Forms, Policies & Procedures

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.

Intergovernmental Personnel Assignment

1. SCOPE OF PURPOSE
   To outline the process by which faculty can request approval to accept an Intergovernmental Personnel Assignment (IPA).
2. POLICY

   Faculty members wishing to engage in an IPA with a federal agency must first seek approval from their Department Chair, then the Dean and finally the Provost. Copies of this approved form will be forwarded to the Research Office from the originating department. …

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

Lightning Safety for Outdoor Activities

1. SCOPE OF PURPOSE

   Lightning strikes approximately 1,000 people annually in the United States, causing fatalities in about 1/3 of these cases. Most of these cases involve persons in outdoor, open areas during the period preceding, during, or after a lightning storm. Lightning storms move at speeds of 25 mph or more and lightning can strike as much as 30 miles ahead of or following the main rain cell of a lightning storm, striking from a clear blue sky. Because of this, visual means of lightning detection is inadequate. Further, persons must seek shelter in advance of the visual lightning or the main rain cell.

   To ensure the safety of guests, participants, and staff during outdoor activities and to provide the criteria for suspension and sheltering when lightning is detected approaching or threatening outdoor activities. …

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

Local Exhaust Ventilation Equipment

1. SCOPE OF PURPOSE
   To ensure local exhaust ventilation equipment is designed and installed in accordance with standards and recommended practices for the control of hazardous materials. …

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.

Lockout/Tagout, the Control of Hazardous Energy Sources

1. SCOPE OF PURPOSE
   1. The purpose of this policy is to prevent injuries to employees from the unexpected energizing, start-up or release of stored energy from machines, equipment, or processes when such employees are engaged in activities where they are at risk from these hazardous energy sources.
   2. This policy requires departments to establish and implement procedures for affixing the appropriate lockout/tagout devices to energy isolating devices, and to otherwise disable machines, equipment or processes to prevent unexpected energizing, start-up or the release of stored energy.
2. POLICY
   1. Each department shall ensure that before an employee performs any activities where the unexpected energizing, start-up or release of stored energy could occur and cause injury, all potentially hazardous energy sources shall be isolated, locked/tagged out or otherwise disabled in accordance with the established procedures. …

For a copy of the Lockout/Tagout procedures or more information regarding this policy, contact the Department of Environmental Health and Safety (ext. 8475) or click here.

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

Materials that could Present an Imminent Danger to Health and Safety

1. SCOPE OF PURPOSE
   To control the possession of materials that could present an imminent danger to the life and health of the University community.
2. POLICY
   The possession of hazardous material defined in this policy requires the approval of the appropriate dean, director, chairperson, or administrator, and the Director, Department of Environmental Health and Safety …

For more information regarding the 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.

Medication and Drug Use and Distribution

1. PURPOSE
   To outline the policy pertaining to the use and distribution of drugs and pharmaceuticals at the University.
2. POLICY
   No legend medications (drugs which require prescription) can be purchased, stored, packaged, or dispensed at the University of Delaware by anyone except persons authorized to do so by State and Federal regulations, for example, physicians, nurses acting under direct supervision of physicians, and pharmacists. This does not preclude the use of prescribed medications or over the counter (OTC) medications intended for the specific (individual) use of a patient (students and/or staff).

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

Mentoring Statement for Postdoc

Consistent with institutional tradition and federal government requirements and recommendations, postdoc mentoring activities at the University of Delaware (UD) are designed to enable postdocs to gain knowledge and skills of value in preparation for careers as independent researchers; including careers as faculty members in research-intensive university environments. The mentoring activities are developed specifically for individuals by lead
researchers and are tailored as appropriate for their fields. The UD Research Office (RO) is available to provide supporting materials and/or instruction to assist lead researchers. Typically, individual postdoc mentoring activities incorporate the guidelines that are suggested in the National Science Foundation Proposal and Award Policies & Procedures:

1. Career counseling,
2. Training in the preparation of grant proposals,
3. Publications and presentation,
4. Guidance on ways to improve teaching and mentoring skills,
5. Guidance on how to effectively collaborate with researchers from diverse backgrounds and disciplinary areas, and
6. Training in responsible professional practices.

Lead researchers typically conduct several activities that comprise a substantial portion of the mentoring experience for postdocs. The incorporation of regular laboratory meetings and seminars, regular individual meetings, and manuscript and proposal writing are frequently seen elements.

“Traditional” mentoring activities can be enriched by postdoc participation in RO sponsored workshops that address
1) the basics of proposal writing,
2) the Responsible Conduct of Research (expanded to address mentor/trainee responsibilities), and 3) quantitative andqualitative assessment of University activities.

Lead researchers are encouraged to work with the RO and other UD support units to broaden the impact of their postdoc mentoring activities in two areas. First, UD promotes the broadening via the identification and facilitation of opportunities for postdocs to mentor undergraduate-scholar researchers who are part of groups such as the UD Undergraduate Research Program or minority scholar programs like the McNair Scholars. Second, where applicable, the broadening of the impact is further enhanced at times by the University’s encouragement and facilitation of the application of postdoc-research “by-products” to outreach activities such as the consideration (or improvement) of current societal issues.

Although supported by University research infrastructure (such as the RO), it is important to note that the mentoring of postdocs is individualized (including those activities aimed at broadening impact) and is developed, conducted and overseen by the postdocs’ lead researchers.

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

Non-governmental Research-related Agreements

1. SCOPE OF PURPOSE

   To facilitate the handling and administration of small grants, research and service contracts which do not require federal compliance.

2. POLICY
   College Deans, the Director of DBI, and, with written approval, heads of other academic units which report directly to the Provost or Vice President for Research, Scholarship and Innovation have the authority to enter into and administer certain contracts/agreements that have total dollar amounts up to $50,000. This authority is limited as follows …

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

NSF Two-Month Rule Policy

As a general policy, NSF limits the salary compensation requested in the proposal budget for senior personnel to no more than two months of their regular salary in any one year. It is the organization’s responsibility to define and consistently apply the term “year”, and to specify this definition in the budget justification. This limit includes salary compensation received from all NSF-funded grants. This effort must be documented in accordance with 2 CFR § 200, Subpart E, including 2 CFR § 200.430(i). If anticipated, any compensation for such personnel in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and must be specifically approved by NSF in the award notice budget.

Under normal budgeting authority, a grantee can internally approve an increase or decrease in person months devoted to the project after an award is made, even if doing so results in salary support for senior personnel exceeding the two-month salary policy. No prior approval from NSF is necessary unless the re-budgeting would case the objectives or scope of the project to change.

University Post-Award Guidance

By this policy, NSF intends to limit the amount of funds institutions request from NSF, and therefore the amount NSF will award. Departments should review the proposal budget, budget justification, and award notice to confirm if compensation in excess of two months was already approved within the NSF award. If not already approved and additional effort in excess of two months is required to successfully address the research aspects of the proposed project, submit a re-budget request for internal approval. NSF prior approval is necessary if the objectives or scope of the project change.

Although the NSF two-month rule identifies the salary limit as applicable to “any one year”, for award expenditures UD has defined the year as September – August. Departments should routinely reconcile budget versus expenses, and conduct an annual fiscal review of salary expenditures for the one year period (September – August). Lack of approval and appropriate justification can lead to removal of the salary in excess of two months.

Related Links

NSF Proposal & Award Policies & Procedures Guide (PAPPG)

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

Occupational Exposures to Hazardous Chemicals in Laboratories

1. SCOPE OF PURPOSE
   To ensure all activities related to the use of hazardous chemicals in laboratories are conducted in a safe manner as well as in compliance with OSHA regulations as specified in 29 CFR Part 1910.1450. …

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

Outside Employment

1. SCOPE OF POLICY
   This policy addresses employment outside of the University and applies to all exempt and non-exempt employees.
2. POLICY
   The first duty and responsibility of University employees is to render to the University the most effective service possible. No outside service should be undertaken that might interfere with the discharge of this prime responsibility or bring the employee into conflict with the interests of the University.

   The University will assume no responsibility for outside services rendered by eligible employees, and it must be made clear to any person with whom the University employee works that the work has no official connection with the University. …

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