chapter 8 - Towson University

CHAPTER 8GRANTS ANDSPONSORED RESEARCHOFFICE OF SPONSORED PROJECTS AND RESEARCH ADMINISTRATIONThe Office of Sponsored Projects and Research Administration (OSP&RA) is the liaisonbetween any external funding agency and the University. It is responsible for disseminatinginformation regarding funding opportunities to faculty and staff, reviewing proposals beforesubmission to agencies, negotiating grants and contracts for sponsored projects on behalf of theUniversity, reviewing all sponsored project award documents for consideration by the President,and providing non-fiscal, post-award management for all such awards. Additionally, OSP&RAis responsible for identifying any changes in federal and State regulations or USM policiesregarding University-sponsored projects and for notifying the appropriate academic andadministrative personnel of such changes. The OSP&RA is the central repository for all originaldocumentation regarding grants and contracts. Proposals that are submitted to external fundingagencies and award documents received from such agencies must be reviewed by OSP&RA,which ensures that the terms and conditions are acceptable to the University and comply withState, federal, and University regulations and policies and that the appropriate administrativeapprovals are obtained.External Funding SourcesExternal funding sources are identified for faculty through two computerized searching systems,the Sponsored Programs Information Network (SPIN), and the Illinois Researcher InformationSystem (IRIS), agency announcements, and a newsletter of funding opportunities produced byOSP&RA. SPIN is a data base of over 4000 public and private funding sources, which may beaccessed at no cost by any faculty member by appointment with OSP&RA. IRIS is availablethrough the Internet to all TU affiliates with a University username and access to a Web browser.An office library of program announcements, applications, and commercially producedpublications supplements SPIN and IRIS.Proposal Development AssistanceProposal Development Assistance is provided to faculty and staff. Assistance includesinterpretation of funding agency guidelines and requirements, budget development, review ofproposals, completion of all required agency forms, and interpretation of agency feedback. TheOSP&RA offers workshops on agency programs and proposal development and writingperiodically throughout the academic year. Any faculty member or staff member who wishes tosubmit a proposal on behalf of the University should contact OSP&RA.

8-2 Chapter 8 - Grants and Sponsored Research.Liaison Between Potential Funding Agencies and the UniversityLiaison between potential funding agencies and the University includes visiting fundingagencies, personnel, and program officers as appropriate.Grants Management ServicesGrants management services are provided through coordination of University review andapproval of grant proposals, fellowship applications, contracts, subcontracts, and agreementsentered into by the University for research or other educational projects. The OSP&RAnegotiates budgets, contracts, and subcontracts with funding agencies, other universities, andprivate subcontractors. The OSP&RA reviews and manages grants in a manner consistent withUniversity, State, federal and agency-specific regulations.

8-3 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITY POLICIES AND PROCEDURES FOR SPONSOREDPROJECTSPROPOSAL SUBMISSIONAny sponsored project funded by an external agency is subject to the University policies forpatents, copyrights, confidentiality agreements, conflict of interest statements, the use,possession, or sale of drugs, the protection of human subjects, the protection of animal subjects,scientific misconduct, and sponsored projects as listed below. Sponsored projects should benegotiated by the Office of Research Administration (ORA). Any proposals to external fundingagencies must be submitted by the ORA. Proposals will be submitted to a funding agency afterthe normal internal University proposal review and approval procedure has been followed and allof the necessary signatures and approvals are obtained.1. SalariesSalaries for all personnel who will be involved on the research project should beincluded under direct costs in the proposal preparation. Faculty who are on a 10-monthacademic year appointment may receive compensation based on a 12-month calendaryear service period if they have administrative or teaching responsibilities at theUniversity. The salary for the two summer months should be calculated at 2/10 x basesalary for the fiscal year. A portion of the salary may also be underwritten by a grant or acontract during the fiscal year. If the faculty member has received 3 hours of assignedtime (out of a total teaching load of 12 hours) to work on the research, then thepercentage would be calculated at 25% of the base salary. If the assigned time is for 6hours then the percentage would be calculated at 50% of the base salary. The cost ofhiring a replacement to handle the course load of the faculty given assigned time will bepaid from the salary line item of the research grant. In no case can funds be requested orused to augment salaries of any faculty or staff beyond University-approved rates.Professional research staff, technicians, secretarial, clerical, administrative staff, andother supporting personnel may be compensated for the time that their services arerequired for the project. This may be included as a percentage of their time under the"Salaries" category.2. Fringe BenefitsFringe benefits include the University's contributions to social security, retirementprograms, health insurance, and unemployment compensation. If faculty or staff arecontractually hired, they are entitled only to those benefits paid for by the externalagency. The sponsored project grant should, whenever possible, cover full fringebenefits for its salaried personnel. The full amount entitled by the funding agency forfringe benefits should be charged to the research project for each salaried person involvedin the project during the academic year. During the summer, the project should only be

8-4 Chapter 8 - Grants and Sponsored Researchcharged social security and unemployment compensation benefits. Fringe benefit ratesare established on a yearly basis. For the current rate please contact the ORA. Studentswho are employed under the research grant/contract may not receive any fringe benefitsunless they are paid for by the grant/contract in accordance with University policy.3. Indirect CostsIndirect costs are actual costs incurred by the University for the use of facilities andservices which apply to the grant and to all other grants and/or contracts. They includegeneral administration, physical plant, maintenance and operations, and researchadministration expenses. Indirect costs are negotiated with the federal government soactual costs incurred for a research project may be accounted for and the Universityreimbursed for such expenditures. The University negotiates an indirect cost rate withthe Department of Health and Human Services. This rate is accepted by all federalagencies. Some foundations or other funding agencies will not pay indirect costsincurred on a grant; however, the full amount allowable should be requested. For TU, theindirect cost is calculated on the total salaries and fringe benefits of the grant/contract.The indirect cost recovery should return to the University in its entirety. If the Universityreceives the full indirect costs allowable for a specific award, an amount equal to 25% ofthe indirect cost recovery will be given to the principal investigator's department or centerto be used for cost sharing or other types of research support. The Comptroller's Officewill also be given an amount equal to 25% of the indirect cost recovery to support facultyresearch efforts. These transfers will occur at the end of each fiscal year in which theaward is ongoing or has been terminated.Any proposal submitted to an agency which requests less than the full allowable indirectcost rate must have approval of the President. This approval will be indicated on theProposal Review and Approval Form and obtained by the ORA.ACCEPTANCE OF GRANT/CONTRACT1. Institutional AcceptanceAn award to the University from a sponsoring agency serves as a legal document. Anaward may be in the form of a letter issued by an authorized agent of the sponsor or itmay consist of a complete contractual document. In some cases formal acceptance by theUniversity (and then by the agency) is required before the award is in effect. ThePresident of the University will accept such awards. The ORA should receive all originalaward documentation which will be kept within the office. The ORA will consult with aPrincipal Investigator if the award differs from the submitted proposal, so that the awardmay be accepted, modified, or rejected. Negotiation for all research contracts and/orgrants should be conducted by the ORA in collaboration with the Principal Investigator.

8-6 Chapter 8 - Grants and Sponsored Research2. ConsultantsConsultants may be required to work on a sponsored project. Curriculum vitae of allsuch consultants must be on file in the ORA. Approval must be obtained from the ORAand the Provost prior to the hiring of any consultants. Care should be taken that this is anapproved expense for the particular project. Consultant fees should be a separate lineitem on the project budget. Employees may not receive additional compensation forconsulting with their colleagues within the University unless their time has been writteninto the proposal and approved by all signatories on the Proposal Review and ApprovalForm.If faculty would like to be research consultants to an organization outside of TU, theyshould consult with the ORA regarding conflict of interest issues and the negotiation of acontract.If someone or some entity outside of TU is to provide a service, facilities, or conductresearch which will be paid from a research grant, this activity must be known at the timethe proposal is submitted and included in the proposal to the agency. The PrincipalInvestigator should contact the ORA for the negotiation of a subcontract.3. EquipmentThe sponsored project may purchase equipment which is designated in the budget.Depending upon the type of grant/contract and its conditions, title to the equipment mayeither remain with the University or with the agency. All equipment is purchasedthrough the Procurement Department under the provisions of the Approved ResearchBudget. The Principal Investigator has the responsibility for 1) assuring that the equipmentis not already available on campus, 2) determining the proper specifications inissuing the purchase requisition for the equipment, 3) assuring that all necessaryapprovals are obtained for the purchases, and 4) assuring proper receipt, inventoryidentification, and functioning of the equipment prior to authorizing payment by theUniversity.It should be noted that any equipment that is to be purchased which has not beenspecifically stated in the proposal budget must have prior written approval by the fundingagency. Requests for such equipment should be submitted to the ORA for negotiationwith the funding agency.If there is a cost-share on the part of TU, the cost-share monies will be transferred intothe research award account.Approved by the President's Staff5/13/92

8-7 Chapter 8 - Grants and Sponsored ResearchUSM POLICY ON HUMAN SUBJECTS OF RESEARCHIV - 2.10 -UNIVERSITY SYSTEM OF MARYLAND POLICY ON HUMAN SUBJECTSOF RESEARCH(Approved by the Board of Regents, April 25, 1991)The policy of the University System of Maryland is to respect and protect the rights and welfareof individuals. In the conduct of research, actions of the University System of Maryland and itsconstituent institutions will be guided, to the extent that they are applicable, by principles as setforth in such nationally accepted documents as the report of the National Commission for theProtection of Human Subjects of Biomedical and Behavioral Research, Ethical Principles andGuidelines for the Protection of Human Subjects of Research (April 18, 1979). Actions of theUniversity System of Maryland and its constituent institutions will also conform to applicablefederal, state, and local laws and regulations.In accordance with this policy, all University System of Maryland research activities whichinvolve human subjects, regardless of the level of risk foreseen, require review and approval,prior to the initiation of the activity. An Institutional Review Board (IRB) shall have jurisdictionover all reviews and approvals in accord with procedures set forth in recognized documents, e.g.Multiple Project Assurance document, and/or applicable regulations and policies including otherpolicies adopted by the System or an institution. Those research activities in which humansubjects may be exposed to more than minimal risk must be reviewed at a convened meeting ofan IRB; other research activities may be reviewed in the manner determined by the IRB under itsprocedures. An individual is considered to be at more than minimal risk if exposed to thepossibility of harm -- physical, psychological, social, legal, or other -- as a consequence ofparticipation as a human subject in any research activity which departs from the performance ofroutine physical or psychological examinations and tests, or which departs from established andaccepted procedures necessary to meet the individual=s needs, or which increases the probabilityor magnitude of risks ordinarily encountered in daily life.This policy applies to all research activities and to all development, training, and improvement orother related activities containing a research and development component. Furthermore, itapplies to any such activity performed on the premises of the University System of Maryland orits constituent institutions and to any such activity performed elsewhere by faculty, students, oremployees under University System of Maryland auspices.To carry out this policy the University System of Maryland institutions will maintain a sufficientnumber of IRBs with appropriate membership to provide for adequate reviews. The IRBs willhave the authority to approve, to require modification as a condition of approval, and todisapprove proposed activities that are covered by this policy. Furthermore, the IRBs will have

8-8 Chapter 8 - Grants and Sponsored Researchthe authority to determine whether or not any activity is covered by the policy and whether itrequires review by an IRB.Replacement for: BOR VII-5.00

8-10 Chapter 8 - Grants and Sponsored ResearchThe IRB has authority to suspend or terminate approval of research that is not being conducted inaccordance with its decisions, conditions, and requirements or that has been associated withunwarranted risk to participants. Researchers who do not comply with IRB policies or rulingswill be reported by the IRB to the researcher's department and to the funding agency if appropriate.The IRB Chairperson will also file a formal allegation in writing requesting a scholarlymisconduct inquiry of the project.Guidelines and forms may be obtained from the Office of Sponsored Projects and ResearchAdministration. Copies of the University=s written Assurance of Compliance with the federalcommon rule regarding research with human participants are also available from the Office ofSponsored Projects and Research Administration.Approved by the President7/9/91

8-11 Chapter 8 - Grants and Sponsored ResearchPOLICIES AND PROCEDURES OF THETOWSON UNIVERSITY FACULTY DEVELOPMENTAND RESEARCH COMMITTEEResearch GrantsResearch is defined as "diligent and systematic inquiry or investigation into a subject in order todiscover or revise fact, theories, applications, etc." Monetary awards and assigned time awardsfor purposes other than research--no matter how worthy the endeavor or project--cannot beawarded as faculty research grants. While the results of research may be incorporated intocourses, these awards are not intended for course development.A. Qualifications for a Faculty Research Grant1. The Committee shall make grants (not normally to exceed $1200 and/or 3 hoursassigned time) for the following purposes:a. Any research activity by a faculty member in which he/she acts as theprimary investigator and not just as supervisor of studies, and which isexpected to lead to a scholarly publication, performance, or exhibit.b. Purchase of reference books, supplies, and equipment not now availableon campus and necessary for carrying out the research project. All suchitems shall, upon completion of the project, be assigned to the Universityin a manner to be determined by the Committee at the time of the approvalof the grant.c. Travel of the researcher relevant to obtaining data for the approvedresearch project. Fundable travel expenses include meals and lodging upto the daily maximum allowable by State regulations, but for no more thanten (10) days, and transportation. Foreign travel will be funded only up totwo-thirds of the transportation costs.d. Manuscript preparation, if this service is not available from the departmentand/or from the University Word Processing Center. (A full researchgrant application must be submitted in order to request typing funds unlessthe research itself was previously funded by the Committee.)e. Regular part-time faculty members are eligible to apply for FDRCresearch grants. Temporary part-time faculty members are not eligible.Full-time visiting faculty are eligible during the term of their contract.

8-12 Chapter 8 - Grants and Sponsored Researchf. Computerized data base searches, up to $50, as part of a research proposal.g. In years in which the funding is available, the FDRC gives a number ofSummer Research Stipends to release faculty members from the necessityof teaching a summer course in order to permit them to conduct/continueresearch.2. The Committee shall not make research grants for any of the following purposes:B. Procedurea. Normal course development projects or study guides.b. Any expenses related to the preparation or completion of a thesis ordissertation.c. Purchase of books authored or edited by the faculty member fordistribution to colleagues or to other institutions.d. Student projects, particularly those involving academic credits anddissertation and/or thesis research.e. Any project primarily for monetary gain, as determined by the Committee.If the project should result in monetary gain, the first royalties amountingto the total of the grant must be returned to the University.1. Deadlines for submission of applications for grants will normally be the secondFriday of the fall and spring semesters. Summer stipend applications should besubmitted under the spring deadline.2. Application forms will be available in all chairpersons' offices prior to announceddeadlines.3. No applications will be accepted after the stated deadline date and time.4. Applications which do not follow the prescribed format and procedures and/orwhich exceed the requested length may be disqualified at the Committee'sdiscretion.5. If the project involves any use of human participants (including by way of surveyor questionnaire), the Committee will consider the application only if applicationfor approval from the Institutional Review Board for the Protection of HumanParticipants has been made by the time the research application is submitted. The

8-13 Chapter 8 - Grants and Sponsored ResearchReview Board requires that plans for the use of human participants includeprocedures for obtaining the informed consent of all participants, for maintainingthe security of data, and for assuring the anonymity of subjects in the reporting ofthe data. For information concerning Review Board procedure, see "TowsonUniversity Policy on Protection of Human Participants in Research Conducted byor with Faculty, Staff, and Students."6. If the project involves any use of vertebrate animal subjects, the Committee willconsider the application only if application for approval from the InstitutionalAnimal Care and Use Committee has been made by the time the researchapplication is submitted.7. Where services are to be funded as part of the grant, the applicant should itemizethe services and specify for each type of service the cost per hour or other costbasis.C. Responsibilities of Faculty Members Receiving Faculty Research Grants1. All persons receiving grants must signify their intent to accept, spend, andaccount for funds granted within two semesters; they do so by signing andreturning the letter of acknowledgment to the Committee within ten days afterbeing notified of their award. If no acknowledgment is received by theCommittee, the funds will be re-allocated to other applicants.2. The researcher is responsible for implementing the research project as approvedby the Committee. Any changes in design or methodology must be approved bythe Committee. Prior approval must be obtained through the Chairperson of theCommittee.3. In order for research purchases to be exempt from State sales taxes and for theuser to be eligible for any educational/institutional discount, the University allowsits name to be used for billing purposes. However, all invoices must be clearlyidentified as research projects and by whom the purchase was made. Invoicesmay be mailed to the Accounts Payable Department; they will then be forwardedto the grant recipient for payment. When convenient, purchases should be madethrough the University Procurement Department.4. Recipients of research grants, assigned time grants, or Summer Research Stipendsmust, in any publication resulting from the project, acknowledge the support ofthe Faculty Development and Research Committee of Towson University.

8-14 Chapter 8 - Grants and Sponsored Research5. Faculty members who receive an assigned time grant may teach one off-loadcourse or engage in other outside work which is equivalent to teaching one offloadcourse in addition to their regular teaching load.6. Recipients of Summer Research Stipends may teach two summer courses of nomore than eight credit hours at Towson University or elsewhere during thesummer for which the stipend was granted.7. An accounting must be made to the Committee of all expenditures made under agiven grant. This may be done upon completion of the project, but must besubmitted no later than the date stipulated in the letter awarding the grant. A formfor this purpose (Fiscal Report Form) is provided by the Committee.8. Since Summer Research Stipends are meant to replace foregone summer teachingsalary, no fiscal report is required. However, recipients of Summer ResearchStipends must submit a written report (see below) by the end of the fall semesterfollowing the summer for which the stipend was received.9. A written report of the results of the research and one copy of the scholarlyproduct (to be) published must be submitted to the Committee along with thecompleted Fiscal Report Form. If the product has not yet been published, a copyof the typescript should be submitted with the written report, and a copy of thepublished work should be submitted as soon as it is available. After theCommittee has completed its review of the written report, the copy of thepublished work will be sent to the University Archives. (Note: Where thescholarly product is a performance or exhibit, the researcher should submit theprinted program or other such documents as the "published work.") If theresearcher fails to submit an acceptable written report, no further grants will bemade by the Committee to that person until all reports are current.Approved by the University Senate10/7/90

8-15 Chapter 8 - Grants and Sponsored ResearchUSM POLICY ON MISCONDUCT IN SCHOLARLY WORKIII - 1.10 - POLICY ON MISCONDUCT IN SCHOLARLY WORK(Approved by the Board of Regents, November 30, 1989)I. POLICYThe inherent requirement for integrity in the quest for knowledge and in the creation ofscholarly and artistic works is fundamental to the academic purpose. Deviations from theproper conduct of scholarly work erode the public=s confidence in science, in scholarshipand in institutions of higher education. The University System of Maryland expects thatthe highest ethical standards as well as compliance with public laws and regulations willprevail in the conduct of its activities. The University System considers misconduct inscholarly work by any of its employees a breach of contract. Accordingly:A. It is the policy of the University System of Maryland to maintain high ethicalstandards in science and other scholarly work, to prevent misconduct wherepossible, and promptly and fairly to evaluate and to resolve instances of alleged orapparent misconduct.B. It is the policy of the University System of Maryland to terminate the employmentand/or to take other disciplinary action against any individual found guilty ofmisconduct.C. It is the policy of the University System of Maryland to award no degree ifmisconduct in science or other scholarly work contributed to that degree, andwhen warranted, to revoke such a degree if misconduct is discovered after itsaward.II.PURPOSEThis policy is the basis for University System of Maryland procedures and practicesdesigned to instill and to promote the principles of professional integrity, to preventscholarly misconduct, and to discover and to censure instances of misconduct when theyoccur. In accordance with this policy, each institution in the System must prepare,implement and publicize policies and procedures appropriate for its unique organizationand administration.The policy applies primarily to faculty, staff, and student research, scholarly writing, andthe creation of works of art. It is not intended to address issues, such as the conduct ofstudents in examinations and in fulfilling course requirements, which are covered byother policies.

8-16 Chapter 8 - Grants and Sponsored ResearchGUIDELINES FOR POLICIES AND PROCEDURES RELATING TOALLEGATIONS OF MISCONDUCT IN SCHOLARLY WORKI. PURPOSEIt is the purpose of these guidelines to provide institutions in the University System ofMaryland a framework for policies, procedures, and practices designed to instill andpromote the principles of professional integrity, to prevent scholarly misconduct, and todiscover and censure instances of misconduct when they occur. Using these guidelines,each institution in the System must prepare, implement and publicize policies andprocedures appropriate for its unique organization and administration.These guidelines apply primarily to faculty, staff, and student research, scholarly writing,and the creation of works of art. They are not intended to address issues, such as theconduct of students in examination and in fulfilling course requirements, which arecovered by other policies. Neither are they intended to fully address compliance withlaws and regulations. These guidelines address compliance only to the extent that itrelates to academic integrity.II.POLICYThe inherent requirement for integrity in the quest for knowledge and in the creation ofscholarly and artistic works is fundamental to the academic purpose. Deviations from theproper conduct of scholarly work erode the public=s confidence in scholarship and ininstitutions of higher education. The University System of Maryland expects that thehighest ethical standards as well as compliance with public laws and regulations willprevail in the conduct of its activities. The University System considers misconduct inscholarly work by any of its employees a breach of contract. Accordingly, institutionalpolicies should include the following statements:A. It is the policy of the University System of Maryland to maintain high ethnicalstandards in scholarly work, to prevent misconduct where possible, and promptlyand fairly to evaluate and resolve instances of alleged or apparent misconduct.B. It is the policy of the University System of Maryland to terminate the employmentand/or to take other disciplinary action against any individual found guilty ofmisconduct.C. It is the policy of the University System of Maryland to award no degree ifmisconduct in scholarly work contributed to that degree, and to revoke such adegree if misconduct is discovered after its award.

8-17 Chapter 8 - Grants and Sponsored ResearchIII.PROMOTION OF PROFESSIONAL INTEGRITYThe policies and procedures for each institution must provide for periodic evaluations ofprocedures and practices that teach and promote integrity in scholarly work, as well asthose practices that may inadvertently provide incentives for misconduct. Evaluationsshould include, but need not be limited to:A. Policies that fix responsibilities for the conduct of research and other scholarlywork and that assure adequate supervision or oversight of students and ofacademic or research teams.B. Institutional policies regarding authorship and the acceptance of full responsibilityfor the work published.C. Institutional practices regarding authorship as a criterion for promotion.D. Practices that foster openness and enhance awareness and recognition of ethicalissues and of responsibilities in the conduct of scholarly work.E. Practices that assure adequate orientation of students to ethical issues in academicpursuits and to acceptable techniques in data gathering, record keeping andreporting.F. Institutional practices and requirements in regard to recording, retention, andstorage of data.IV.MISCONDUCT IN SCHOLARLY WORKA. It should be emphasized that reporting misconduct in scholarly work is aresponsibility shared by everyone at the institution. However, frivolous,mischievous or malicious misrepresentation in alleging misconduct will not betolerated.B. Misconduct in scholarly work may take many forms; these guidelines apply, butare not limited to, the following examples of misconduct:1. Falsification of data. Ranging from fabrication to deceptively selectivereporting, including the purposeful omission of conflicting data with theintent to falsify results.2. Improper experimental manipulation. For example, manipulatingexperiments to obtain biased data.

8-18 Chapter 8 - Grants and Sponsored Research3. Plagiarism. For example, taking credit for an exact copy or the rewrittenor rearranged work of another.4. Improper assignment of credit. For example, insufficiently or knowinglynot citing the work of others, including associates and students, orinadequately identifying the repetition of data or material that appears inmore than one publication.5. Abuse of confidentiality. For example, improper use of informationgained by privileged access, such as information obtained through serviceon peer review panels and editorial boards.6. Deliberate violation of regulations. For example, failure to comply withregulations concerning the use of human subjects, the care of animals, orhealth and safety of individuals and the environment.7. Misappropriation of funds or resources. For example, the misuse of fundsfor personal gain.V. HANDLING ALLEGATION OF MISCONDUCTA. Allegations of misconduct in scholarly work may come from various sourceswithin and without the institution. It is important that allegations of misconductbe handled expeditiously and that no serious allegations go unheeded.Consequently, each campus must develop specific procedures that define howallegations will be evaluated, what levels of administration will be involved, andwhat actions will be taken as the result of evaluating an allegation of misconduct.B. No decisions regarding the seriousness of an allegation of misconduct should bemade by anyone whose personal or professional interests may be involved. Thus,although an allegation may first be reported to a collaborator, a co-worker, a coauthor,a faculty advisor, or a team leader, such a close associate must report theallegation to a designated senior official 1 for further action.C. The purpose of the evaluation of an allegation is to determine whether there is oris not substantial basic to believe that scholarly misconduct has occurred, andwhether formal discharge proceedings or other action with respect to theindividual=s employment is warranted.1 Each institution should designate a specific senior official to receive allegations, and analternate for instances which may involve a conflict of interest.

8-19 Chapter 8 - Grants and Sponsored ResearchD. The evaluation of an allegation should be kept confidential to the extent possible.Until a conclusion is reached, (i.e., the fact-finding process results in a judgmentthat there is or is not substance to the allegation) information about the allegationand about the evaluation should be made available only to those who need toknow. Generally, those who need to know include the accused, individuals whocan provide pertinent information or expert opinions, those conducting theevaluation, and appropriate institutional officials. Thus, institutional proceduresshould identify levels of administration that need to know. The procedures shouldidentify administrative levels at which evaluations will be conducted, as well aslevels at which actions will be taken at the conclusion of evaluations.E. All serious allegations of misconduct must be evaluated first by an inquiry, andthen, if the inquiry so indicates, by an investigation. The accused must be notifiedin writing when an inquiry into an allegation of misconduct is being initiated andagain when an investigation is being initiated.1. Inquiry 2a. An inquiry into an allegation of misconduct should be made by asmall committee appointed by the director or president of theinstitution, or by the director=s or the president=s designee.b. The purpose of an inquiry is to determine whether there issufficient basis for the allegation to warrant a full investigation.Thus an inquiry need not seek all the relevant information ordocumentation.c. An inquiry may be conducted informally, although records of itsfindings should be kept to justify its recommendations, and, if noinvestigation is recommended, to indicate whether the allegationwas mischievous.d. Institutional procedures should indicate which official shouldreceive and act upon the report of the committee of inquiry. If noinvestigation is initiated, that official must take appropriate actionas indicated under Section VI.B., below. If an investigation is to2 Paragraphs 1a-e and 2a-e below are offered as suggested procedures. In any case, theseprocedures should comply with institutional grievance procedures.

8-20 Chapter 8 - Grants and Sponsored Researchbe initiated, the official shall take or recommend whatever stepsare necessary to protect the health and safety of research subjects,students, and colleagues.e. Any respondent in an inquiry is required to cooperate in furnishingmaterials and responding to questions.2. Investigationa. An investigation should be initiated as soon as possible after aninquiry indicates the need. It should be conducted by a specialcommittee appointed by the institutional official indicated inSection V.E., 1.d. above. Its membership should be specificallychosen to evaluate the particular allegations under consideration.At least one member should be an individual not primarilyassociated with the institution.b. The committee may hold hearings and should have the authority,responsibility and resources to college and consider all of theevidence relevant to the allegation. It should be charged withobtaining expert opinions, if necessary to reach firm conclusions,and to do so by seeking the advice of external experts if that isrequired to avoid conflicts of interest, or for other appropriatereasons. An investigation must be thorough. It must obtainsufficient evidence to permit the committee to reach a firmdecision about the validity of the allegation, or to be sure thatfurther investigation could not alter an inconclusive result.c. An investigating committee should also be charged withrecommending specific actions appropriate for the seriousness ofits findings. These recommendations should address actions torestore damaged reputations if indicated and should identifyspecific retractions, disclaimers and announcements necessary toset the record straight. The committee may recommend sanctionsif wrongdoing is confirmed.d. If the alleged misconduct involves the performance of research andother scholarly work supported by an external sponsor, theinstitution must inform the sponsor when an investigation isinitiated. The notification should provide sufficient information tosatisfy the institution=s obligations to the sponsor, but in theinterest of protecting reputations that might be unjustly damaged, adetailed report should await the final outcome of the investigation.

8-21 Chapter 8 - Grants and Sponsored ResearchVI.e. An investigation, once begun, must result in a report to the officialcited in Section V.E.1.d. above, whether or not the individualremains at the institution.INSTITUTIONAL ACTIONSA. At the conclusion of evaluating an allegation of misconduct in scholarly work, theofficial indicated in Section V.E., 1.d. above, acting on behalf of the institutionmust take all actions appropriate for the findings.B. If misconduct is not confirmed, the person found innocent must be notifiedpromptly. The institution must consider whether a public announcement will beharmful or beneficial in restoring any reputation(s) that may have been damaged.Usually, that decision should rest with the innocently accused. The institutionmust take disciplinary action when an allegation is found to be mischievous. Theinstitution may find it necessary to reprimand lax supervision, faulty techniques,or inattention to propriety even when willful misconduct is not established.C. If misconduct is established, the institution must take action appropriate for theseriousness of the misconduct. If formal termination proceedings are instituted,such proceedings must be in accordance with System and institutional terminationpolicies and procedures. In addition to appropriate sanctions, the institution mustdo everything it can to set the record straight. This may take the form of publicannouncements, published retractions and disassociations with published papers,and full reports to external sponsors.Replacement for: BOR VII-9.00 and 9.01

8-22 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITYPOLICIES AND PROCEDURES FOR INQUIRIES AND INVESTIGATIONSCONCERNING ALLEGATIONS OF SCHOLARLY MISCONDUCTPreambleTowson University continues to commit itself to the highest standards of integrity in scholarlyendeavors, to prevent misconduct where possible, and promptly and fairly to evaluate andresolve cases of alleged or apparent misconduct. The overall philosophy regarding bothscholarly integrity and scholarly misconduct is based on the policy of the UniversitySystem of Maryland Board of Regents (1988).The purposes of this document are: (1) to outline the policies and procedures to be used indealing with allegations of scholarly misconduct; (2) to specify the rights and responsibilities ofboth the accuser and respondent during this process; (3) to identify the sanctions which may beapplied in the event of a positive finding of misconduct; (4) to outline the options that exist if anaccusation of misconduct is unfounded.The implementation of these policies and procedures will be paralleled by an effort to increasethe awareness of the University community with respect to ethical issues associated withscholarly activity, and to conduct an annual review of procedures and practices that promoteintegrity in scholarly efforts, as well as those practices that may inadvertently provide incentivesfor misconduct. The current document exists only for those rare instances where there is afailure to meet universally accepted ethical standards.I. Introduction and DefinitionsAll members of the University community share responsibility for developing andmaintaining standards for the ethical conduct of scholarly activities and for the detectionof abuse of these standards. Primary responsibility for the integrity of scholarly effortsrests with the Principal Investigator in the case of faculty research. Responsibility forjoint faculty and undergraduate or graduate research projects is shared by the student andthe principal faculty advisor. Towson University considers any demonstrated incident ofscholarly misconduct to be a breach of contract, whether stated or implied, and it willapply whatever sanctions are warranted by the particular form of misconduct.Scholarly Misconduct refers to inappropriate behavior related to the conduct of researchor other scholarly and artistic efforts. The definitions, policies, and procedures describedhere are not designed for all violations of academic ethics. For example, the misconductof students during examinations and acts of discrimination based on race, gender, age orreligion are not addressed as they are covered by other University policies.

8-23 Chapter 8 - Grants and Sponsored ResearchMisconduct in scholarly efforts can take many forms, and is generally defined as aserious deviation from accepted standards and practices in proposing, conducting, or inreporting the results of scholarly activity; however the major categories are defined in thefollowing list, which is not exhaustive.A. Fraud: Fabrication, falsification, and knowing misrepresentation of one's ownwork or the work of others.B. Improper Authorship: This category includes plagiarism; improper assignment ofcredit (e.g., excluding others who have made a significant contribution); claimingthe work of another as one's own; submission of multi-authored works without theconcurrence of all authors, which includes such aspects as the order of authorshipand the number of authors.C. Violation of Accepted Research Practices: Including willful, impropermanipulation of experiments to obtain desired results, or omission of data or otherinformation which would contradict or alter the conclusions of the study.D. Violation of Federal, State, or Institutional Rules Governing Research: Including,but not limited to those regarding misuse or misappropriation of funds (fromeither intramural or extramural sources), care of animals, human subjects,controlled substances, and hazardous biological, radioactive, or chemicalmaterials.E. Inappropriate Behavior in Relation to Misconduct: Including failure to reportknown misconduct or failure to report evidence of misconduct or circumstancesindicating misconduct; withholding or destroying data and/or other informationrelated to alleged misconduct; retaliation against individuals reporting orinvestigating misconduct; knowingly filing a false allegation of misconduct.F. Abuse of Confidentiality: Including improper use of information or influencegained by privileged access such as service on peer review panels, editorialboards, etc.; improper use of personal information gained in the course of researchusing human subjects.G. Misuse of Funds: The misappropriation of funds or resources. For example, themisuse of funds for personal gain.II.Procedures for Reporting and Investigating Allegations of Scholarly MisconductThe procedures which follow are intended to promote due process and ensure the affectedindividuals a timely, fair, and confidential review of any allegation of misconduct.Towards this end, the process will have two phases:

8-24 Chapter 8 - Grants and Sponsored Research(1) an Inquiry to determine the facts associated with the allegation of misconduct;(2) an Investigation to establish the veracity of the charges and to recommendappropriate sanctions.If at any time during the Inquiry or Investigation phases it appears fairly certain that thealleged misconduct might create a health or safety hazard, or involves state or federalequipment or funds, or affects human or animal subjects, or a need to protect the interestsof the person(s) making the allegation or of the individual who is the subject of theinvestigation and any associates, the President of the University shall take steps toprevent such abuses, pending the outcome of this process.If, and only if, any of the conditions in the previous paragraph apply, or it is probable thatthe alleged incident will be made public, or there is a reasonable indication of a possiblecriminal violation, the President of the University must notify the University System ofMaryland Board of Regents. Also, if the research is federally funded, the Dean of theCollege of Graduate and Extended Education and Associate Vice President for Researchin coordination with the Director of the Office of Research Administration will complywith all pertinent federal regulations regarding the notification of the appropriate officesof the federal agency.If the alleged misconduct involves the performance of scholarly work supported by anexternal sponsor, the institution, where required, must inform the sponsor when aninvestigation is initiated. The notification should provide sufficient information to satisfythe University's obligation to the sponsor, but in the interests of protecting reputationsthat might be damaged unjustly, a detailed report may await the conclusion of theinvestigation.A. Reporting An AllegationA person with knowledge of scholarly misconduct must report the allegation inwriting to the Dean of the College of Graduate and Extended Education andAssociate Vice President for Research. 1 Oral reports to either others or the Deanof the College of Graduate and Extended Education and Associate Vice Presidentfor Research will not be considered formal allegations.1 If there is a potential conflict of interest, the Associate Dean for Faculty Development willassume the role of the Dean of the College of Graduate and Extended Education and AssociateVice President for Research in this process.

8-25 Chapter 8 - Grants and Sponsored ResearchThe Dean of the College of Graduate and Extended Education and Associate VicePresident for Research will communicate quickly the initial allegation ofmisconduct to the immediate supervisor of the individual charged withmisconduct. The supervisor will undertake a limited inquiry to determine whetherthe allegation appears to be well founded, and report back to the Dean of theCollege of Graduate and Extended Education and Associate Vice President forResearch.Unless the Dean of the College of Graduate and Extended Education andAssociate Vice President for Research determines that the allegation is frivolous,the Dean of the College of Graduate and Extended Education and Associate VicePresident for Research will immediately notify the dean of the college associatedwith the individual, the Provost, and the President. The Dean of the College ofGraduate and Extended Education and Associate Vice President for Researchwill send written notification to the individual suspected of misconduct when thecharge has been formalized. The Dean of the College of Graduate and ExtendedEducation and Associate Vice President for Research will then convene theCommittee of Inquiry.B. The InquiryThe Committee of Inquiry will be composed of five faculty from the currentmembership of the Faculty Hearing Committee, with up to three additionalmembers, if the Committee requires additional expertise 2 to judge the details ofthe allegation, all of whom will be appointed by the President of the University(or his designee). The members of the Committee of Inquiry must be personswho have no direct professional or personal involvement with either thecomplainant or the respondent.The Dean of the College of Graduate and Extended Education and Associate VicePresident for Research will convene the Committee of Inquiry within fifteen daysafter receiving the formal allegation of misconduct. The Committee will operatein a manner that will maintain confidentiality regarding the allegation to thedegree compatible with accomplishing the purposes of the Inquiry.2 Once a charge has been formalized, University Counsel will be kept informed at each stageof the process.

8-26 Chapter 8 - Grants and Sponsored ResearchThe Committee of Inquiry shall seek sufficient facts to establish the need forconvening a formal Investigation of the alleged misconduct. This judgement willbe rendered as expeditiously as possible, and a final report should be submitted tothe Dean of the College of Graduate and Extended Education and Associate VicePresident for Research within 30 days of the appointment of the Committee ofInquiry.The Inquiry is informal, brief, and intended only as a fact finding process.Principal parties may confer with legal counsel at this stage, but they must speakfor themselves. This process does not have the jurisdiction of a court of law andit should not emulate the style of a court. The respondent must comply with allrequests for information from the Committee of Inquiry. The complainant andrespondent may present information, expert opinions, records, and other pertinentdata, and the Committee may request documents necessary to complete theirwork. All parties must receive timely copies of all documents submitted by anyof the principals.The conclusions of the Committee of Inquiry will be conveyed in writing to therespondent, the complainant, the immediate supervisor, the appropriate dean, theDean of the College of Graduate and Extended Education and Associate VicePresident for Research, the Provost, and the President, within 45 days of receipt ofthe allegation. The report will state what evidence was reviewed, summarizerelevant interviews, and include the conclusions of the inquiry. If the respondentcomments on the report, the comments must be included in the records.If the outcome of the Inquiry indicates that there are no grounds for a formalInvestigation, all of the parties involved will be notified, and efforts will be madeto ensure that the individuals involved are cleared of any unsupported allegations.If the Committee finds that the initial allegation was malicious, sanctions againstthe complainant will be recommended.Records of the Committee of Inquiry are confidential and are to be kept secure bythe Dean of the College of Graduate and Extended Education and Associate VicePresident for Research . They will be maintained in a secure manner for a periodof at least five years after termination of the Inquiry, and shall, upon request, beprovided to authorized federal funding agencies.Finally, the Investigation will be conducted and completed regardless of whetherthe respondent or the complainant severs any formal ties to the University beforethe conclusion of the Investigation.

8-27 Chapter 8 - Grants and Sponsored ResearchC. The InvestigationThe Committee of Investigation will consist of five members of the FacultyHearing Committee, and at least one individual who is not primarily associatedwith the University. In order to provide necessary expertise, or to avoid conflictsof interest based on relationships with either the complainant or respondent,membership may be supplemented by individuals with no formal ties to the University,but the committee may not be composed of a majority of such individuals.Furthermore, no member of the Committee of Inquiry may serve as a member ofthe Committee of Investigation. All members of the committee will be appointedby the President of the University (or his designee). The Committee ofInvestigation will be formed within 15 days of the finding by the Committee ofInquiry that an Investigation is warranted.The Committee of Investigation shall hold hearings. It will be authorized tocollect and consider all of the evidence the committee deems relevant to theallegation; this includes obtaining any expert opinions necessary to reach firmconclusions. It may seek the opinions of external experts if this is necessary inorder to avoid conflicts of interest. The Investigation must be thorough. It mustobtain sufficient information to reach a firm conclusion about the validity of theallegation, or to be certain that additional information would not alter aninconclusive result.Hearings are confidential and may be closed to all but the principals at the requestof either the complainant or the respondent. Principal parties may confer withlegal counsel, but they must speak for themselves. The hearings will not have thejurisdiction or procedures of a court of law. All parties will receive writtennotification of hearing dates and be provided copies of all documents at least 10days in advance of scheduled meetings. A record of all proceedings will bemaintained by the Dean of the College of Graduate and Extended Education andAssociate Vice President for Research. The Committee is required to file its finalreport within 120 days of being convened.D. SanctionsThe Committee of Investigation is also charged with recommending specificactions appropriate to its findings. These recommendations should addressactions to restore damaged reputations, and should identify appropriateretractions, disclaimers, and announcements necessary to correct the record. TheCommittee may recommend additional actions if misconduct is confirmed. ThePresident of the University, acting on behalf of the University, will take allactions appropriate in view of the findings.

8-28 Chapter 8 - Grants and Sponsored ResearchIf misconduct is not confirmed, the respondent must be notified promptly, and thePresident of the University must consider whether a public announcement will beharmful or beneficial in restoring reputations that have been damaged.Ultimately, such a decision should rely heavily upon the preferences of individualwho has been acquitted. The President must take disciplinary action if the initialallegation is found to be malicious. Finally, the President may find it necessary toreprimand lax supervision, faulty techniques, or questionable judgement, evenwhen willful misconduct has not been established.Sanctions must be appropriate to the seriousness of substantiated scholarlymisconduct, and will include those mandated by applicable State and/or federalregulations. In addition to the retraction of published scholarly works or theidentification of improperly produced artistic efforts, the sanctions may includedemotions in faculty rank and reductions in salary, if promotion and salaryincreases were a direct result of the efforts in question. The individual can bedeclared ineligible to receive intramural and extramural funding for a specifiedperiod. Any awards or degrees that were a direct result of the scholarly effort willbe revoked. The dismissal of a faculty member or student from the University isincluded in the list of possible sanctions.After all appeals have been exhausted, the President will communicate thedetermination of a case of substantiated misconduct to those persons who have aneed to know, which will include the respondent, the complainant, appropriateUniversity officials and sponsoring agencies, the editors of journals wherefraudulent results have been published, and academic institutions or otherscholarly organizations with whom the respondent was affiliated during the periodof substantiated misconduct. In appropriate cases, where public funds were usedin direct support of the scholarly activity, certain information may be released tothe press upon receipt of the sanctions to the Board of Regents. If required byFederal regulations, these results may also be communicated to prospectiveemployers.E. AppealsIndividuals may appeal the judgement of a Committee of Investigation and/or thesanctions applied. A written statement which details the grounds for appeal mustbe submitted to the President within 30 days of formal, written notification of thefindings of the Committee of Investigation. Grounds for appeal include new,unconsidered evidence, failure in due process in the investigative process, orpersonal and/or professional conflicts of interest among those involved in theinvestigation.

8-29 Chapter 8 - Grants and Sponsored ResearchUpon receipt of the written appeal, the President or his designee will evaluate theevidence for the appeal. The President may, but is not required to, order acomplete or partial investigation based on the appeal. The President's decision isbinding on all parties, and will be conveyed to them in a timely fashion.Approved by the University Senate5/14/90

8-30 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITYGUIDELINES FOR CONTRACTS BETWEEN EXTERNALAGENCIES AND FACULTY OR ACADEMIC DEPARTMENTSProcedures for developing formal contracts with external agencies, with the exception ofrecognized granting agencies (these are handled by the departmental, college, and UniversityGrants Coordinators), are described below.The procedures described here are not applicable to contracts involving either educational ortraining services. All such formal, informal, and workshop type courses should be coordinatedthrough the College of Graduate and Extended Education.I. When are Contracts Necessary?The following describes situations in which a formal contract between an external agencyand the University should be considered.A. Faculty Consulting. Faculty consulting with an external agency will fall intotwo categories.1. Faculty who in their consulting neither act as agents of the University noruse any substantial University facilities (see Pathway 1 of Flow Chart Ibelow): Under these circumstances the matter is solely between thefaculty member and the external agency. No contract with the Universityis necessary.2. Faculty who in their consulting use the University name, substantialUniversity facilities, or both (see Pathway 2 of Flow Chart I below): Thissituation requires the development of a formal contract between theUniversity and the external agency (see contract approval procedures).B. Contracts with Departments. When a Department is contacted or makes contactwith an external agency in which University facilities are proposed to be used,then a formal contract is required between the external agency and the University(see Pathway 3 of Flow Chart I below).

8-31 Chapter 8 - Grants and Sponsored ResearchGuidelines for Contracts Between ExternalAgencies and Faculty or Academic DepartmentsFLOW CHART IExternal Agencypathway 1 pathway 2 pathway 3Faculty member Faculty member as a Departmentas an individual representative of theUniversityNo contract neededContract neededII.Contract Development and Approval ProcedureContracts between the University and an external agency may be developed in two ways:the external agency may present a contract to the faculty member or department forapproval by the University; the faculty member or department may present a contract tothe external agency.A. Internally Generated Contracts. The following procedures should be followedby individual faculty members or departments in generating contracts to bepresented to external agencies.1. The dean 1 is to be contacted. The dean will, in consultation with facultyor the department, develop the outlines of a contract.2. The dean will send the proposed outline of a contract to the Director ofProcurement.1 The dean of the college may designate a representative to act in this capacity.

8-32 Chapter 8 - Grants and Sponsored Research3. The Director of Procurement will, in consultation with the dean, develop aformal contract.4. The Director of Procurement may, at his/her discretion, submit theproposed contract to the state Attorney General's Office for comment.FLOW CHART IIFaculty Memberor DepartmentDean (or his/her designee) 2Attorney Manager for Vice President forGeneral=s Contractual Administration & FinanceOfficeServices5. All contracts in which University facilities or the University name is usedmust be signed by the Vice President for Administration and Finance orhis/her designee. Contracts not so signed are not legally binding on theUniversity.6. University generated contracts will be submitted to the external agency forsignature. After being signed by the external agency they will be returnedto the Director of Procurement who will obtain the signature of the VicePresident for Administration and Finance. Signed copies of the contractwill be mailed to all parties of the contract. If the external agency requestschanges in the contract it will be considered as though the contract wasdeveloped by the agency [External Contract Generation (see below)] andthe procedures for such a contract followed.2 The dean of the college may designate a representative to act in this capacity.

8-33 Chapter 8 - Grants and Sponsored ResearchB. Externally Generated Contracts and Approval Procedures. Contractsgenerated by outside agencies or University contracts modified by outsideagencies on receipt by either a faculty member or an academic department willuse the following procedure for approval.1. The faculty member or department will submit the contract to the dean.2. The dean will send the contract to the Director of Procurement.3. The Director of Procurement will handle the contract in one of thefollowing ways:a. If acceptable, it will be returned to the external agency forsignature(s).b. If unacceptable, it will be returned with suggested modifications tothe external agency.c. The Director of Procurement may, at his/her discretion, submit theproposed contract to the Attorney General's Office for comment.4. When acceptable to both parties, the contract will be signed by theexternal agency and returned to the Director of Procurement to obtain thesignature of the Vice President for Administration and Finance. Copies ofthe signed contract will be mailed to all parties of the contract.

8-34 Chapter 8 - Grants and Sponsored ResearchFLOW CHART IIIFaculty Member or DepartmentDean (or his/her designee) 3External Director of Vice President forAgency Procurement Administration & FinanceAttorney General'sOfficeThe University Procurement Department has developed a standard addendum which providesmuch of the material that must be included when contracting with external agencies. A copy ofthe addendum may be obtained by phoning the Director of Procurement.1 The dean of the college may designate a representative to act in this capacity.Approved by the University Senate4/7/863 The dean of the college may designate a representative to act in this capacity.

8-35 Chapter 8 - Grants and Sponsored ResearchUSM POLICY ON PATENTSIV - 3.00 - POLICY ON PATENTS(Approved by the Board of Regents, May 31, 1990)I. ObjectivesThe objectives of this policy are to encourage and aid research at the University Systemof Maryland, to provide financial compensation as well as professional recognition toinventors, and to protect and best service the public interest. To these ends, this policyencourages disclosure of inventions and discoveries and their evaluation for possiblepatenting and licensing and establishes principles for determining the rights of theconstituent institutions and inventors. The University System of Maryland continues toencourage scholarly publication of the results of faculty and student research.II.ApplicabilityA. The University System of Maryland Patent Policy applies to all personnel. Asused in this policy, Αpersonnel≅ means all paid and unpaid full-time and parttimefaculty members and staff, and all paid employees (including those onapproved leaves); and students and fellows.III.General PolicyA. The University System of Maryland has an interest in all inventions of personnelwhich are conceived or first actually reduced to practice as a part of or as a resultof: a University System Administration or constituent institution administeredprogram of research; activities within the scope of the inventor=s employment bythe University System Administration or constituent institution; or activitiesinvolving the use, to a substantial degree, of University System Administration orconstituent institution time, facilities, or materials or of University SystemAdministration or constituent institution information not available to the public.ΑInvention≅ means any invention or discovery which is or may be patentable orwhich may be commercially licensable. At the time of appointment of visitingfaculty and staff a signed acknowledgment of this policy will be required. Aninvention shall be considered as resulting from activities Αwithin the scope of theinventor=s employment≅ whenever his or her duties include research orinvestigation or the supervision of research or investigation and the invention isrelevant to the general field of inquiry to which the inventor was devoted orassigned. ΑTime, facilities and materials≅ paid for from funds administered by

8-36 Chapter 8 - Grants and Sponsored Researchthe University System Administration or constituent institution shall beconsidered University System Administration or constituent institution time,facilities and materials whether the funds arise from federal or stateappropriations, student fees, donations, grants, contracts or other sources.B. The University System Administration or constituent institution has a right toownership of any invention in which it has an interest. Unless otherwise agreed,this Policy also applies to any inventions in which the University SystemAdministration or constituent institution has an interest under the terms ofcontracts, grants or other agreements. An invention in which the UniversitySystem Administration or constituent institution does not have a legal interestmay be offered to the University System Administration or constituent institution,and, if accepted, the University System Administration or constituent institutionwill administer such invention in accordance with this Patent Policy or asotherwise agreed.C. Except under special circumstances the University System will not agree to assignrights in future inventions to private corporations or businesses.IV.Responsibilities of the University System of Maryland and Delegations of AuthorityA. The University System shall: (1) notify the inventor promptly whenever it decidesnot to pursue or to abandon the pursuit of patenting or commercialization of aninvention, (2) execute, upon request, all contracts, assignments, waivers or otherlegal documents necessary to transfer to the inventor the University System=sinterest in any invention which it has so chosen not to pursue, (3) act withreasonable promptness and in good faith on all inventions disclosed to it, and(4) remit to the inventors their shares of income from inventions as specified inSection VI of this policy. Subject to these responsibilities, the University Systemmay, at any time, decide not to pursue or to abandon the pursuit of patentingand/or commercialization of an invention in which it has an interest.B. Authority and responsibility for Patent Policy is delegated to the Chancellor (orhis designee). The Chancellor (or his designee) may seek the advice andassistance of the University System of Maryland Intellectual Property Committee(hereafter called the Intellectual Property Committee; see Section VIII below).The responsibility for administration of the University System of Maryland PatentPolicy (including subparts 1-4 of IV.A.) is delegated to the chief executiveofficers of constituent institutions, except that rights in future inventions shall notbe assigned unless the Chancellor determines in writing that doing so is in the bestinterests of the System. Each constituent institution shall develop procedures forimplementing this policy.

8-37 Chapter 8 - Grants and Sponsored ResearchV. Responsibilities of PersonnelA. Personnel who, either alone or in association with others, make an invention inwhich the University System has or may have an interest shall disclose to thechief executive officer or designee such inventions reasonably promptly. As to aninvention in which the University System through the constituent institution hasan interest, the inventor, upon request, shall execute promptly all contracts,assignments, waivers or other legal documents necessary to vest in the UniversitySystem, or its assignees, any or all rights to the invention, including completeassignment of any patents or patent applications relating to the invention.B. Personnel may not: (1) sign patent agreements with outside persons ororganizations which may abrogate the University System=s rights and interests asstated in this Policy or which otherwise conflict with this Policy, nor (2) withoutprior authorization use the name of the University System of Maryland orconstituent institutions in connection with any invention.VI.Revenue SharingA. The University System through its constituent institutions shall share with theinventors revenue which it receives from patents or inventions. Specificprovisions of grants or contracts may govern rights and revenue distributionregarding inventions made in connection with sponsored research. Consequently,revenues received from such inventions may be exclusive of payments of royaltyshares to donors or contractors. Moreover, constituent institutions may contractwith outside persons or organizations for the obtaining, managing and defendingof patents, and any royalty share or expenses contractually committed to suchpersons or organizations may be deducted before revenues accrue or before theinventor=s share is distributed.B. The revenues (net, if applicable per the preceding paragraph) which are receivedfrom a patent or invention will be applied first to reimburse the University SystemAdministration or constituent institution for any specific, incremental expensesincurred by it in obtaining and maintaining the patent and in marketing, licensingand defending the patent or licensable invention. After provision for suchexpenses, such revenues shall be shared as follows: (1) the first $5,000 will bepaid to the inventor or inventors; (2) thereafter the inventor(s) will receive fiftypercent of such revenues. Applicable laws, regulations or provisions of grants orcontracts may, however, require that a lesser share be paid to the inventor.C. To the extent consistent with State and University System budget policies any netrevenue received on account of an invention, after sharing with the inventor, willbe dedicated to research and to the promotion of patenting and patents. If

8-38 Chapter 8 - Grants and Sponsored Researchpracticable, eighty-five percent of the University System Administration=s orconstituent institution=s share of new revenue from each invention will bedesignated for research in the inventor=s department or analogous unit up to$100,000 in a fiscal year for a particular department or analogous unit. Theremaining part of the net revenues shall be devoted to research and the promotionof patenting and patents as directed by the chief executive officer, or designee (or,for the System Office, the Chancellor or designee).D. If use of such funds for research within the inventor=s department or analogousunit is not practicable or for an amount in excess of $100,000 per fiscal year, thechief executive officer may allocate funds for other use within the institution.VII.Special CasesThe University System recognizes that special cases will arise which are not specificallycovered by this policy or which may justify waivers of this policy. Such cases may besubmitted to the Chancellor or designee.VIII.AdministrationA. The Intellectual Property Committee consists of the Vice Chancellor forAcademic Affairs or designee as an ex officio member and chair and no morethan fourteen other members selected and appointed by the Chancellor fromcandidates nominated by the chief executive officers of constituent institutions.Members are appointed for three-year terms with non-concurrent expiration datesand may serve successive terms.B. The Intellectual Property Committee convenes at the call of the Vice Chancelloror designee, who determines when implementation or interpretation of theUniversity System of Maryland Patent Policy requires consideration by thecommittee. Among the matters which may be referred to the committee forrecommendation to the Chancellor are: whether the University System ofMaryland has an interest in an invention; questions not covered by policy; andwhether some part of the policy should be waived.C. When the committee is considering a particular invention, the inventor and/or arepresentative designated by the inventor may examine all materials submitted tothe committee, may make written and oral presentations to the committee, andmay be present during oral presentations of others.D. It is recognized that the evaluation of inventions and discoveries and theadministration, development and processing of patents involves substantial timeand expense and requires talents and experience not ordinarily found in its staff.

8-39 Chapter 8 - Grants and Sponsored ResearchTherefore, the University System Administration or constituent institution mayenter into a contract or contracts with third parties in connection with theadministration of identified inventions, disclosures or invention, and developedpatents.E. Disputes on patent matters, including the interpretation of this Patent Policy, shallbe referred for resolution to the Chancellor of designee.Replacement for: BOR VII-4.00 and 4.01; BOT XIII-K

8-40 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITY PATENT POLICY1. In order to safeguard the interests of the University, the public, and potential inventors, itis deemed necessary to provide a procedure for the protection of inventions anddiscoveries arising out of research. This policy applies to all faculty, staff, and studentsengaged in teaching, research and/or study in any of the various divisions of the University.2. Faculty, staff, and students who participate either alone or in association with others ininventions or discoveries are required to disclose promptly such inventions or discoveriesto the President provided that University time, facilities, or materials were used inconnection therewith. Time, facilities, or materials paid for from funds administered bythe University shall be considered as University time, facilities, and materials regardlessof whether the funds arise from federal or state appropriations, student fees, donations,grants, contracts, or other sources.3. The University has an interest in all inventions and discoveries disclosed to it as requiredby paragraph 2 above, except where the invention or discovery results from personalresearch, in which case the invention or discovery shall be the sole property of theinventor. Personal research includes research not related to any special Universityresearch program and research for which the University makes no special contribution oftime, facilities, or materials. The payment of a salary and the provision of a normalacademic environment in which to work is not to be construed as giving the Universityany financial equity in personal research. The name of the University may not be used inconnection with inventions in which the University has no interest without prior writtenpermission.4. The University recognizes that the evaluation of inventions and discoveries and theadministration, development, and processing of patents involves substantial time andexpense and requires talents and experience not ordinarily found in its staff; therefore, inmost cases it expects to contract with outsiders for these services. It may, at its solediscretion, enter into a contract or contracts with an outside organization coveringspecific inventions or discoveries believed to be patentable and patents developedtherefrom, or covering all such inventions, discoveries, and patents in which theUniversity has an interest.5. In the event that income accrues from the administration of a patent or invention in whichthe University has an interest, the inventor or inventors will receive fifteen percent (15%)of the gross income from the patent subject to the exceptions set forth in paragraphs 6 and8. To the extent consistent with state and University budget policies, any income whichthe University may receive from inventions will be dedicated to research with not lessthan fifty percent (50%) of such income designated for research in the department withwhich the inventor is affiliated.

8-41 Chapter 8 - Grants and Sponsored Research6. Under the terms of certain contracts and agreements between the University and variousagencies of government, private and public corporations, and private interests, theUniversity is or may be required to assign all patent rights to the contracting party. TheUniversity retains the right to enter into such agreements whenever such action isconsidered to be in its best interest.7. The President may appoint a University Patent Committee. Upon the request of thePresident, this Committee may assist him in patent matters including the determination ofwhether or not the University has an interest in a specific invention or discovery. Theinventor or a representative designated by him shall be a non-voting member of thePatent Committee when it is considering a particular invention. The University PatentCommittee may advise with faculty, staff, and students on patent questions or on specificinventions or discoveries.8. An invention resulting from personal research (see paragraph 3) may be offered to theUniversity, and, if accepted, the University will administer such invention in accordancewith this Patent Policy, the inventor receiving such income as may be specifically agreedupon in writing.9. Faculty, staff, and students are required to execute promptly all contracts, assignments,waivers, or other legal documents necessary to invest in the University or its assigneesany or all rights to inventions or patents whenever such action is required in order tocarry out the provisions of this Patent Policy.10. Disputes on patent matters, including the interpretation of this Patent Policy, shall bereferred to the President for resolution.Approved by the President's Staff8/15/86

8-42 Chapter 8 - Grants and Sponsored ResearchUniversity System of Maryland Policy on CopyrightsUSM Bylaws, Policies and Procedures of the Board of RegentsIV - 3.10 - POLICY ON COPYRIGHTS(Approved by the Board of Regents, May 31, 1990)PREAMBLEPrior practice of the University System of Maryland has been to ascribe ownership of copyrighton the basis of the extent of the use of facilities and resources. This revision bases ownership onthe characteristics of the work effort, e.g. the work may be an independent creative act in thecourse of employment or it could be a commissioned work produced under contract.Contextual factors such as use of resources, etc. will remain important in determining contractterms and in interpreting the policy.I. POLICYIt is the policy of the University System of Maryland that copyrights arising fromaesthetic, scholarly, or other work developed through independent efforts and not part ofa directed institutional or University System assignment shall reside with the originator.Independent effort is defined as the product of inquiry, investigation, or research toadvance truth, knowledge, or the arts where the specific choice, content, course, anddirection of the effort is determined by the individual without assignment or supervisionby the institution or System.All rights in copyright for all other works arising from the use of institutional or Systemresources whether directed or commissioned or contractually determined shall belong tothe Regents.In conformity with this policy, the Chancellor and chief executive officers of the Systeminstitutions are authorized to enter into agreements with respect to ownership, licensure,disposition of royalty income, resolution of disputes, and other rights related tocopyrights under their respective jurisdictions. They are authorized to registercopyrights, accept copyrights from third parties, and to sell or grant licenses orassignments in the name of the Regents for any rights to copyrights under theirjurisdiction.

8-43 Chapter 8 - Grants and Sponsored ResearchII.OWNERSHIP BY CATEGORY OF WORKA. Scholarly/AestheticIn keeping with traditional academic practice and policy, ownership of copyrightsto scholarly or aesthetic works that are prepared through independent effort andnot part of a directed assignment, shall reside with the originator except asotherwise provided in this Policy. The general obligation of faculty to producescholarly works does not constitute such a directed assignment.B. PersonalThe copyright to any work that is prepared outside the scope of employment andwithout the use of institutional or System resources by an employee shall be theproperty of the employee.C. Sponsored/ContractedThe Board of Regents asserts its right to copyright table works created undersponsorship or contract. Copyright ownership of sponsored works and contractedworks shall be governed by such agreements or contracts. Any sponsored workagreement which provides for ownership by other than the Board of Regents shallalso provide the Board of Regents with a free-of-cost, non-exclusive, world-widelicense to use and reproduce the copyrighted work for research and educationpurposes, except where prohibited by law or government regulation.D. CommissionedWhen the institution or System commissions the production of a work, titlenormally should be with the Board of Regents. In all cases, copyright ownershipshall be specified in the written contract. Any commissioned work agreementwhich provides for ownership by other than the Board of Regents, shall alsoprovide the Board of Regents with a free-of-cost, non-exclusive, world-widelicense to use and reproduce the copyrighted work for research and educationpurposes, except where prohibited by law or government regulation.E. Acquired by Assignment or WillThe Board of Regents may acquire copyrights by assignment or will pursuant tothe terms of the written agreement or testament.

8-44 Chapter 8 - Grants and Sponsored ResearchIII.REVENUE SHARING FOR NON-CONTRACTED WORKThe Board of Regents may assign or license its copyrights to others. The UniversitySystem through its constituent institutions shall share with the originator(s) revenuewhich it receives through copyrights. Specific provisions of grants or contracts maygovern rights and revenue distribution. Consequently, revenues received from suchcopyrights may be exclusive of payments of royalty share to donors or contractors.Moreover, System institutions may contract with outside persons or organizations for theobtaining, managing and defending of copyrights, and any royalty share or expensescontractually committed to such persons or organizations may be deducted beforerevenues accrue or before the originator=s share is distributed.The revenues (net, if applicable per the preceding paragraph) which are received from acopyright will be applied first to reimburse the System or constituent institution for anyspecific, incremental expenses incurred by it in generating the copyright and inmarketing, licensing and defending the rights. After provision for such expenses, suchrevenues shall be shared as follows: (1) the first $5,000 will be paid to the originator(s):(2) thereafter the originator(s) will receive seventy-five percent of such revenues.Applicable laws, regulations or provisions of grants or contracts may, however, requirethat a lesser share be paid to the originator.To the extent consistent with state and University System budget policies any netrevenues received on account of a copyright, after sharing with the originator(s), will bededicated to research and to the promotion of original works. If practicable, eighty-fivepercent of the System=s or constituent institution=s share of new revenue from eachcopyright will be designated for research in the originator=s department or analogous unitup to $100,000 in a fiscal year for a particular department or analogous unit.If use of such funds for research within the originator=s department or analogous unit isnot practicable, the funds should usually be designated for research in a relateddepartment or unit. The remaining part of the net revenues shall be devoted to researchand incentive for creative works as directed by the President or Director, or designee (or,for the System Office, the Chancellor or designee).IV.DEFINITIONSFor purposes of interpretation of this policy, the following definitions shall apply:A. Aesthetic WorkA work that is a result of original artistic expression.

8-45 Chapter 8 - Grants and Sponsored ResearchB. Commissioned WorkA work produced for the institution or the System by others pursuant to a contractat the institution=s expense.C. Contracted WorkWork produced by and for others at the others= expense, using institutional orSystem facilities pursuant to a contract.D. CopyrightThe intangible property right granted by statute providing the owner the followingexclusive rights over a work: to reproduce, to prepare derivative works, todistribute, to perform publicly, and to display publicly.E. Direct University AssignmentF. LicenseAny written or oral instruction or task assigned to an originator.A contract in which a copyright owner grants permission to exercise one or moreof the rights under copyright.G. OriginatorAny person who produces a work by his or her own intellectual effort, includingstudent employees.H. RoyaltiesA payment made to an owner of a copyright for the privilege of practicing a rightunder the copyright.I. Scholarly WorkWork such as, but not limited to, books, articles, other such publications, lectures,and computer software resulting from independent effort.J. Software

8-46 Chapter 8 - Grants and Sponsored ResearchA work comprising statements or instructions to be used directly or indirectly in acomputer to bring about a certain result and any associated documentationcontaining operational instructions. (In cases where software is found to bepatentable the Patent Policy will govern.)K. Sponsored WorkA work produced by or through an institution or the System pursuant to acontract, grant, or other agreement.L. University System ResourcesM. WorkAll buildings, equipment, services, funds (regardless of source), and otherfacilities under the control of the Board of Regents.Any copyrightable expression including, but not limited to writings, lectures,musical or dramatic compositions, sound recordings, films, videotapes, computersoftware, architectural designs, and works of art.Replacement for: BOR VII-3.00 and BOT XIII-X

8-47 Chapter 8 - Grants and Sponsored ResearchUSM POLICY ON CONFLICT OF INTEREST FOR FACULTY INSPONSORED RESEARCH OR DEVELOPMENT(Approved by President June 1, 1998)I. GeneralThe University of Maryland supports programs to foster economic development in thestate and region and programs for commercializing and transferring University-producedtechnology to the private sector and providing campus affiliations to emerging privatehigh-technology firms. Confidence and trust is eroded, however, when State andUniversity business is subject to improper influence. Maryland Public Ethics Law ("StateEthics Law") establishes certain conditions under which officials and employees of aneducational institution may have relationships with entities involved with research ordevelopment.Outside activities of an official or employee must not interfere with the primarycommitment to the mission of the University. The Board of Regents of the UniversitySystem of Maryland has enacted a Policy on Professional Commitment of Faculty (BORII-3.10), which addresses external commitments and general conflict of interest concernsfor faculty. The University has adopted procedures implementing this policy. (UM II-3.10 (A)).In addition, the Board of Regents has enacted a Policy on Conflicts of Interest inResearch or Development, which allows University officials and employees to havecertain relationships with businesses involved in research or development, providedcertain conditions are met consistent with the State Ethics Law and System procedures.(BOR III-1.11). As required by the System Policy on Conflicts of Interest, the Universityhas adopted the following Interim Procedures, which apply to situations where an officialor employee of the University seeks to hold an interest in, serve as an employee, director,or officer of, or maintain any other relationship (as defined herein) with an entity which:A. Is engaged in or participates in research or development; orB. Has a direct interest in the outcome of research or development.Neither these procedures, nor the statute and System policy under which they have beenadopted, exempt any official or employee of the System from any provisions of StateEthics Law, except as specifically provided in the System's Policy and these procedures.

8-48 Chapter 8 - Grants and Sponsored ResearchII.Procedure--OverviewA. An official, faculty member or other employee of the University (other than thePresident, a Vice President or other employee covered by Section II.B. of theseprocedures) may have an interest in or serve as an employee, director, or officerof or maintain any other relationship (as defined herein) with any entity engagedin research or development, or any entity having a direct interest in the outcomeof research or development if:1. The interest, service, employment or other relationship is disclosed on aResearch or Development Interest Form filed with and maintained in theoffice of the Conflict of Interest ("COI") Administrator. An annual reportshall also be required for any interest, service, employment or otherrelationship that lasts more than a year. The COI Administrator shall sendcopies of all forms submitted in connection with approved relationships tothe State Ethics Commission.2. The interest, service, employment or other relationship will not: a) giveimproper advantage to the entity with which the relationship exists; b) leadto misuse of institution students or employees for the benefit of suchentities; or c) otherwise interfere with the duties and responsibilities of theofficial, faculty member or other employee maintaining the relationship.3. The interest, service, employment or other relationship will not constitutea harmful interest as defined in these procedures or otherwise present anunacceptable conflict of interest.4. The interest, service, employment, or other relationship with the entity isapproved by the President of the University in accordance with theseprocedures.B. The President or a Vice President, or a University employee holding any otherposition designated by the Board of Regents as requiring its review, may have arelationship (as defined by BOR III-1.11) with an entity engaged in research ordevelopment, or an entity having a direct interest in the outcome of research ordevelopment, which relationship would otherwise be prohibited by the conflict ofinterest provisions of State Ethics Law, if such relationship is approved by theBoard of Regents in accordance with its policies and procedures. (BOR III-1.11).C. If the requirements of these procedures are not met, the official, faculty memberor other employee is not exempt from any of the provisions of State Ethics Law.Approvals granted under these procedures do not affect the application of otherUniversity System and University of Maryland policies or the obligation to adhere

8-49 Chapter 8 - Grants and Sponsored Researchto other provisions of State Ethics Law, including those relating to prohibitedgifts. Notwithstanding any approval under these procedures, an official, facultymember or other employee may not (1) represent a party for contingentcompensation in any matter before the System's Board of Regents or the State'sBoard of Public Works, or (2) intentionally misuse his or her position for personalgain or for the gain of another person.III.Specific Procedures and GuidelinesA. Request and Disclosure Provisions1. Each official, faculty member or other employee who proposes to hold arelationship pursuant to these procedures is required to complete and file,with the COI Administrator, a Research or Development Interest Form atthe time initial approval of the relationship is requested. This form mustalso be completed and filed whenever the circumstances concerning therelationship change and, annually, beginning one year from the date of theinitial approval under these procedures. A final form must also becompleted and filed when the relationship ends.2. The completed disclosure form shall fully describe the relationship andprovide such other information as may be required by the COIAdministrator or the President's Advisory Committee on Conflict ofInterest. The official, faculty member or other employee should alsoprovide any supporting documentation and/or attachments, as necessary,to assist in describing and evaluating the relationship.3. It is the responsibility of the official, faculty member or other employee torequest approval of any relationship in a timely manner. Blank forms maybe obtained from the COI Administrator. Completed forms shall be filedwith and maintained in the office of the COI Administrator. Uponcompletion of the disclosure and approval process, copies of all formssubmitted in connection with approved relationships shall be filed with theState Ethics Commission by the COI Administrator.B. Review ProcessThe COI Administrator shall conduct an initial review of the form and shallforward it for consideration by the President's Advisory Committee on Conflict ofInterest ("COI Committee"). The COI Committee shall have three votingmembers: a faculty member appointed by the President; an appointee of the Deanof Graduate Studies and Research; and the President's Senior Advisor forEconomic Development.

8-50 Chapter 8 - Grants and Sponsored ResearchThe COI Committee shall review the Research or Development Interest Form atthe time of the initial request and at each subsequent filing to determine whetheror not the disclosed interest represents a harmful interest, is an unacceptableconflict of interest, or is otherwise in violation of the policies, procedures, andbest interests of the University. The COI Committee may require that furtherinformation be disclosed and is encouraged to seek information and advice fromappropriate University administrators, including the Director of the Office ofResearch Administration and Advancement, appropriate Department Chairs andUniversity Counsel. The COI Committee may also consult, as appropriate, withthe Maryland Department of Business and Economic Development and withfederal agencies that have imposed regulatory requirements on federally fundedresearch.The COI Committee may recommend restrictions designed to manage, reduce, oreliminate any actual or potential conflict of interest. The COI Committee may notrecommend approval of a proposed relationship unless the requirements set forthin Section II.A. of these procedures are met. The COI Committee'srecommendations must be supported by a majority vote of the committeemembers and shall be forwarded to the President.C. Approval ProcessThe President shall review the recommendations of the COI Committee andmake a written determination. Approval will not be granted unless therequirements of Section II.A. of these procedures are met. The President'sdetermination is final. Approval may be subject to such conditions or restrictionsas the President requires. The official, faculty member or other employee will benotified of the President's decision. Approval may be withdrawn if it isdetermined that the official, faculty member or other employee misrepresented thenature of his or her interest in the entity, or if circumstances change in such a wayas to create an unacceptable conflict of interest or a violation of University policyor applicable legal requirements.D. Additional Operating GuidelinesOfficials, faculty members and other employees with relationships approvedunder these procedures shall:1. ensure that their activities, statements, evaluations, recommendations, andjudgements do not improperly give advantage to the outside entity;

8-51 Chapter 8 - Grants and Sponsored Research2. ensure that unauthorized statistics, documents, reports, comparisoninformation, and other data are not disclosed which would improperly giveadvantage to the outside entity;3. be aware that legal restrictions regarding misuse of their position forpersonal gain or gain of another, solicitation or acceptance of impropergifts, and representing a party before the Board of Regents or the Board ofPublic Works, or other State or local agency for a contingent fee, continueto apply, notwithstanding any approval under these procedures;4. continue to adhere to other University System and University of Marylandpolicies and procedures, including those concerning Outside Consultancyand NSF and PHS Sponsored Activities and the Board of Regents' Policyon Professional Commitment of Faculty.IV.University Reporting ProceduresA. The University, through the COI Administrator, shall submit quarterly reports ofall approvals granted under these procedures to the Chancellor of the UniversitySystem of Maryland. The COI Administrator shall assist the University System,as requested, in providing supplemental information or developing additionalreports or analyses needed for compliance with the reporting requirements ofState Ethics Law.B. The University, through the COI Administrator, shall develop and maintain a file,available for public review, which will contain all approved exemptions withapplicable disclosure statements.V. Compliance with University Procedures for NSF and PHS Sponsored ActivitiesEach official, faculty member and other employee submitting a proposal to the PublicHealth Service (PHS) and/or to the National Science Foundation (NSF) shall also berequired to comply with the University's Interim Procedures Required for NSF and PHSSponsored Activities (UM-1.11(A)(1)).VI.DefinitionsA. "COI Administrator" means the Director of the Office of Research Administrationand Advancement.B. "Harmful interest" means an interest which when examined under the reviewprocedures is found to be so influential as to impair impartiality in the conduct of

8-52 Chapter 8 - Grants and Sponsored Researchthe research, the interpretation or the results of the research, and/or thedetermination of research or other professional and employment priorities.C. "Relationship" means any interest, service, employment, gift, or other benefit orrelationship with an entity not part of State government, that would be prohibitedby State Ethics Law if not disclosed and approved pursuant to this Policy andprocedures adopted pursuant to it. "Relationship" includes any relationship of aspouse or other relative of an officer or employee if such relationship createsrestrictions on the officer or employee under the conflict of interest provisions ofState Ethics Law.D. "Research or development" means basic or applied research or development, andincludes the development or marketing of University-owned technology, theacquisition of services or an official or employee by an entity for research anddevelopment purposes, or participation in State economic development programs.Replacement for: UM II-3.30(A)ENDNOTES1. The terms, the "University of Maryland" and the "University" denote the institution alsoknown as the University of Maryland, College Park and formerly styled as the Universityof Maryland at College Park.2. See Section 15-523 of the State Ethics Law, which is codified at Sections 15-101 et seq.of the State Government Article of the Annotated Code of Maryland.3. BOR III-1.11 supersedes and replaces BOR II-3.30, Policy on Conflict of Interest forFaculty Interest in Sponsored Research and Economic Development.4. These Interim Procedures supersede and replace the University's Procedures on Conflictof Interest for Faculty Interest in Sponsored Research and Economic Development (UMII-3.30(A)). These Interim Procedures do not supersede the University's InterimProcedures Required for NSF and PHS Sponsored Activities (UM II-3.30(A)(1)), whichremain in full force and effect as a supplement to these procedures and are herebyrenumbered as UM III-1.11(A)(1). The Procedures for NSF and PHS SponsoredActivities apply to actual or potential conflicts of interest arising from projects sponsoredby NSF and PHS.

8-53 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITY PROCEDURES ON CONFLICT OF INTEREST FORFACULTY INTEREST IN SPONSORED RESEARCH OR DEVELOPMENTThe conduct of sponsored projects at Towson University (TU) will in no way be influenced bypast, current, and/or anticipated relationships between TU and any commercial enterprise.The potential for conflict of interest exists when TU faculty engage in research activities withentities in which they, their families, or business associates hold a personal interest. It may alsoexist if the faculty has a financial interest in an entity having a interest in the outcome of asponsored project in which the faculty is involved. The Maryland Public Ethics Law (Article40A of the Annotated Code of Maryland) prohibits state employees from having an interest in anentity which is negotiating in or has entered a contract with their employer. However, the lawexempts faculty from this prohibition when all pertinent interests and relationships regardingsponsored research activity is publicly disclosed to the University and approval is obtained inaccordance with this law. For investigators who are non-faculty, however, approval forparticipation in any such project must be obtained in accordance with the rules and regulations ofthe State Ethics Commission.In accordance with the Maryland Public Ethics Law and the Policy on Conflict of Interest forFaculty Interest in Sponsored Research and Economic Development of the University System ofMaryland (USM) Board of Regents, this policy will be followed to ensure adherence to ethicalrequirements for all sponsored projects conducted by faculty at TU.Faculty engaged in sponsored research and/or development programs who have an interest in orserve as an employee, director, or officer of an entity engaged in sponsored research ordevelopment, or an entity having a direct interest in the outcome of sponsored research ordevelopment must obtain the written approval of the President and publicly disclose the nature ofthe interest, service, employment, or other relationship to the entity on a form approved by theState Ethics Commission, in accordance with the Maryland Public Ethics Law, the Policy onConflict of Interest For Faculty In Sponsored Research and Economic Development of the USMBoard of Regents and applicable USM and TU policies and procedures.A Conflict of Interest Review Board (CIRB) will evaluate those interests on a case-by-case basisand will make its recommendations to the President of TU, whose decision to approve ordisapprove an exemption will be final. A faculty member whose request for an exemption isdisapproved may be involved with the sponsored research or development project only if therelationship with the entity that constitutes the conflict of interest is terminated. All disclosureswill be filed with the State Ethics Commission and a copy will be maintained as a public recordat TU.

8-54 Chapter 8 - Grants and Sponsored ResearchConflict of Interest ProceduresIn accordance with the Policy on Conflict of Interest for Faculty Interest in Sponsored Researchand Economic Development of the USM Board of Regents, these procedures shall be followed atTU.I. ApplicabilityThis policy applies to TU faculty seeking approval to hold an interest in or to serve as anemployee, director, or officer of an entity engaged in sponsored projects or an entitywhich:A. has a direct interest in the outcome of sponsored projects administered by TU orone of its centers;B. is engaged in sponsored projects administered by TU or one of its centers; orC. participates in economic development programs administered by TU or one of itscenters.II.ResponsibilitiesFaculty seeking approval to hold an interest in or to serve as an employee, director, orofficer of an entity as defined by these procedures shall complete the Disclosure Form forPotential Conflict of Interest in Sponsored Projects (Disclosure Form), available in theTU Office of Research Administration (ORA). The Disclosure Form must be returned tothe ORA before faculty engage in the sponsored research project or developmentactivities. The Disclosure Form must also be completed at such times(s) as thecircumstances of the faculty member concerning the interest change.Faculty interest, service, employment, gifts, or other relationships to the entity must bedisclosed, including disclosure of those relationships which would be required for filingunder Title 4 of Article 40A of the Annotated Code of Maryland. The disclosure shouldaddress both actual conflict and the appearance of conflict.The ORA will forward all Disclosure Forms to the CIRB for review and evaluation.III.ReviewThe CIRB shall review the Disclosure Form at the time of the initial request and at eachsubsequent filing. The CIRB shall recommend to the President that approval not begranted if in the judgment of the CIRB:

8-55 Chapter 8 - Grants and Sponsored ResearchA. the disclosed interest represents a harmful interest as defined in theseprocedures, presents an unacceptable conflict of interest, or otherwise isnot in the best interests of the University;B. the faculty member has a substantial agency policy or managementresponsibility for:1. administering the sponsored research or economic developmentprogram;2. making or influencing the decision of the University to award thecontract; or3. rendering procurement judgments under the program.C. the activity will give improper advantage to the entity because of its affiliation orinvolvement with a faculty member.The CIRB may require the faculty member to submit additional documentation if it isunable to make a determination based on the information supplied.The CIRB recommendation shall be based on a majority vote of its members.The CIRB shall forward its recommendation to the President concerning thedetermination of conflict of interest and whether an exemption should be granted. TheCIRB may recommend that the President condition approval on the implementation ofrestrictions or Conflict of Interest Safeguards (COIS) to ensure that activities conductedunder sponsored research or development projects do not 1) result in the faculty memberhaving a substantial agency policy or management responsibility for the proposedprogram and 2) improperly give advantage to entities because of their affiliation orinvolvement with the faculty member. If the CIRB determines that the faculty memberhas substantial policy or management responsibility, the CIRB shall not recommend tothe President approval of the application unless its recommendation also includesadministrative and academic procedures and COIS particular to the circumstances of thefaculty member and the application to ensure that the faculty member shall have orexercise only an acceptable degree of agency policy or management responsibility overthe sponsored research or development in question.The COIS shall identify areas of responsibility, participation, influence, or authorityspecifically addressing the circumstances of TU and the faculty member and theapplication, including but not limited to organizational structure, rules of authority,budget, resource allocation, grant approvals, and human resources management. The

8-56 Chapter 8 - Grants and Sponsored ResearchCOIS shall address matters internal to TU as well as the relationship of TU or the facultymember to other components of USM or other agencies of the State.The CIRB shall be appointed by the President and composed of six faculty members(recommended by the deans and the AAUP faculty representative), the Provost or his/herdelegate ex-officio, and one community member. The Chair shall be appointed by thePresident from among the faculty representatives. The appointed members of the CIRBshall serve for three-year rotational terms. The CIRB will be coordinated through theoffice of the Dean of the College of Graduate and Extended Education, who will conveneits meetings as necessary.No member of the CIRB may have a research or financial interest in any matter underconsideration by the CIRB. If a member does have a research or financial interest in anymatter that is under consideration by the CIRB, that member must recuse herself orhimself from all actions of the CIRB that pertain to that matter, and the President mustname a temporary replacement for the recused individual.The President may accept the CIRB's recommendation or make his/her owndetermination based on the above criteria, including imposing restrictions, conditions, orCOIS as deemed necessary. The President shall notify the faculty member of hisdecision. An exemption must be approved in writing by the President, whosedetermination is final. The faculty member shall not have a right to grieve any matterarising under these procedures through any process otherwise established for the benefitof faculty or employees of TU.If the requirements of these procedures are not met and the President does not approvethe faculty member's request for an exemption, the faculty member is not exempt fromany of the provisions of the Maryland Public Ethics Law. Exemptions approved by thePresident under these procedures apply only to faculty activities related to sponsoredresearch or development and not to other activity by the faculty member that mayconstitute a conflict of interest, but is not related to the faculty member's involvement insponsored research or development. Further, approvals granted under these proceduresdo not relieve a faculty member's continuing obligation to adhere to other aspects ofUSM policies, including the USM Policy on Professional Commitment of Faculty, northe obligation to adhere to other provisions of the Maryland Public Ethics Law, includingthe restrictions relating to prohibited gifts, misuse of position, and prohibitedrepresentation for contingent fees. (See Article 40A, ∋∋3-103(c), 3-104, and 3-106).The President may revoke, rescind, or modify approval as necessary if circumstancesurrounding the faculty member's relationship with the entity change.IV.Filing and Reporting

8-57 Chapter 8 - Grants and Sponsored ResearchThe Dean of the College of Graduate and Extended Education shall file the disclosurewith the State Ethics Commission and a copy shall be maintained as a public record in theORA files for a minimum of three years from the date of filing a report.The President shall submit an annual report of all granted exemptions to the USMChancellor by May 30 of each year.V. DefinitionsA. "Interest" is defined in Article 40A, ∋∋1-201(m) and (o) as follows:"(m)Financial Interest means:(1) Ownership of any interest as the result of which the owner hasreceived, within the past 3 years, or is presently receiving, or in thefuture is entitled to receive, more than $1,000 per year, or(2) Ownership, or the ownership of securities of any kind representingor convertible into ownership, of more than 3 percent of a businessentity.(o)Interest means any legal or equitable economic interest, whether or notsubject to an encumbrance or a condition, which was owned or held, inwhole or in part, jointly or severally, directly or indirectly. "Interest"does not include:(1) An interest held in the capacity of a personal representative, agent,custodian, fiduciary, or trustee, unless the holder has an equitableinterest therein;(2) An interest in a time or demand deposit in a financial institution;(3) An interest in an insurance or endowment policy or annuitycontract under which an insurance company promises to pay afixed number of dollars either in a lump sum or periodically for lifeor some other specified period; or(4) A common trust fund or a trust which forms part of a pension orprofit sharing plan which has more than 25 participants and whichhas been determined by the Internal Revenue Service to be aqualified trust under ∋∋401 and 501 of the Internal Revenue Code."

8-58 Chapter 8 - Grants and Sponsored ResearchB. "Harmful interest" means an interest which when examined under the reviewprocedures is found to be so influential as to impair impartiality in the conduct ofthe research, the interpretation of the results of the research and/or determinationof priorities due to the conduct of other professional commitments to USMinstitutions.C. "Sponsored project" means those research, educational and/or economicdevelopment activities which are performed under a written agreement with anextramural agency including technology transfer agreements.Approved by the University Senate5/2/94

8-59 Chapter 8 - Grants and Sponsored ResearchFACULTY MEMBER NAMEDEPARTMENTTOWSON UNIVERSITYDisclosure Form for PotentialConflict of Interest in Sponsored ProjectsNAME OF ENTITY (FUNDING AGENCY) INVOLVEDDo you, your spouse, parent, minor child, brother, sister, or business associate have1. a financial or other interest in the funding agency? (see definitions below)YESNODefine the extent and nature of such interest:2. an employment, contractual, or creditor relationship to the funding agency?YESNOIf so, please explain:3. an existing contract with the funding agency which could reasonably be expectedto result in a conflict between your private interests and your University duties?YESNOIf so, please explain:4. a direct financial interest in any entity that owns a direct financial interest in thefunding agency?YESNO

8-60 Chapter 8 - Grants and Sponsored ResearchIf so, please explain:Have you, your spouse, parent, minor children, brother, sister, or business associate received anygifts from the funding agency?YESNOIf so, please explain:If you are consulting, does the proposed consulting arrangement present any potential conflictsof interest or the appearance of a conflict for you or the University?YESNOIf so, please explain:1. Does the arrangement provide for the disposition of intellectual property andpatent rights?YESNO2. Does the consulting agreement in any way limit future research or publications inthe subject for which a consultancy is proposed?YESNODefinitions:"Sponsored research or development" means an agreement to engage in basic or applied researchor development at a public senior higher education institution, and includes transferringUniversity-owned technology or providing services by a faculty member to entities engaged insponsored research or development.

8-61 Chapter 8 - Grants and Sponsored Research"Financial interest" means:(1) Ownership of any interest as the result of which the owner has received, within the past 3years, or is presently receiving, or in the future is entitled to receive, more than $1,000 per year;or(2) Ownership, or the ownership of securities of any kind representing or convertible intoownership, or more than 3 percent of a business entity."Interest" means any legal or equitable economic interest, whether or not subject to anencumbrance or a condition, which was owned or held, in whole or in part, jointly or severally,directly or indirectly. "Interest" does not include:(1) An interest held in the capacity of a personal representative, agent, custodian, fiduciary, ortrustee, unless the holder has an equitable interest therein;(2) An interest in a time or demand deposit in a financial institution;(3) An interest in an insurance or endowment policy or annuity contract under which aninsurance company promises to pay a fixed number of dollars either in a lump sum orperiodically for life or some other specified period; or(4) A common trust fund or a trust which forms part of a pension or profit sharing plan whichhas more than 25 participants and which has been determined by the Internal Revenue Service tobe a qualified trust under ∋∋401 and 501 of the Internal Revenue Code of 1954.

8-62 Chapter 8 - Grants and Sponsored ResearchUSM POLICY ON SOLICITATION AND ACCEPTANCE OF SPONSORED PROJECTSIV - 2.00 -POLICY ON SOLICITATION AND ACCEPTANCE OF SPONSOREDPROJECTS(Approved by the Board of Regents, January 11, 1990)I. The University System of Maryland engages in a wide variety of activities sponsored bynon-System entities. These activities include research, training and public serviceprojects which are consistent with the missions of the System and the institution. Suchactivities are encouraged as a means to further the objectives of the System and theinstitution, to strengthen ties with government, industry, the community, and otheracademic institutions, and to expand and enhance the instructional environment.II.III.IV.All proposals for specific sponsored projects shall be reviewed by the institutionpersonnel for consistency with all University System and institutional policies, forappropriateness to the mission of the institution, and for liability assessment. Eachinstitution has primary responsibility for the solicitation and negotiation of proposals andadministration of awards.Applications may be submitted and awards accepted directly by the designated officer oneach campus.In the course of soliciting, negotiating and executing agreements with sponsors, aconstituent institution may encounter conditions for performance which are not standardSystem practice. Upon discovery of such a condition, the chief executive officer shallimmediately notify the Chancellor. Such unusual practices include, but are not limited to,the following examples:- abridgement of publication rights- necessity for legislation in order to conduct the program of work- assumption of liability for a third party- creation of an unfunded liability- exceptional contribution of State monies to the projectThe Chancellor may, in consultation with the chief executive officer, require withdrawalof the proposal or non-acceptance of the award.V. Constituent institutions, on a quarterly basis, are required to submit to the Chancellor anaccounting of sponsored project activity. The content and format of the report shall be

8-63 Chapter 8 - Grants and Sponsored Researchdetermined by the System office and shall include at a minimum, the number of awards,dollar value, sponsoring agency and administering unit.VI.In addition, the Maryland State Clearinghouse requires reporting from each constituentinstitution of federally sponsored activity. These reports shall be sent directly from theinstitution to the State Clearinghouse.Replacement for: BOR VII-2.00 and BOT Appendix I

8-64 Chapter 8 - Grants and Sponsored ResearchTOWSON UNIVERSITY POLICY FOR RESEARCH/GRANTCONTRACTUAL PERSONNEL EMPLOYMENTThe purpose for establishing a research/grant contractual employment category is to provideTowson University the same opportunity available to other universities in the University Systemof Maryland which engage contractual employees and do not consider them as part of thepermanent work force. The distinction of research/grant contractual employment is that theseindividuals are employed under a specific work agreement for a specified period and that thesalary paid to the employees essentially represents full compensation from extramural fundingsources. The absence of fringe benefits may be considered in setting the salary.This policy permits Towson University to contract with individuals to perform research/grantpersonnel services. In doing so, an employer-employee relationship will be established betweenthe University and the individual. Employees hired under this policy shall abide by all policiesand rules of procedures for Towson University and the University System of Maryland.Although contractual employment can be utilized in any program of the University, theseemployment provisions are established solely for research contract and grant activities.The Research/Grant Contractual Personnel policy is designed to provide the University with theflexibility and the opportunity to engage personnel for work efforts that are projected to be oflimited duration and shall not be used to meet position needs for permanent employees.Contractual employment is not intended, nor is it to be used, to replace or eliminate:1. appointment under the faculty contract;2. appointment of part-time teaching faculty;3. permanent appointments for which there are authorized positions; or4. temporary appointments funded by the University through General State Revenues orAuxiliary Revenues.The following are guidelines that should be used for the contractual employment of research orcontract personnel.I. A University written contractual employment contract for research/grant personnel willbe issued by the Department of Human Resources. The Department of Human Resourcesshall work with the Principal Investigator, Project Manager, or hiring department toinclude:A. position title;

8-65 Chapter 8 - Grants and Sponsored ResearchB. rate of pay (salary shall be limited to that identified in the contract/research grant);C. duration of the contract/research grant, including beginning and ending dates;D. duties to be performed;E. specific benefits available (benefits shall be limited to those identified in thecontract/research grant); andF. an equivalent employment category as determined by the categories of the Universityof Maryland Personnel System.Before an employment contract is finalized, the Office of Research Administration willconfirm that the fringe benefits stated in the employment contract are congruent with thestated grant/contract provisions.II.Benefits or deductions which must be applied to all research or grant contractualemployees.A. workmen's compensation;B. unemployment insurance;C. social security; andD. State and federal tax withholding.III.Benefits, including permissible payroll deductions, that may be written into the contractfor research or grant, contractual employees include:A. paid sick leave, annual leave and holidays, not to exceed the amount provided for theequivalent State employment category. These benefits will be administeredconsistent with the leave policies for the equivalent employment category, exceptannual leave may be earned and available for use from the date of employment. Also,upon termination of the contract, the employee shall be paid for any unused annualleave and holidays. NO leave of any type may be carried beyond the contract period,even if the contract is renewed;B. travel expenses administered consistently with the USM/TU policies on travel;C. participation in the State Group Health Care program or another health care program.Employee's subsidy and payroll deductions will not be made. Employee must pay

8-66 Chapter 8 - Grants and Sponsored Researchentire premium directly to the provider and will be reimbursed from the grant/contractto the extent allowed by the funding agency;D. overtime payment if the position is equivalent to a non-exempt position;E. tax deferred investment plans approved by the University System of Maryland;F. bonds; andG. charitable contributions.IV.Benefits that cannot be extended to research or grant contractual employees include:A. participation in the State Retirement or Pension System or an optional retirementprogram, e.g., TIAA-CREF; and theB. University's grievance procedures.V. The term of the research/grant contractual contract will not exceed one year and is subjectto renewal annually, by execution of a new contract. A contractual employee may notexpect continued or permanent employment even if a research grant/contract has beenrenewed for a number of prior consecutive years. If it is determined the researchgrant/contract is to be renewed, the new contract will identify salary adjustments, ifappropriate. The research/grant contractual employee must be advised in person of thebenefits and limitations of the research/grant contractual employment provisions and aninclusion of such provisions must be made in the renewal contract.VI.Individuals appointed in accordance with this research/grant contractual personnel policywill not be assigned against authorized University positions. The University will not beresponsible for subsidizing salary costs when insufficient funds were requested or underfunded by the sponsoring agency. For all research/grant contractual personnel, theDepartment of Human Resources shall be responsible for:A. specifying the salary commensurate with qualifications;B. identifying funding source(s);C. identifying signatures to the contract;D. approving the contract;E. recruiting and selecting contractual employees in accordance with University hiringprocedures and Affirmative Action procedures;

8-67 Chapter 8 - Grants and Sponsored ResearchF. carrying out an evaluation and renewal process;G. monitoring contractual employment; andH. maintaining positive time records.VII.The University may terminate a research/grant contractual employment contractat the convenience of the University, when there is sufficient or cessation ofextramural funds, for unsatisfactory work performance, for legitimate businessreasons, or for cause.Approved by the President's Staff8/28/92