Business Management

100.010 Use of Copyrighted Materials in Teaching and Research

kuscheld — Wed, 26 May 2010 20:03:59 +0000

100.010 Use of Copyrighted Materials in Teaching and Research kuscheld Wed, 05/26/2010 - 20:03

Executive Guideline No. 23, 11-1-84, Revised 2-15-05

The Copyright Law and Fair Use -- Faculty and staff of the University of è��app use copies of copyrighted materials to supplement or assist with their research and teaching. In many cases, the copies can facilitate the University’s mission of teaching and research. However, the copying of copyrighted materials is a right granted under the copyright law's doctrine of "fair use" which must not be abused.
Copyright is a constitutionally conceived property right which is designed to promote the progress of science and the useful arts by securing for an author the benefits of his or her original work of authorship for a limited time. The Copyright statute implements this policy by balancing the author's interest against the public interest in the dissemination of information. The grand design of this delicate balance is to foster the creation and dissemination of intellectual works for the general public. The guidelines which follow are intended to assist faculty and staff in observing copyright requirements, while benefiting from Fair Use.

Among the bundle of rights that constitute copyright is the right of reproduction and distribution. Thus, faculty and staff may freely copy and distribute works to which they hold the copyright, such as lecture notes, answer keys, tests, and the like. Throughout these guidelines, copyrighted materials refers solely to works to which someone else holds the copyright.

It is important to note that copyright applies to intellectual property, not to the format or medium on which the material resides. Thus, these guidelines also pertain to downloading, copying, and distributing of materials in electronic format.

Before making materials available electronically, whether on a website or through other educational tools such as course management systems, faculty and staff should be aware of the material's copyright status and ensure that distribution is limited to appropriate groups (students, research assistants, or the like). Generally a password for either the course page or the individual article is acceptable to limit access. (See Section C for additional guidelines.)
Copying which is Unrestricted -- There are three categories of material which may be freely copied:
1. Published works whose copyrights have expired -- Copyrighted works now have varying expiration dates depending upon publication date. Items published before 1923 are now in the public domain. Items published from 1923-1963 and containing a notice have a term of 28 years and can be renewed for 67 years. If not so renewed, they are now in the public domain. Items published from 1964-1977 when published with notice have a term of 28 years for the first term and an automatic extension of 67 years for the second term. Items created after January 1, 1978 (when the work is in a tangible medium of expression) have a term of life plus 70 years (or if the work is corporate authorship, the shorter of 95 years from publication or 120 years from creation)
2. Some U.S. Government, some state and some foreign government publications.
3. Those items that carry a statement permitting use as long as the source is cited and that the use is for educational, non-profit purposes.
Copying which is Permitted Under the Fair Use Doctrine -- Faculty and staff may reproduce copyrighted works for instructional and research purposes without securing permission and without paying royalties when the circumstances amount to what the law calls "fair use." It is generally fair use for faculty or staff to copy supplementary items for such purposes as filling in missing information or for bringing materials up to date, but fair use is a multi-faceted concept. There is a lively dispute as to the extent of permissible copying, particularly for classroom use. Both the spirit and letter of these guidelines should be observed. According to Section 107 of the Copyright Act of 1976, when considering whether or not the reproduction of copyrighted materials would be considered fair use, four factors must be considered:
- the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes;
- the nature of the copyrighted work (e.g., fiction vs. non-fiction, published vs. non-published, etc.);
- the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
- the effect of the use upon the potential market for or value of the copyrighted work
While not a law, these “Guidelines for Classroom Copying” have been an accepted standard for higher education for several years. The University of è��app will continue to use them as the standard at this time, and sets them out in their entirety as follows:
1. Single copies for teachers -- For teaching, including preparation, and for scholarly research, a faculty or staff member may make, or have made, a single copy of:
  1. a chapter from a book;
  2. an article from a journal, periodical or newspaper;
  3. a short story, short essay or short poem, whether or not from a collective work;
  4. a chart, graph, diagram, drawing, cartoon or picture from a book, periodical or newspaper.
2. Multiple copies for classroom use - Multiple copies (not to exceed in any event more than one copy per pupil in a course) may be made by or for the teacher giving the course for classroom use or discussion; provided that:
  1. The copying meets the tests of brevity and spontaneity as defined below; and,
  2. Meets the cumulative effect test as defined below; and
  3. Each copy includes a notice of copyright.
3. Definitions
  1. Brevity
    1) Poetry:
    a) A complete poem if less than 250 words and if printed on not more than two pages or
    b) from a longer poem, an excerpt of not more than 250 words.
    
    2) Prose:
    
    a) Either a complete article, story or essay of less than 2500 words, or
    b) an excerpt from any prose work of not more than 1,000 words, or 10% of the work, which is less, but in any event a minimum of 500 words.
    
    [Each of the numerical limits stated in (a) and (b) above may be expanded to permit the completion of an unfinished line of a poem or of an unfinished prose paragraph.]
    3) Illustration: One chart, graph, diagram, drawing, cartoon or picture per book or per periodical issue.
    4) Special works: Certain works in poetry, prose or in “poetic prose” which often combine language with illustrations and which are intended sometimes for children and at other times for a more general audience fall short of 2,500 words in their entirety. Paragraph (2) above notwithstanding, such “special works” may not be reproduced in their entirety; however, an excerpt comprising not more than two of the published pages of such special work and containing not more than 10% of the words found in the text thereof, may be reproduced.
  2. Spontaneity
    1) The copying is at the instance and inspiration of the individual teacher, and
    2) The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that it would be unreasonable to expect a timely reply to a request for permission.
  3. Cumulative Effect
    1) The copying of the material is for only one course in the school in which the copies are made.
    2) Not more than one short poem, article, story, essay or two excerpts may be copied from the same author, nor more than three from the same collective work or periodical volume during one class term.
    3) There shall not be more than nine instances of such multiple copying for one course during one class term. [The limitations stated in (2) and (3) above shall not apply to current news periodicals and newspapers and current news sections of other periodicals.]
    4) Prohibitions as to C1 and C2 Above
    Notwithstanding any of the above, the following shall be prohibited:
    a) Copying shall not be used to create or to replace or substitute for anthologies, compilations or collective works. Such replacement or substitution may occur whether copies of various works or excerpts therefrom are accumulated or reproduced and used separately.
    b) There shall be no copying of or from works intended to be “consumable” in the course of study or of teaching. These include workbooks, exercises, standardized tests and test booklets and answer sheets and like consumable material
    c) Copying shall not:
    i. substitute for the purchase of books, publishers’ reprints or periodicals;
    ii. be directed by higher authority
    iii. be repeated with respect to the same item by the same teacher from term to term.
    iv. No charge shall be made to the student beyond the actual cost of photocopying.
Library May Place Material on Traditional Reserve in paper or other non-digital formats -- At the request of a faculty or staff member, a library may place in its reserve collection excerpts from copyrighted works, subject to the guidelines governing formal classroom distribution as outlined above. When the excerpts are removed from the reserve shelf, such material is to be returned to the faculty or staff member.
1. If the request calls for only one copy to be placed on reserve, the library may copy an entire article, or an entire chapter from a book, or an entire poem. However, requests for multiple copies on reserve should meet the following guidelines.
  1. The amount of materials should be reasonable in relation to the total amount of material assigned for one term of a course taking into account the nature of the course, its subject matter and level;
  2. The number of copies should be reasonable in light of the number of students enrolled, the difficulty and timing of assignments, and the number of other courses which may assign the same material;
  3. The material should contain a notice of copyright;
  4. The effect of copying the material should not be detrimental to the market for the work.
2. A reasonable number of copies will in most instances be less than six, but factors such as the length or difficulty of the assignment, the number of enrolled students and the length of time allowed for completion of the assignment may permit more in unusual circumstances. If there is doubt as to whether a particular instance of copying is fair use in the reserve reading room, the permission of the publisher should be sought.
  
  The library may also assist faculty in placing materials on electronic reserve for use by both on-site and distance learning students. Sections (a) 1, 3, 4 above apply to electronic as well as paper-based reserve. The “Technology Education and Copyright Harmonization Act” of 2002 contains information to assist in determining what may be transmitted digitally in support of distance learning and should be consulted under those circumstances. The Law is a complete revision of Section 110(2) of the U.S. Copyright Act. Faculty and staff not utilizing the Library’s electronic reserves, should be aware of the requirements specified under the TEACH Act and how fair-use guidelines apply to both digital and analog transmission of a work. Transmission of a work must be made by or at the direction of an instructor as part of a class. Additionally, safeguards must be incorporated into the transmission of digital works to minimize the risk of copyright infringement through unauthorized downstream distribution. Finally, transmissions of copyrighted works should be limited to official course enrollees.
How to Obtain Permission -- When a use of copied material requires permission, complete and accurate information should be sent to the copyright owner. The American Association of Publishers suggests that the following information be included in a permission request letter in order to expedite the process: Title, author and/or editor, and edition of materials to be duplicated.

Exact material to be used, giving amount, page numbers, chapters and, if possible, a copy of the material. Number of copies to be made. Use to be made of duplicated materials. Form of distribution (classroom, newsletter, etc). Whether or not the material is to be sold. Type of reprint (ditto, photography, offset, typeset).
1. The request should be sent, together with a self-addressed return envelope, to the permissions department of the publisher in question. If the address of the publisher does not appear at the front of the materials, it may be readily obtained from the library.
2. The process of granting permission requires time for the publisher to check the status of the copyright and to evaluate the nature of the request. It is advisable, therefore, to allow enough lead time to obtain permission before the materials are needed.
3. The Copyright Clearance Center also has the right to grant permission and collect fees for copying rights for certain publications. Libraries may copy from any journal which is registered with the CCC and report the copying beyond fair use to CCC and pay the set fee. The various campus libraries should be consulted for assistance in this process. Many already have a relationship established with CCC and a process in place to pay royalties.
Obtaining Copies by Means of Interlibrary Loan -- Requests for copies of articles, etc., owned by other libraries must also conform to the copyright law. The various campus libraries will provide information on interlibrary lending policy upon request.

100.020 Invention and Patent Regulations

kuscheld — Wed, 26 May 2010 20:10:16 +0000

100.020 Invention and Patent Regulations kuscheld Wed, 05/26/2010 - 20:10

Bd. Min. 6-25-71, p. 35,974, Amended 9-17-92, 4-25-96, 4-8-05, 11-29-07, 7-23-10, 6-24-21.

Purpose – These regulations are adopted by The Curators of the University of è��app in order to:
- Secure for the people of the State of è��app and the United States the full benefits of research and investigation performed at the University of è��app;
- Establish the rights and obligations of Employees with respect to any Invention made or developed by them during employment by the University and to establish the definite rights and obligations of Students with respect to any Invention made or developed by them during their period of enrollment with the University;
- Establish a uniform process by which these rights and obligations may be equitably determined in each case;
- Provide for a Patent Committee to assist the University with policy recommendations and to operate as a mechanism to advise on resolving disputes;
- Encourage and recognize individual and cooperative achievement in research and investigation; and
- Provide and support a technology transfer office to manage the day-to-day technology transfer activities at each campus of the University.
Application of Regulations – These regulations constitute (1) a term and condition of employment of all Employees of the University and form a part of the employment contract, and (2) a term and condition of enrollment and attendance at the University by Students. These regulations shall be effective as to all Inventions disclosed during any period of employment, enrollment, or attendance from and after the date of their adoption.
Definitions
1. “Chancellor” means the Chancellor of a University campus, and shall include, when applicable, the interim Chancellor or acting Chancellor.
2. “Dean” as used herein means the Dean of the college or school having jurisdiction over the Employee or Student, and in case of those Employees not under jurisdiction of any Dean, the Employee’s Supervisor shall perform the duties herein prescribed for the Dean.
3. “Employee” as used herein means (a) any person receiving compensation from the University for services rendered, regardless of whether the Employee be full-time or part-time, (b) any person receiving compensation paid through the University from any funds placed in its hands for distribution, (c) any person who has voluntarily elected to enter into a written agreement with the University in exchange for the University’s agreement to treat such person as an Employee for purposes of these regulations, or (d) any person with adjunct, courtesy, emeritus or “no salary” appointment (e.g., unpaid leave or unpaid sabbatical) if such person is participating in research and investigation with Substantial Use of University Resources except where the University and such person have a written agreement whereby the person is paying the University for use of such Substantial Use of University Resources. For purposes of the definition of Employee and for the avoidance of doubt, Student financial aid including, but not limited to, scholarships, grants, loans, tuition waivers and educational fee reductions, generally available to Students and unrelated to any provision of services by the Student to the University shall not be interpreted as compensation. Also, for purposes of these regulations. Students (including graduate research assistants and graduate teaching assistants) receiving compensation from the University shall be considered “Employees” if their actual duties and responsibilities include research and investigation or the creation of computer software that led to the Invention – regardless of the position title.
4. "Gross Proceeds" as used herein means money received by the University from third parties (on a cash basis, as opposed to an accrual basis) from the sale, assignment, lease, licensing, optioning, or other transfer of rights in an Invention to such third parties, including but not limited to license fees, option fees, earned royalties, minimum royalties, and milestone payments. Gross Proceeds also includes money recovered (on a cash basis, as opposed to an accrual basis) by the University from lawsuits or dispute resolutions involving infringement by third parties with respect to the applicable Invention. Equity, convertible notes, or other similar ownership interests (or portions thereof) obtained by the University shall not be considered Gross Proceeds unless and until the University receives money for the equity, convertible notes, or other similar ownership interest (or portions thereof); provided that in the event that such equity is readily liquidable (for example, in the case of an IPO), then such equity may be considered Gross Proceeds for purposes of distributing the Inventor Share such that the Inventors may receive such equity. For clarity, Gross Proceeds does not include:
  1. The reimbursement by third parties to the University of any costs, expenses, or fees associated with the preparation, filing, prosecution, or maintenance of any Patents or PVP certificates owned in whole or in part by the University (whereby such reimbursement may include an equity, convertible note, or other similar ownership interest in the third party in consideration and in lieu of the University not seeking monetary reimbursement, in whole or in part, of such costs, expenses, or fees associated with the preparation, filing, prosecution, or maintenance of any Patents or PVP certificates); or
  2. The reimbursement by third parties to the University of any costs, expenses or fees associated with investigating, defending, or enforcing a claim or potential claim with respect to the Invention or associated license agreement, including but not limited to infringement/non-infringement, invalidity/validity, unenforceability/enforceability, and including those before any court, administrative tribunal (e.g., United States Patent and Trademark Office), or dispute resolution forum (e.g., arbitration or mediation), whether U.S. or foreign; or
  3. Money received by the University for the negotiated indirect cost rate (facilities and administration costs) associated with a research agreement or grant from which an Invention, was conceived, reduced to practice, or otherwise made; or
  4. Money received by the University for equity, convertible notes, or other similar ownership interest (or portions thereof) obtained from third parties in exchange for the University making a case investment in the third party or foregoing, in whole or in part, the right to obtain reimbursement from the third party for costs, expenses, or fees associated with the preparation, filing, prosecution, or maintenance of any Patents or PVP certificates owned in whole or in part by the University. Such exchange will be treated as an investment in the third party and any proceeds to the University from such investment will not be included in Gross Proceeds.
5. “Head of the Department” as used herein means the person having charge of the department of the Employee reporting the Invention, and in case there be no such head of the department, the Dean, or on campuses with no schools and colleges, the Provost shall perform the duties herein provided for the Head of the Department.
6. "Invention" as used herein means any Invention, design, process, machine, manufacture, composition of matter, tangible research materials (e.g., cell lines, virus isolates, antibodies, prototype devices), whether or not patentable, together with any associated or supporting technology, data, know-how, or show-how necessary or useful for the protection, development or application of the same, and also includes all Patents or PVP certificates derived therefrom. A "Plant Variety" is a type of Invention.
7. "Inventor" as used herein means an Employee who individually or jointly with others makes an Invention. More specifically:
  1. Inventions Covered by a Patent. For Inventions that are the subject of a Patent, "Inventor" refers to those Employees who meet the criteria for inventorship under United States patent law and are thus named on the applicable Patent. For an Invention covered by a Patent, the Inventors may change over time due to the prosecution of the Patent and the possible addition or deletion of Inventors from such Patent. Inventorship is a legal determination.
  2. Plant Varieties Covered by a PVP Certificate. For Inventions which are Plant Varieties which are not the subject of a Patent but which are covered by a PVP certificate, "Inventor" refers to those Employees who meet the criteria for being a plant breeder under United States PVP law.
  3. Unpatented Technologies. For Inventions that are not the subject of a Patent or PVP certificate, "Inventor" refers to those Employees who have jointly executed the Invention Disclosure Form and contributed to the making or development of the Invention. If one or more Employees cannot agree that they are all "Inventors," the matter may be referred to the Patent Committee by the Patent Administrator.
8. "Net Proceeds" as used herein means Gross Proceeds minus the following out-of-pocket expenses, costs, fees or other and payments incurred by the University that are associated with the applicable Invention:
  1. costs, expenses and fees related to the evaluation, licensing, and protection of the Invention, including, but not limited to, those paid to government agencies (e.g., U.S. Patent and Trademark Office, European Patent Office) or the University's outside legal counsel associated with the preparation, filing, prosecution and maintenance of Patents or PVP certificates for the Invention; and
  2. payments made to joint owners or external sponsors of an Invention pursuant to an agreement with the joint owners or external sponsors. For the avoidance of doubt, such payments may include (1) revenue sharing payments due the joint owner or external sponsor and/or (2) the reimbursement to the joint owner or external sponsor of the costs, expenses, or fees related to (a) the preparation, filing, prosecution, or maintenance of a Patent or PVP certificate covering the applicable Invention; or (b) the investigation, defense, or enforcement of a claim or potential claim with respect to the applicable Invention; and
  3. costs, expenses, and fees for investigating, defending or enforcing a claim or potential claim with respect to the Invention, including but not limited to infringement/non-infringement, invalidity/validity, unenforceability/enforceability, and including those before any court, administrative tribunal (e.g., United States Patent and Trademark Office), or dispute resolution forum (e.g., arbitration or mediation), whether U.S. or foreign.
9. "Patent" as used herein means any pending patent application (including an unexpired provisional patent application) or issued patent anywhere in the world. The term includes both United States patent applications and issued patents, as well as patent applications and issued patents from other regional patent offices (e.g., a European patent application) or national patent offices (e.g., a Canadian patent application). The term also includes pending or issued plant patents under 35 U.S.C. § 161 (which covers asexually reproduced plants, excluding tuber propagated plants), and pending or issued utility (non-provisional) patents directed to a Plant Variety. The term also includes design patents under 35 U.S.C. § 171.
10. "Patent Committee" as used herein means the committee referred to in Section G. The Patent Committee may also be referred to as the "Patent and Copyright Committee" when dealing with copyright matters pursuant to CRR 100.030.
11. "Plant Variety" as used herein means a plant (including germplasm) which is sexually reproduced or tuber propagated and that is eligible from a subject matter standpoint for protection under a PVP certificate, regardless of whether PVP protection is actually filed or not. A Plant Variety is a type of Invention.
12. "PVP" as used herein means plant variety protection through a pending application or issued certificate under the United States Plant Variety Protection Act or similar protection in a foreign country.
13. “President” as used herein means the President of the University and shall include, when applicable, the “Interim” President or “Acting” President.
14. "Student" as used herein means a person enrolled in the University. The term includes full-time and part-time students and both graduate and undergraduate students. The term includes a student enrolled for credit and not-for-credit.
15. "Substantial Use of University Resources" means more than incidental use of University resources, facilities, financing, or time by Employees. The following are non-limiting examples of Substantial Use of University Resources (in the absence of written agreement or written approval from the President or his/her designee that explicitly states they will not be deemed to be considered Substantial Use of University Resources or otherwise addresses ownership):
  1. use of funds from an external sponsor;
  2. use of funds from an internal (University) sponsor or account;
  3. use of University-owned intellectual property (unless licensed or otherwise transferred from the University to the person or entity using such University-owned intellectual property);
  4. use of University information not available to the public;
  5. use of University support staff;
  6. use of University research, clinical, production, laboratory, studio, specialized computing, or other equipment without payment of fees, where such fees are equivalent to those normally paid by third parties; and
  7. reduction in levels of teaching, service, or other typical activities (e.g., course load, student advising responsibilities, division/department meetings, office hours, administrative responsibilities).
    Substantial Use of University Resources does not typically include use of office supplies, computers, telephones, utilities, or minimal administrative/clerical support. Substantial Use of University Resources does not typically include use of University libraries on a basis similar to scholars who have no association with the University.
16. "Supervisor" as used herein means any Employee of the University in charge of an Employee under the supervision of the Head of the Department or some other superior officer.
17. "TTO" means the technology transfer office, department, unit, or other organization designated by the President or his/her designee to manage the day-to-day technology transfer activities at each campus of the University.
18. "University" as used herein means The Board of Curators of the University of è��app. Any action or consent on the part of the University herein shall be an action or consent duly taken or given by the Board of Curators, or its authorized officer.
Inventions by Employees of the University
1. Rights of University and of Employees
  1. Assignment by Employees. The University shall have the ownership and control of any Invention developed in the course of the Employee’s service to the University. Each Employee hereby irrevocably assigns to the University all rights, title and interest in and to Inventions made by the Employee within the general scope of his/her duties as an Employee, and ownership of such Inventions shall immediately vest in the University. Further, the University may elect to have Employees, as a condition of hiring or continued employment (as well as a condition of persons with “no salary” appointments participating in research investigation as set forth in Section C.3), to sign a written assignment or written acknowledgment of the Invention and Patent Regulations (CRR 100.020) and Copyright Regulations (CRR 100.030) prepared by the Office of the General Counsel in consultation with the Patent Committee. The written assignment or written acknowledgement may contain assignment language directed to Inventions (and associated Patents, and PVP protection) owned by the University in accordance with these regulations. The failure of an Employee to sign the written assignment or written acknowledgement does not relieve the Employee of the Employee’s obligations under these regulations and such Employee remains bound by the regulations. Each Employee is further required to execute any and all documents the University deems reasonably necessary to evidence such University ownership, including but not limited to any confirmatory assignments requested by the University. Remuneration to the Employee for such assignment(s) is detailed in Section J.
  2. Scope of Duties. An Invention shall be considered as having been made within the general scope of the Employee’s duties for the University if either of the following conditions are met:
    1. Whenever the Employee’s duties include research or investigation, and the Invention arose in the course of such research or investigation and is relevant to the Employee’s general field of inquiry; or
    2. Whenever the Invention was made or developed through the Substantial Use of University Resources.
    In assessing Section D.1.b.i, the University may take into account the Employee’s department/college, other appointments (like joint appointments), classes taught, fields in which the Employee advises Students, publications/presentations made by the Employee, conferences attended by the Employee, journals/publication in which the Employee provides peer review, sponsored projects involving the Employee, grants submitted by the Employee through the University, and other relevant factors.
  3. Inventions Made Outside the Scope of Duties. An Employee of the University shall be entitled to all rights resulting from any Invention which was made by him/her outside the general scope of his/her University duties as defined in Section D.1.b. For example, subject to the Inventor’s compliance with the Conflict of Interest Policy set forth in Collected Rule and Regulation 330.015 (including any applicable Conflict of Interest Management Plan), the University shall have no rights to Inventions developed in the course of consulting activities for third parties other than the University, and not resulting from Substantial Use of University Resources.
  4. Disposition Rights. Except as provided herein, the President or his/her designee may approve the following:
    1. Assignment of Inventions owned by the University
    2. Optioning of Inventions owned by the University;
    3. Licensing of Inventions owned by the University;
    4. Non-Assertion of Rights in Inventions (see Section D.3.);
    5. Waiver (re-assignment) of the Inventions by the University back to the Inventor (see Section D.4.); or
    6. Any other transfer or disposition of Inventions owned by the University.
      In determining whether to approve the foregoing i-vi, the President or his/her designee shall consider all relevant factors and be satisfied the action will reasonably and substantially discharge the obligations of the University consistent with the University’s missions.
  5. Patent and PVP Filings. An Employee of the University shall not file (or assist others in filing) in any domestic or foreign jurisdiction any Patent or PVP certificate relating to an Invention made within the general scope of his/her University duties (see Section D.1.b.) without the prior written consent of the President or his/her designee. The University’s consent to file shall not constitute a waiver of or otherwise affect the University’s ownership interest in the Patent or PVP certificate.
2. Invention Disclosures.
  1. Every Invention made by an Employee of the University shall be reported by such Employee to the TTO in an Invention Disclosure Form, except such report shall not be required in situations in which the Employee has a reasonable belief that the Invention was made clearly and demonstrably outside the general scope of the Inventor's duties as set forth in D.1.b, but such exception shall not apply if (a) the Inventor has any reason to believe that the University may have cause to assert ownership of such Invention or (b) the University has requested disclosure of the Invention so that the University may make a determination of ownership. Even if an Employee does not believe that reporting is required, the Employee shall nonetheless (i) promptly notify the TTO whenever any patent application is filed on such Invention naming the Employee as an Inventor and (ii) if requested by the TTO, promptly provide the TTO with a complete copy of such patent application and any patent office correspondence regarding the patent application, if requested by the Employee the University may agree to treat an unpublished patent application confidential if such circumstances are warranted. The Patent Committee shall prescribe the form and manner of execution of the Invention Disclosure Form, and such Invention Disclosure Form shall be treated as restricted/confidential reports of the University. The Invention Disclosure Form may include, among other things, confirmatory assignment language and recital of the obligations for the Inventors to cooperate with the University in filing, prosecuting, and maintaining a Patent or PVP certificate on the Invention. The Invention Disclosure Form may also contain language for the Inventors to allocate the Inventor Share among Inventors in accordance with Section J.3. The Invention Disclosure Form may also be different for different types of Inventions (e.g., engineering vs. software vs. Plant Varieties).
  2. The Invention Disclosure Form shall be made as promptly as possible, taking into consideration such factors as possible publication, public use, or sale and the necessity for protecting the Inventor’s and the University’s rights in the Invention. If the Invention is reduced to practice, modified, or improved upon after the Invention Disclosure Form is submitted by the Inventor, the Inventor should promptly notify the TTO and update the Invention Disclosure Form, adding any new information, data or developments.
  3. For the protection of the rights of the Inventor and of the University, laboratory notebook-diaries, Invention Disclosure Forms, Plant Variety development data and memoranda or correspondence concerning them are to be considered University restricted/confidential information, and should be so marked by the Inventor.
3. Request for Non-Assertion of University Rights in Invention (Invention Ownership Determination).
  1. Request of Non-Assertion of University Rights
    1. Basis for this Request. If an Inventor reasonably believes an Invention is not subject to the University’s ownership rights under these regulations because the Invention was not made or developed within the general scope of the Employee’s duties (see Section D.1.b.), then the Inventor may request a determination as to whether the University will assert ownership rights to the Invention. The initial request should be made by the Inventor to the TTO in writing.
    2. Terms and Conditions for Non-Assertion of University Rights. The University may condition agreement to a request for a non-assertion of rights in an Invention on certain terms and conditions as determined by the President or his/her designee.
    3. Scope: Enabled Inventions. If the University makes a determination that the Invention described in the Invention Disclosure Form pursuant to Section D.2. is not “enabled” such that one skilled in the art can make and use the Invention without undue experimentation under U.S. patent law or that the Invention Disclosure Form is premature or incomplete, then the University may, in its discretion, elect to (1) defer an ownership dispute resolution process under this Section D.3. until such Invention is enabled or more mature/complete or (2) proceed with the ownership dispute resolution process under this Section D.3.
  2. Burden of Proof in making the Request of Non-Assertion of University Rights. The Inventor asserting that the Invention should not be subject to University ownership shall have the burden of showing the same by clear and convincing evidence.
  3. Documentation for the Request of Non-Assertion of University Rights. In connection with the request, the Inventor must provide the TTO with all reasonable information needed or requested to determine ownership (for example, emails, workbooks, laboratory notebooks). Such information may include but is not limited to:
    1. a summary of the circumstances leading to the conception, reduction to practice and development of the Invention;
    2. a summary of any individuals, facilities, equipment, materials, background intellectual property, or other resources used to conceive, reduce to practice, or develop the Invention;
    3. a listing of any possible co-Inventors and their contact information;
    4. the Inventor’s duties at the time of making the Invention;
    5. whether the Invention was conceived, reduced to practice, or developed under an internal funding agreement or funding agreement with an external sponsor;
    6. a copy of any applicable patent application (in accordance with D.2.a); and
    7. whether any third parties have a co-ownership interest in the Invention.
  4. Process.
    1. After receipt of the information set forth in Section D.3.c, the TTO, in consultation with at least the Head of the Department and the Dean, will make a recommendation in writing on whether or not the University should assert ownership rights in such Invention. The recommendation shall be provided to the President's designee, who shall make a decision on whether or not the University will grant the request.
    2. If the President's designee makes a decision that is adverse to the Inventor, the Inventor may appeal the decision in Section D.3.d.i to the Patent Committee by submitting an appeal request to the Patent Administrator. If the Inventor elects to appeal, the Inventor shall be afforded the opportunity to appear before the Patent Committee to present evidence and any information the Patent Committee may request. The Patent Committee, at its discretion, may make an independent investigation of the ownership claim. The Patent Committee shall provide its findings and recommendations in writing to the President for appropriate action. The Inventor shall be afforded a copy of the Patent Committee findings and recommendations and shall have an opportunity to respond to the findings of the Patent Committee by filing a timely written argument with the President. The President shall make the final non-appealable determination with respect to ownership and whether the University will assert rights in the Invention.
    3. In all cases, a decision regarding the non-assertion of rights in an Invention is at the sole discretion of the University.
    4. In the event that the President makes a final determination that the University owns the Invention, the refusal of an Inventor to execute a confirmatory assignment to the University of such Invention may result in sanctions against the Inventor (see Section K).
  5. Duty to Disclose. For clarity, the Inventor must still disclose the Invention in accordance with Section D.2 and provide the requested documentation in accordance with D.3.c of these regulations. However, the Inventor need not execute any assignment language in the Invention Disclosure Form for so long as there is a legitimate ownership dispute and the Inventor has filed a request for non-assertion of rights. In the event that the President makes a final determination requesting assignment, then the Inventor shall promptly execute the assignment language in the Invention Disclosure Form and any confirmatory assignments requested by the University.
  6. Commercialization Restrictions.
    1. An Inventor who has any reason to believe that that the University has an ownership interest in an Invention or the University may assert ownership of the Invention shall not attempt to commercialize (e.g., license, sell, lease, assign or otherwise transfer) such Invention or file (or assist others to file) a Patent or PVP certificate covering the Invention without a final resolution of ownership as set forth in Section D.3 of these regulations, unless prior written approval is obtained from the President or his/her designee. In such a case of receiving such prior written approval, the Inventor must provide the University with a copy of any such patent applications and any patent office correspondence regarding the patent application as set forth in Section D.2.a. The University's consent to file shall not constitute a waiver of or otherwise affect the University's ownership in the Invention.
    2. When an Invention is owned by an Employee, the Inventor shall not further create, develop, or commercialize an Invention with Substantial Use of University Resources unless pursuant to a written agreement with the University executed by the President or his/her designee that sets forth the terms and conditions of such Substantial Use of University Resources. A term or condition of the written agreement may involve, for example, University ownership of the Invention, University/Inventor co-ownership of the Invention, or other revenue sharing with the University if such further creation, development, or commercialization of the Invention involves Substantial Use of University Resources. By way of example, if an Employee in the school of music files a patent application directed to a new engine that is not subject to University ownership under Section D.1.b, and the Employee is then desirous of obtaining federal funding through the University to build and test the new engine, the University and the Employee should enter into a written agreement which provides for University ownership of the patent application and Invention so that the University may satisfy its obligations to the federal government in accordance with the Bayh-Dole Act. The Substantial Use of University Resources should also be reported to the Conflict of Interest Committee and subject to a Management Plan in accordance with Collected Rule and Regulation 330.015.
  7. Initiation of Non-Assertion of University Rights in Invention by University. Although the Inventor will typically initiate a request for non-assertion of University rights in an Invention, the University may elect to not assert rights without such a request if the University finds it is in the University's interest to do so.
4. Inventor Requests for Waiver (Re-Assignment) of University Rights.
  1. Scope.
    1. If the University determines it will not pursue or maintain all Patents or PVPs certificate on an Invention and/or will not pursue commercialization of an Invention subject to the University's ownership under these regulations or the University otherwise finds it is in the interest of the University, the University may consider a written request by the Inventor to waive/re-assign the University's ownership interest in the Invention (and any Patents or PVP certificates covering only the Invention) arising solely from the Inventor who has made the request. Not all Inventors are required to join in the request.
    2. To the extent that the TTO elects to pursue patent protection on an Invention in some countries but not others (for example, the University elects to file and maintain a patent application in the United States but elects to forego or abandon foreign filings), the TTO may summarily deny a request for waiver from an Inventor directed to Patents in countries where the University has not pursued or maintained protection, and the process in Section D.4.d does not apply. If the University makes a determination that an Invention is not "enabled" such that one skilled in the art can make and use the Invention without undue experimentation under U.S. Patent law or that the Invention Disclosure Form is premature or incomplete, then the University may, in its discretion, elect to (1) defer the waiver/re-assignment process under this Section D.4 until such Invention is enabled or more mature/complete or (2) proceed with the waiver/re-assignment process under this Section D.4.
  2. The Request for Waiver/Re-Assignment.
    1. Agreement as to the Request by Multiple Inventors. In those instances, in which there are multiple Inventors, all Inventors do not need to be in agreement and be a party to such a request to waive/re-assign the University's ownership interest in the Invention arising solely from the Inventor who has made the request. The Inventor making the request should make reasonable attempts to seek unanimous approval of all of the Inventors to make the request. If all Inventors do not agree to make the request, then the University may, at its discretion, waive/re-assign only an undivided interest to the Inventor who has made the request, and if the University does so, the University shall retain an undivided interest in the Invention by virtue of the Inventors who have not agreed to the request such that the Invention shall be co-owned by the University and the Inventor making the request. In such a case, any Net Proceeds received by the University shall be shared with the Inventors who have not joined in the request (and not the Inventor making the request) as set forth in Section J of these regulations. The University shall have no obligation to market, protect, or license the Invention where rights have been waived/re-assigned to less than all of the Inventors.
    2. Terms and Conditions for Waiver/Re-assignment. The University may condition waiver/re-assignment of an Invention to the Inventor making the request on certain terms and conditions as determined by the President or his/her designee. At a minimum, (1) the University must retain an irrevocable non-exclusive, perpetual, worldwide, royalty free license to make, use, and otherwise practice the Invention for educational, research, and academic purposes; (2) the waiver/re-assignment must comply with applicable law; (3) the waiver/re-assignment must be subject to preexisting rights of third parties (including the right to approve such waiver/re-assignment where applicable), where such third parties may include external sponsors or co-owners of the Invention; and (4) the Inventor making the request must assume future expenses and costs related to the patenting and commercialization of the Invention.
  3. Documentation for the Request for Waiver (Re-assignment) of Invention from University to Inventor. In connection with the request, the Inventor must provide the TTO with all reasonable information needed or requested to assess the patentability and commercialization potential of the Invention.
  4. Process.
    1. After receipt of the information set forth in Section D.4.c, the TTO, in consultation with at least the Head of the Department and the Dean, will make a recommendation in writing on whether or not to waive/re-assign rights in the Invention to the Inventor making the request. The recommendation shall be provided to the President's designee, who shall make a decision on whether or not the University will grant the request in reasonable period of time.
    2. If the President's designee makes a decision that is adverse to the Inventor making the request, the Inventor may appeal the decision in Section D.4.d.i of these regulations to the Patent Committee by submitting an appeal request to the Patent Administrator. If the Inventor elects to appeal, the Inventor shall be afforded the opportunity to appear before the Patent Committee to present evidence and any information the Patent Committee may request. The Patent Committee, at its discretion, may make an independent investigation of the issue. The Patent Committee shall provide its appropriate findings and recommendations in writing to the President of the University for appropriate action. The Inventor shall be afforded a copy of the Patent Committee findings and recommendations and shall have an opportunity to respond to the findings of the Patent Committee by filing a timely written argument with the President. The President shall make the final non-appealable determination with respect to the requested waiver/re-assignment of rights.
    3. In all cases, decisions regarding the waiver/re-assignment in Inventions are at the sole discretion of the University.
5. Publication, Public Use and Sale. If an Invention is described in a printed publication, is in public use, is on sale, or is otherwise available to the public before a Patent or PVP certificate is filed, the patentability or protection under the Plant Variety Protection Act may be affected. In order to preserve possible Patent protection or protection under the Plant Variety Protection Act in the Invention, the Inventor (or the Supervisor of the Inventor if the Inventor is not available) must notify the TTO of any such events irrespective of whether an Invention Disclosure Form has previously been filed. If an Invention Disclosure Form has not been filed, the Inventor shall file the Invention Disclosure Form at once. If an Invention is disclosed to any person who is not employed by the University, the Employee making such disclosure shall provide the TTO with the date and extent of the disclosure, the name and address of the person to whom the disclosure was made, and the purpose of the disclosure.
Rights of University and Students
1. General Rule. In general, Students will be entitled to own any Invention made during their enrollment as a Student of the University and will generally not be required to assign his or her ownership to the University; however, the foregoing general rule does not apply and the Student will be required to assign his or her ownership interest to the University in any circumstance in which the Student meets the definition ofEmployee, as defined in Section C.3. hereof provided such Invention was developed in the course of the Student-Employee’s service to the University. Should faculty wish to have a non-Employee Student work on a research project where University ownership of resulting Inventions is desired, faculty are encouraged to work with the TTO to obtain written agreements from the Student that address ownership of Inventions made by Student pursuant to Section E.5.
2. Examples of Student Owned Inventions. Without limiting the language of the foregoing general rule or the language of the foregoing exceptions to the general rule, the following are examples of fact situations in which, in the absence of a written agreement providing otherwise, the University will not claim ownership of an Invention made by a Student of the University:
  1. The Invention was developed by a Student as part of a University class project using no greater University resources than those generally available to all other Students within the class or than those available to the Student as part of his/her enrollment with the University.
  2. The Invention was developed by a Student as part of a University approved Student competition using no greater University resources than those generally available to all other Students within the competition or than those available to the Student as part of his/her enrollment with the University. The Student shall be entitled to receive any monetary or other prize awarded to the Student for his/her performance under such competition in accordance with the rules of the competition and such prize shall not be considered compensation under Section C.3. hereof.
  3. The Invention was developed by a Student as part of a University approved extracurricular activity, using no greater University resources than those generally available to all other Students participating in the activity or than those available to the Student as part of his/her enrollment with the University.
  4. The Invention was developed by a Student on his/her own free time, outside of any University class or sponsored activity, and using no greater University resources than those generally available to all other Students as part of their enrollment with the University.
  5. In determining whether the Invention was developed using no greater University resources than those generally available to all other Students within the class/competition/activity or than those available to the Student as part of his/her enrollment with the University, factors that the University may consider as part of this assessment include:
    1. Whether the University established eligibility criteria for participation;
    2. Whether the University selects the participants from among those eligible;
    3. Degree of presence or lack of presence at the project site by a faculty advisor, University supervisor, or other University employee;
    4. Extent of supervision exercised by a faculty advisor, University supervisor, or other University employee;
    5. Degree to which University-provided tools, equipment, and supplies were utilized in the development of the Invention;
    6. Degree to which University-provided funds were used in the development of the Invention;
    7. Whether a University faculty member or other Employee is co-Inventor;
    8. Existence and terms of any signed agreement required as a condition of participation; and
    9. Any other relevant factors.
3. Examples of University-Owned Inventions. The following are examples of fact situations in which the University may claim ownership of an Invention made by a Student of the University:
  1. The Invention was developed as part of a graduate school thesis/dissertation project by a Student-Employee paid under a graduate teaching assistantship. Because the Student is an Employee, this section is not applicable and the ownership standards set forth in Section D.1.b shall apply.
  2. If a faculty member provides a Student (who is not otherwise an Employee) with a volunteer opportunity to work on a project sponsored by an external sponsor (e.g. a governmental or industry sponsor) and the Student uses greater University resources than those available to other Students enrolled at the University as part of the sponsored project, then the University may assert ownership of the Invention made by such Student in order for the University to fulfill its contractual obligations to the external sponsor.
4. Non-Assertion. A Student may, but is not obligated to, make a request for non-assertion of University rights in an Invention using the procedures generally set forth in Section D.3.
5. Treatment of Student as an Employee.
  1. In the event that the University asserts ownership in an Invention made or developed by a Student under the foregoing standards set forth in this Section E and the Student is not otherwise an Employee under Section C.3(a)-(b), then the University and Student shall typically enter into an agreement whereby the Student is treated as an Employee under Section C.3(c), wherein such agreement addresses, among other things, the sharing of Net Proceeds (if any) with the Student (along with other Inventor-Employees) under Section J.
  2. A Student having ownership over an Invention may, with University consent, elect to assign the Student's rights in the Invention to the University. In such a case, the University and Student shall typically enter into an agreement whereby the Student is treated as an Employee under Section C.3(c), wherein such agreement addresses, among other things, the sharing of Net Proceeds (if any) with the Student (along with other Inventor-Employees) under Section J.
6. Student Policy Information. The Patent Administrator shall implement reasonable procedures designed to make Students aware of Section E, and to provide one or more avenues for Students to receive information regarding the University’s interpretation of the Student’s rights and obligations with respect to Inventions in which a Student may be an Inventor or co-Inventor
Visitors: Rights of Other Institutions. In general, Inventions made or developed by Inventors who are not Employees or Students but are otherwise visiting from another institution or company (e.g., visiting scientists, visiting scholars) will be treated as having been made or developed by an Employee within the general scope of his/her duties for the University. However, the University recognizes that such Inventors often are subject to intellectual property polices of their home institutions or employers. Accordingly, where it is anticipated that there is a reasonable possibility that a visitor will conceive, reduce to practice or develop an Invention while working at or under the auspices of the University, the TTO should be contacted so an agreement with the visitor's home institution or employer may be executed prior to the start of the visit. In cases in which there are conflicts between the University and the home institution or employer of a non-Employee Inventor visitor, such conflicts will be resolved through good faith negotiations between the University and such home institution or employer.
The Patent Committee
1. Appointment
  1. Notwithstanding other regulations affecting University committees, the President of the University shall appoint a Patent Committee, which shall include representative voting members from each of the campuses. The Patent Administrator or other person designated by the President shall be an ex officiomember of the Patent Committee and shall provide a secretary to the Patent Committee. The General Counsel or his/her delegate shall also be an ex officio member of the Patent Committee. The TTO director(s) shall also be ex officio member(s) of the Patent Committee.
  2. The President of the University shall designate the chair of the Patent Committee.
  3. The Patent Committee shall make and keep minutes of all its meetings.
2. Duties
  1. The Patent Committee shall assist with policy analysis and development relating to these regulations.
  2. The Patent Committee shall assist with drafting amendments to these regulations resulting from technological and legislative changes affecting Inventions, Patents, and/or PVP rights.
  3. The Patent Committee shall review, report and make recommendations on all matters affecting Inventions as may be referred to the Patent Committee by the Patent Administrator (see Section H.2.d.).
  4. The Patent Committee will consider such other matters regarding the Inventor’s claims, interest or right to patentable findings, as may be referred to it by the Patent Administrator.
The Patent Administrator
1. Appointment of Patent Administrator – The Patent Administrator will be appointed by the President.
2. Duties of Patent Administrator - The duties of the Patent Administrator shall be prescribed by the President or his/her designee from time to time. The duties of the Patent Administrator shall include, but not be limited to, a duty to:
  1. Assist with policy analysis and development relating to these regulations;
  2. Assist with drafting amendments to these regulations resulting from technological and legislative changes affecting Inventions, Patents, and/or PVP rights;
  3. Implement procedures to advise Students of their intellectual property rights in accordance with Section E.6 of these regulations;
  4. Refer matters to the Patent Committee in accordance with these regulations.
    1. If there is a dispute about Inventorship, the Patent Administrator shall refer such claims to the Patent Committee in accordance with Section C.7.c.
    2. If an Inventor shall claim an Invention as his/her own, the Patent Administrator shall refer such claims to the Patent Committee in accordance with Section D.3.d.
    3. If an Inventor shall claim that an Invention should be waived/re-assigned to the Inventor, the Patent Administrator shall refer such claims to the Patent Committee in accordance with Section D.4.d.
    4. If there is a dispute about the distribution of Inventor Share of Net Income, the Patent Administrator shall refer such claims to the Patent Committee in accordance with Section J.3.
    5. The Patent Administrator may refer other matters to the Patent Committee as he/she deems necessary to protect the interests or rights of the Inventor and the University.
TTOs.
The duties of the TTO shall be prescribed by the President or his/her designee from time to time. The duties of the TTO shall include, but not be limited to, receiving Invention Disclosure Forms, determining whether to file or maintain any Patents directed to University-owned Inventions, and making commercialization decisions with respect to such University-owned Inventions.
Use of Net Proceeds Received By University Relating To Inventions
1. General Rule.
  1. Net Proceeds received by the University from commercializing a University-owned Invention or the copyright in materials subject to Copyright Policy 100.030 shall be distributed as follows;
    1. 33.3 percent shall go to the Inventor(s) for Inventions and authors for copyrightable works (“Inventor share”);
    2. 66.7 percent to the campus from which the Invention originated (“Campus Share”).
  2. To the extent required by applicable law, use of the Campus Share is restricted to support scientific research or education. Each campus shall develop a plan for expenditures related to the Campus Share. Such plans will be approved by the Chancellor with input from appropriate faculty representatives with experience in technology transfer, the campus research office, and the TTO.
  3. In the event the Campus Share exceeds $5 million in any given fiscal year, a separate plan shall be made for the funds in excess of $5 million and approved by both the Chancellor and the President.
  For clarity, the distribution protocols outlined do not apply to personally owned Inventions and copyrightable materials but only to those Inventions and copyrightable materials owned by the University.
2. Department of Veteran's Affairs.In the case of Inventions made jointly by University Employee(s) and individual(s) employed by the United States Department of Veteran’s Affairs, with or without compensation, the President or his/her designee may execute a written agreement with the United States Department of Veteran’s Affairs which provides for different division, distribution and allocation of Gross Proceeds or Net Proceeds as provided herein.
3. Inventor Revenue Distribution Agreement. If more than one Inventor is to share in the Inventor Share provided in Section J.1 of these regulations, the Inventors entitled to receive payments should decide among themselves their respective shares and provide the TTO with a written agreement signed by all Inventors. This written agreement may be provided as part of the Invention Disclosure Form or may be a separate written agreement. Such written agreement among the Inventors should be provided promptly to the TTO after receiving a written request from the TTO for such an agreement, at a minimum, and the written agreement should be provided prior to distribution of the Net Proceeds. Any such written agreement will be irrevocable unless it is modified in writing by all Inventors. In the absence of a written agreement, the University may (1) hold the Inventor Share for a reasonable period of time to permit the Inventors to come to an agreement; or (2) after a reasonable period of time, divide the Inventor Share equally among the Inventors. If a written agreement cannot be reached after good faith efforts by the Inventors, an Inventor may request that the matter be referred by the Patent Administrator to the Patent Committee for an equitable recommendation to the President. The Inventor shall be provided a copy of the Patent Committee’s recommendation and shall have an opportunity to respond by filing a timely written argument to the President. The President shall make the final non-appealable determination with respect to the distribution of the Inventor Share. The University is not liable for any distribution of Inventor Share made in good faith but that was later found to be in error.
4. Assignment of Inventor Share. An Inventor Share payable to an Inventor cannot be assigned by the Inventor to third parties unaffiliated with the University. Notwithstanding the foregoing, prior to the receipt of Gross Proceeds by the University, an Inventor may elect in writing to (a) forego his/her portion of the Inventor Share such that the University retains the same for general use by the University; (b) forego his/her portion of the Inventor Share and direct the same to a University account related to further research and development of the Invention; or (c) redirect all or a part of his/her portion of the Inventor Share to an Employee or non-Employee Student who made a significant, but non-inventive contribution to the development of the Invention and would not otherwise be entitled to share in the Inventor Share. With respect to (c) such redirection may be made as part of the Inventor Revenue Distribution Agreement referenced in Section J.3 of these regulations.
5. Compliance with the Regulations.
  1. This distribution of the Inventor Share to an applicable Inventor shall be contingent upon the Inventor’s compliance with these regulations. For example, in order to qualify for the Inventor Share, an Employee must have executed any confirmatory assignments requested by the University and must reasonably assist the University with the University’s efforts to commercialize the Invention (including but not limited to reasonable input on the filing, prosecution, and maintenance of any Patents or PVP certificates related thereto).
  2. In the event that an Inventor does not comply with these regulations (for example, the Inventor refuses to sign such a confirmatory assignment and/or does not provide such reasonable assistance to the University), no Inventor Share will be allocated to that Inventor and the Inventor Share shall be allocated to the other Inventors, and the corresponding Campus Share shall be likewise adjusted as if the non-cooperating Inventor did not exist.
Sanctions.
Conduct by an Employee that violates these regulations shall constitute a breach of the employment contract and may lead to disciplinary action. The Patent Committee may make a determination of a violation of this policy and will report such violation to the Chancellor. After the finding of a violation, the Chancellor of each campus may apply sanctions, including but not limited to, one or more of the following:
1. Letter of warning or admonishment,
2. Suspension or termination of research compliance committee approvals,
3. Suspension or termination of the privilege to submit sponsored activity proposals,
4. Suspension or termination of sponsored research activity spending authority,
5. Demotion or removal from assigned administrative roles,
6. Ineligibility for waivers/re-assignments,
7. Ineligibility to receive an Inventor Share,
8. Referral to campus Committee on Tenure or other appropriate committee for discipline or dismissal for cause of faculty,
9. Suspension or termination of employment (pursuant and subject to CRR 310.060, Procedures in Case of Dismissal for Cause, for those faculty covered by that rule).

100.030 Copyright Regulations

kuscheld — Wed, 26 May 2010 20:12:51 +0000

100.030 Copyright Regulations kuscheld Wed, 05/26/2010 - 20:12

Bd. Min. 2-19-71, p. 35,527; Revised Bd. Min. 5-4-84; Revised Bd. Min. 9-27-02, Amended 11-29-07; Amended 6-11-10; Amended 7-23-10, Amended 4-12-13; Amended 6-24-21

The following policy is intended to foster the traditional mission of a University to encourage the creation, preservation, and dissemination of knowledge. This policy is intended to clarify and protect the respective rights of the University, its students, faculty, staff, and other employees, by establishing policies governing the ownership, use, and rights to income of copyrightable materials.

Coverage of Policy
1. In conjunction with the University Conflict of Interest Regulations 330.015 and the University Invention and Patent Regulations 100.020 as they may be amended from time to time, this policy governs the rights and responsibilities of University employees, students, and of any other persons using University facilities or resources in the creation of original works of authorship subject to protection by copyright law. The faculty will continue to hold copyright for traditionally accepted intellectual property that is developed in their roles as teachers and scholars subject to the provisions of section 2 herein. These include, but are not limited to such materials as books, workbooks, study guides, monographs, articles, and other works including music and performances, whether embodied in print, electronic format, or in other media.
2. The University will own the copyright in materials that are:
  1. commissioned for its use by the University; or
  2. created by employees if the production of the materials is a specific responsibility of the position for which the employee is hired; or
  3. sponsored works, which are works resulting from internal grants (work created as a result of an agreement between the University and the creator(s) of the work) and external grants (work created as a result of an agreement between an external sponsor and the University). This provision does not apply to grants to perform research where the production of copyrightable materials is ancillary to the purpose of the grant. Employees continue to own the copyright to scholarly and other publications that present the findings of research, subject to the provisions of subsection 2 herein; or
  4. created with the use of substantial University resources which are specifically provided to support the production of copyrightable materials.
    
    (1) If substantial University resources will be used in the development of educational materials, a written agreement between the author and University setting forth the terms of
    
    (a) copyright ownership and
    (b) use, revision and maintenance shall precede the use of said resources. Limited secretarial support, uses of the library for which special charges are not normally made, and the staff member's own time except as covered by subsections 2.a. and 2.b. herein shall not be considered substantial University resources.
    
    (2) In the unusual circumstance in which the said materials were developed with substantial University resources without an agreement the University may, in its discretion, claim copyright ownership and/or a share of royalties.
3. Faculty, staff, and other employees must notify the University prior to entering into a contractual agreement in which royalties or other forms of remuneration are involved related to materials as defined in section A.2. The Chancellor on each campus shall designate an individual or unit who is responsible for receipt of said notifications.
4. Copyrightable software, except software included in mediated courseware, owned by the University pursuant to section A.2. herein, shall be submitted to the technology transfer office (“TTO”) for review and evaluation. The TTO shall have the sole discretion to decide whether to proceed with the copyright registration and/or the commercialization of the work.
5. In general, students of the University of è��app will be entitled to own any copyrightable works made during their enrollment as a student of the University and will generally not be required to assign his or her ownership to the University; provided, however, the foregoing general rule does not apply and the student will be required to assign his or her ownership interest to the University in any circumstance in which the student is a University employee, provided such copyrightable work was created in the course of the student-employee's service to the University.
  Without limiting the language of the foregoing general rule or the language of the foregoing exceptions to the general rule, the following are examples of fact situations in which the University will not claim ownership of copyrightable work made by a student of the University:
  1. The copyrightable work was created by a student as part of a University class project using no greater University resources than those generally available to all other students within the class or than those available to the student as part of his/her enrollment with the University.
  2. The copyrightable work was created by a student as part of a University approved student competition using no greater University resources than those generally available to all other students within the competition or than those available to the student as part of his/her enrollment with the University. The student shall be entitled to receive any monetary or other prize awarded to the student for his/her performance under such competition in accordance with the rules of the competition and such prize shall not be considered compensation whereby such student would be considered an employee solely based upon receipt of such prize.
  3. The copyrightable work was created by a student as part of a University approved extracurricular activity, using no greater University resources than those generally available to all other students participating in the activity or than those available to the student as part of his/her enrollment with the University.
  4. The copyrightable work was created by a student on his/her own free time, outside of any University class or sponsored activity, and using no greater University resources than those generally available to all other students as part of their enrollment with the University.
  5. The student is a full-time student receiving compensation for services rendered to the University which services are unrelated to research or investigation and are unrelated to the creation of computer software.
6. The Chancellor on each campus shall designate an individual or unit who is responsible for implementing reasonable procedures designed to make students aware of Section 100.030A.5 and to provide one or more avenues for students to receive information regarding the University's interpretation of the student's rights and obligations with respect to the creation of copyrightable works.
7. Notwithstanding anything herein to the contrary, to the extent any University employee whose primary appointment is non-academic creates or contributes to any copyrightable software, including any source or object code, documentation, or other copyrightable work that is part of or associated with such software, and such employee's work is within the scope of his or her employment with the University or otherwise constitutes "work made for hire" of the University in accordance with applicable law, all ownership and other rights of such employee associated with such copyrightable software shall belong to the University, without restriction, and such employee shall not be deemed the author of or have any further ownership or rights in or with respect to such copyrightable software pursuant to any other provision in this policy or otherwise. This paragraph shall not apply to any rights of any employee whose primary appointment is academic (as generally defined in University Regulation 310.020.A) or any student (unless such student is a University employee and such copyrightable software was created in the course of the student-employee's service to the University, as described above), which shall be governed by the remainder of this policy, in accordance with its terms, and applicable law.
Interpretation and Administration of Policy
1. The Patent and Copyright Committee as described in section 100.020 E. will be advisory in interpretation and future revisions of this policy. The final decision on interpretation and application of this policy shall be made by the Chancellor's designee.
2. No interpretation or application of this policy shall serve as a precedent in later cases.
3. Written agreements developed pursuant to section A.2.d. for holders of academic appointments shall first be approved by the chair, then the dean, and finally the Chancellor's designee.
4. Written agreements developed pursuant to section A.2.d. for holders of nonacademic appointments shall first be approved by the director of the unit, then the appropriate vice-chancellor, and finally the Chancellor's designee.
Ownership and Use of University Name
1. This policy should strengthen and protect the reputation and academic standing of the University and its faculty, staff, and students. Unless otherwise agreed pursuant to Section A, when the name of the University is associated with any intellectual property, other than the identification of the creator as a faculty, staff, or student of the University, the ownership shall be vested in The Curators of the University of è��app, a public corporation, and shall display the following symbol and notice:
  © Copyright (year) by The Curators of the University of è��app, a public corporation. If the registration of the copyright is deemed appropriate by the author(s) and department/area(s), the application for registration with the United States Copyright Office shall be processed through the TTO or other Chancellor designee.
2. Faculty, staff, other employees, students, department/areas, and schools of the University may not use the name of the University to imply University sponsorship of creative materials when there is no University sponsorship or approval and may not license or otherwise commercially exploit a course, course content or courseware whose copyright is held by the University without the approval of the appropriate dean, or on campuses with no schools or colleges, the Provost and chief academic officer as well as other signatories as indicated by the Board of Curators.
Policy on Use of Materials
1. If any of the conditions described in section A.2. are applicable and conditions of A.4. are not applicable, then subject to the following exceptions delineated in subsections D.2. - D.4., the use of materials by any unit of the University of è��app requires approval only of the unit primarily responsible for the said materials.
2. As long as the author or producer of copyright materials remains a member of the staff of the University:
  1. The author's approval shall be required for each instance of use of the materials internal to the University other than the uses for which the materials were developed, except as allowed in the agreement between the author and the University reached pursuant to Section A.
  2. The author may require revision of the materials prior to any instance of internal University use other than the use for which the materials were developed. If the University does not accept the required revision, the author may ask that the materials be withdrawn from use. The University may assign its respective rights in such copyright to the author, subject to a written agreement between the University and the author relating to further internal or external use of materials and division of income from any subsequent use of the materials.
3. In the event that the author should cease employment with the University, the University shall retain the right to make internal use of the copyrighted materials without the author or producer's consent. In such event, the author shall retain a non-exclusive license to use the work for her/his own non-commercial, educational purposes only, but shall not have the right to distribute, sell, or sublicense the work to a third party.
4. Licensing or sale of copyrighted materials for external use shall be preceded by a written agreement between the University and author or producer specifying the conditions of use, and including provisions protecting the right of the author or producer to revise the materials periodically, or to withdraw them from use in the event revision is not made.
Payments to the Author or Producer for Production and Use of Materials Described in A.2. Herein
1. The University acknowledges that the ownership of intellectual property and the sharing of economic returns on such property are related. Therefore, when the University solely holds the intellectual property rights pursuant to section A.2., the revenues will be shared among the creators and used for the common good to support the mission of the University.
2. Payment by the University to the author or producer of intellectual property for its production normally will take place through the reduction of the author's or producer's normal work load. However, staff members on nine-month academic appointments may receive summer grants and salaries for the production.
3. Payment by the University to the author or producer of intellectual property for its internal use and revision:
  1. The author or producer of University-sponsored intellectual property materials shall not receive compensation, other than regular compensation from the University, for the normal internal use of these materials, except when such compensation is negotiated at the time of initial commission.
  2. If the use of materials by units of the University other than the unit to which the author or producer belongs involves an extension of the normal duties of the author or producer in supervising use or managing revisions, and if appropriate release time cannot be budgeted as part of the regular assigned instructional duties of the author or producer, the appropriate instruction unit of the University may recommend payment to the author or producer for revisions according to University policy on extra compensation.
4. The University with the assistance of those designated by the Chancellor in sections A.3., A.4. and B.3. and B.4. will provide appropriate services to license works covered by this policy.
  Except as set forth in subsection A.7, such revenues from copyrightable materials shall be treated in a manner consistent section 100.020 Section J with authors and their respective Campus being treated the same as Inventors. For copyrightable materials, Net Proceeds as set forth in CRR100.020.C.8, shall include an additional deduction of out-of-pocket production, distribution, related costs. The University may enter into agreements for dividing the Net Proceeds on some other basis, if special circumstances attend the production, use, or licensing of these materials.
5. The University may administer funds provided by non-University agencies (such as the Federal Government) under contract or grant to pay for staff time, services, or materials intended to produce copyrightable intellectual property. In such cases, the University may enter into agreements with such agencies recognizing their rights, in whole or part, to the ownership of the materials produced and to the net income from their use. In negotiating agreements with non-University agencies for the production, it shall be the policy of the University that the author or producer of the materials is entitled to a reasonable share of the income from use, if any, and to reasonable participation in determining the conditions of use. The University shall inform staff members applying for support from non-University agencies for the production of intellectual property materials as to the rights reserved to such agencies under the agreements required between these agencies and the University.
Protection and Liability
1. Protection -- In the event of unauthorized use of University-owned materials described in section A.2., if the University decides not to act, the author or producer may initiate action and the University shall assign to her/him such rights as are necessary for her/him to pursue redress. If such action is started by the University, acting alone or in concert with the author or producer, all costs of such action (including attorney's fees) shall be borne by the University. All proceeds shall be shared consistent with section E.4. or if there is an agreement as provided in accordance with that agreement.
2. Liability -- Before any use is made of University-owned materials described in section A.2., all authors, producers, and contributors shall warrant that they are the sole owners of their respective contributions and that the work does not infringe any copyright, violate any property rights, or contain any libelous unlawful material.

100.040 è��app Law Review

kuscheld — Sat, 26 May 2012 20:12:00 +0000

100.040 è��app Law Review kuscheld Sat, 05/26/2012 - 20:12

Bd. Min. 10-23-64, p. 25,928.

Use of Reproduction of Articles -- The Dean of the School of Law has the authority to give permission for use or reproduction of articles appearing in the è��app Law Review, the copyright of which is held by the Curators of the University of è��app.

70.010 General Execution of Corporate or Board Instruments

kuscheld — Wed, 26 May 2010 19:26:00 +0000

70.010 General Execution of Corporate or Board Instruments kuscheld Wed, 05/26/2010 - 19:26

172.020, 172.380, 172.390, R.S.Mo. ; Bd. Min. 4-11-58, p. 12,512; Amended 5-20-77, p. 37,690 and 3-28-80, p. 38,100; Revised Bd. Min. 6-14-85; 1-21-98, Revised Bd. Min. 5-5-06; Amended Bd. Min. 2-1-18.

All Instruments -- All instruments affecting The Curators of the University of è��app, the Board of Curators of the University of è��app, or the University generally shall be executed on behalf thereof as provided in this section unless execution thereof shall have otherwise been specifically provided for and directed by the Board.
Execution of Deeds and Instruments of Conveyance
1. Any of the lands donated by act of congress, approved July 2, 1862, may be sold by the board of curators, and deeds of conveyance to same shall be executed by the president of the board, signed by him or her, with the seal of the corporation attached thereto, and attested by the secretary of the board.
2. Any of the lands donated by the Atlantic & Pacific Railroad Company to the State of è��app by deed dated the sixteenth day of February, 1871, and all other lands conveyed by corporations or individuals to the State of è��app for sale in aid of the state university, may be sold and conveyed by the board of curators, and deeds of conveyance to same shall be executed by the president of the board, signed by him, with the seal of the corporation attached thereto, and attested by the secretary of the board; and provided further, that any conveyances of such lands heretofore made by said board in accordance with the provisions of this section shall divest the State of è��app of all title to the same and vest said title in the grantees, their heirs and assigns forever.
3. Instruments conveying title to real estate owned by The Curators of the University of è��app (other than lands described in sections B.1 and B.2 of this Section 70.010) shall, upon approval of same by the Board of Curators or University President as delegated by the Board, be executed in the name of The Curators of the University of è��app and signed by the President of the University or his/her designee, with the corporate seal affixed, attested by the Secretary.
4. All instruments conveying title to real estate must be first duly authorized in accordance with Section 70.050 of these Collected Rules and Regulations.
All Contracts, Other Instruments and Agreements -- All contracts and other instruments and agreements of The Curators of the University of è��app (other than deeds and other instruments conveying title to real estate) shall be executed in the name of The Curators of the University of è��app and signed by the President thereof, the President of the University, the Vice President for Finance, or such other officer as may be specifically designated by the Board, and the corporate seal may be affixed, attested by the Secretary. The named officers may, by written authorization, delegate special authority to sign specific instruments on their behalf to the Chancellor of each campus. The named officers and the Chancellors receiving delegation from such officers may, by specific written authorization, delegate to one or more designees all or partial authority to sign instruments on their behalf, such written authorization to be filed with the President, Vice President for Finance, and Secretary of The Board of Curators.
Agreements Binding on Board
1. Any instrument heretofore or hereafter executed in conformity with this Section 70.010 shall have the same force and validity as if executed by the President of the Board;
2. No contract or other instrument or agreement which has not been duly authorized by The Board of Curators and executed in the manner herein provided or in a manner specifically provided and directed by the Board shall be binding upon The Curators of the University of è��app.

70.020 Execution of Financial Instruments

kuscheld — Wed, 26 May 2010 19:31:53 +0000

70.020 Execution of Financial Instruments kuscheld Wed, 05/26/2010 - 19:31

Bd. Min. 4-11-58, p. 12,512; Bd. Min. 10-21-60, p. 17,500; Amended Bd. Min. 6-30-73, p. 36,737; Amended Bd. Min. 12-7-90; 1-21-98.

In addition to the officials authorized under the General Authority to execute instruments provided in Section 70.010 C, the Vice President for Finance and Administration, or his/her designee is authorized to execute the following instruments in the name of the Curators of the University of è��app, and in such event the affixing of the corporate seal and attestation of the Secretary shall not be necessary unless otherwise required. The written authorization by the Vice President for Finance and Administration to delegate to one or more designees all or partial authority to sign instruments on his behalf shall be filed with the University President and Secretary of the Board of Curators.

Transfer of Corporate Stock, Bonds or Other Securities -- Certificates for transfer of corporate stock, agreements, orders, and directions with reference to the purchase, sale transfer, redemption or exchange of corporate stock, bonds, or other securities owned by The Curators of the University of è��app or held by it for others, and orders and directions to banks and depositories relating to the money and securities owned by The Curators of the University of è��app, or held by it for others, on deposit therewith may be executed in the name of The Curators of the University of è��app, and signed by the Vice President for Finance and Administration, or his/her designees, and the affixing of the corporate seal and attestation of the Secretary shall not be necessary, unless otherwise required.
Receipts for Money -- All receipts for money and securities may be executed by the Vice President for Finance and Administration or his/her designees.
Instruments Relating to Gifts and Grants -- All contracts, agreements, proposals, applications, and other instruments relating to all gifts and grants.
Facsimile or Manual Signature -- All general expense and payroll warrants and checks issued for all divisions of the University may be signed with mechanically fixed facsimile or manual signature of the Vice President for Finance and Administration, or his/her designees and no other signature is required to validate any such warrant or check.

70.030 Receipts, Claims and Affidavits

kuscheld — Wed, 26 May 2010 19:34:49 +0000

70.030 Receipts, Claims and Affidavits kuscheld Wed, 05/26/2010 - 19:34

Bd. Min. 4-15-66, p. 31,514; 1-21-98.

Authority -- The Vice President for Finance and Administration of the University is authorized to execute on behalf of the Curators of the University of è��app receipts, claims and affidavits to be filed in decedents' or guardianship estates, claims and affidavits in bankruptcy, and to verify any accounts due to or from the Curators of the University of è��app, and other affidavits relating particularly to the financial records of the University or books and accounts under the control of the Vice President for Finance and Administration.

70.050 Authorization of Real Estate Sales, Leases, Licenses, Easements, Right-of-Way, and Mineral Rights

kuscheld — Wed, 26 May 2010 19:35:00 +0000

70.050 Authorization of Real Estate Sales, Leases, Licenses, Easements, Right-of-Way, and Mineral Rights kuscheld Wed, 05/26/2010 - 19:35

172.020 R.S. Mo.; Bd. Min. 3-6-52, p. 5,906; Bd. Min. 4-19-69, p. 34,497, Bd. Min. 6-29-79, Amended Bd. Min. 5-3-91, Amended Bd. Min. 12-15-95, Amended Bd. Min. 5-5-06, Amended Bd. Min. 12-7-17; Amended Bd. Min. 11-18-21.

The President or his or her designee, or other persons designated by the Board, shall have the authority to acquire and sell real property, authorize sale agreements, rental agreements, lease agreements, license agreements, and easement and right-of-way agreements covering real property, accept or disclaim gifts of real property, and acquire and sell or lease mineral rights, in conformance with these Collected Rules and Regulations. Deeds and instruments conveying title to real estate shall be executed in the manner and signed by such persons as referenced in Section 70.010B of these Collected Rules and Regulations. Contracts, instruments and agreements, other than deeds and instruments conveying title to real estate, shall be executed in the manner and signed by such persons as described in Section 70.010C of these Collected Rules and Regulations.
The President shall have the authority to acquire property from the UMKC Trustees without obtaining appraisals.
Board of Curators approval shall be required for:
1. Property purchases with a negotiated price of more than $1,000,000.
2. Property sales with a negotiated sale price of more than $1,000,000 or located within 1 mile of the student union at each university campus.
3. Property leases for more than $1,000,000 per year or for more than ten years.
4. Easements and right-of-way agreements that: i) convey rights to entities other than utility companies or governmental entities for a term longer than twenty-four (24) months, or ii) significantly impair the use of the property or significantly decrease the value of the property.
Board of Curators approval, and if required by applicable statutes, legislative approval by concurrent resolution signed by the governor, shall be required for the subdivision, sale or conveyance of title to any parcel of land containing in excess of 2,500 contiguous acres.

70.060 Consulting, Design and Construction

kuscheld — Tue, 28 Aug 2012 17:26:00 +0000

70.060 Consulting, Design and Construction kuscheld Tue, 08/28/2012 - 17:26

Bd. Min. 12-12-64, p. 26,063; Amended Bd. Min. 11-19-76; 8.250 R.S.Mo 1929; Bd. Min. 5-5-89, Amended Bd. Min. 12-15-95; Bd. Min. 9-27-01; Bd. Min. 3-22-02; Bd. Min. 12-11-03, Bd. Min. 5-5-06, Bd. Min. 10-5-07, Bd. Min. 9-24-10, Bd. Min. 8-19-11, Bd. Min. 1-31-13; Amended 4-11-14; Amended Bd. Min. 12-7-17. Amended Bd. Min. 6-27-24.

The President shall have the authority to hire consultants and administer facilities design and construction operations in conformance with these Collected Rules and Regulations.
Board of Curators have an active role in establishing capital plans and priorities. Board of Curators approval shall be obtained for:
1. Campus master plans when significant changes are proposed, but not less than every five years.
2. A five-year Capital Project Plan for each campus annually. Capital Project Plan shall include:
  1. All planned new buildings or additions over $5,000,000 in project cost
  2. All planned renovation/infrastructure projects over $8,000,000 in project cost
  3. Planned total spend summary for all capital improvements each year
  All projects on the capital project plan shall support the campus strategic plan and master plan.
3. The architectural and engineering consultant fees and the project budget, funding, and scope of work for renovation/infrastructure projects with a total project cost of $8,000,000 or more; or new building or addition projects with a total project cost of $5,000,000 or more, before the design of the project is started. This does not include the pre‐design programming and planning to develop the estimated project cost, scope of work, and justification.
4. The architectural and engineering consultant when the fees are more than $500,000 and the project cost is less than $5,000,000 for new buildings and additions; or the project cost is less than $8,000,000 for renovation/infrastructure projects.
5. If a previously approved Capital project changes substantially in size, scope, or cost, or the source of funds changes significantly, the Capital project shall be reapproved before construction begins, the Guaranteed Maximum Price is increased, or, in the case of a project that includes a series of construction contracts, the next construction contract is approved.
Debt Financed Capital Improvement Projects
1. Board of Curators approval shall be obtained for the use of debt financing on a project prior to bidding.
2. Facilities and Administrative Cost Recovery may be used as an identified funding source for the debt service on debt issued to build research and academic buildings at the University of è��app, on a facility for which the Board has approved a business plan. The approval of a business plan must occur prior to hiring architectural and engineering consultants. See CRR 145.010 "Policy for Management and Oversight of Debt and Derivatives" for overall limitations on this funding source.
Project Design of new buildings and building additions with a total project cost greater than $5,000,000 will be provided to the Board of Curators for informational review before design is complete and construction contracts are awarded.
An annual report shall be provided to the Board with the status of each project on the approved capital plan and all projects approved by the Board.
Competitive Bidding:
1. Contracts for construction, renovation or repair projects estimated to cost $25,000 or more shall be awarded to the lowest, responsive, responsible bidder or bidders based on pre-established criteria.
2. For contracts estimated to cost between $25,000 and $100,000, bids shall be solicited from a minimum of three contractors.
3. Contracts estimated to cost $100,000 or more shall be advertised for bid for five days in two newspapers with a circulation of at least 50,000, and at least two times over a 10-day period in a newspaper located in the county where the work is located, or advertised through an electronic medium if this method is more advantageous in soliciting competitive bids.
4. Competitive bids are not required for:
  1. Contracts Under $25,000. Contracts estimated at less than $25,000, if there are no savings or advantages to bidding.
  2. Master Construction Agreements. Individual projects may be performed under Master Construction Agreements without seeking competitive bids for the individual projects, regardless of whether the cost exceeds the thresholds set forth herein.
  3. Donor Funded Projects. Notwithstanding any provision herein to the contrary, the Board of Curators may, at its discretion, dispense with the competitive bidding and advertising requirements in this Section 70.060 as they relate to the construction of a building on University property if a private donor providing all or substantially all of the money for such construction project specifies, as a condition precedent to the donation, the architect and/or the general contractor to be utilized. In exercising its discretion concerning such donations, the Board of Curators’ considerations will include, but not necessarily be limited to, the capabilities and prior experience of the architect and/or general contractor with similar construction projects, the ability of the University to assure that the building meets all applicable construction standards and codes, any conflicts of interest that may exist for the donor, the architect and/or general contractor and the ability of the University to assure compliance with all applicable contract terms and laws related to such construction projects. Any such approval by the Board of Curators to dispense with the competitive bidding and advertising requirements in this Section 70.060 shall be contingent upon the willingness of the specified architect and/or general contractor to agree in writing to comply with standard University contract terms and conditions and to perform such contractual obligations for a specified amount within the specified budget for the construction project.
  4. Emergency Procurement. The Executive Vice President for Finance/Chief Financial Officer or Director of Facilities Planning and Development or other delegate may waive the requirement of competitive bids for construction and repair projects when they determine that there exists a threat to life, property, public health, or public safety or when immediate expenditure is necessary for repairs to University property in order to protect against further loss of or damage to University property, to prevent or minimize serious disruption in University services, or to ensure the integrity of University records. Emergency procurements shall be limited to only the supplies or services necessary to meet the emergency and shall be made with as much competition as is practicable under the circumstances. A written description of the basis for the emergency and reasons for the selection of the particular contractor should be included in the contract file.
Master Construction Agreements
1. Master Construction Agreements shall be competitively procured based on price, qualifications and quality of services provided in evaluating the best proposal.
2. The construction cost for individual projects performed by Master Construction Agreements shall not exceed $3,000,000.
3. Master Construction Agreements shall be annual agreements with annual renewals not to exceed a total contract period of (5) five years.
4. Subcontracts for individual projects performed under a Master Construction Agreement should be procured using as much competition as practical under the circumstances but are not required to be formally advertised for bidding.
Alternative Procurement Methods
1. Notwithstanding anything to the contrary herein, contracts for construction projects may be awarded and performed using the Design-Build, Construction Manager at Risk, or Construction Manager Agency project delivery methods, in accordance with applicable statutes or policies created by the President or the President’s designee.
Codes and Standards
1. All facilities shall comply with International Code Council (ICC) Codes. Codes and standards required by accreditation agencies will also be used unless the ICC requirements are more stringent. In the event that special design features and/or construction systems are not covered in the ICC codes, the applicable edition of the National Fire Protection Association (NFPA) family of standards and/or the NFPA 101 Life Safety Code shall be used.
2. All facilities shall be in conformance with the Americans with Disabilities Act.
Preference shall be given to è��app products and firms when such are equally or better suited for the intended purpose and can be obtained without additional cost. Firms are considered "è��app firms" if they maintain a regular place of business in the State of è��app.
The prevailing wages in the community where construction takes place shall be required to be paid on all construction projects for construction work. Prevailing wages are not required to be paid for maintenance work.

70.070 Entrepreneurial Activity

kuscheld — Tue, 28 Aug 2012 17:27:11 +0000

70.070 Entrepreneurial Activity kuscheld Tue, 08/28/2012 - 17:27

Bd. Min. 6-26-12.

Outside Entities. This rule applies to the acceptance of equity or similar participation in a separate legal entity for the primary purpose of advancing a university mission and not for the primary purpose of investment, including operating entities that the university controls and uses to conduct university operations, joint venture entities in which the university is a relatively active or significant participant, and minority-interest entities in which the university is a minority owner with a more passive role.
1. Participation in such an entity requires approval by the campus Chancellor (if initiated by a campus) with subsequent approval by the President, or by the President (if initiated by the system office), and approval of documents as to legal form by the Office of the General Counsel.
2. Approval of the Board of Curators is required for operating entities or, in the case of joint venture entities, if the university, or a properly authorized representative, (1) forms the entity, or (2) owns at least 50% or more, or (3) commits to make a contribution of $1.0 million or more.
3. Approval of the Board of Curators is required for minority-interest entities if the interest is in exchange for (1) in-kind consideration of goods and/or services valued at greater than or equal to both 50% of total book value and $1.0 million, excluding licenses of intellectual property, or (2) cash greater than or equal to $1.0 million.
4. Participation in all such entities, whether or not approved by the Board of Curators, shall be reported annually to the Board of Curators.
5. All such activities will be subject to due diligence, conflict-of-interest, reporting, and other business policies approved by the President and Vice President for Finance and Administration and reviewed as to legal form by General Counsel. Subsequent changes in such activities will be subject to reporting and approval requirements to be specified in such business policies.
6. The total out-of-pocket outstanding cash investment by the University at any one point in time shall not exceed $5 million without Board approval.