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.

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
Research Development
RO Forms, Policies, and Procedures Search 2019

Forms, Policies and Procedures (4 Procedures Entries)
Procedure: Research Office
Conflict of Interest Disclosure Procedure
Procedure: Research Office

Conflict of Interest Disclosure Procedure

Log in to the Conflict of Interest (COI) Disclosure webform

  • The form describes the different categories of significant financial interest (SFIs) that are required to be disclosed. A table of examples below is provided as a reference. Please know this is not an all inclusive reference, rather, just few examples for illustrative purposes.
  • If answering ‘Yes’ to any of the listed questions, a pull down menu of information required will show. Please provide enough detail to facilitate its assessment.
  • COI web forms will be automatically routed to the chair or direct supervisor and the dean for review and approval.

Faculty and professional staff must complete a new COI disclosure every year, even when they do not have any SFI to disclose. COI disclosures must be submitted, via web form, on an annual basis or within 30 days of any change to previous disclosures. Please click on the link below, and login using your UDNet ID and password. If the link does not take you directly to the form, look for “Conflict of Interest Disclosure Form” under the tab “Blanks.”

Significant Financial Interest (SFI) Must Be Disclosed Does NOT Need To Be Disclosed
Publicly traded entity(ies) Any remuneration from the entity during the previous 12 months that, when aggregated, exceeds $5,000; and/or any equity interest that represents more than 5 percent ownership in a single entity Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles
Non-publicly traded entity(ies) Any remuneration during the previous 12 months received from the entity that, when aggregated, exceeds $5,000; and/or any equity interest  
Intellectual property(ies) Royalties, inventions, discoveries and patents under NOT assigned to UD Royalties, inventions, discoveries and patents under assigned to UD through Policy 6-6, and/or Policy 6-7
Consulting activity(ies) Any arrangements that involve a consulting agreement, or other outside professional activities Seminars, lectures, teaching engagements or income from service on advisory committees or review panels sponsored by a federal, state or local government agency, or an institution of higher education
Entity(ies) related to employee’s institutional responsibilities Participation in, or personal sponsorship from, any entity that invests in, or provides financial support for, activities related to the employee’s University areas of responsibility.  
Commercial enterprise(s) An appointment as an officer, director or any other managerial position in a commercial enterprise; participation in the day-to-day operations, including serving on the scientific advisory board, of a commercial enterprise.  
Potential conflict(s) of interest Situations where students are directed into research areas or other activities from which the employee intends to realize personal financial gain.  
Reimbursed or sponsored travel   Travel reimbursed or sponsored by a federal, state or local government agency, or an institution of higher education


Related Links


Procedure Details:

OWNER: Research Office


Procedure Source Email

Procedure: Research Office
Conflict of Interest Management Procedure
Procedure: Research Office

Conflict of Interest Management Procedure

  • If a COI is determined to exist, a COI management plan is to be developed by the chair and/or dean in agreement with the employee.
  • Please use the template for the COI management plan.
  • Examples of conditions or restrictions that might be imposed to manage a COI include, but are not limited to:
    1. Public disclosure of the conflict (e.g., when presenting or publishing affected research);
    2. Appointment of an independent monitor capable of taking measures to protect against bias resulting from COI;
    3. Change of personnel or personnel responsibilities, and/or modification of the research plan;
    4. Reduction or elimination of a financial interest;
    5. Severance of relationships that create the conflict(s).
  • In addition, please see a detailed guidance for the development of COI management plans in the context of SBIR/STTR awards.
  • Additional information on UD’s COI disclosure and management procedures can be found in the UD COI training module.
  • Further details on reporting requirements specific to PHS-funded research can be found in the Financial Conflict of Interest (FCOI) tutorial provided by NIH.
  • Inquiries concerning Institutional Conflict of Interest should be directed to

Related Links

NIH Conflict of Interest Tutorial


Procedure Details:

OWNER: Research Office


Procedure Source Email

Procedure: Research Office
Foreign Involvement
Procedure: Research Office

Foreign Involvement

Strengthening interdisciplinary and global programs is a strategic priority at the University of Delaware (UD). International collaboration enhances student education, results in increased opportunities for publication and scholarship, and keeps UD investigators on the cutting edge of their fields. These benefits result from foreign collaborators physically working on UD’s campus, collaboration in the form of providing or receiving materials from foreign entities, or receipt of payment from foreign entities. Foreign collaboration, though, could pose a risk. The activity could result in violations of University practice and policy, violations of regulations and requirements, and potential loss of funding.


While international collaborations may be acceptable, UD personnel are expected to disclose foreign involvement to ensure that potential issues are properly addressed and resolved. The following issues should be considered.

To find out more visit Foreign Involvement Best Practices

Subjects covered on this resource are:

  • Conflicts of Interest
  • Export Control
  • Financial Disclosures
  • Foreign Components
  • International Travel
  • Performance Reviews
  • Restricted Party Screening
  • Office of Foreign Assets Control

and more


Procedure Details:

OWNER: Cordell Overby


ORIGINATION DATE: August 12, 2019

Procedure Source Email

Procedure: Research Office
Research Compliance & Ethics Program
Procedure: Research Office

Research Compliance & Ethics Program

The University of Delaware (UD or University), its faculty, staff and students are committed to conducting their research and scholarly endeavors with the highest ethical standards. Consistent with federal government guidelines and requirements, and with widely-recognized best practices to achieve the responsible conduct of research, the University has developed, conducts and maintains current an effective Research Compliance & Ethics Program (RCEP). In doing so, UD exercises due diligence to prevent, detect and correct any research-related conduct that is not consistent with government and best-practice collective tenets. Additionally, the University creates and promotes (in an ongoing fashion) an institution-wide culture that encourages behavior/conduct that is ethical and compliant, and in accord with applicable research-related requirements, guidelines and best practices.

To those ends, the University established and maintains standards and procedures to prevent, detect and correct research-related behaviors that may be (or have the potential to become) aberrant. Methods to keep UD executive leadership knowledgeable with regard to the University RCEP are in place and maintained, so as to accommodate oversight of Program efficacy. Program standards, guidance and training extend to research efforts that include (or potentially include) matters concerning 1) animal care & use, 2) conflict of interest, 3) confidentiality, 4) cost accounting, 5) data management, 6) export controls & trade sanctions, 7) freedom-of-information requests, 8) human subject protection, 9) intellectual property, 10) research integrity and misconduct, 11) research-related agreements and 12) research-related safety (bio-, chemical & hygiene, hazardous substances, radiation and LASER).

The vice president for research, innovation and scholarship, is the University’s chief research administrator and advocate. The Office of Research and Scholarship ensures the presence and maintenance of an adequately-funded and effective research RCEP. Day-to-day operational responsibility for the Program is delegated to the associate deputy provost for research and regulatory affairs, who with colleagues and in cooperation with UD faculty who serve on and chair University compliance and safety committees, are tasked to knowledgeably and competently perform the multi-disciplinary duties needed to ensure that the UD research community goes about its work in a compliant and responsible manner. All University persons performing day-to-day operations aimed at maintaining the integrity of the RCEP 1) have no-known transgressions (past or current) from Program tenets, and 2) have direct access to the Office of the University Research and Regulatory Affairs.

In order to maintain Program effectiveness, the Office of the University Research and Regulatory Affairs oversees and provides a wide spectrum of research-related compliance and ethics training. Training media include web-based presentations and face-to-face presentations. Face-to-face training is offered for groups or individuals, and is offered on regularly scheduled intervals and upon request. Training is typically tailored for students, research-support staff, faculty and other research professionals, across the full spectrum of research-related RCEP topics.

To ensure that UD’s research community adheres to the requirements of the Program, provisions for periodic monitoring and audit are in place. Additionally, the Program offers anonymous avenues for the reporting of University-research activities that may be suspected of being inconsistent with the responsible conduct of research. As a result of an institutional-wide adherence to a Program of recognized and required research-related compliance and ethical morays, UD maintains an ability to provide an open and supportive environment for the conduct of research, while remaining able to quickly identify abhorrent behavior and suspend offenders.

Finally, to help ensure (and confirm) institutional commitment to providing an effective RCEP, the UD Program is periodically assessed internally (with the assistance non-Program University personnel), and modified as necessary to remain aligned with, and responsive to, modifications in federal government and best-practice standards.

Additional information regarding the University RCEP may be accessed by sending an email request to


Procedure Details:

OWNER: Research Office


Procedure Source Email


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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