Section 6 - Research

6.1 General Policy

Reviewed May 26, 2016

See Board of Regents Policy Manual Section 6.1.

6.1.1 Ethics in Research

Reviewed May 26, 2016

If research is to continue to make a positive contribution to society, scholars must ensure they maintain the highest levels of integrity and ethical behavior. At Georgia Gwinnett College (GGC), research (i.e., scholarship and creative activities) not only complies with the highest legal and ethical standards, but strives to serve as a model in terms of how research should be conducted. The research activities performed by GGC faculty, students, and staff follow universal best practices. Each member of the GGC community has a personal responsibility and is held accountable for ensuring that the activities engaged in embody the intent of this policy. The institution is responsible for creating a culture and structure where ethical behavior in research is established, enforced, and rewarded.

Scholars engaged in research involving humans comply with the guidelines and procedures outlined by the Institutional Review Board (IRB). Further, those engaged in research that involves animals follow the practices specified by the Institutional Animal Care and Use Committee (IACUC). These guidelines provide the norms by which scholars are to operate when conducting scholarship and creative activities, in an effort to achieve the objectives of the research (e.g., knowledge, truth), while maintaining the trust and support of the public.

In sum, GGC adheres to strict principles of ethics in research and complies with applicable laws. If questionable activities should occur, GGC will fully investigate such claims and/or fully cooperate with the appropriate authorities to ensure the issues are resolved and the necessary parties are informed.

6.3 Intellectual Properties

Reviewed May 26, 2016

See Board of Regents Policy Manual Section 6.3.

6.3.1 Preamble

Reviewed August 4, 2016

Georgia Gwinnett College (GGC) is dedicated to teaching, scholarship, and the extension of knowledge to the public. The personnel at the College recognize as two (2) of their major objectives, the production of new knowledge and the dissemination of both old and new knowledge. Inherent in these objectives is the need to encourage the development of new and useful devices and processes, the publication and presentation of scholarly works, and the development of computer software. Such activities (1) contribute to the professional development of the faculty, staff or students involved; (2) enhance the reputation of the institution; (3) provide additional educational opportunities for participating students; and (4) promote the general welfare of the public at large.

Patentable inventions and materials often come about because of activities of GGC faculty, staff, or students who have been aided wholly or in part through the use of resources of GGC. It becomes significant, therefore, to ensure the utilization of such inventions for the public good and to expedite their development and marketing. The rights and privileges, as well as the incentive, of the inventor or creator must be preserved so that his/her abilities may be further encouraged and stimulated.

Georgia Gwinnett College recognizes and encourages the publication of scholarly works as an integral part of the processes of teaching, research, and service. GGC acknowledges that faculty, staff, or students regularly prepare for publication, usually through individual effort and initiative, articles, pamphlets, books, presentations, and other scholarly works which may be subject to copyright and which may generate royalty income for the author. Publication may also result from work supported either partially or completely by the institution. With the advent of innovative techniques and procedures, the variety and number of materials which might be created in a university community have increased significantly, causing the ownership of such copyrightable materials to become increasingly complex.

GGC recognizes the need for enhanced development and dissemination of software technology as a means of expressing both old and new knowledge. Inasmuch as the College is aware of the dynamic nature of software and that the value of intellectual property comes from the ability of its owner to control its use and that such value is directly related to the degree of protection it enjoys under the law, GGC will protect such expressions of knowledge by the utilization of appropriate intellectual property laws and the creation of comprehensive software technology transfer policies and procedures.

The foregoing considered, Georgia Gwinnett College, does hereby establish the following policy with respect to the development, protection, and transfer of rights to Intellectual Property resulting from the work of its faculty, staff, or students.

See Board of Regents Policy Manual Section 6.3.1.

Policy Applicability to Faculty, Staff, and Students

This policy shall be applicable to all full or part-time faculty, staff and students of Georgia Gwinnett College.

6.3.2 Definitions

Reviewed August 4, 2016

See Board of Regents Policy Manual Section 6.3.2.

6.3.2.1 Intellectual Properties

Reviewed August 4, 2016

Intellectual Property shall be deemed to refer to patentable materials, copyrighted materials, trademarks, software, and trade secrets, whether or not formal protection is sought.

6.3.2.2 Patentable Materials

Reviewed August 4, 2016

Patentable Materials shall be deemed to refer to items other than software that reasonably appear to qualify for protection under the patent laws of the United States or other protective statutes, including Novel Plant Varieties and Patentable Plants, whether or not patentable thereunder.

6.3.2.3 Copyrighted Materials

Reviewed August 4, 2016

Copyrighted Materials shall include the following:

1. Books, journal articles, texts, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests, and proposals;
2. Lectures, musical or dramatic compositions, and unpublished scripts;
3. Films, filmstrips, charts, transparencies, and other visual aids;
4. Video and audio tapes or cassettes;
5. Live video and audio broadcasts;
6. Instructional materials;
7. Mask works; and,
8. Other materials or works other than software that qualify for protection under the copyright laws of the United States (See 17 U.S.C. § 102 et seq.) or other protective statutes whether or not registered thereunder.

6.3.2.4 Software

Reviewed August 4, 2016

Software shall include one or more computer programs existing in any form, or any associated operational procedures, manuals or other documentation, whether or not protectable or protected by patent or copyright. The term “computer program” shall mean a set of instructions, statements, or related data that, in actual or modified form, is capable of causing a computer or computer systems or parts therein to perform specified functions.

6.3.2.5 Trademarks

Reviewed August 4, 2016

Trademarks shall include all trademarks, service marks, trade names, seals, symbols, designs, slogans, or logotypes developed by or associated with the USG or any of its institutions. (See 15 U.S.C. § 1127.)

6.3.2.6 Trade Secrets

Reviewed August 4, 2016

Trade Secrets means information including, but not limited to, technical or nontechnical data, a formula, a pattern, a compilation, a program, a device, a method, a technique, a drawing, a process, financial data, financial plans, product plans, or a list of actual or potential customers or suppliers that:

1. Derives economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use; and
2. Is the subject of efforts that are reasonable under the circumstances to maintain its secrecy (See O.C.G.A. § 10- 1-761).

6.3.2.7 Patentable Plant

Reviewed August 4, 2016

Patentable Plant means an asexually reproduced distinct and new variety of plant (See 35 U.S.C. § 161).

6.3.2.8 Mask Work

Reviewed August 4, 2016

Mask Work means a series of related images, however fixed or encoded:

1. Having or representing the predetermined, three dimensional pattern of metallic, insulating, or semi- conductor material present or removed from the layers of a semiconductor chip product; and,
2. In which series the relation of the images to one another is that each image has the pattern of the surface of one form of the semiconductor chip product (See 17 U.S.C. § 901).

6.3.2.9 Novel Plant Variety

Reviewed August 4, 2016

Novel Plant Variety means a novel variety of sexually reproduced plant (See 7 U.S.C. § 2321 et seq).

6.3.2.10 Creator and Originator

Reviewed August 4, 2016

Creator and Originator, which are used interchangeably in this Intellectual Property Policy, shall mean the creator, author, inventor, or similar person and that person’s executor, heirs, successors, and assigns.

6.3.2.11 Faculty Members, Staff Member, and Student

Reviewed August 4, 2016

Faculty Member, Staff Member, and Student are individuals who have signed an appropriate agreement (such as an application for admission or a contract of employment) with the College that obligates them to abide by the policies of the College and the Board of Regents. A staff member is any person other than a faculty member who is employed on a full-time or part-time basis by the College.

6.3.3 Determination of Rights And Equities In Intellectual Properties

Reviewed August 4, 2016

See Board of Regents Policy Manual Section 6.3.3.

6.3.3.1 Sponsor-Supported Efforts

Reviewed August 4, 2016

Sponsored project agreements with the College or one of its foundations often contain specific provisions with respect to ownership of Intellectual Property developed during the course of such work, in which case the terms of the sponsored project agreement shall establish ownership. When the sponsored project agreement is silent on the matter, all rights in intellectual property shall vest in the College. Income, if any, from such Intellectual Property shall be shared with the Originator, subject to the sponsor’s requirements, in accordance with Section 6.3.4.10.

6.3.3.2 College-Assigned Efforts

Reviewed August 4, 2016

Ownership of Intellectual Property developed as a result of College-assigned efforts shall reside with the College. Copyrightable works created by an employee in the course of his/her employment are considered to be works made for hire under copyright law, with ownership vested in the employer. However, any income from such Intellectual Property shall be shared with the Originator, in accordance with Section 6.3.4.10. The above notwithstanding, a faculty member’s or student’s general obligation to produce scholarly and creative works does not constitute a work for hire or a specific College assignment.

6.3.3.3 College-Assisted Individual Effort

Reviewed August 4, 2016

Ownership of Intellectual Property developed by faculty, staff, and students who make more than purely incidental use of College resources shall be shared by the Originator and the College. For purposes of this Intellectual Property Policy, the use of the following College resources generally shall not result in shared ownership: all resources available to the public without charge; College -owned/leased office, lab, or studio space or general use equipment; general use computer equipment; library resources, including electronic resources; and Internet access.

Use of the following College resources in the production of Intellectual Property generally shall constitute more than purely incidental use, shall be defined as College-Assisted Individual Effort, and shall result in shared ownership of the Intellectual Property under this Section: resources provided by College-funded and/or College Foundation-funded grants, and stipends; College employees (other than faculty) within the employment period; cost-added supplies and services; and College facilities other than offices, labs, studios, or library. Income, if any, from such Intellectual Property shall be shared as described in Section 6.3.4.10.

6.3.3.4 Individual Effort

Reviewed August 4, 2016

Ownership of Intellectual Property developed by faculty, staff, and students of the College shall reside with the Originator of such Intellectual Property provided that: the Intellectual Property was not developed in accordance with the terms of a sponsored project agreement (see Section 6.3.3.1); the Intellectual Property was not developed by faculty, staff, or students as a specific College assignment (see Section 6.3.3.2); and there was no significant use of College resources in the creation of such Intellectual Property (see Section 6.3.3.3). The Originator of the Intellectual Property shall have the opportunity to demonstrate that this classification applies.

6.3.3.5 Other Efforts

 Reviewed August 4, 2016 

Ownership of Intellectual Property developed by faculty, staff, and students of the College under other efforts is determined according to the criteria specified in Sections 6.3.3.1 through 6.3.3.4 above. Such efforts include, but are not limited to, consulting for outside organizations, collaborating with non-College personnel, or serving on non-College boards, committees, task forces, etc. Any agreement should include a statement that the faculty member has intellectual property obligations to the College and this Intellectual Property Policy should be attached to the agreement. In the event that there is any conflict between the College personnel’s obligations to this Intellectual Property Policy and their obligations to the entity or collaborative arrangement for which they provide these efforts, the obligations to this Intellectual Property Policy shall control.

6.3.4 Institutional Procedures

Reviewed August 4, 2016

See Board of Regents Policy Manual Section 6.3.4.

6.3.4.1 Intellectual Property Committee

Reviewed August 4, 2016

The President shall appoint an institutional Intellectual Property committee, consisting of no fewer than four (4) or more than nine (9) members, one (1) of whom shall be designated by the President to serve as chair. The committee shall include a representative of the Office of Business and Finance, the faculty, the staff, and the student body. The committee shall meet as necessary, and shall act in an advisory capacity to the President or his/her designee. Faculty, staff, and students shall promptly report to the committee in writing, through the appropriate channels, all Intellectual Property invented or created by them, which is reasonably likely to have commercial value.

The duties of the IP Committee include:

• Review Disclosure of Intellectual Property forms submitted by faculty, staff, and students.
• Act in an advisory capacity regarding Intellectual Property to the President, any Vice President, or a designee.
• Evaluate Intellectual Property developed through Sponsor-Supported Efforts and College-Assigned Efforts, and to determine whether to administer such Intellectual Property by undertaking those efforts it determines to be appropriate to protect and license or otherwise commercialize such Intellectual Property.
• In all cases in which questions arise as to equities, rights, division of royalties, or any other Intellectual Property-related matter the Intellectual Property Committee will perform any necessary consideration of circumstances, interpretation of policy, and initial decision making.
• For Sponsor-Supported Efforts, College-Assigned Efforts, and College-Assisted Efforts, the College Intellectual Property Committee is the body to recommend a lower percentage of the net revenue than specified in Section 6.3.4.10 if warranted where availability and use of College resources warrants smaller payment provisions. Any revenue sharing recommendations from the Intellectual Property Committee require written review and approval by the appropriate Vice President.

6.3.4.2 Disclosure of Intellectual Property

Reviewed August 4, 2016

For circumstances meeting the criteria for Section 6.3.3.1through 6.3.3.3, College personnel and students shall promptly provide the Intellectual Property Committee with a disclosure describing their creative and scholarly works and new material, devices, processes, or other inventions which may have commercial potential by using forms provided by the Intellectual Property Committee. College personnel and students shall also cooperate with the College and sign all papers deemed necessary to protect and commercialize Intellectual Property covered by this Intellectual Property Policy.

Disclosures are not required for circumstances meeting the criteria delineated in Section 6.3.3.4 or for works of authorship where there is no intent to commercially exploit the intellectual property (examples include, but are not limited to, articles for publication in scholarly or professional journals and instructional or research material for internal use), even though the ownership of the copyright may reside in the College as determined by law and/or Sections 6.3.3.1 and 6.3.3.2 herein. In cases where disclosure is not required, the College shall assign the copyright to the author for publication purposes. 

Reviewed August 4, 2016

Principal Investigators/Project Directors shall be responsible for informing coworkers, co-investigators, and direct reports of their rights and obligations under this Policy, contracts, grants, and the like before the initiation of research or other sponsored projects.

6.3.4.4 Confidentiality

Reviewed August 4, 2016

Certain contractual obligations and governmental regulations require that information be maintained in confidence. Some works, such as certain computer software, may best be protected and licensed as trade secrets. Additionally, inventions must be maintained in confidence for limited periods to avoid the loss of patent rights. Accordingly, the timing of publications is important, and College personnel and students shall use their best efforts to keep the following items confidential (to the extent allowed by law): all information or material designated confidential in a contract, grant, or the like; all information or material designated or required to be maintained as confidential under any applicable governmental statutes or regulations; and all information relating to Intellectual Property developed by College personnel and students which may be protected under this Policy until application has been made for protection.

6.3.4.5 Collaboration

Reviewed August 4, 2016

Collaboration between College personnel and persons not employed or associated with the College, including researchers at other universities or companies can result in the development of Intellectual Property jointly owned by the College and other persons or their employers. Protection and commercialization of such joint Intellectual Property can be difficult without extensive cooperation and agreement among the owners. Accordingly, it is important for College personnel involved in collaborative activities that may result in, the development of Intellectual Property to advise their immediate supervisors and the Office of Research and Sponsored Programs of such activities.

6.3.4.6 Administration of “Sponsor-Supported Efforts” and “College-Assigned Efforts”

Reviewed August 4, 2016

The Intellectual Property Committee has the responsibility to evaluate Intellectual Property developed through Sponsor-Supported Efforts and College-Assigned Efforts, and to determine whether to administer such Intellectual Property by undertaking those efforts it determines to be appropriate to protect and license or otherwise commercialize such Intellectual Property. 

6.3.4.7 Administration of “College-Assisted Individual Effort”

Reviewed August 4, 2016

Any Intellectual Property which is the result of College-Assisted Individual Effort under the Georgia Gwinnett College Intellectual Property Policy shall be administered by the Originator, unless the Originator and the Committee agree to have it administered by the College. Such Intellectual Property which is administered by the College shall be treated as “College-Assigned Effort.” In this situation, the Originator shall assign to the College his/her share of the ownership rights in such Intellectual Property, and the determination of revenue sharing as described in Section 6.3.4.10 of this Policy will be in accordance with the “College-Assigned Effort” classification.

6.3.4.8 Administration of “Individual Effort”

Reviewed August 4, 2016

Intellectual Property designated as “Individual Effort” shall be assigned to the Originator under a simple agreement which provides for periodic reports describing the Originator’s administrative activities, generation of payments or royalties, and if appropriate payment to the College of a portion of net revenue from the exploitation of the Intellectual Property. The Originator shall have responsibility for administration of the Intellectual Property. “Individual Effort” Intellectual Property may be assigned to the College to be treated and administered as College-Assigned Effort Section 6.3.3.2 Intellectual Property if both the Committee and the Originator agree to do so (see the discussion in Section 6.3.4.7).

6.3.4.9 Declined Intellectual Property

Reviewed August 4, 2016

Whenever the College chooses not to administer Intellectual Property or chooses to cease administering Intellectual Property, such Intellectual Property, subject to any obligations to a sponsor, may be released to the Originator to dispose of as the Originator sees fit.

6.3.4.10 Revenue Sharing

Reviewed August 4, 2016

All Recommended Revenue Sharing Distribution Agreements must be approved by the appropriate Vice President. Recommendations shall be made in writing by the Intellectual Property Committee.

1. Net Revenue from License Activity

The proposed division of net revenue is presented below. Net revenue is defined as gross receipts received by the College from license activity minus contract amounts due sponsors, if any, and the out-of-pocket costs incurred by the College in protecting and licensing the Intellectual Property. Where the College owns some portion of the Intellectual Property in question, revenue generated from use of the Intellectual property by the College is not receipts by the College from license activity.

Recommended Revenue Distribution

* Funds designated for the Originator’s Discipline will be provided to the Originator’s school with instruction that this portion of the funds be devoted to fostering further scholarship and research in the Originator’s Discipline.

Notes on Originator Portion:

1. The Originator’s share of net revenue shall be divided (equally) among joint Originators of jointly developed Intellectual Property, unless a written statement signed by all joint Originators which provides for a different distribution is filed with the College prior to the first distribution of shared net revenue.
2. In the event the Intellectual Property is licensed to the Originator, or an external entity in which the Originator has a significant financial interest, the Originator shall waive the right under the College Intellectual Property Policy to receive the Originator’s share of royalties identified above (except when the development of the Intellectual Property meets the criteria established for the Individual-Effort category, in which case this clause does not apply). In the event the Originator does not receive the Originator’s share, that share shall be distributed to the other parties in the proportions detailed above.
3. In the event the terms of the license of the Intellectual Property provide the College with equity, or an option to acquire equity, in the entity which licenses the Intellectual Property, the share of such equity due to Originators as identified above will be distributed to the originators when such equity is transferable or convertible to cash.

For Sponsor-Supported Efforts, College-Assigned Efforts, and College-Assisted Efforts, the College Intellectual Property Committee may recommend an allocation of revenue that differs from the recommended distribution.

1. Net Revenue from College Use of College-Owned Intellectual Property

Where the College owns some portion of the Intellectual Property in question, net revenue generated from use of the Intellectual property by the College shall be divided in accordance with the following table. Net revenue is defined as gross receipts received by the College from its usage of the Intellectual Property activity minus contract amounts due sponsors, if any, and the out-of-pocket costs incurred by the College in protecting the Intellectual Property.

Recommended Revenue Distribution

For Sponsor-Supported Efforts, College-Assigned Efforts, and College-Assisted Efforts, the College Intellectual Property Committee may recommend an allocation of revenue that differs from the recommended distribution.

6.3.4.11 Interpretation, Decision, and Appeal

Reviewed August 4, 2016

Cases where the Originator and the College agree to the classification and proposed mechanism of commercialization, the intellectual property will be processed by the College in accordance with this policy. All cases in which questions arise as to equities, rights, division of royalties, or any other Intellectual Property-related matter shall be referred to the Intellectual Property Committee for consideration, interpretation of policy, and decision. Appeal of an Intellectual Property Committee decision shall be to the appropriate Vice President. Appeals within the College must be made, in writing, within twenty (20) days of written notice of a decision. A final institutional decision may be issued by the President or his designee. If further appeal is necessary after issuance of a final institutional decision, the party may appeal to the Board of Regents. Appeals to the Board of Regents shall be made in accordance with Article IX of the Bylaws of the Board, which currently requires that appeals be filed within twenty (20) days of the final institutional decision. Twenty days refers to calendar days.

6.3.4.12 Heirs and Assigns

Reviewed August 4, 2016

The provisions of this Policy shall fix the interests of and be binding upon the heirs and assigns of (1) all University personnel; and (2) all others who agree to be bound by it.

6.3.5 Trademarks

Reviewed August 4, 2016

All trademarks arising out of research by institutions of the University System of Georgia constitute property of the Board of Regents of the University System of Georgia, and applications for registration, use of and licensing of such trademarks shall be governed by the policies of the Board. Trademarks arising out of research done by an institution of the University System of Georgia pursuant to an agreement with a cooperative organization shall be the property of such cooperative organization and such organization may file all appropriate applications and other documents necessary to protect such trademarks and may exercise all other rights consistent with ownership of the trademarks. 

6.3.6 Filing of Institutional Policies

Reviewed August 4, 2016

A true copy of the Georgia Gwinnett College Intellectual Property Policy shall be filed with the Office of Legal Affairs in the University System Office, as required by the Board of Regents Policy Manual Section 6.3.6.

See Board of Regents Policy Manual Section 6.3.6.

6.50 Research and Sponsored Programs Policies and Procedures

Reviewed May 26, 2016

Due to the length of this policy, it is not published in the APM. See the policy on My GGC.