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University Policy Office

Shelly G. Gonzalez, Policy Officer
Administration 208
Warrensburg, MO 64093
Phone: 660.543.4730
Fax: 660.543.8022
sgonzalez@ucmo.edu





INTELLECTUAL PROPERTY RIGHTS PROCEDURE

Approval: Approved by the President on May 29, 2007

Authority: Board of Governors Policy 3.1.020

Responsibility: General Counsel

PROCEDURE

I. Introduction


University of Central Missouri employees are responsible for being knowledgeable of the Board of Governors "Intellectual Property Rights Policy," Board of Governors Policy 3.1.020, and familiarizing themselves with current laws and Congressional guidelines related to intellectual property rights as set out in BOG Policy 3.1.020.

II. Definitions

Supervisor: The individual to whom an employee directly reports in employee's reporting line.

Administrator: Employees holding the position of dean, chair, associate vice president, assistant vice president, associate provost, assistant provost, director or assistant director.

Senior Administrator: Employees holding the position of provost, vice president or university director.

GENERAL

I. Resources

A. In an effort to ensure compliance with federal and state laws that protect intellectual property, UCM will:

  1. Inform its faculty, staff, and students about their fair-use rights and the application of the four factors for determining those rights set forth in 17 U.S.C. Section 107, as amended; and provisions of the TEACH ACT as set forth in revised 17 U.S. C. Section 110(2), as amended; and

  2. Develop and make available effective resources concerning fair-use and intellectual property laws, including the Digital Millennium Copyright Act, generally and the application of fair-use in specific situations.

  3. Educational resources may be provided by the following UCM departments:

    • Office of Copyright Information

    • Office of the General Counsel

II. Reporting

University employees with knowledge of a suspected violation of the Board of Governors"Intellectual Property Rights Policy 3.1.020" must promptly report such violations, in writing, to the appropriate supervisor and copy his/her written report to the appropriate administrator. If an employee is unsure of his or her appropriate administrator the employee may contact the Office of the General Counsel for assistance. Should an employee with a duty to disclose such a violation have reasonable cause to believe disclosure to the appropriate supervisor and administrator will be ineffective or the employee fears retaliation; the person should disclose the violation to the Office of the General Counsel. No retaliatory action will be taken for any such report made in good faith.

When a written report is received by a supervisor alleging a possible, potential, or apparent violation of the "Intellectual Property Rights Policy" it shall be forwarded to the Office of the General Counsel. The supervisor shall include a brief statement detailing the possible violation, the date the written report was received from the employee, any immediate action taken by the supervisor, and supervisor's recommendation, if any, for future action in regard to the allegation(s). The supervisor’s brief shall be signed, dated and copied to his or her appropriate administrator.

III. Fact Finding

The general counsel shall coordinate all investigations with the appropriate senior administrator(s) and/or other authorities as appropriate. If the general counsel, after consultation with the appropriate senior administrator(s), determines that a possible violation of the policy has occurred, the general counsel will appoint a disinterested party/committee to investigate the facts of the statement and will notify the subject of the investigation, within 10 (ten) business days, unless notification would limit the effectiveness of the investigation. The disinterested party/committee will present a copy of those relevant facts found to the general counsel who will notify the appropriate senior administrator(s) as to whether a violation has occurred.

IV. Enforcement

A. UCM will seek to protect the interests of copyright owners by:

  1. including a warning statement about copyright on the “front page” of all distance-education transmissions

  2. including a statement of the creator(s) and reviser(s) involved in the course as well as dates of initial completion and revisions

  3. retaining all distance-education courses on UCM-owned servers or other delivery equipment

  4. ensuring the broadest possible legitimate access to the course and its materials within the provisions of fair-use and the fee structure of UCM

  5. preserving technological devices or systems that copyright owners may use to limit misuse of their works, when those works are used in distance education

B. If it is determined by general counsel that a violation of the "Intellectual Property Rights Policy" has taken place, a written finding will be presented to the appropriate senior administrator(s) for appropriate action. Action will be based on the extent of the violation. Action will be consistent with the Board of Governors Policy Manual; UCM Procedures and Guidelines, "Progressive Discipline Procedures"; Faculty Guide; or Memorandum of Understanding between the University of Central Missouri and Missouri Education Workers Local No. 1/AFSCME, Local 577 whichever applies as determined by the Office of the General Counsel.

C. The university shall not indemnify, defend or hold harmless those current or former university officer(s), agent(s), employee(s) and students for claims arising from the deliberate and unlawful use of copyrighted materials.

V. Appeal Process

Appeals will be provided per applicable existing avenues for grievance or appeal. Allegations against the president will be reported to the Board of Governors. The president’s decision, or the board’s decision in a case of allegations against the president, will be final.

INTERNAL

Resolution of Internal Disputes Regarding Intellectual Property Rights:

I. Reporting

Disputes regarding intellectual property rights will be presented to the supervisor of the faculty member, staff memberor student who is dissatisfied with the arrangement. Whether the dispute is between faculty members and staff members or between faculty or staff members and a supervisor, a common supervisor at a higher level will be asked to make an initial determination. The initial determination will be made within five (5) business days.

II. Fact Finding

If the faculty member, staff member or student is not satisfied with the initial determination, he or she shall seek resolution through his or her reporting line up to but not including his or her senior administrator. Each determination within the reporting line shall be made within five (5) business days. If a resolution cannot be reached, a written request for an intellectual property arbitration panel shall be submitted to the senior administrator.

A. Arbitration Panel

  1. Five faculty members and two staff members will serve on the Arbitration Panel. The members of the panel who are faculty members will be selected by the Faculty Senate Committee on Dispute Resolution and Grievance in accordance with the Faculty Senate’s arbitration panel selection procedure. The two staff members of the panel will be selected from the professional staff, the support staff, or the bargaining unit according to established procedures.

  2. The panel shall select a chair from its membership and establish procedures for the conduct of the hearing. The parties to the dispute will be present.

B. Hearing

  1. The senior administrator shall set a date, time and location for the arbitration panel hearing within five (5) business days after the Arbitration Panel membership has been determined. The senior administrator shall inform the panel members, the complainant, the respondent, the policy officer and the general counsel in writing of the date, time and location.

  2. The complainant and respondent will each provide the policy officer with copies of all documents and a list of witnesses, documentation and other evidence intended to be presented at the hearing no later than three (3) business days prior to the hearing. Materials submitted late may or may not be considered at the discretion of the panel. The policy officer will immediately deliver copies of the provided witnesses, documentation and other evidence to the other party and to the panel members.

  3. Both the complainant and the respondent are entitled to have a support person present during the hearing. The support person may take notes, consult or advise but may not take an active part in the hearing. The support person may be legal counsel (at the cost of the party).

  4. The complainant will provide a brief opening statement followed by an opening statement by the respondent. The complainant shall present witnesses and evidence first, followed by the respondent’s witnesses and evidence. Each party shall be allowed to cross-examine opposing witnesses. The complainant will provide a brief closing statement, followed by a closing statement by the respondent.

  5. The chairperson, in consultation with the panel, shall decide all procedural questions. This includes, but is not limited to, the relevancy of evidence or testimony presented.

    1. The panel may receive any evidence that may be helpful to the panel in resolving the dispute.

    2. The members of the panel may ask questions of any witness during the hearing according to the procedures established by the panel.
    3. It is recommended that the policy officer or other knowledgeable individual be present to assist with procedural questions.

    4. The Office of the General Counsel shall retain all documents and/or other evidence considered by the panel in reaching its decision.

  6. After the hearing, the panel shall prepare a written report containing separate findings, conclusions and recommendations.

  7. The written report of the panel shall be provided to the appropriate senior administrator, with copies sent to the Office of the General Counsel within seven (7) business days after the conclusion of the hearing.

  8. The senior administrator, after reviewing the findings, conclusions and recommendations of the panel, shall make a decision. The senior administrator’s decision shall be provided in writing to the parties within five (5) business days.

  9. If the complainant is not satisfied with the decision of the vice president, complainant may appeal the matter to the university president within five (5) business days. The university president may concur, reverse or modify the decision of the appropriate senior administrator. Written notification of the president’s final decision shall be provided to each party, with copies to the Office of the General Counsel, within five (5) business days.

C. Appeal

1. The university president’s decision is final.