Chapter 600 Research and Intellectual Property

601. Copyright Use and Ownership

COPYRIGHT USE AND OWNERSHIP POLICY

Authority: Issued by the Chancellor. Changes or exceptions to administrative policies issued by the Chancellor may only be made by the Chancellor.

Category: Research

Applies to: ● Faculty ● Staff ● Students

>History:

Revised – June 4, 2009
Originally Approved - December, 2003 First issued - December, 2003

>Related Policies: Patent and Copyright Polices [UNC Policy 500.2]

Contact for Info:

Provost and Vice Chancellor for Academic Affairs (910) 672-1469
General Counsel (910) 672-1141

I. INTRODUCTION

In pursuit of its mission, it is the policy of Fayetteville State University (FSU) that its faculty, staff and students carry out their scholarly work in an open and free atmosphere, and that consistent with applicable laws and policies, the results of such work by FSU faculty, staff and students are without restraint. To those ends, and in order to effect provisions of the Patent and Copyright Policies of the University of North Carolina (UNC), this Copyright Policy (Policy) is adopted.

This Policy applies to all institutional employees, including, but not limited to faculty, visiting scholars, researchers and staff. This Policy also applies to all students in attendance at FSU, including, but not limited to full-time and part-time, resident and commuter, undergraduate and graduate students.

This Policy supplements the Patent and Copyright Policies of the University of North Carolina, and is subject to any applicable laws and regulations or to specific provisions in grants or contracts that govern rights in copyrighted works created in connection with sponsored research.

II. ADMINISTRATIVE RESPONSIBILITY

The Provost and Vice Chancellor for Academic Affairs (hereinafter referred to as the “Provost”) is responsible for implementing this policy. (Questions and concerns of a legal nature shall be the responsibility of the General Counsel.) In administering the Policy, the Provost shall be responsible for:

Developing, with the assistance of the FSU Intellectual Property Committee, policies and procedures designed to supplement and interpret the ownership aspects of the Policy;
Providing advice regarding ownership of specific works;
Releasing institutional rights;
Accepting an assignment of rights to FSU from an author or creator of a work;
Contracting for the terms of transfer, shared ownership, and/or commercialization of copyrighted works at FSU;
Determining the applicability of the "work for hire" doctrine and the suitability of waiving that doctrine in individual cases; and,
G. Dispute resolution.

III. FSU INTELLECTUAL PROPERTY COMMITTEE

A. Composition

The Intellectual Property Committee (IPC) shall be appointed by the Chancellor and shall be constituted as follows:

FSU Staff
- University Librarian
- Associate Vice Chancellor for Academic Affairs
- Dean of Graduate Studies and Research
FSU Faculty*
- Arts and Sciences (1)
- Business and Economics (1)
- Education (1)
  
  *Following consultation with the members of the faculty senate, the chair of the faculty senate shall recommend to the Chancellor one faculty member from each of the university’s schools/college as a member of the IPC.

The General Counsel shall be an ex officio (non-voting) member of the Committee.

B. Duties

The IPC shall have such responsibilities as the Chancellor may specify concerning copyrights and patents, including but not limited to the following duties:

In accordance with regulations of the UNC Board of Governors, to propose to the appropriate advisory and governing bodies revisions to FSU's policies on the use of copyrighted materials and the ownership of intellectual property;
To monitor developments in intellectual property law as it relates to changes in instructional and communications technology in order to propose to the appropriate advisory and governing bodies' revisions to FSU's policies on the use of copyrighted materials and the ownership of intellectual property;
To provide advice to FSU personnel concerning interpretation of FSU's intellectual property policies and procedures; and,
Under procedures specified below, to hear and recommend resolution of disputes involving copyright ownership. The IPC shall forward its findings and recommendations regarding such disputes to the Provost. Copyright disputes shall be exclusively within the jurisdiction of the IPC.

IV. USE OF COPYRIGHTED WORKS BY FACULTY, STAFF AND STUDENTS

A. Appropriate Use of Copyrighted Works

FSU is committed to complying with all applicable laws regarding copyrights and patents. As an institution devoted to the creation, discovery and dissemination of knowledge, FSU supports the responsible, good faith exercise of full fair use rights, as codified in federal law at 17 US.C. § 107, by faculty, librarians, staff and students in teaching, research, and service activities.

Except as allowed by law, it is a violation of this Policy for FSU faculty, staff or students to reproduce, distribute, display publicly, perform, digitally transmit (in the case of sound recordings), or prepare derivative works based upon a copyrighted work without permission of the copyright owner.

B. Fair Use; Permissible Use

17 US.C. §107, as amended, provides exemptions to certain copyright uses which allows for legitimate use or "fair use" of copyrighted materials for purposes that might otherwise infringe a copyright and violate the rights granted to the copyright holder. These uses include creative, personal and educational fair use.

Elements of Fair Use: Good Faith Consideration Required

FSU faculty, staff or students who propose to make fair use of a copyrighted work must consider in advance the applicability of four

statutory factors to be weighed in making a fair use analysis. These factors are:
1. The purpose and character of the use, including whether the use is of a commercial nature or is for nonprofit educational purposes;
2. The nature of the copyrighted work;
3. The amount and substantiality of the portion used in relation to the copyrighted work as a whole; and,
4. The effect of the use upon the potential market or the value of the copyrighted work.
Procedure for Making Fair Use Determinations

The IPC shall issue and as necessary revise guidelines to assist FSU faculty, staff and students in making fair use evaluations. Faculty, staff or students who require assistance with fair use questions are encouraged to consult with the IPC.
Infringement

The Provost shall make the final determination, on behalf of FSU, as to whether a specific use of a copyrighted work may constitute infringement.

V. COPYRIGHT OWNERSHIP

Ownership of a copyright in a copyrighted work shall depend on the category of the work in question and on the status of its creator. Categories of work defined under this Policy include:

Traditional Works or Non-Directed Works;
Traditional Works or Non-Directed Works Involving Exceptional Use of University Resources;
Directed Works;
Sponsored or Externally Contracted Works; Works Made for Hire;
Works by Independent Contractors; and,
Student Works.

A. Works Created by Faculty or EPA Non-Faculty Employees

Traditional Works or Non-Directed Works
1. Definition. Traditional works or non-directed works are pedagogical, scholarly, literary, or aesthetic works resulting from non-directed efforts. (Such works may include textbooks, manuscripts, scholarly works, fixed lecture notes, distance learning materials not falling into one of the other categories of the Policy, works of art or design, musical scores, poems, films, videos, audio recordings or other works of the kind that have historically been deemed in academic communities to be the property of their creator.)
2. Ownership. The creator of such a work shall own the work unless it is a directed work, a sponsored or externally contracted work requiring FSU ownership of the copyright, a work for hire or a work involving exceptional use of university resources (defined below.) As a condition of employment, faculty and EPA non- faculty creators of a traditional or non-directed work related to their field of employment at FSU, shall be deemed to have granted FSU a non-exclusive, non-transferable, royalty- free license ("shop right") to use the work for FSU's own educational or research purposes unless such a license will impede scholarly publication or similar activities.
  Traditional works or non-directed works for which authorship cannot be attributed to one or a discrete number of authors but instead result from simultaneous/sequential contributions over time by multiple authors shall be owned by FSU.
3. Commercialization. Assignment to University. If FSU is to be involved in commercializing a traditional work or non-directed work, the work's creator shall assign the work to FSU under an Assignment Agreement. The Assignment Agreement shall contain provisions outlining FSU's commercialization responsibilities and a mechanism for sharing commercial proceeds with the author. In such cases, FSU shall own a license as specified in (b) above.
Traditional Works or Non-Directed Works Involving Exceptional Use of University Resources.
1. Definition. Exceptional use of University resources has occurred where FSU has provided support for the creation of the work with resources of a degree or nature not routinely made available to faculty or EPA non-faculty employees. Exceptional use of University resources may include, but not be limited to:
  1. Waiver of fees normally required to use specialized facilities such as equipment, production facilities, service laboratories, specialized computing resources, and studios;
  2. Institutional funding or gifts in support of the work's creation;
  3. Reduction in levels of teaching, service or other typical university activities (e.g., course load, student advising responsibilities, division/department meetings, office hours, administrative responsibilities) specifically to facilitate creation of the work; or,
  4. Any other non-ordinary use of FSU's equipment, property or resources.
  Ordinary or limited use of computers, laboratory space, libraries, office space or equipment, routine secretarial services at routine levels, telephones and other informational resources shall not be considered exceptional use of FSU resources.
2. Ownership. FSU shall own traditional works or non-directed works involving exceptional use of university resources. Whether an individual work has been created through exceptional use of university resources shall be determined initially by the department chair or unit head in which the creator has principally been involved or from which he or she has received resources to fund the work, taking into account the nature and amount of resources customarily made available to faculty or staff in that department.
3. Release to Creator. The Provost, in consultation with the creator's department chair or unit head, may release or transfer FSU's right in a traditional work or non-directed work created through exceptional use of FSU's resources to the work's creator through an appropriate written revenue sharing agreement.
  1. Any agreement for release to a creator of a traditional work or non-directed work created through exceptional use of university resources shall include provisions that FSU shall have a shop right.
  2. If commercialization of the work generates income either, (a) the creator shall reimburse FSU for the exceptional resources provided the creator or, (b) the creator shall share income from such commercialization with FSU. The amount will be negotiated between the creator and the Provost after consultation with the creator’s department chair or unit head.
4. Proceeds. The Provost shall determine how proceeds from the work will be allocated.
5. Disputes. Disputes regarding whether a work has been created through the exceptional use of university resources shall constitute disputes regarding ownership to be resolved under the dispute resolution procedures specified in Section VII. However, decisions regarding financial terms made under item (c) (ii) or item (d) above shall not be subject to appeal under this Policy. In the event that the creator and FSU are unable to reach agreement regarding such financial terms, ownership of the work at issue shall remain with FSU.
Directed Works
1. Definition. A directed work is a work that is specifically funded or created at the direction of FSU. Such funding need not constitute exceptional use of FSU resources in order for the work to be considered a directed work.
2. Ownership. FSU shall own the copyright in a directed work. Where practicable in the estimation of the creator's department chair or unit head and subject to any additional terms or limitations made necessary by FSU licensing agreements, the creator, where shall be granted a shop right.
3. Release to Creator. FSU may release or transfer ownership in directed work to the creator.
  1. Any agreement for release to a creator of a directed work shall include provisions that FSU shall be granted a shop right; and/or,
  2. If commercialization of the work generates income, either (a) the creator shall reimburse FSU for the resources provided the creator in conjunction with creation of the work, or (b) the creator shall share income from such commercialization with FSU, in an amount to be negotiated between the creator and the Provost. The Provost, in consultation with the creator's department chair or unit head, shall determine how proceeds from the work will be allocated.
4. Proceeds. The Provost shall determine how proceeds from the work will be allocated.
5. Disputes. Disputes regarding whether a work is a directed work shall be resolved under the dispute resolution procedures specified in Section VII. However, decisions regarding financial terms made under item (c) (ii) or item (d) above shall not be subject to appeal under this Policy. In the event that the creator and FSU are unable to reach agreement regarding such financial terms, ownership of the work at issue shall remain with FSU.
Joint Ownership

In addition to the foregoing provisions for release to the creator of a directed work, FSU, through the Provost in consultation with the creator's chair, and the creator may alternatively negotiate for joint ownership of the work.

B. Sponsored or Externally Contracted Works

Definition. A sponsored or externally contracted work shall be any work developed using funds supplied under a contract, grant, or other arrangement between FSU and a third party, including a sponsored research agreement.
Disclosure. For a sponsored or externally contracted work created under an agreement that expressly requires copyright ownership by the university, the creator of the work must promptly disclose the work to Provost through the Office of Sponsored Research.
Ownership
1. Creator Owned Work. Unless the agreement expressly requires copyright ownership by FSU or conveyance of rights to a third party, the creator of a sponsored or externally contracted work shall own the work. As a condition of employment, faculty and EPA non-faculty creator-owners of a sponsored or externally contracted work shall be deemed to have granted FSU a shop right.
2. FSU or Third Party Owned Work. FSU shall own a sponsored or externally contracted work where the relevant agreement requires copyright ownership by FSU or conveyance of rights to a third party, in which case FSU will convey rights to the third party as required. In such cases the creator of the copyrighted work shall be required to report the work to the Provost, using such forms and procedures as the university requires.
  Where a proposed sponsored research agreement or research grant will require that copyrighted works be owned by FSU or a third party, the FSU Office of Sponsored Research shall inform the relevant Principal Investigator of the copyright provisions and secure his or her consent, in writing, to such provisions before the agreement is signed or the grant accepted.
Release. Sponsored or externally contracted works owned by FSU may be released to the creator or jointly assigned to the creator and FSU, through the procedures mandated for directed works, where FSU has ascertained that such release will not conflict with the terms of the relevant agreement or grant or with written consent of the other party to the agreement or grant.

C. Works Created by SPA Staff Employees Considered Works Made for Hire

Definition. For purposes of this Policy, a "work made for hire" is:
1. A work prepared by an employee within the scope of his or her employment; or,
2. A work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire.
Ownership. Works made for hire by SPA staff shall be owned by FSU. Exceptions to university ownership may occur with the approval of the Provost. In the case of an exception, FSU shall enter into an agreement with the SPA employee in advance of the creation of the copyrighted work. The agreement shall specify that the work shall be owned in whole or in part by the employee and that proceeds from the work will be negotiated.

D. Works by Independent Contractors

Works produced for FSU by independent contractors shall be considered works made for hire and shall be owned by FSU. No unit or department shall enter into arrangements for work to be produced by an independent contractor without a written contract, signed by an authorized university official, including but not limited to a provision specifying ownership of copyrighted works produced by the independent contractor.

E. Student Works

Definition. Student works are papers, computer programs, theses, dissertations, artistic and musical works, and other creative works made by FSU students.
Ownership and Use. Students shall own the copyright in student works in the following cases:
1. For sponsored or externally contracted works, ownership shall be in accordance with the Section V.B. of the Policy.
2. Student works created in the course of the student's employment by FSU shall be considered works made for hire, and ownership and use of such works shall be as specified in the section of this Policy on works for hire made by SPA employees.
3. Students have a limited right to use classroom, laboratory and other academic materials generated in the instructional process, which are derivatives of an instructor's work for personal educational purposes. A student generating such notes shall not use them for commercial purposes nor may they be posted to Internet sites.
Release. The Provost may release or transfer FSU's right in a work created by a student through an appropriate written agreement which shall specify the respective rights and obligations of the parties.
Joint Ownership. In addition to the foregoing provisions for release to the student-creator of a directed work, FSU, through the Provost may alternatively negotiate for joint ownership of the work.

VI. WORKS SUBJECT TO BOTH COPYRIGHT AND PATENT PROTECTION

Where an invention is thought to be the subject of protection under both patent law and copyright law, if FSU determines to retain title to its patent rights, the inventor/creator shall assign the copyright to FSU. If the work is commercialized, the inventor/creator shall be compensated in accordance with the provisions of all such policies established by the institution.

VII. DISPUTE RESOLUTION

A. Jurisdiction

Any FSU faculty, staff or student may seek resolution of a dispute regarding ownership of a copyrighted work governed by this Policy by filing a written complaint with the Provost. The Provost shall refer such complaints to the Chair of the IPC. The Chair of the IPC shall appoint a panel consisting of at least three (3) members of the IPC and the chair (Dispute Resolution Panel) to hear such a dispute. The IPC shall have exclusive jurisdiction on all issues related to copyrights.

B. Conduct of Hearing

At its discretion, the Dispute Resolution Panel may elect to conduct a hearing into the matter or may make a recommendation based upon the written record, provided that all parties to the dispute are given an opportunity to present evidence and arguments in support of their respective positions. Each party shall provide the other party with a copy of any written materials submitted to the Dispute Resolution Panel at the same time that such materials are submitted to the panel. Any hearing will be conducted following procedures set forth by the panel or promulgated by the IPC. No party shall have the right to be represented by legal counsel before the Dispute Resolution Panel, but any party may be accompanied at a panel hearing by an advisor of his or her choosing who is an employee of FSU. The advisor shall not participate in the hearing.

C. Disposition

The Dispute Resolution Panel shall forward its written findings, conclusions and recommendations to the Provost within thirty (30) calendar days of the appointment of the panel by the IPC Chair. For good cause the IPC Chair extend the time period for submission of the panel's report by not more than an additional thirty (30) calendar days. Copies of such findings, conclusions and recommendations shall be provided to all parties involved. On receipt of the panel's report, the Provost shall issue a written decision in the matter within thirty (30) calendar days of the receipt of the panel's report. The Provost's decision shall be final, subject to appeals permitted under the Code of the University of North Carolina.

602. Facilities and Administrative (F&A) Costs

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FACILITIES AND ADMINISTRATIVE (F&A) COSTS

Authority: Issued by the Chancellor. Changes or exceptions to administrative policies issued by the Chancellor may only be made by the Chancellor.

Category: Research

Applies to: ● Faculty ● Staff ● Students

History:

Revised – April 1, 2018
Revised – July 1, 2013
Revised – July 1, 2009
Revised - February 19, 2008
Revised - July 20, 2007
First Approved - May 2, 2005
First issued - May 2, 2005

Related Policies: University Research Facilities and Administration Receipts Reporting [UNC Policy #500.5]

Contact for Info:

Provost and Vice Chancellor for Academic Affairs (910) 672-1460
Vice Chancellor for Business and Finance (910) 672-1151

I. PURPOSE

Fayetteville State University (University) receives reimbursement of Facilities and Administrative (F&A) costs, which are sometimes referred to as indirect costs or overhead receipts and are related to the awarding of grants and contracts to University. The University will distribute F&A costs recovered from external grants in accordance with this policy. F&A costs shall be calculated monthly based on the percentages outlined in this policy.

This policy is dictated by and in compliance with the University of North Carolina’s Board of Governors policy on Facilities and Administrative costs.

II. RECOVERY OF INDIRECT (F&A) COSTS

The cost for operating a research project shall be charged directly to the grant as direct costs. These direct cost charges may include a percentage of the PI’s salary as well as support for postdoctoral associates, consultants, graduate and/or undergraduate assistants, equipment needed for the research, travel, payment fees for human subjects, and other charges directly relating to conducting the project. Under no conditions should a PI receive any monetary compensation for salary or contractual services from indirect cost.

Unless restricted by the sponsor, all grant and contract proposal budgets submitted for external funding shall incorporate the full prevailing negotiated F&A rate or the approved university rate for a class of sponsors (e.g. corporate sponsors, state government, school districts, etc.).

When the sponsor limits or prohibits the full recovery of F&A costs, the PI must provide a statement from the sponsor concerning the restriction when submitting the proposal for internal review and approval. This statement may be a copy of the applicable policy from the sponsor’s website, request for proposal, grant guidelines, or other documents, or a written statement received directly from the sponsor when no other statement of its policy is available. If the sponsor permits the recovery of F&A costs, but does not specify a rate, the PI shall contact the Office of Sponsored Research and Programs to determine the applicable rate.

When the PI wishes to waive part or all of the full amount of F&A costs that could be recovered, the PI must provide a written statement justifying the waiver when submitting the proposal for internal review and approval, and this statement must be signed by the Vice Chancellor for Business and Finance (or Provost if the Vice Chancellor is not available). Any approved waived amounts should be included in the budget in the in- kind cost sharing column.

III. DISTRIBUTION OF F&A COSTS

The following chart displays the percentage allocation for various University units.

Unit	Allocation
VC for Business and Finance	25%
Principal Investigators	20%
Department Chair, Unit Head, Center/Institute Director	15%
Office of Sponsored Research and Programs	15%
Provost and Vice Chancellor for Academic Affairs	10%
Deans of Colleges	5%
Graduate Council	5%
Reserves	5%
Total Distribution	100%

A. Vice Chancellor for Business and Finance

Administrative support for the Vice Chancellor for Business and Finance (25%) may include payment for leased space, specified salaries, and administrative costs for maintaining facilities, providing security, and other services

B. Principal Investigators (PI)

Eligible PIs will receive twenty percent (20%) of overhead receipts. The funds may be used to support travel, equipment, supplies, student research training, administrative costs not covered by the award, temporary staff and other approved costs.

If faculty members from more than one department are involved in a project, the lead PI and the department of the lead PI will have accounts established. Faculty members are encouraged to determine how indirect costs will be used to support the project prior to submission of the proposal.

In the event that a new PI is assigned to a sponsored program during a fiscal year, the receipts from that year will be assigned to the new PI. Each individual is responsible for managing his or her account. If a PI overspends grant funds, the difference needed to balance the account will be taken from the PI’s account.

C. Department Chair, Unit Head, Center/Institute Director

The administrative unit of the PI (e.g., the PI’s department chair or center director) will receive fifteen (15%) of overhead receipts. These funds may be used to support travel, equipment, supplies, student assistance to conduct research, administrative costs not covered by the award, meetings, professional development for faculty, non-sponsored research and other approved costs.

D. Office of Sponsored Research and Programs

The Office of Sponsored Research and Programs will receive fifteen percent (15%) for initiatives relating to research compliance, recognition, professional development, grant writing workshops, and other approved activities. These initiatives are covered in this category and can be used for costs associated with administrative oversight grants and other Office of Sponsored Research and Programs initiatives.

E. Provost and Vice Chancellor for Academic Affairs

The Provost and Vice Chancellor for Academic Affairs will receive ten percent (10%) of the overhead receipts in order to support infrastructure needs relating to University wide-sponsored research activities. Funds allocated to the Provost and Vice Chancellor for Academic Affairs may also be used to support administrative costs for scholarly activities, in-kind costs for grant recipients, travel, equipment, and other allowable costs.

F. Deans of Colleges

The Dean of the PI’s unit will receive five (5%) of overhead receipts. These funds may be used to support travel, equipment, supplies, student assistance to conduct research, administrative costs not covered by the award, meetings, professional development for faculty, non-sponsored research and other approved costs.

G. Graduate Council

The Graduate Council will receive five percent (5%) of the overhead receipts in order to support graduate research experiences, binding of theses, publication expenses, travel to national meetings for student presentations, poster presentation expenses, graduate student research awards, guest research seminar series, travel to conduct research with off-campus alliances, feasibility studies, and related items.

H. Reserves

Reserves of five percent (5%) will be kept on hand and monitored by the Vice Chancellor for Business and Finance to cover overspending of budgets or other unfunded expenditures that might be associated with grants and contract activities.

IV. DISTRIBUTION OF RECEIPTS

The Office of Sponsored Research and Programs will be responsible for negotiating the total amount of funds associated with sponsored research that can be recovered from F&A costs from the previous fiscal year. The Office of Contracts and Grants will determine the amount of overhead receipts to be distributed per the percentages in the included table and the eligibility of the recipients at the end of each fiscal year. If not already established, recipients must complete a Fund Authority to establish their Indirect Cost Overhead Fund. Annually, a Resource Allocation Budget Form must be completed to budget funds in categories allowable for expenditures.

Overhead funds that remain at the end of a fiscal year in individual accounts will be carried forward. These funds are to be managed by the account holder and the supervisor of the account holder.

603. Financial Conflict of Interest

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FINANCIAL CONFLICTS OF INTEREST
(DHHS/PHS/NIH GRANTS AND CONTRACTS)

Authority: Issued by the Chancellor. Changes or exceptions to administrative policies issued by the Chancellor may only be made by the Chancellor.

Category: Research

Applies to: ● Administrators ● Faculty ● Staff ● Students

History: First Issued – August 17, 2012

Related Policies:

Conflicts of Interest and Commitment and External Professional Activities for Pay
Promoting Objectivity in Research [42 C.F.R. Part 50, Subpart F]

Contact for Info:

Provost and Vice Chancellor for Academic Affairs (910) 672-1460
Office of Sponsored Research and Programs (910) 672-1570

I. INTRODUCTION

Financial Conflict of Interest (FCOI) regulations have been issued by the Public Health Service (PHS) of the U. S. Department of Health and Human Services which includes the National Institutes of Health (NIH). The intent of these regulations is to promote objectivity in research by establishing standards that provide a reasonable expectation that the design, conduct, and reporting of research funded by the PHS under grants, cooperative agreements or contracts will be free from bias resulting from the financial conflicts of interest.

Fayetteville State University (University) has issued this Policy for the purpose of ensuring compliance with these regulations. All Investigators (as defined in Section II below) applying for funds from PHS agencies are obliged to comply with the requirements of this Policy. This Policy is being issued as a supplement to the University’s Conflict of Interest and Commitment policy

II. DEFINITIONS

The following definitions shall apply to this Policy:

A. Financial Conflict of Interest (FCOI)

A Financial Conflict of Interest is defined as a Significant Financial Interest that could directly and significantly affect the design, conduct, or reporting of PHS-funded research.

B. Financial Interest

Financial Interest is defined as anything of monetary value, whether or not the value is readily ascertainable.

C. Investigator

An Investigator is defined as the principal investigator stated in the application and other personnel, who would be responsible for the design, conduct, or reporting of research funded by the PHS or proposed for such funding, which may include, for example, consultants and unpaid collaborators. In determining who is considered an investigator, the University shall consider the role, rather than the title, of those involved in the research and the degree of independence with which those individuals work. The lead principal investigator on a proposed PHS application for funding is responsible for obtaining a PHS Disclosure Form for all participating Investigators.

D. PHS

PHS means the Public Health Service of the U.S. Department of Health and Human Services, and any components of the PHS to which the authority involved may be delegated, including the National Institutes of Health (NIH).

E. PHS Awarding Component

PHS Awarding Component is defined as the organizational unit of the PHS that funds the research that is subject to Policy.

F. Research

Research is defined as a systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge relating broadly to public health, including behavioral and social-sciences research. The term encompasses basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test or drug), the term includes any such activity for which research funding is available from a PHS Awarding Component through a grant or cooperative agreement, whether authorized under the PHS Act or other statutory authority, such as a research grant, career development award, center grant, individual fellowship award, infrastructure award, institutional training grant, program project, or research resources award.

G Significant Financial Interest

A Significant Financial Interest is defined as a financial interest consisting of one or more of the following interests of the Investigator (and those of the Investigator’s spouse and dependent children) that reasonably appears to be related to the Investigator’s University’s responsibility:

Remuneration from a Publicly Traded-Entity - With regard to any publicly traded entity, a Significant Financial Interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000.

For purposes of this definition, remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship); equity interest includes any stock, stock option, or other ownership

interest, as determined through reference to public prices or other reasonable measures of fair market value.
Remuneration from a Privately Held Entity - With regard to any non-publicly traded entity, a Significant Financial Interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the Investigator (or the Investigator’s spouse or dependent children) holds any equity interest (e.g., stock, stock option, or other ownership interest).
Intellectual Property - Intellectual property rights and interests (e.g., patents, copyrights), upon receipt of income related to such rights and interests.

Significant Financial Interest also includes Travel Reimbursements - Investigators must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of the Investigator and not reimbursed to the Investigator so that the exact monetary value may not be readily available) related to their University responsibilities in the twelve (12) months preceding the disclosure; provided, however, that this disclosure requirement does not apply to travel that is reimbursed or sponsored by a federal, state, or local government agency, an institution of higher education (as defined at 20 U.S.C. 1001(a)), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education.

The term Significant Financial Interest does not include the following:

salary, royalties, or other remuneration paid by the University to the Investigator if the Investigator is currently employed or otherwise appointed by the Institution, including intellectual property rights assigned to the Institution and agreements to share in royalties related to such rights;
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;
income from seminars, lectures, or teaching engagements sponsored by a Federal, state, or local government agency, an institution of higher education (as defined at 20 U.S.C. 1001(a)), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education; or
income from service on advisory committees or review panels for a Federal, state, or local government agency, an institution of higher education (as defined at 20 U.S.C. 1001(a)), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education.

H. University Responsibility

University Responsibility shall mean an Investigator’s professional responsibilities on behalf of the University, including activities such as research, teaching, service or other professional responsibilities, academic activities, scholarly events, institutional committee memberships, and service on panels such as Institutional Review Boards or Data and Safety Monitoring Boards.

III. DISCLOSURE OF FINANCIAL INTERESTS

Each Investigator who is planning to participate in PHS-funded research shall disclose to the University’s Research Compliance Officer the Investigator’s Significant Financial Interests (and those of the Investigator’s spouse and dependent children). Such information shall be disclosed on the University’s PHS Disclosure Form. The disclosures shall be timely made as follows:

A. Prior to Submission/Initiation of Research

Prior to an Investigator’s submission of a grant application or the University’s execution of a cooperative agreement or sponsored research contract, whether funded or not, each Investigator shall be required to submit the PHS Disclosure Form describing any Financial Interest held by the Investigator, the Investigator’s spouse, or any dependent child of the Investigator that the Investigator determines to be reasonably related to the Investigator’s University Responsibilities. The PHS Disclosure Form shall be submitted to the University’s Research Compliance Officer.

B. Annual Update to Disclosure

Each Investigator who submits a PHS Disclosure Form to the University is required to update that disclosure annually during the period of the award or, for non-sponsored research, annually during the conduct of the project. Annual updates must be submitted by April 30th of each calendar year.

It is the responsibility of the principal investigator or project director of a research project to ensure that each Investigator, working on or who will work on a project, submits a timely annual update to a previously-submitted PHS Disclosure Form.

The annual update shall be submitted to the Research Compliance Officer, who will then review any updated Financial Interest disclosed.

C. Updating or Submitting a New Disclosure in an Ongoing Project

Whenever, in the course of an ongoing PHS-funded research project, an Investigator who is new to participating in the research project discloses a Significant Financial Interest or an existing Investigator discloses a new Significant Financial Interest to the University, the Research Compliance Officer shall ensure that the following is done within sixty (60) days:

review the disclosure of the Significant Financial Interest,
determine whether it is related to PHS-funded research, and
determine whether a FCOI exists, and, if so, notify the Associate Vice Chancellor for Research of the need to implement, on at least an interim basis, a management plan that shall specify the actions that have been and will be taken to manage the FCOI.

Depending on the nature of the Significant Financial Interest, the University may determine that additional interim measures are necessary with regard to the Investigator’s participation in the PHS funded research project between the date of disclosure and the completion of the University’s review.

IV. REVIEW OF PHS DISCLOSURE FORMS

PHS Disclosure Forms submitted by Investigators shall initially be reviewed by the University’s Research Compliance Officer. If a determination is made that a FCOI exists, further review by appropriate University officials will be necessary.

A. Review by Research Compliance Officer

The Research Compliance Officer shall review all PHS Disclosure Forms and determine whether an Investigator’s Significant Financial Interest is related to PHS-funded research and, if so related, whether the Significant Financial Interest is a FCOI. An Investigator’s Significant Financial Interest is related to PHS-funded research when the Research Compliance Officer reasonably determines that the Significant Financial Interest could be affected by the PHS-funded research or is in an entity whose financial interest could be affected by the research. A FCOI exists when the Research Compliance Officer reasonably determines that the Significant Financial Interest could directly and significantly affect the design, conduct, or reporting of the PHS-funded research.

B. Review by the Associate Vice Chancellor for Research

If a determination is made by the Research Compliance Officer that a disclosed financial interest constitutes a Significant Financial Interest and that a FCOI may exists, the Research Compliance Officer shall notify the Associate Vice Chancellor for Research. The Associate Vice Chancellor for Research, in consultation with the Dean of the school or college where the Investigator has an appointment, shall review the submitted materials and determine if an actual or potential FCOI exists.

If after consulting with the Dean, the Associate Vice Chancellor for Research determines that no FCOI exists, the Associate Vice Chancellor for Research shall notify the appropriate parties to proceed with acceptance of the proposal and/or award, as applicable.

If after consulting with the Dean, the Associate Vice Chancellor for Research reasonably determines that the Significant Financial Interest could directly and significantly affect the design, conduct, or reporting of the PHS-funded research, the Associated Vice Chancellor shall follow the procedures outlined in Section V below.

V. IDENTIFICATION OF A FINANCIAL CONFLICT OF INTEREST

A. Significant Financial Interests Less than or Equal to $10,000.00

For cases involving the disclosure of a Significant Financial Interest having a value less than $10,000.00, the Associate Vice Chancellor for Research shall be responsible for determining whether further action is required to implement conditions designed to manage the conflict and if so, determining the necessary components of a management plan. A management plan shall be developed in consultation with the Investigator, the appropriate Department Chair or Director and the Investigator’s Dean. The Associate Vice Chancellor for Research may also consult with others as needed.

B. Significant Financial Interests Greater than $10,000.00

For cases involving the disclosure of a Significant Financial Interest having a value greater than $10,000.00, the Associate Vice Chancellor for Research and the Department appropriate Department Chair or Director, the Dean and the Chair of the Ethics Committee shall be responsible for determining whether further action is required to implement conditions designed to manage the conflict and if so, determining the necessary components of a management plan. A management plan shall be developed in consultation with the Investigator, the appropriate Department Chair or Director, the Investigator’s Dean and the Chair of the Ethics Committee. The Associate Vice Chancellor for Research may also consult with others as needed.

VI. MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS

When a determination has been made that a FCOI exists, the individual or individuals mentioned above will develop and implement a plan to manage the FCOI. Managing the conflict should include reducing or eliminating the FCOI to ensure, to the extent possible, that the design, conduct and reporting of research will be free from bias.

Conditions or restrictions that may be imposed to manage a FCOI include, but are not limited to the following:

Public disclosure of financial conflicts of interest (e.g., when presenting or publishing the research);
For research projects involving human subjects research, disclosure of financial conflicts of interest directly to participants;
Appointment of an independent monitor capable of taking measures to protect the design, conduct, and reporting of the research against bias, or the appearance of bias, resulting from the financial conflict of interest;
Modification of the research plan;
Change of personnel or personnel responsibilities, or disqualification of personnel from participation in all or a portion of the research;
Reduction or elimination of the financial interest (e.g., sale of an equity interest); and
Severance of relationships that create actual or potential financial conflicts.

When the University implements a management plan pursuant to this Policy, the Research Compliance Officer shall be responsible for monitoring the Investigator’s compliance with the management plan on an ongoing basis until the completion of the PHS-funded research is completed.

VII. SUBRECIPIENTS COMPLIANCE AND REPORTING

Any University PHS%ndash;funded research carried out through a subrecipient (e.g., subcontractors or consortium members), shall include as part of a written agreement with the subrecipient terms that establish whether the University’s or the subrecipient’s policy on conflict of interest in research will apply to the subrecipient’s Investigators.

If the subrecipient’s policy will apply, the subrecipient shall certify as part of the agreement that its policy complies with the PHS regulations on Objectivity in Research. If the subrecipient cannot provide such certification, the agreement shall state that subrecipient’s Investigators are subject to this Policy for the disclosure of Significant Financial Interests that are directly related to the subrecipient’s work for the University.

If the subrecipient can provide such certification, the agreement shall specify time period(s) for the subrecipient to report all identified FCOIs to the University to enable the University to provide timely reports to the PHS Awarding Component.

Alternatively, if the University’s Policy will apply, the agreement shall specify time period(s) for the subrecipient to submit all subrecipient Investigator disclosures of Significant Financial Interests to the University. Such time periods (, i.e., prior to the expenditure of funds and within sixty (60) days of any subsequently identified FCOI) shall be sufficient to enable the University to comply with timely review, management, and reporting obligations to the PHS Awarding Component.

VIII. REPORTING REQUIREMENTS

A. Reporting Financial Conflicts of Interests

Prior to expending any funds under a PHS-funded grant, cooperative agreement or contract, the University, through the Associate Vice Chancellor for Research, shall provide to the PHS Awarding Component an FCOI report regarding any Investigator’s Significant Financial Interest found by the University to be a FCOI. This report shall be submitted by the Associate Vice Chancellor for Research on behalf of the University. If the FCOI is eliminated prior to the expenditure of PHS-awarded funds, the University will not be required to submit an FCOI report to the PHS Awarding Component.

B. Reporting After Filing an Initial Report

If subsequent to the University’s initial FCOI report, the University identifies any

Significant Financial Interest as being a FCOI during an ongoing PHS-funded research project (e.g., upon the participation of an Investigator who is new to the research project), the University shall submit a FCOI report regarding the FCOI and ensure that a management plan has been implemented, at least on an interim basis. Such must be done within sixty (60) days of the identification of the FCOI.

FCOI report involves a significant

C. Annual Reports

For any financial conflict of interest previously reported by the University with regard to an ongoing PHS-funded research project, the University shall provide to the PHS Awarding Component an annual FCOI report that addresses the status of the FCOI and any changes to the management plan for the duration of the PHS-funded research project. The annual FCOI report shall specify whether the financial conflict is still being managed or explain why the FCOI no longer exists. The University shall provide annual FCOI reports to the PHS Awarding Component for the duration of the project period (including extensions with or without funds) in the time and manner specified by the PHS Awarding Component.

IX. NONCOMPLIANCE

A. Failure to File or Truthfully Disclose

Failure to file a PHS Disclosure Form or truthfully disclose a Significant Financial Interest as required by this Policy constitutes a violation of this Policy and may be violation of state and/or federal law.

Such failure shall subject the Investigator to appropriate sanctions consistent with applicable disciplinary policies. In addition, the University may suspend an ongoing research project, halt the expenditure of funds, or suspend technology transfer activity to prevent continued violation of this Policy. The University shall also consider the withdrawal of any affected applications for funding if the project cannot otherwise be completed without the services of the Investigator.

If the Investigator’s failure to file or truthfully disclose plan appears to have biased the design, conduct, or reporting of the PHS-funded research, the Associate Vice Chancellor for Research shall promptly notify the PHS Awarding Component of the corrective action taken or to be taken.

B. Failure to Comply with a Management Plan

Failure to comply with the conditions or restrictions imposed in the resolution, management, or elimination of an FCOI constitutes a violation of this Policy and may be violation of state and/or federal law.

If the Investigator’s failure to comply with the management plan appears to have biased the design, conduct, or reporting of the PHS-funded research, the Associate Vice Chancellor for Research shall promptly notify the PHS Awarding Component of the corrective action taken or to be taken.

C. Retrospective Review for Untimely Disclosures

In the event the University identifies a Significant Financial Interest that was not disclosed in a timely manner such as the following:

failure by the Investigator to disclose a significant financial interest that is determined by the Institution to constitute a financial conflict of interest,
failure by the Institution to review or manage such a financial conflict of interest, or
failure by the Investigator to comply with a financial conflict of interest management plan,

and where it has been determined that the undisclosed Significant Financial Interest constitutes a FCOI related to a PHS-funded research project, the Associate Vice Chancellor for Research shall, within 120 days of the University’s determination of noncompliance, complete a retrospective review of the Investigator’s activities and the PHS funded research project. Such a review shall occur to determine whether any PHS- funded research, or portion thereof, conducted during the time period of the noncompliance, was biased in the design, conduct, or reporting of such research.

If the Associate Vice Chancellor for Research determines in the conduct of the retrospective review of PHS%ndash;funded research that the research or any part of it was biased, the Associate Vice Chancellor for Research shall recommend a mitigation plan to the Provost and Vice Chancellor for Academic Affairs to address any such issues.

The Associate Vice Chancellor for Research shall also update the previously submitted FCOI report, specifying the actions that will be taken to manage the FCOI in the future. If bias is found, the Associate Vice Chancellor for Research will promptly notify and submit a mitigation report to the PHS Awarding Component.

X. RECORDS

The University, through its Office of Sponsored Research and Programs shall maintain records relating to all Investigator disclosures of Financial Interests and the University’s review of, and response to, such disclosures (whether or not a disclosure resulted in the University’s determination of a FCOI) and all actions under the University’s policy or retrospective review, if applicable, for at least three (3) years from the date the final expenditures report is submitted to the PHS Awarding Component or, where applicable, from other dates specified by federal laws or regulations.

XI. TRAINING

Prior to engaging in a PHS-funded research project, all Investigators shall complete training on the Investigator’s obligations under this Policy. This training must be repeated at least every four years and must be completed immediately if this Policy is revised so as to affect the Investigator’s obligations, if an Investigator is new to the University, or if the University finds an Investigator to have violated this Policy or any applicable management plan.

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604. Patents and Inventions

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PATENTS AND INVENTIONS

Authority: Issued by the Chancellor. Changes or exceptions to administrative policies issued by the Chancellor may only be made by the Chancellor.

Category: Research

Applies to: ● Administrators ● Faculty ● Staff ● Students

History: First Issued – January 15, 2020

Related Policies/Regulations/Statutes:

Copyright Use and Ownership
Patent and Copyright [UNC Policy #500.2]

Contact for Information:

Office of Legal Affairs (910) 672-1145
Division of Academic Affairs (910) 672-1460

I. PURPOSE

Fayetteville State University’s (University) mission of discovering and transmitting knowledge and providing service to the public creates an environment that is conducive to the conception and development of inventions. These efforts may have commercial value, which is enhanced through the use of patents. The purpose of this Policy is to define the rights and responsibilities of the University and its faculty, staff, and students with respect to ownership and administration of such inventions.

II. APPLICABILITY

This Policy applies to all University employees (full-time, part-time, temporary and permanent) and all currently enrolled University students. Upon prior written agreement between the University and individuals not associated with the University, this Policy may be applied to individuals who make their inventions available to the University under circumstances where the further development and refinement of the inventions are compatible with the research programs of the University.

III. DEFINITIONS

A. Scope of Employment means directly related to employment responsibilities at the University.
B. Gross Revenue means all income actually received by the University from a patent or invention including proceeds from any stock or equity interest.
C. Invention means technical information, trade secrets, developments, discoveries, inventions, processes, compositions, life forms, know-how, methods, formulae, data, processes and other proprietary information or matter, whether patentable or not.
D. Inventor means one who makes an inventive contribution to the invention and, for patentable subject matter, meets the criteria for inventorship under United States patent laws and regulations, meaning that an inventor must have contributed to the conception of ideas claimed in a patent.
E. Net Revenue means gross revenue minus all direct out-of-pocket costs associated with the University’s ownership and/or administration of an invention, including but not limited to costs involving the following:
- evaluating invention disclosures, patentability or trademark searches,
- drafting and prosecuting intellectual property applications,
- preparing and recording assignments,
- maintaining patents or other intellectual property,
- marketing and licensing of inventions, and
- litigation costs involved in the enforcement or protection of the invention.
F. Patent Trust Fund
G. Substantial Use of University Resources means the use of University- administered funds or the use of facilities, personnel, equipment, materials, or other resources available to the inventor because of the inventor’s affiliation with the University. De minimis use of an office, library resources, University-issued computer, and/or software, is not regarded as substantial use of University resources.
For students enrolled in a course of study, use of course laboratory, computing and library facilities, software, supplies and materials at a level ordinarily provided to students in the course are not considered to be substantial use of University resources.

IV. OWNERSHIP

All inventions resulting from the following shall be the property of the University:

research or other activities conducted with University-administered funds,
activities within the scope of the inventor's employment, or
activities involving the substantial use of University resources.

As a condition of employment or enrollment and attendance, such invention shall be assigned by the University inventor to the University in a manner determined by the University. Also, upon request by the University, the inventor shall execute promptly all contracts, assignments, waivers or other legal documents prepared by the University that are necessary to vest in the University or its assignees any or all rights to the invention, including complete assignment of any patents or patent applications relating to the invention The University may also have an interest in inventions under the terms of contracts, grants, or other agreements.

University inventors shall not sign intellectual property rights agreements with outside persons or organizations which may abrogate the University’s rights and interests as stated in this Policy or as provided in any grant or contract funding the invention. Also, University students and employees shall not, without prior authorization use the name of the University or any of its units in connection with any invention in which the University has a right or interest.

V. DUTY TO DISCLOSE

A. Invention Disclosure

All inventors, either alone or in association with others, who develop an invention at any time during the period of their employment or enrollment are obligated to disclose inventions promptly in accordance with this Policy.

Inventors who claim that their inventions were developed without the use University- administered funds, outside of the scope of the inventor's employment, or without the substantial use of University resources are also obligated to disclose inventions promptly in accordance with this Policy.

Inventions shall be formally disclosed on the invention disclosure form (IDF) (Appendix A). Acknowledgement of the disclosure shall be made to all inventors listed on the IDF. The inventors will be notified if additional information is required either to complete the IDF or aid in the process of assessment and evaluation of the invention.

B. Disclosure involving External Parties

Collaborative Invention

If a University inventor develops an invention through collaboration with parties external to the University, the University inventor shall promptly disclose the invention in accordance with this Policy.
Non-Collaborative Disclosure

If an invention is disclosed to any person who is not employed by the University or is not otherwise committed to maintain such invention in confidence, the inventor shall keep a written record of the date and extent of each such disclosure, the name and address of the person to whom the disclosure was made, and the purpose of the disclosure.

C. Request to Waive University Rights

If an inventor believes that the invention was developed without the use of University- administered funds, outside of the scope of the inventor's employment, or without the substantial use of University resources, the inventor may, on the IDF, request that a waiver

of the University’s rights be granted. The appropriate University officials, in consultation with the Patents and Inventions Committee (PIC), shall determine the respective rights of the University and the inventor in the invention.

If a waiver of the University’s rights is granted, the inventor may submit the invention to the University for possible patenting and/or commercialization and management under terms to be agreed to by the inventor and the University.

VI. PATENTS AND INVENTIONS COMMITTEE

Under the UNC Board of Governors’ Patent and Copyright Policies the Chancellor has authority to appoint a patent committee and to designate the Chair of the committee.

A. Membership

The Committee shall be composed of no more than ten (10) or no less than five (5) University employees. The Provost and Vice Chancellor for Academic Affairs and the General Counsel shall serve as ex-officio non-voting members of the Committee. The Associate Vice Chancellor for Research shall serve as an ex- officio voting member of the Committee.

B. Duties and Responsibilities

The Patent and Inventions Committee shall have duties pursuant to the aforementioned UNC policy. Those duties include, but are not limited to the following:

Review and recommend to the Chancellor or his or her designee the procedures for the implementation of the UNC Board of Governors’ Patent and Copyright Policies;
Make recommendations regarding terms of contractual licensing agreements
Resolve questions of invention ownership that may arise between the University and its faculty, staff, or students or other individuals;
Recommend to the Chancellor expenditures from the Patent Trust Fund;
Make recommendations as are deemed appropriate to encourage research with commercial potential, together with appropriate disclosure of that research; and
Assure prompt and expeditious handling, evaluation, and prosecution of patent opportunities.

C. Review of Invention Disclosure Forms

The Patents and Inventions Committee shall promptly review and consider each Invention Disclosure Form. The PIC shall recommend to the Provost and Vice Chancellor for Academic Affairs (Provost) the proper disposition of each invention reviewed by the PIC. The PIC’s recommendation may include, but not be limited to, one or a combination of the following:

To acknowledge receipt of the disclosure but take no further action pending the results of further experimentation or other work deemed necessary in order to determine the proper course of action regarding commercialization;
To submit the invention for review by a patent firm;/li>
To make or cause to be made inquiries of potential licensees as to their interest in the invention and their willingness to finance a patent application, where applicable;
To study the feasibility of applying for a patent with University resources (an option with limited application because of financial constraints); and
In certain cases, to release the University’s rights to the inventor subject to an agreement to protect the interests of the University, including an obligation to compensate the University and/or to recognize the University’s contribution.

The inventor shall be notified, in writing, of the PIC’s recommendation to the Provost. The Provost will subsequently notify the inventor of the Provost’s decision.

Notwithstanding the foregoing, in cases requiring immediate decisions concerning the filing of patent applications necessary to preserve the University’s patent rights, the Provost may authorize the immediate filing of a patent application subject to the availability of funds. The PIC Chair shall report any such authorizations to file patent applications at the next scheduled meeting of the Committee.

VII. REVENUE SHARING

The University shall share a portion of net revenue it receives from patents or inventions as noted below unless applicable laws, regulations or provisions of grants or contracts require that a lesser share be paid to the inventor.

A. Distribution

The net revenues that the University receives from a patent or invention including proceeds from any stock or equity interests shall be distributed as follows:

Inventor(s)	College	Department/Unit	Patent Trust Fund
40%	5%	5%	50%

Income from the Patent Trust Fund will be dedicated to supporting University research and commercialization activities. Allocations from the Patent Trust Fund shall be made by the chancellor after receiving recommendations from the PIC.

B. Co-Inventors

When two or more co-inventors are associated with an invention, the applicable percentage of net revenue shall be divided equally unless all co-inventors, prior to first distribution of net revenue, establish in a written agreement that all inventors agree to an alternative share of royalties. Request for a non-equal distribution of net revenue must be submitted in writing to the Provost and Vice Chancellor for Academic Affairs for approval.

C. Minimum

In no event may the amount payable by the University to the inventors in the aggregate be less than 15% of gross revenue received for an invention.

VIII. PUBLICATION AND PUBLIC USE

The University strongly encourages scholarly publications of the results of University research. However, publication or public use of an invention constitutes a statutory bar to the granting of a United States patent for the invention unless a patent application is filed within one (1) year of the date of such publication or public use. Publication or public use also can be an immediate bar to patentability in certain foreign countries.

In order to preserve rights in unpatented inventions, after an invention has been disclosed, each inventor shallpromptly notify the Patent and Inventions Committee Chair of any plans to submit a manuscript for publication, or to make available for public use, an invention for which an IDF has previously been filed. This required action is not intended to preclude the right to publish, but for a limited period of time to protect any patent rights.

IX. AVOIDANCE OF CONFLICTS

Prior to signing any consulting agreement that involves patent rights, trade secrets, or the like, where there has been a substantial use of University resources, the agreement must be reviewed by the Office of Legal Affairs and approved by the Provost and Vice Chancellor for Academic Affairs. Either a waiver of University rights must be obtained, or the agreement must be modified in order to conform to University policies.

External activities involving University inventions are subject to disclosure requirements specified in the University’s External Professional Activities Policy of Faculty and Other Professional Staff and the University’s Policy on Conflicts of Interests and Commitments.

605. Centers and Institutes

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Patent and Copyright Policies

I. Policy

The University of North Carolina is dedicated to instruction, research, and extending knowledge to the public (public service). It is the policy of the University to carry out its scholarly work in an open and free atmosphere and to publish results obtained there from freely. Research done primarily in anticipation of profit is incompatible with the aims of the University. The University recognizes, however, that patentable inventions sometimes arise in the course of research conducted by its employees and students using University facilities. The Board of Governors of the University of North Carolina has determined that patenting and licensing of inventions resulting from the work of University personnel, including students, is consistent with the purposes and mission of the University.

The aim of the patent policies of the University is to promote the progress of science and the useful arts by utilizing the benefits of the patent system consistent with the purposes for which it was established by Article I, Section 8, of the Constitution of the United States:

The Congress shall have power . . To promote the progress of science and useful arts by securing for limited times to authors and inventors the exclusive right to their respective writings and discoveries.

Patents provide a means to encourage the development and utilization of discoveries and inventions. These policies have been established to ensure that those inventions in which the University has an interest will be utilized in a manner consistent with the public good through patents, licenses, or otherwise. The University is also aware of the value of patents in directing attention to individual accomplishment in science and engineering. Where possible, the University should make inventions resulting from its research available to industry and the public on a reasonable and effective basis and at the same time provide adequate recognition to inventors. Patents and their exploitation, however, represent only a small part of the benefits accruing to the public from the research program of the University.

A portion of the research conducted by the University is supported by government and a portion by private industry. Service to the public, including private industry, is an integral part of the University's mission. In agreements with private industry or other private organizations, the constituent institutions of the University must keep the interests of the general public in view. The rights and privileges set forth in cooperative agreements or contracts, with respect to patents developed as a result of research partly or wholly financed by private parties, must be fair and just to the inventor(s), the sponsor and the public. Research should be undertaken by the University under support from private parties only if it is consistent with and complementary to the University's goals and responsibilities to the public.

II. Objectives

The principal objectives of the University of North Carolina Patent and Copyright Policies set forth herein are:

to provide appropriate incentive to creative intellectual effort by faculty, staff, students, and others associated with the constituent institutions of the University;
to establish principles for determining the interests of the constituent institutions, inventors, and sponsors in regards to inventions and/or discoveries;
to enable the constituent institutions to develop procedures by which the significance of inventions and/or discoveries may be determined and brought to the point of commercial utilization;
to provide the means for placing in the public realm the results of research, while safeguarding the interests of the University, inventor, and sponsor; and
to recognize the right of the inventor to financial benefits from the invention or discovery.

III. Coverage

The University of North Carolina Patent and Copyright Policies apply to all University employees at each constituent institution, both full and part time, including faculty, other professionals exempt from the Personnel Act, staff subject to the Personnel Act, and students of each constituent institution. Upon prior written agreement between persons and the constituent institutions, these policies may be applied to persons not associated with the University who make their inventions available to the institutions under circumstances where the further development and refinement of the inventions are compatible with the research programs of the constituent institutions.

IV. Patent Ownership

Condition of Employment and Enrollment

The patent and copyright policies of the University of North Carolina, as amended from time to time, shall be deemed to be a part of the conditions of employment of every employee of each constituent institution, including student employees, and of the conditions of enrollment and attendance by every student at each constituent institution.

Ownership

With the exception of "Inventions made on Own Time," hereinafter defined, every invention or discovery or part thereof that results from research or other activities carried out at a constituent institution, or that is developed with the aid of the institution's facilities, staff, or through funds administered by the constituent institution, shall be the property of the constituent institution and, as a condition of employment or enrollment and attendance, shall be assigned by the University inventor to the constituent institution in a manner determined by the constituent institution in accordance with these policies.

Patent Application

Patents on inventions made by University employees or students, may be applied for in any country by the constituent institution or through an authorized agent(s) or assignee(s). The constituent institution shall exercise its rights of ownership of such patent(s), with or without financial gain, with due regard for the public interest, as well as the interests of inventors and sponsors concerned.

Inventions Made on Own Time

Inventions or discoveries made by University personnel or students entirely on their personal time and not involving the use of University facilities or materials are the property of the inventor except in case of conflict with any applicable agreement between the institution and the federal or state government or agency thereof. For purposes of this provision, an individual's "personal time" shall mean time other than that devoted to normal or assigned functions in teaching, extension, University service, or direction or conduct of research on University premises or utilizing University facilities. The term "University facilities" shall mean any facility, including equipment and material, available to the inventor as a direct result of the inventor's affiliation with the University, and which would not be available to a non-University individual on the same basis.

Personnel or students who claim that inventions are made on personal time have the responsibility to demonstrate that inventions so claimed are invented on personal time. All such inventions shall be disclosed in accordance with the institutions’ disclosure procedures applicable to inventions made on University time or with the use of University facilities, materials or equipment, and shall demonstrate the basis of the inventor's claim that only personal time was utilized. In each instance so demonstrated to conform to the definition of personal time, the institution shall acknowledge in writing that the invention is the sole property of the inventor in accordance with the "waiver" provision, below.

If the inventor so desires, inventions or discoveries made on personal time and utilizing the inventor's own facilities and materials may be assigned to the institution. Under this arrangement, the procedures will be the same as for inventions or discoveries made by University personnel on University time and/or with the use of University facilities and materials.

Waiver and Release of University Rights

Pursuant to these policies and to its patent procedures, a constituent institution, after consultation with the inventor, shall cause its rights to subsequent patents, if any, to be waived to the inventor if the institution is convinced that no University facilities, time, or materials were used in the development of the discovery or invention, that it was made on personal time, and that such waiver would not conflict with any pertinent agreement between the institution and a sponsoring agency or agencies.

Pursuant to these policies and to its patent procedures, a constituent institution, after consultation with the inventor, may in its discretion and upon such terms as it deems appropriate, cause its rights to the discovery or invention, if any, to be released and waived to the inventor if the institution is convinced that the discovery or invention is clearly one that is non-patentable, that it does not warrant further evaluation as to patentability, or if the discovery or invention has been returned to the institution after negative evaluation by the institution's agent(s).

V. Income From Patents

The Inventor

The inventor shall receive not less than fifteen percent (15%) of the gross royalties derived from licensing or income from assignment or sale of each patent resulting from his invention and owned by the constituent institution pursuant to these policies. With this limitation, the exact proportion shall be determined in accordance with the institution's patent procedures as approved by the institution's Board of Trustees and the President.

The Institution

Income earned by each constituent institution from its patent and licensing activity shall be held in a separate trust fund by that institution to support research. The particular unit of the institution employing the inventor or furnishing the research facilities will be given preferential consideration, though not necessarily exclusive consideration, in the allocation of such royalty income by the institution. Allocations from such trust funds shall be made by the chancellor of each institution after receiving recommendations from the institutional patent committee.

VI. Specific Conditions Governing Sponsored Research

Government Sponsored Research

Patents on inventions arising from research financed by the United States Government may be controlled by the terms of the grants and contracts specified by the government agency pursuant to Federal law. In some cases, the government claims rights to patents resulting from research financed under contracts supported by government agencies. Except as provided by Federal law or by government- supported grants or contracts, or when no patent rights are claimed by the United States Government, or when such rights are waived by the government, patents arising from government sponsored research are controlled by these patent and copyright policies. When a patent arising out of research supported under government grants or contracts is owned by a constituent institution, that institution will, if requested, agree to a non-exclusive royalty-free license for use by the government of such patent. If such a patent is owned by the government, the institution shall be free to use the invention so covered for its own scientific and educational purposes without payment of royalty or other charge, consistent with Federal Law.

University Research Sponsored by Non-Governmental Entities

The University must ensure that its facilities and the results of the work of its employees are applied in a manner which best serves the interests of the public. Likewise, the legitimate interests of a private sponsor who provides financial or other support to research carried out through the constituent institutions must be considered. Constituent institutions should normally reserve the right to ownership of patents on inventions arising out of research supported in whole or in part of grants or contracts with nongovernmental organizations or firms. Contracts or agreements which are entered into between institutions and such organizations or agencies should contain clauses setting forth such a reservation unless deviations therefrom are requested by the sponsor and approved by the institution consistent with the public interest. In the interest of fair treatment to the sponsor in consideration for the sponsor's investment and in the interest of discharging the institution's obligation to the public in the application of its facilities and its employees' time and talent, special provisions may be negotiated by the institution in such non-government sponsored contracts, upon request, provided that the institution retains the right to use the invention for its own research, educational, and service purposes without payments of royalty fees, that the institution requires the sponsor to use due diligence in the commercial use of the invention, and that the institution retains the right freely to publish the results of its research after a reasonable period necessary to protect the right of the parties and to allow for the filing of a patent application.

VII. Publication

A major function of the University of North Carolina is the advancement and dissemination of knowledge. Any practice that unnecessarily restricts the publication of results of scientific work is to be avoided. However, it is recognized that the full development of useful inventions or discoveries may be dependent upon the securing of patent protection that will enable the commercial utilization of the discoveries or inventions. Accordingly, under certain circumstances it may be necessary to delay for a minimum period the publication of results of research.

If a sponsor proposes to support a research effort that will involve a limited exclusive license to use of patents resulting therefrom, the agreement with respect to publication shall include the following. First, the sponsor must agree that the results of the research may be published if desired by the investigators or research workers. Second, in order that patent applications not be jeopardized, the constituent institution, the investigators, and research workers may agree that any proposed publication will be submitted to the sponsor with a notice of intent to submit for publication. If within a period of no more than 90 days from the date of such notice the sponsor fails to request a delay, the investigators, research workers and institution shall be free to proceed immediately with the publication. However, if the sponsor notifies the institution that a delay is desired, the submission of the manuscript to the publisher shall be withheld for the period requested, but in no event shall the total period of delay be longer than one year from the date of the notice of intent to submit for publication mentioned above. Such a period will permit the sponsor to have the necessary patent applications prepared and filed but will not unduly restrict the dissemination of scientific knowledge.

VIII. Avoidance Of Conflicts

Conflicts involving patentable inventions and discoveries may arise when a constituent institution's personnel, including students enter into personal consulting agreements with outside firms and organizations. The agreements that business firms wish to have executed by those who are to serve as their consultants frequently contain provisions as to the licensing or assignment of the consultant's inventions and patents. Unless such provisions are narrowly worded, they usually will apply to areas in which the individual's University work lies and thus come into conflict with the obligations owed by the individual to the University under these policies, either with respect to the rights of the constituent institution itself in an invention or with respect to the rights of a sponsor of research in the same field or subject matter.

Prior to signing any consulting agreement that deals with patent rights, trade secrets, or the like, where any University time, facilities, materials or other resources are involved, University personnel and students must bring the proposed agreement to the attention of the appropriate administrators of the constituent institution in accordance with its patent procedures and either obtain a waiver of University rights or otherwise modify the consulting agreement to conform with these policies, as is determined by the institution in its discretion.

The foregoing requirements are in addition to, and do not eliminate the necessity for, any approval which may be required by the University of North Carolina Policy on External Professional Activity of Faculty and Other Professional Staff.

IX. Duty To Disclose Discoveries And Inventions

All individuals whose discoveries and inventions are covered by these Polices have a duty to disclose their discoveries and inventions promptly in accordance with the patent procedures adopted by each constituent institution pursuant to these policies. The duty to disclose arises as soon as the individual has reason to believe, based on his or her own knowledge or upon information supplied by others, that the discovery or invention may be patentable. Certainty about patentability is not required before a disclosure is made. Individuals shall execute such declarations, assignments, or other documents as may be necessary in the course of invention evaluation, patent prosecution, or protection of patent rights, to insure that title in such inventions shall be held by the constituent institution, where these policies indicate the institution shall hold title, or by such other parties as may be appropriate under the circumstances.

X. Patent Committees

The chancellor of each constituent institution of the University of North Carolina shall appoint a patent committee, consisting of no less than three members, one of whom shall be designated by the chancellor to serve as chairman. The committee for the institution shall review and recommend to the chancellor or his delegate the procedures for the implementation of these policies; shall resolve questions of invention ownership that may arise between the institution and its faculty, staff, or students or among individuals; shall recommend to the chancellor the expenditure of the patent royalty fund; and shall make such recommendations as are deemed appropriate to encourage disclosure and assure prompt and expeditious handling, evaluation, and prosecution of patent opportunities.

The chairmen of the institutional patent committees, or their delegates, shall meet as an All- University Patent Committee. The meetings of the All-University Patent Committee shall be at the call of the President of the University or his delegate who shall serve as its chairman.

XI. Patent Management

The chancellor of each constituent institution, or any person designated by him, is authorized to negotiate with reputable agencies or firms to secure for each institution arrangements for patent management, including competent evaluation of invention disclosures, expeditious filing of applications on patents, and licensing and administration of patents.

A constituent institution is authorized to administer its own patent management and licensing program without the use of a patent management agent, if it determines that such arrangement may better serve institutional and public interests. Nothing in this section shall be construed to permit the reduction of the minimum share due an inventor as specified in Section V of these policies.

XII. Copyright Use And Ownership¹

Preamble

The University of North Carolina, through its constituent institutions, is committed to complying with all applicable laws regarding copyright and patents. The University, as an institution devoted to the creation, discovery, and dissemination of knowledge, supports (1) the responsible, good faith exercise of full fair use rights, as codified in 17 U.S.C. § 107, by faculty, librarians, and staff in furtherance of their teaching, research, and service activities; (2) copyright ownership for creative, non-directed works by faculty, staff, and students and University ownership of directed employment-related works; and (3) protection of ownership rights for creators of works that require a different ownership model.

Copyright Use

To the foregoing stated ends the University shall:

1. Inform and educate the University community about fair use and the application of the four fair use factors as set forth in 17 U.S.C. § 107 and as interpreted in applicable case law. The four fair use factors are:

The character and purpose of the proposed use.
The nature of the work to be used.
The amount and substantiality of the portion to be used.
The effect on the market or potential market for the work.

¹ By resolution, the Board of Governors provides the following:

(1) The provisions of Section XII are effective at the earlier of the following: (1) the date as of which the institution adopts a new or amended policy to conform to the board’s policy; or (2) August 1, 2001. Any copyright dispute over a work created prior to the effective date of an institution’s policy shall be resolved under such relevant policies and procedures as had existed immediately prior to the effective date, unless the parties to the dispute mutually agree in writing to abide by the new policy.

(2) Nothing in this policy is intended to alter the provisions of The Code of the University of North Carolina, Chapter VI: Academic Freedom and Tenure.

(3) The President is authorized to establish such supplemental policies or procedures, not inconsistent with the policy, as the President may deem necessary or desirable to implement or administer the policy. This may include provision for review by the Office of the President of policies or procedures intended by University institutions and agencies to implement the policy.

2. Develop and make available resources concerning copyright laws in general and the application of fair use in specific situations.

3. Ensure that faculty, EPA and SPA staff, and students have access to assistance in making fair use determinations.

Copyright Ownership

With respect to determining ownership of copyright, the University's policy addresses works by category of copyrightable work (including traditional or non-directed works, directed work, and sponsored or externally contracted works) and by category of author (i.e., faculty, EPA and SPA staff, or student). Ownership of copyrighted subject matter, including software, hinges on which category of work and which category of author pertain to the work at issue. (In this Policy the term "Institution" means a constituent institution or component agency of the multi-campus University of North Carolina at which an author or work's creator is employed or enrolled.)

Copyrightable Works

Works by Faculty and EPA Non-Faculty Employees.
1. Traditional Works or Non-Directed Works: A "traditional work or non-directed work" is a pedagogical, scholarly, literary, or aesthetic (artistic) work originated by a faculty or other EPA employee resulting from non-directed effort. (Such works may include textbooks, manuscripts, scholarly works, fixed lecture notes, distance learning materials not falling into one of the other categories of this policy, works of art or design, musical scores, poems, films, videos, audio recordings, or other works of the kind that have historically been deemed in academic communities to be the property of their creator.)
  
  Ownership: Creator of the work, unless it is a directed work, sponsored work requiring University ownership, or a work for hire described in a written agreement between the work's creator and the Institution. (See section 2., below, for the definition of "work for hire;" under the Copyright Act the Institution is deemed the "Author" of a work for hire.) If the Institution is to be involved in commercializing a traditional work or non-directed work, the work's creator shall assign the work to the Institution under an Assignment Agreement. The Assignment Agreement shall contain provisions outlining the commercialization responsibilities of the Institution and a mechanism for the sharing of commercial proceeds with the Author. In cases of ownership by the creator of a traditional work, the Institution, where practical, shall be granted a non-exclusive, non- transferable, royalty-free license for its own educational or research use (hereinafter referred to as a "Shop Right").
2. Traditional Works or Non-Directed Works Involving Exceptional Use of Institutional Resources: "Exceptional use of institutional resources" means institutional support of traditional works with resources of a degree or nature not routinely made available to faculty or other EPA employees in a given area.
  
  Ownership: Institution. However, upon agreement by the appropriate institutional official or body, the Institution may release or transfer its rights to the work's creator, with the Institution retaining (a) a Shop Right, and/or (b) the right to require reimbursement and/or income sharing from the creator to the Institution if the work produces income for the creator. The parties may also negotiate for joint ownership of such works, with the approval of the appropriate institutional official or body
3. Directed Works: "Directed works" include works that are specifically funded or created at the direction of the Institution (including, but not limited to, works for hire by faculty or other EPA employees).
  
  Ownership: Institution. The work's creator, where practical, shall be granted a Shop Right. The Institution may release or transfer its authorship rights to the work's creator under a written agreement negotiated between the creator and the Institution, usually with the Institution retaining (a) a Shop Right, and/or (b) the right to require reimbursement and/or income sharing from the work's creator to the Institution if the work produces income for the creator. The parties may also negotiate for joint ownership of such works, with the approval of the appropriate institutional official or body.
4. Sponsored or Externally Contracted Works: A "sponsored or externally contracted work" is any type of copyrighted work developed using funds supplied under a contract, grant, or other arrangement between the Institution and third parties, including sponsored research agreements.
  
  Ownership: For a sponsored or externally contracted work created under an agreement that expressly requires copyright ownership by the Institution, the creator of the work must disclose the work to the Institution. Provided there is no conflict with a sponsored agreement, the Institution may release or transfer its rights to the work's creator under an agreement negotiated between the creator and the Institution, usually with the Institution retaining (a) a Shop Right, and/or (b) the right to require reimbursement and/or income sharing from the work's creator to the Institution if the work produces income for the creator; or the parties may also negotiate for joint ownership of such works, with the approval of the appropriate institutional official or body.
  
  For a sponsored or externally contracted work created under an agreement that does not expressly require copyright ownership by the Institution or a third party, the creator of the work shall own the work, subject to required disclosure to the Institution where required under institutional policy. In case of ownership by the work's creator, the Institution, if practical, shall be assigned a Shop Right.
Works by SPA Staff.

Most works by SPA staff members are considered to be "Works for Hire." A "work made for hire" is:
1. a work prepared by an employee within the scope of his or her employment; or
2. a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire.
  
  Ownership: Works for hire made by SPA staff shall be owned by the Institution. In special cases, though, the Institution may enter into an agreement in advance that the SPA employee shall own the copyright. In addition, a designated institutional official may waive institutional ownership.
Works by Independent Contractors.

Works by independent contractors are Works for Hire.

Ownership: Works by independent contractors shall be owned in accordance with the contract under which the work was created. The Institution shall insure that there is a written contract for work by an independent contractor specifying institutional ownership.
Works by Students.

"Student works" are papers, computer programs, theses, dissertations, artistic and musical works, and other creative works made by students. (For purposes of this policy, the term "students" includes teaching, graduate, and research assistants.)

Ownership: Ownership of the copyright to these works belongs to the student unless the work falls within one of the exceptions described below:
1. Sponsored or Externally Contracted Works: Ownership shall be in accordance with the section of this policy on sponsored or externally contracted works made by faculty or other EPA employees.
2. Works for Hire: Student works created by students in the course of their employment with the University shall be considered to fall within the scope of Work for Hire in accordance with the section of this policy on works for hire made by SPA staff.
3. Classroom, laboratory, and other academic materials generated by students in the instructional process: Students have a limited right to use these materials for personal, educational purposes. Students may not use these materials for commercial gain.

As provided by the institutional policy or as agreed to mutually, rights in student works may be transferred between the student and the Institution. In such cases, a written Assignment Agreement shall specify the respective rights and obligations of the parties. The parties may also negotiate for joint ownership of such works, with the approval of the appropriate institutional official or body.

Works Subject to Protection by Both Copyright and Patent Laws

In cases where an invention or creation is subject to protection under both patent law and copyright law, if the Institution elects to retain title to its patent rights, then the inventor/creator(s) shall assign copyright to the Institution and the Institution shall be compensated in accordance with the royalty provisions of the Institution's patent policy and procedures.

Administration

The chief executive officer of each Institution shall designate an administrative office, officer, or unit responsible for implementing this policy. The designated institutional administrative entity shall address various matters covered by this policy, including developing policies and procedures designed to supplement and interpret the ownership aspects of this policy, providing advice regarding ownership of specific works, releasing institutional rights, and accepting an assignment of rights to the Institution from an author or creator of a work.

Dispute Resolution

The chief executive officer of each Institution shall designate a dispute resolution mechanism (such as a Copyright Committee or Intellectual Property Committee) for resolving any disputes which may arise among an author, other creator of a work, a third-party sponsor of a work, and an institutional official or office concerning copyright ownership or other rights.

XIII. Service Marks, Trademarks and Trade Secrets

Service marks and trademarks are the property of the constituent institutions, and without express authorization from the chancellor or his designee, no steps shall be taken for securing trademarks or service marks by usage or registration with respect to products resulting from or arising out of research or other activities carried out at a constituent institution or developed with the aid of its facilities or staff, or produced through funds administered by the constituent institution. The institutions are hereby authorized to register such marks as are deemed by that institution to be appropriate and to license the use of such marks, provided that the income from such licensing shall be used to support the research and educational programs of the institution and not accrue to the personal benefit of University personnel.

The use of trade secret agreements to protect discoveries and inventions developed at the constituent institutions may not be consistent with the aims and purposes of the University of North Carolina. Special provisions may be required to protect the free dissemination of students' degree-related work.

XIV. Procedure

The Board of Trustees of each constituent institution shall adopt patent procedures that are consistent with and implement these policies, taking into account the nature and scope of the institution's programs. The institutional patent procedures shall be reviewed and approved by the President or his representative prior to approval by the Trustees.

XV. Exceptions

Exceptions to the above policies are authorized if approved by the President following a favorable review and recommendation from the pertinent institutional committee or the All-University Patent Committee. Before approving an exception, the President must determine that, on the basis of the evidence available, such exception is in the public interest and is consistent with the University's responsibilities to the public.

Chapter 600 Research and Intellectual Property

COPYRIGHT USE AND OWNERSHIP POLICY

I. INTRODUCTION

II. ADMINISTRATIVE RESPONSIBILITY

III. FSU INTELLECTUAL PROPERTY COMMITTEE

A. Composition

B. Duties

IV. USE OF COPYRIGHTED WORKS BY FACULTY, STAFF AND STUDENTS

A. Appropriate Use of Copyrighted Works

B. Fair Use; Permissible Use

Elements of Fair Use: Good Faith Consideration Required

Procedure for Making Fair Use Determinations

Infringement

V. COPYRIGHT OWNERSHIP

A. Works Created by Faculty or EPA Non-Faculty Employees

Traditional Works or Non-Directed Works

Traditional Works or Non-Directed Works Involving Exceptional Use of University Resources.

Directed Works

Joint Ownership

B. Sponsored or Externally Contracted Works

C. Works Created by SPA Staff Employees Considered Works Made for Hire

D. Works by Independent Contractors

E. Student Works

VI. WORKS SUBJECT TO BOTH COPYRIGHT AND PATENT PROTECTION

VII. DISPUTE RESOLUTION

A. Jurisdiction

B. Conduct of Hearing

C. Disposition

FACILITIES AND ADMINISTRATIVE (F&A) COSTS

I. PURPOSE

II. RECOVERY OF INDIRECT (F&A) COSTS

III. DISTRIBUTION OF F&A COSTS

A. Vice Chancellor for Business and Finance

B. Principal Investigators (PI)

C. Department Chair, Unit Head, Center/Institute Director

D. Office of Sponsored Research and Programs

E. Provost and Vice Chancellor for Academic Affairs

F. Deans of Colleges

G. Graduate Council

H. Reserves

IV. DISTRIBUTION OF RECEIPTS

FINANCIAL CONFLICTS OF INTEREST(DHHS/PHS/NIH GRANTS AND CONTRACTS)

I. INTRODUCTION

II. DEFINITIONS

A. Financial Conflict of Interest (FCOI)

B. Financial Interest

C. Investigator

D. PHS

E. PHS Awarding Component

F. Research

G Significant Financial Interest

H. University Responsibility

III. DISCLOSURE OF FINANCIAL INTERESTS

A. Prior to Submission/Initiation of Research

B. Annual Update to Disclosure

C. Updating or Submitting a New Disclosure in an Ongoing Project

IV. REVIEW OF PHS DISCLOSURE FORMS

A. Review by Research Compliance Officer

B. Review by the Associate Vice Chancellor for Research

V. IDENTIFICATION OF A FINANCIAL CONFLICT OF INTEREST

A. Significant Financial Interests Less than or Equal to $10,000.00

B. Significant Financial Interests Greater than $10,000.00

VI. MANAGEMENT OF FINANCIAL CONFLICTS OF INTERESTS

VII. SUBRECIPIENTS COMPLIANCE AND REPORTING

VIII. REPORTING REQUIREMENTS

A. Reporting Financial Conflicts of Interests

B. Reporting After Filing an Initial Report

C. Annual Reports

IX. NONCOMPLIANCE

A. Failure to File or Truthfully Disclose

B. Failure to Comply with a Management Plan

C. Retrospective Review for Untimely Disclosures

X. RECORDS

XI. TRAINING

PATENTS AND INVENTIONS

I. PURPOSE

II. APPLICABILITY

III. DEFINITIONS

IV. OWNERSHIP

V. DUTY TO DISCLOSE

FINANCIAL CONFLICTS OF INTEREST
(DHHS/PHS/NIH GRANTS AND CONTRACTS)

XII. Copyright Use And Ownership¹