George Mason University
Office of the Provost
May 1995

I. INTRODUCTION
 

As George Mason University develops its research program, situations arise in which it is appropriate to employ professionals whose duties are essential to research programs.

Academic research appointments at George Mason University fulfill a variety of needs.  For those who have recently received a doctorate, they provide an opportunity for two or three years of broader experience before entering professional careers at a university or in business, industry, or government.  For those who entered their professions immediately after receiving a doctorate or lesser degree, such appointments provide exposure to new knowledge and techniques arising out of university research.  This group often includes professors on sabbatical leave and research personnel from business and industry who come to GMU in visiting roles for a year or two.  Others, whose education emphasized training in the specifics of their profession, find an opportunity to master basic concepts on which to build new knowledge in a variety of fields.  Executives from business, science, and engineering frequently come for this purpose.

Research personnel do not require permanent academic appointments.  They are typically paid from ledger 5 (Sponsored Research) and ledger 2 (Earned Indirect) accounts, with the possibility of occasional ledger 1 (Educational and General) support for instructional, public service or related duties.  Their continued employment depends on direct support from grants and contracts which can begin and end at any time during the fiscal year.  Promotion criteria emphasize the individual's capability and productivity in research performance, development and management.  The activities of research personnel are intended to further the research mission of the University.

Research personnel are considered an employee subgroup of faculty; they are not instructional faculty.  Consequently, research personnel are not covered by the policies and procedures of the Faculty Handbook.  However, the "Faculty Information Guide" of the Faculty Handbook should be referenced for administrative procedures.  In addition, they are subject to the rules and regulations of the university.
 

Titles personnel on such appointments may hold are:

Normal qualifications for the categories are as follows:

Assistant Research S/E/A:  At least a Bachelors degree and 3 years experience, or a master's degree and either experience, further education, or training appropriate to the specific research program need.  Individuals in this category may not serve as principal investigators on grants and contracts.

Research S/E/A:  At least a bachelor's degree and 3 years experience, or a P.h.D or other terminal degree and 7 years relevant experience.  Individuals in this category may serve as principal investigators on grants and contracts with the approval of the appropriate Dean or Institute Director.

Senior Research S/E/A:  Master's degree in a field of research appropriate to the specific research program needs and 7 years of relevant experience or P.h.D or other terminal degree and 3 years experience.  Individuals in this category may serve as principal investigators on grants and contracts.

Principal Research S/E/A:  At least a P.h.D or other terminal degree and 7 years experience in a field of research  appropriate to the specific research program needs and management and program  development experience.  Substantial professional contributions are also necessary for this  rank.  Individuals in this category may serve as principal investigator on grants and contracts.

*These titles are in accordance with the Governor's Consolidated Salary Authorization for Faculty Positions in Institutions of Higher Education, and are used for statewide classification and payroll coding purposes only.

III. SEARCH AND HIRING PROCEDURES
 

Research personnel are considered restricted appointments.  The following procedures should be followed:
 
1.    Contact the Office of University Equity for pre-coded Faculty Appointment Recommendation Form/Affirmative Action Form 4 (FARF/AA Form 4).

2.    FARF/AA Form 4 is completed and submitted to the office of the Associate Provost for Administration and Budget for approval and then forwarded on to University Equity Office for final approval.

3.    Affirmative Action Form 5 is completed and returned to the University Equity Office by the successful candidate prior to actually beginning work on the campus.  Note: AA Form 5 is a result of the Americans with Disabilities Act (ADA).  This form must be completed and submitted to the University Equity Office by each succesful candidate for all full- or part-time research positions.
 

Appointments to a research personnel category are made without presumption or consideration of reappointment.  Research personnel are employed to work mainly on projects supported by external funding.  Research personnel positions are not tenurable.  Appointment of research personnel may be initiated by Provost, Deans, Institute Directors, Department Chairs or Center Directors.  The approval process is the same as for instructional faculty.

At the time of initial appointment, the offer letter will indicate a minimum fixed period of employment (between six months and three years).  If the individual is employed on a full-time basis for less than six months, he/she should be considered to be on a Visiting status (i.e. Visiting Research Scientist).  Continuation beyond this period will be determined by the receipt of additional sponsored funds and performance criteria established for their employment.  Administrators have the discretion of using ledger 2 (Earned Indirect) or other available funds to support research faculty during gaps (usually for only a few months) in external project support.  Appointments may be made to academic organizations of the university, e.g. school, college, department, institute, or center.  Appointments and salaries are based on 12 months, not 9 months.

These positions (if full-time and over 6 months in duration) will accrue vacation and sick leave at the same rate as 12 month instructional faculty.  Because such appointments do not relate to either academic or fiscal years, vacation and sick leave will accrue rather than be given at the beginning of an academic or fiscal year.  Conditions on when vacation may be taken, if any, will be specified in the appointment letter.
 

The initial letter of appointment should define the length of the appointment, benefits, and the employee's duties/responsibilities.  It should also state that continuation of employment is subject to continuation of funding and satisfactory performance.  Employment is subject to the policies and procedures of the Board of Visitors, and any amendments to these.  Language that speaks to continuation beyond an initial year or term should include specific conditions.  The research grant or contract from which the research personnel is to be paid may be year to year, but rarely is funding for subsequent years guaranteed.  Letters should not contain commitments that the hiring unit cannot cover (see attached sample).
  ILLUSTRATION IA EXAMPLE OF A RESEARCH PERSONNEL APPOINTMENT LETTER  

[date]

[name and address]
x
x
x

Dear _____________:

I am pleased to offer you the position of [title of position] in the [department] at George Mason University.

The terms of the offer are as follows:
 

• Term:  [effective dates]
 
• Salary: [amount per 12-month period]
 
• Title:  [full title]
 
• Other terms: (actual starting date, etc.)
If the appointment is full-time and over 6 months in duration, insert:

    Your appointment will be full-time.  You are eligible to receive the benefits which will be described in an orientation packet that the Human Resources Department will send to you under separate cover.  Should you have any questions on these benefits, please call the Human Resources Department collect at (703) 993-2600.

If the appointment is part-time, insert:

    Your position is a part-time appointment and does not include benefits available to full-time employees.

    Your position is fully (or partially) funded from Ledger 5 (Sponsored Program) funds.  It is especially important that you understand that your employment is contingent upon the continuation of sponsored program funding.

    This employment offer is subject to approval by the Board of Visitors and appropriate University administrative officers.  You must also satisfy all Federal employment eligibility requirements.

    This offer will remain open until [date].  If these terms and conditions are acceptable to you, please sign and date in the space provided below and return the original to my office.  This letter, together with the bylaws, policies, rules and regulations of the University, currently in force and as amended in the future, will constitute your employment agreement with George Mason University.  If you do not sign and return this offer of employment before [date], the offer will be null and void.

    I look forward to your acceptance of this offer and to a rewarding professional association in the future.  Should you need additional information or assistance, please do not hesitate to call me.  My telephone number is [office number].

Sincerely,

[Name]
[Title]

I accept the appointment described under the terms and conditions set forth above in this letter.  I hereby acknowledge that this letter, together with the bylaws, policies, rules and regulations of the University, currently in force and as amended in the future, will constitute the entire employment agreement between myself and George Mason University.  I further understand that this appointment is contingent upon the appropriation and availability of funds.
 

________________________________________________ _____________________
[applicant's name]      Date

cc: Human Resource Department
Appropriate Vice President
Associate Provost, Administration and Budget
Director, Office of Sponsored Programs
 

Assistant Research S/E/A to Research S/E/A:
degree and experience qualifications
three years as Assistant Research S/E/A
successful performance of research duties
Research S/E/A to Senior Research S/E/A:
degree and experience qualifications
three years as Research S/E/A
demonstrated capability for developing and/or performing on research projects involving several other professional personnel
 
Senior Research S/E/A to Principal Research S/E/A:
degree and experience qualifications
four years as Senior Research S/E/A
evidence of outstanding performance in sponsored program development and leadership in research management
 
Research personnel who meet the criteria for promotion may apply for promotion annually.  Application is normally made in the Fall of the year, at the same time as instructional faculty promotions. Required steps include:
 
1.    Evaluation by immediate supervisor

2.    Evaluation by a peer committee (negotiated) of research personnel and/or instructional faculty who are knowledgeable about the candidate's capabilities.  This committee, whose minimum size is three, is appointed by the Dean of the School or College or Director of the Institute in which the candidate is employed.

3.    Evaluation by the Dean or Institute Director.

4.    Evaluation by the Provost, who makes the final decision.

Annual evaluations and salary adjustments (within funding availability) will parallel the processes and performance evaluations of instructional faculty.  Evaluations for reappointment (subject to funding availability) should be completed at least three months prior to the individual's hiring date "anniversary".  The maximum pool (percentage) of salary dollars for the salary process will be communicated annually.

Employees may be subject to termination, at any time, due to lack of funding as well as for non-satisfactory performance of duties.

Research personnel have access to university rules and regulations with respect to due process and related issues (i.e. sexual harassment, equity, etc.)  Lack of available funding for research positions is a non-grievable issue.  Research personnel are not covered by the Virginia Personnel Act, which covers classified state employees.  In addition, research personnel are not covered under the Faculty Handbook, although the administrative procedures contained within the "Faculty Information Guide" are applicable.

I         Introduction
 
This policy defines and establishes the respective rights and obligations of University
faculty, students, and staff regarding copyrightable works made by them.  Certain terms
used in this policy are defined in Section V.
 
II.      Ownership of Works
A. Authored by University Staff

In accordance with the Federal Copyright Act of 1976, works developed by University staff within the scope of their employment are the property of the University.

B.  Authored by University Faculty

All copyrightable works developed by faculty members on their own initiative shall be the property of such faculty members, except as follows:
 

1.       Specific Assignments
 
The University owns the copyright and works produced pursuant to specific assignments or specific duties that are not connected with normal teaching scholarship, research or artistic endeavors.  The authoring of catalogue or promotional materials is an example of such an assignment.
2.       Special Projects
 
The University owns the copyright for works created as special projects.
3.       TV Lecture Series
 
When a faculty member agrees to the University's request to have his or her lectures videotaped for off-campus broadcast or to have them broadcast live via University telecommunications facilities, the programs will be jointly owned and copyrighted by the faculty member and the University.
 
4.       Works Developed in the Course of Assigned Duties or Conducted Wholly  or Significantly Through the Use of General Funds
The University owns works developed in the course of assigned duties or developed wholly or significantly through the use of general funds.
 
C. Authored by Students
 
Copyrightable works, including dissertations, developed in connection with course work by students who are not University employees are deemed to belong to the student. However, the University may claim copyright ownership of a work when extraordinary use of University facilities, personnel, or resources is made in the development of the materials, especially when unrelated to coursework.
 
III. Royalty Allocation
 
A.    When the University retains ownership of a work authored by a faculty member, the University will execute an agreement with the faculty member providing for a sharing of net proceeds from the commercialization of the work in a manner reflecting proportionately the relative contributions of the author and the University. Proceeds will continue to the faculty member after separation from the University or to the faculty member's estate upon his or her death. Such works may be used within the University without royalty to the author, but the University may agree to compensate the author for special cases of internal use.  If more than one faculty member is an author of a work or a  part thereof, the share of proceeds which this paragraph allocates to the author will be shared among such co-authors.
 
B.    The faculty author of a work, the ownership of which is retained by the University, shall warrant to the University that the work is original and that to the best of his or her knowledge the work does not infringe on any copyrights of others, does not contain libelous matter, and does not contain any material improperly invading the privacy of others.
 
IV.    Authority to Act for the University

The Board has adopted initial procedures to implement this policy. The President may make
changes in such procedures.  The President or his designee shall report to the Board on
University copyright activities, including, but not limited to any changes in the procedures
and a list of copyrightable works in which the University has claimed an interest, at the
November meeting of the Board each year beginning in l986.

V.    Definitions
 

A.    Author or Authors mean the individual faculty member or members who devise the   particular form of part or all of a copyrightable work.

B.    Board means the Board of Visitors of George Mason University.

C.    Commercialization means sales of copyrights and contracts with outside agencies
providing for royalties or other lease arrangements based on copyrights.
 
D.    Faculty has the same meaning as in the current George Mason University Faculty Handbook.  For the purpose of this policy statement, administrative faculty are considered "staff" when they are fulfilling their administrative roles and "faculty" when they are carrying out their duties as regular faculty members.

E.     President means the President of George Mason University.
 
F.     Proceeds means the net remaining after deduction of unreimbursed development   costs incurred and the expenses of marketing, including cost of advertising, sales,   distribution, and related overhead costs.

G.     Special Projects are activities to which the University makes a substantial contribution of funds, personnel, facilities, services, or reduction of workload to the author.  What constitutes a "substantial contribution" for purposes of this definition must be decided on a case by case basis.  These are frequently, but not always, similar to projects supported by outside sponsors, who from time to time include in their grants or contracts, terms that claim ownership of the copyright by the sponsor or require publication without copyright.  The University will retain an interest in any copyrightable work produced by a Faculty member, staff member or student under contract with a third party if the University makes a substantial contribution notwithstanding any contract terms to the contrary.  Funds and facilities provided by outside sponsors which are administered and controlled by the University shall be considered to be "funds" and "facilities" contributed by the University for the purposes of this definition.
 

Special projects will be frequently, but not always, characterized by released time to the author or authors, by the substantial use of University facilities, and/or by the contribution of University employees other than clerk and secretarial employees.  Examples of such substantial University contributions are the use of one or several University employees in the preparation or validation of teaching or testing materials, the participation of University employees as researchers on a project, and a University-sponsored conference which is funded by the University with the participants being paid for or contributing their papers or presentations and a faculty member compiling and editing the proceedings.

H.    Staff means all employees of the University other than faculty.

I.     Work or works are those products for which copyright protection is provided by the Federal Copyright Act of 1976.  This statute covers "original works of authorship fixed in any tangible medium of expression, now known or later developed, from which they can be perceived, reproduced or otherwise communicated."  Copyright protection does not "extend to any idea, procedure, process, system, method of operation, concept, principle, or discovery...described, explained, illustrated, or embodied in such work."  Works may be literary, dramatic, musical, choreographic, artistic, scientific, and so forth.  They may be fixed in the form of writing, drawing, maps, photographs, paintings, sculptures, motion pictures, sound recordings, and so forth.

J.     University means George Mason University.

K.    Assigned Duty is narrower than "scope of employment," and is an undertaking of a task or project as a result of a specific request or direction.  A general obligation to do research, even if it results in a specific end product such as a vaccine, a published article, or a computer program, or to produce scholarly publications, is not a specific request or direction and hence is not an assigned duty.  In contrast, an obligation to develop a particular vaccine or write a particular article or produce a particular computer program is a specific request or direction and is therefore an assigned duty.

L.    Significant Use of General Funds and the phrase "developed wholly or significantly through the use of general funds," mean that general funds provided over half of the identifiable resources used to develop a particular intellectual property, and exceeded $10,000.00.  A reasonable cost should be assigned to those resources for which a cost figure is not readily available, such as salary, support staff, and other equipment and resources dedicated to the creator's efforts.  Resources such as libraries that are available to employees generally should not be counted in the assessment of the use of general funds.

 
  COPYRIGHT POLICY PROCEDURES  

I.    Introduction

These procedures implement the Copyright Policy established by the Board of Visitors.
Certain terms used in these procedures are defined in Section V of the Copyright Policy.

II.    Authority to Act for the President

The authority to act for the President in all matters involving intellectual property including copyrights and patents, including the making of contracts and the waiving or assigning of University rights is hereby delegated to the Vice Provost for Faculty Affairs and Research ("The Vice Provost")*.

III.    University Intellectual Property Committee

The Vice Provost will be advised by a University Intellectual Property Committee ("the Committee") elected by the Research Advisory Committee.  The Committee will consist of five faculty members actively involved in intellectual property matters.  The Vice Provost will chair the Committee and will be a non-voting participant in all Committee deliberations.  All Committee terms are rotating for three years; the members may be reappointed.
 

The Committee's duties will include:

A.    To recommend whether the University has a proprietary interest in a faculty-authored work, and, if so, to what extent, should the faculty authors and the Vice Provost disagree;

B.    To recommend  the  relative shares in the work of faculty co-authors, should the faculty co-authors and the Vice Provost disagree;

C.    To recommend whether to apply for a copyright and/or market the work, should the faculty authors and the Vice Provost disagree;

D.    To make recommendations on matters of obsolescence as provided in Section VII, below, should the faculty authors and the Vice Provost disagree; and

E.    To make recommendations on all matters pertaining to copyright not resolved by this procedure statement and to recommend modifications of the Copyright Policy that may be appropriate.

 
 

* As a result of the July 1, 1993 reorganization in the Office of the Provost, the position of Vice Provost for Faculty Affairs and Research no longer exists.  For "Vice Provost for Faculty Affairs and Research ('The Vice Provost')" in this document, read "Office of the Provost."

IV.    Procedure for Identifying Ownership of Copyrights

Each faculty member shall report to his or her chair any projects that might be subject to copyright.  The chair of each department (or the Dean in the case of those schools/colleges  without a departmental structure) in consultation with the collegiate dean shall forward a list of projects possibly subject to copyright to the Vice Provost with a recommendation concerning which items the University may wish to claim.  The Vice Provost, following any necessary consultation with the Intellectual Property Committee, shall prepare a final recommendation for the President regarding University interests.  If the President waives the University rights to a project, then so long as that project does not alter substantially in scope, the University will have no later claim.  This process shall be completed within 90 days following the faculty member's report.

V.    Rights with Outside Agencies

Terms of a grant from or contract with an outside agency allocating copyrights or specifying a right to require publication without copyright are binding on the faculty author and the University, only if contract or grant is approved by the University in advance.

VI.    Royalty Allocation

In the usual case where a copyright is owned by the University and net proceeds from royalties are to be shared with the author(s), an appropriate sharing of these proceeds would be as follows:
 

A.    The first $1,000 of proceeds to the author;

B.    Half of the proceeds above $1,000 to the author and the other half to the University.

If more than one faculty member is an author of a work or a part thereof, the share of proceeds which this paragraph allocates to the author will be shared among such co-authors as they shall determine.

In cases where the University incurs litigation costs in defending the copyright against infringement, such costs will be deducted from income before any royalties are distributed.  If such costs are incurred after the distribution of royalties have commenced, the author will be held harmless for any royalties already received.
 

VII.    Use of Works Copyrighted by the University

The University will make all reasonable efforts to consult with the author of a work, the copyright of which vests in the University, before any use is made of the work within the University or any license for its use outside the University is granted.

If the University fails to make progress toward obtaining a copyright (and marketing such copyright) of a faculty-authored work owned by the University within a period of 18 months, the faculty member may formally make a written request to the University Intellectual Property Committee, that the ownership of the materials pass to the author.

Faculty-authored works owned by the University may be reviewed by the author after five years for obsolescence.  If he considers the materials to be obsolete, he has the right to refer the matter to the Vice Provost, with recommendation for disposal of the material.
 

I. Introduction

This policy defines and establishes the respective rights and obligations of University faculty and staff regarding patents and inventions developed by them.  Certain terms used in this policy are defined in Section V.

II. Ownership of Patents

A. Patents Developed by University Staff

Patents and inventions developed by University staff within the scope of their employment are the property of the University.

B. Patents Created by University Faculty

Patents and inventions developed by faculty members shall be the property of such faculty members, except as follows:

1.    Sponsored Research

Patents and inventions arising in the course of sponsored research shall belong to the University.

2.    Research Financed Wholly or in Part by Federal Government Funds

Patents and inventions which result from research financed wholly or in part by Federal Government funds will be treated in accordance with the provisions of Public Law 96-517, "The Patent and Trademark Amendments of 1980," and will be owned by the University.

3.    Research Financed Wholly or in Part by Industrial, Philanthropic or Other
Organizations, Including Non-Federal Government Agencies or by Individuals, Under Contracts or Written Agreements with the University

Rights with respect to patents and inventions in this category will be governed by the agreement between the University and funding source.
 
4.    Research in the Course of Assigned Duties or Conducted Wholly or Significantly Through the Use of General Funds

Patents and inventions developed in the course of assigned duties or developed wholly or significantly through the use of general funds shall belong to the University.

5.    Foreign Patents

All rights to foreign patents and inventions shall be retained by the inventor, unless these rights are specifically claimed by the University.

6.    Special Projects

Special projects are activities to which the University makes a substantial contribution of funds, personnel, facilities, services, or reduction of workload.  What constitutes a "substantial contribution" for purposes of this definition must be decided on a case by case basis.  Special projects will frequently, but not always, be characterized by release time to the inventor or inventors, by the substantial use of University facilities, and/or by the contribution of University employees other than clerical and secretarial employees.

C.       Research Financed Under Terms of Consulting Contracts

Patents and inventions developed under terms of consulting contracts are governed by Section III of this policy.  University personnel may not use University facilities for work related to consulting agreements without prior written approval of the appropriate deans.  It is the responsibility of University personnel to advise potential consulting clients of their University obligations prior to entering into consulting agreements.

D.       Student Developed Patents and Inventions

Patentable works developed in connection with coursework by students who are not University employees are deemed to belong to the student.  However, the University may claim ownership of a work when extraordinary use of University facilities, personnel, or resources is made in the development of the invention, especially when unrelated to course work.

III.      Royalty Allocation

Income received by the University from a patent or invention shall be used first to reimburse the University for direct assignable expenses incurred in connection with the patent or invention.  Income which exceeds reimbursable expenses shall be divided between the inventor and the University.

IV.      Authority to Act for the University

The Board has adopted initial procedures to implement this policy.  The President may make changes in such procedures.  The President or his designee shall report to the Board on University patent activities, including but not limited to any changes in the procedures and a list of patents and inventions in which the University has claimed an interest, at the November meeting of the Board each year beginning in 1986.

V.       Definitions
 

A.    Administrative Unit means college, institute, school, department, center or other similar sub-division of the University.

B.    Board means the Board of Visitors of George Mason University.

C.    Faculty has the same meaning as in the current George Mason University Faculty Handbook. For the purpose of this policy statement, administrative faculty are considered "staff" when they are fulfilling their administrative roles and "faculty" when they are carrying out their duties as regular faculty members.

D.    Invention means any patentable invention, discovery, or new plant variety.

E.    Inventor means sole or joint inventors, discoverers, or plant breeders.

F.    Patent means a United States or foreign national patent grant, or United States certificate of invention or certificate of protection under the Plant Variety Protection Act.

G.    President means the President of George Mason University.

H.    Proceeds means the net remaining after deduction of unreimbursed development costs incurred and the expenses of marketing, including cost of advertising, sales, distribution, and related overhead costs.

I.     Reimbursable Expenses includes all direct assignable expenses incurred in connection with the development of a patent or invention.

J.     Sponsor means any agency outside the University which  supplies funds or facilities for  research conducted under agreement with the University.

K.   Staff means all employees of the University other than faculty.
 
 L.   University research personnel means University faculty, staff, and students who as part of their normal scholarly activities carry on research which  may be supported in whole or in part, by the University from its own resources or by grants from or contracts with outside sponsors.

M.   Assigned Duty is narrower than "scope of employment," and is an undertaking of a task or project as a result of a specific request or direction.  A general obligation to do research, even if it results in a specific end product such as a vaccine, a published article, or a computer program, or to produce scholarly publications, is not a specific request or direction and hence is not an assigned duty.  In contrast, an obligation to develop a particular vaccine or write a particular article or produce a particular computer program is a specific request or direction and is therefore an assigned duty.

N.   Significant Use of General Funds, and the phrase "developed wholly or significantly through the use of general funds," mean that general funds provided over half of the identifiable resources used to develop a particular intellectual property, and exceeded $10,000.00.  A reasonable cost should be assigned to those resources for which a cost figure is not readily available, such as salary, support staff, and other equipment and resources dedicated to the creator's efforts.  Resources such as libraries that are available to employees generally should not be counted in the assessment of the use of general funds.

PATENT POLICY PROCEDURES

I.        Introduction

These procedures implement the Patent Policy established by the Board of Visitors.  Certain terms used in these procedures are defined in Section V of the Patent Policy.

II.      Authority to Act for the President

The authority to act for the President in all matters involving intellectual property including copyrights and patents, including the making of contracts and the waiving or assigning of University rights is hereby delegated to the Vice Provost for Faculty Affairs and Research ("The Vice Provost")*.

III.     University Intellectual Property Committee

The Vice Provost will be advised by a University Intellectual Property Committee ("the Committee") elected by  the Research Advisory Committee.  The Committee will consist of five faculty members  actively involved in intellectual property matters.  The Vice Provost will chair the Committee and will be a non-voting participant in all Committee deliberations.  All Committee terms are rotating for three years; the members may be reappointed.
 

The Committee's duties will include:

A.    To recommend whether the University has a proprietary interest in a faculty invention, and, if so, to what extent, should the faculty inventors and the Vice Provost disagree;

B.    To recommend the relative shares in the work of faculty co-inventors, should the faculty co-inventors and the Vice Provost disagree;

C.    To recommend whether to apply for a patent and/or to market the work, should the faculty inventors and the Vice Provost disagree; and

D.    To make recommendations on all matters pertaining to patents not resolved by this policy procedure and recommend modifications of the Patent Policy that may be appropriate.

* As a result of the July 1, 1992, reorganization in the Office of the Provost, the position of Vice Provost for Faculty Affairs and Research no longer exists.  For "Vice Provost for Faculty Affairs and Research ('The Vice Provost')", in this document, read "Office of the Provost."

IV.      Procedure for Identifying Ownership of Patents

Each faculty member shall report to his or her chair any invention that might be subject to patent, including a statement describing the circumstances under which the invention was conceived and reduced to practice, generally in the form of a Record of Invention (ROI).  The faculty member will also:
 

 A.    Identify the sponsor, if any, of the project or programs under which the invention was developed, directly or indirectly;

 B.    Indicate whether the invention was made under terms of a consulting agreement between the inventor and a client.

The Chair shall forward this material to the Dean, and they shall recommend to the Vice Provost those inventions in which the University does and does not hold rights.  The Vice Provost, following any necessary consultation with the Intellectual Property Committee, shall make a final recommendation to the President. If the President determines the University holds rights to an invention, the inventor agrees to assign all rights, title and interest in and to said invention to the University in consideration of his employment remuneration and the compensation provided by this policy on inventions.

V. Rights with Outside Agencies

Public Law 96-517, "The Patent and Trademark Amendments of 1980", provides that George Mason University may retain full title, rights and interest in inventions made under contract with the government, with certain exceptions for unusual circumstances and requires that the University act in timely fashion to:
 

A.    Disclose inventions to the Government;

B.    Elect to retain title to inventions;

C.    File patent application on such inventions.

Except as superseded by provisions of a specific funding agreement, inventions and
discoveries covered are retained by the University.

The principal investigator is responsible for informing co-workers of their rights and obligations under consulting contracts or sponsored agreements before initiation of the research.  Inventions which are not required to be assigned by contractual terms shall be processed and disposed of by the University under the procedures of Section VI of these procedures.

VI. Procedures for Processing Patents in which the University has an Interest

Inventions shall be evaluated within 90 days of notice by the University for novelty and  patentability, and then:
 

A.    Released to the inventors if found not to be of interest to the University in which case the University shall retain a non-exclusive, royalty free license to use the invention for its educational, research, and service purposes forever, or

B.    If of interest, referred to a patent management entity with whom the University has a contract to assess for commercial potential.

If judged by a patent management company to have sufficient commercial potential for development by them, the invention shall be assigned to them or suitable licensed agency for protection and exploitation; or
 

A.    If judged by a patent management entity not to have sufficient commercial potential for development by them, the invention shall be
 
a). Referred back to the University for patenting or exploitation by the University or, at the University's sole option,

b). Released to the inventors. If an invention is released to the inventors, the University shall retain a non-exclusive, royalty free license to use the invention for its educational, research, and service purposes forever.

Whenever the University determines that it has no proprietary interest in an invention, or whenever the University releases an invention to its inventors, the inventors agree not to use the University, or the University's name, in the exploitation of such invention without prior written approval by the University.

VII. Income Allocation

In the usual case where a patent is owned by the University and net proceeds from royalties are to be shared with the inventors, an appropriate sharing of these proceeds would be as follows:
 

A.    Income which exceeds reimbursable expenses shall be divided fifty percent to the inventors and the balance to the University.

B.    When inventions are made under contract with an outside agency, the division of income shall be in accordance with the terms of the contract.

C.    The allocation of income between the inventors and the University may be changed in individual cases with the President's approval.