a UD function or individual’s activity on behalf of UD is included in the UDCE is hereafter determined based not upon any particular department or unit, but instead upon the data being used and/or disclosed.

  3. Categories of Data
    The following defined categories of data are critical to the determination of covered functions and activities:

    A. Individually identifiable health information (IIHI) is information collected from an individual that is created or received by a health care provider, employer, plan or clearinghouse and relates to the past, present, or future physical or mental health or condition of an individual; the provision of health

    care to an individual; or the past, present, or future payment for the provision of health care to an individual and identifies the individual, or can reasonably be used to identify the individual.

    B. Protected Health information (PHI) is IIHI that is transmitted or maintained in any form or medium by a covered function within the UDCE. This specifically excludes education records, which are protected by other privacy regulations, and employment records held by UD in its role as an employer. This also excludes research health information (see definition below), which is protected by other regulatory requirements.

    C. Research Health Information (RHI) is IIHI that is used for research purposes but that is not PHI, and thus is NOT subject to the requirements of HIPAA. RHI is IIHI that is created in connection with research activity and is not created in connection with patient care activity. When a researcher is not also functioning as a health care provider, and creates IIHI in connection with pure research activities (no patient care involved) the IIHI is not PHI and is not subject to the privacy and security rules of HIPAA. If a researcher is also a health care provider and IIHI is created in connection with the researcher’s health care provider activities, then the IIHI is PHI subject to HIPAA. IIHI that is created as PHI and is needed for research purposes may be disclosed to a researcher (the same individual healthcare provider who is also a researcher may disclose PHI to herself in her research role) pursuant to the IRB approval process, which includes proper patient authorization or IRB waiver of authorization. After the PHI is properly disclosed to the research setting, the IIHI transferred to the research setting becomes RHI, which is no longer subject to the requirements of HIPAA. In certain cases such as interventional clinical trials it is expected there will be two copies of some IIHI: a copy kept in the patient’s medical record which is PHI and subject to HIPAA, and a copy of the same data kept in the research record which is RHI and not subject to HIPAA.

    D. Key Determinants: The key determinants as to whether or not information is IIHI and not protected by the Privacy Rule or PHI and protected are: 1) the function being performed by the provider or health plan; and 2) the purpose for which an entity or workforce member has received, created or maintained the medical information (e.g., treatment, payment, operations). Record keeping practices are not the determinant. For example, an assessment of fitness for duty generates PHI when the UDCE administers or oversees a test of a UD employee. When the employee authorizes UD, the health care provider, to turn over the information to UD, the employer, it is a part of the employee’s employment record and no longer PHI. It is important to note that in most circumstances (exceptions include workplace injury, illness or medical surveillance) the employee must provide a signed authorization to the UD health care provider to release the information to UD, the employer.

  4. Determining Covered Functions Criteria
    The following criteria are used to determine whether a function or individual workforce member is included in the UDCE:

    A. Health care or health plan use or disclosure: When the use or disclosure of IIHI is carried out in connection with a health care provider or health plan function by UD workforce members, the individual’s health information is defined as PHI, and HIPAA privacy and security regulations apply to those functions and to the workforce members who carry out those functions;

    B. Functions that support health care or health plan: When the use or disclosure of IIHI is carried out by business, financial, legal or administrative functions on behalf of UD’s health care provider and health plan activities, the individual’s information is PHI and the HIPAA privacy and security regulations apply to those functions and to the workforce members who carry out those functions;

    C. Employer and education functions: When the use and disclosure of IIHI is carried out by UD in its capacity as an employer or an educational institution, the information is not PHI and those UD functions are not subject to the privacy or security regulations of HIPAA, but the confidentiality of the individual’s health information is protected by other state and federal law, as well as by UD policy; and

    D. IRB functions: PHI may only be disclosed to a researcher for use in connection with an IRB-approved or exempt protocol and pursuant to a waiver or authorization. When a researcher requests access to PHI that has been created, received or maintained by the UDCE, the Privacy Rule requires that the UDCE receive specific assurances that the PHI will be protected once disclosed to the researcher for use as RHI, and UD must account for certain disclosures as required by the HIPAA regulations. UD’s IRB will function as the Privacy Board as defined by HIPAA.

    E. Examples of UD workforce members who may provide services to covered functions: Workforce members of the following components of UD may provide administrative functions on behalf of the UDCE (use of PHI subject to the requirements of HIPAA) and on behalf of non-covered components of UD (IIHI not subject to the requirements of HIPAA):

  5. Protected Health Information transfer between covered and non-covered componentsA. Patient authorization required: When workforce members who provide services to the UDCE perform services on behalf of non-covered components of UD, these non-covered functions are not part of the UDCE. Workforce members must not disclose PHI to non-covered UD components without the individual or patient’s authorization, or waiver of authorization by the IRB in the case of disclosures for research purposes, as required by the Privacy Rule.

    B. Disclosure between Health Plan and Providers: Workforce members who provide business and finance services to both UDCE providers and UDCE health plans cannot use or disclose PHI between those entities unless it is allowed in the Privacy Rule.

Direct Inquiries to:

Sean Hayes, J.D., Ph.D.
Research Advisor
Institutional Privacy Officer
Email: hayes@udel.edu
Phone: 302-831-7445

OR

Cordell Overby, Sc.D.
Associate Vice President for Research & Regulatory Affairs
Email: overbyc@udel.edu
Phone: 302-831-2383

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

 

Policy Details:

OWNER: UD Research Regulatory Affairs

RESPONSIBLE OFFICE: Research Office

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51465

Policy: General Counsel
Human Subjects in Research and Research-Related Activities
Policy: General Counsel

Human Subjects in Research and Research-Related Activities

  1. SCOPE OF POLICY
    This policy addresses the University of Delaware (“UD” or “University”) obligation to ensure the protection of the rights and welfare of individuals used as subjects in research-related activities and applies to all University departments, units, faculty, staff and students.
  2. POLICY
    UD bears full responsibility for the performance of all research involving Human Subjects, including complying with federal, state, and local laws as they may relate to such research. In meeting its obligations in this area, the University is guided by the ethical principles set forth in the report of the Ethical Principles and Guidelines for the Protection of Human Subjects of Research (the “Belmont Report”), and adheres to the regulations of Title 45, Part 46 of the Code of Federal Regulations, 45 CFR 46, and the University’s FWA with the U.S. Department of Health and Human Services (and all other requirements from governmental entities with legal jurisdiction oversight) for the protection of Human Subjects in research.

    The UD Provost appoints the Deputy Provost for Research & Scholarship as IO for research involving Human Subjects. The Deputy Provost for Research and Scholarship may appoint the Associate Deputy Provost for Research & Regulatory Affairs to act in the capacity of IO. …

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): 4-Jun

ORIGINATION DATE: April 15, 1975

REVISION DATE(S): June 5, 1989; March 1, 1996; September 1, 2005; January 18, 2008; February 28, 2008; March 16, 2010; July 21, 2015

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51410

Policy: General Counsel
Infectious Waste Management
Policy: General Counsel

Infectious Waste Management

  1. SCOPE OF PURPOSE
    To ensure the management of infectious waste* at the University is conducted in compliance with Section 11 of the State of Delaware Regulations Governing Solid Waste, 7 Delaware Code, Chapter 60.

* As defined in Section 11 of the Delaware Regulations Governing Solid Waste and the University of Delaware Infectious Waste Management Procedures.

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-38

ORIGINATION DATE: June 1, 1990

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51563

Policy: General Counsel
Information and Records Management Policies
Policy: General Counsel

Information and Records Management Policies

  1. SCOPE OF PURPOSE
    1. This policy defines the departmental role for records and information management, including records and information classification, maintenance, retention, retrieval, protection and preservation.
    2. The policy addresses general departmental records and information management issues and responsibilities, while the attached guidelines address policy issues for information and records stored electronically. …

Related Links

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

 

Policy Details:

OWNER: Vice President and University Secretary

SECTION: Information Technologies Policies

RESPONSIBLE OFFICE: Office of the Vice President and University Secretary

POLICY NUMBER (Legacy): 13-Jan

ORIGINATION DATE: June 5, 1989

REVISION DATE(S): 1995 (1-14 and 1-15, dated 1989, were merged); July 2000; September 2000

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51644

Policy: General Counsel
Instructional TV/Media Materials Contracts
Policy: General Counsel

Instructional TV/Media Materials Contracts

  1. SCOPE OF PURPOSE
    The educational and research activities of the University of Delaware can be enhanced by employing modern audiovisual technology. The goal will be to produce audiovisual works of the highest quality through the joint effort of University of Delaware faculty, professional staff, and technical specialists.
  2. POLICY STATEMENT
    It is the policy of the University to provide the necessary facilities and technical staff to create audiovisual works in cooperation with participating instructors and to release and distribute such works in accordance with the foregoing objectives and the following provisions. …

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: Office of Graduate and Professional Education

POLICY NUMBER (Legacy): 4-15

ORIGINATION DATE: June 5, 1989

Policy Source Email https://research.udel.edu/forms-policies-procedures/?entry=51411

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

SUBSCRIBE & CONNECT

From our latest Research Magazine to our latest discoveries, keep in touch with UD Research by signing up for our services below.

Share This