Faculty Handbook : IV. Other Policies Governing Employment at Georgetown University

IV. Other Policies Governing Employment at Georgetown University

Affirmative Action Grievance Procedures

TO INVESTIGATE ALLEGATIONS OF DISCRIMINATION

(Revised 9/95)

INTRODUCTION

Georgetown University recognizes and accepts its responsibilities to act in accordance with the University's Affirmative Action Plan, federal laws and regulations and the District of Columbia Human Rights Act. Therefore, the University has established this grievance procedure to review, investigate, and resolve allegations of unlawful discrimination on the basis of age, color, sex, including sexual harassment, disability, marital status, national origin, race, religion, family responsibility, personal appearance, matriculation, political affiliation or sexual orientation. 1

This internal Affirmative Action Grievance Procedure provides a mechanism for aggrieved employees to receive a fair hearing on issues of discrimination. Complainants, respondents and witnesses who participate in this process are bound by rules of confidentiality. Employees are required to exhaust these procedures with regard to any grievance before pursuing remedies outside the University with any external enforcement agencies including the District of Columbia Human Rights Commission, the Equal Employment Opportunity Commission, the Office of Civil Rights of the Department of Education and the Department of Labor.

It is a violation of this policy to file a discrimination complaint for the purpose of injuring the reputation or causing harm to another person. Without minimizing the injury that can be suffered by the victim of discrimination, the University also recognizes that the filing of a discrimination complaint can have serious consequences for the person accused of discrimination. That person, too, has rights that the policy on discrimination must preserve and protect. A person who abuses this policy by filing a frivolous complaint will himself or herself be subject to discipline if the Affirmative Action Office determines that the complaint was filed in bad faith. This provision is not meant in any way to discourage legitimate complaints.

The University will continue to promote affirmative action in all areas of the University. Successful efforts in this area will contribute to an improved environment in which to work. The University believes that this non-adversarial grievance procedure will benefit students, faculty, staff and administrators, and will make "Affirmative Action/Equal Employment Opportunity" a reality at this institution.

REQUIREMENT FOR FILING GRIEVANCES

Any applicant for employment, current or former employee (hereinafter referred to as complainant), of Georgetown University has a right to file a discrimination complaint with the Affirmative Action Office. The "Discrimination Complaint Form" is attached.
Complainants must file a grievance in writing within 120 days following the alleged discriminatory act or the date on which the complainant knew or reasonably should have known the act.
A grievance must be filed with the Affirmative Action Office at G-10 Darnall Hall.

FURTHER PROVISIONS ON TIME LIMITS

All of the time limits contained within this grievance procedure may be extended.

PRINCIPLE OF NON-RETALIATION

The University strongly encourages any victims of unlawful discrimination to report the incident and seek redress, if he or she is unable to resolve it satisfactorily and completely through informal means. The University recognizes the unusual burden that the alleged discriminatory conduct places on the recipient and acknowledges the necessity for a thorough and careful resolution of all reported cases. It is illegal and contrary to University policy for any individual to engage, whether directly or indirectly, in retaliatory conduct against a person who files a discrimination complaint or gives testimony during an investigation of such a complaint. As used in this paragraph, "retaliatory conduct" means conduct that adversely and unjustifiably affects another's terms and conditions of employment, educational experience, or quality of life, and that is motivated by an intent to cause harm because of the targeted individual's involvement in the filing or investigation of a discrimination complaint. Any student or employee who believes that retaliatory actions have been taken against him or her for having filed a complaint or provided testimony in an investigation of discrimination may seek redress through the Affirmative Action Office.

PROCEDURES FOR PROCESSING GRIEVANCES

STEP I. INFORMAL CONCILIATION

The Affirmative Action Office shall receive the complaint, assist the complainant in defining the charge and completing the grievance form.
The Affirmative Action Office shall apprise the respondent and his/her administrative officer of the charge and its supporting documents, assist them in interpreting the charge, and suggest a format for responding to the charge.
The Affirmative Action Office shall have thirty (30) working days to resolve the complaint informally and shall have the right to all necessary information to do so and to interview witnesses including the right to bring together complainant and respondent, if desirable. If a mutually acceptable resolution is achieved through the efforts of the Affirmative Action Office, the case shall be closed. A written notice shall list findings and indicate the agreement reached, and shall be signed and dated by the complainant, the respondent, and a staff member of the Affirmative Action Office, and copies provided to both the complainant and respondent. If the evidence supports a finding that there is no basis for a charge of illegal discrimination, the Affirmative Action Office shall indicate this conclusion to the complainant, advising him/her that the case is closed.

If conciliation is not possible, the Affirmative Action Office shall so notify both complainant and respondent in writing, and shall advise complainant of his/her right to proceed to the formal step of a University hearing. The complainant shall have ten (10) working days to advise the Affirmative Action Office of his/her desire to have a hearing.

STEP II. FORMAL HEARING

If the complainant requests a formal hearing, the Affirmative Action Office shall send written notification to the appropriate Executive Vice President, the Provost, or the Senior Vice President, the respondent and his/her administrative officer. This notification shall include a copy of the charge naming the complainant and respondent, a description of the nature of the complaint, and other written documents pertaining to the case.
The Affirmative Action Office shall then establish a three member Ad-Hoc Affirmative Action Grievance Panel selected from the Equal Opportunity Examining Board made up of Georgetown University administrators, faculty and staff. Grievances involving discriminatory denials of tenure, promotion or reappointment of faculty members shall be heard by panels composed of faculty or academic administrators only. The three member Ad-Hoc Affirmative Action Grievance Panel shall be selected in the following manner:

The complainant shall select one member of the Equal Opportunity Examining Board, and the respondent shall select another. The Affirmative Action Office shall convene a meeting of these two selected panelists who shall choose the third member to form the Ad-Hoc Affirmative Action Grievance Panel.
A member of the Affirmative Action Office shall present the details of the complaint to the panel members who shall be asked to disqualify themselves if they have prior knowledge of the complaint, the circumstances surrounding the incidents, or any other reason which might prevent them from rendering an impartial decision.
The Special Assistant to the President for Affirmative Action Programs, or a designee shall present all documents relevant to the complaint, instruct them in effective investigative processes, and ensure that they thoroughly understand the process. The panel shall be charged formally with its responsibility to investigate the complaint, issue its findings including recommendation for corrective action if warranted. A staff member of the Affirmative Action Office shall be present at all deliberations of the Ad-Hoc Grievance Panel.
The Ad-Hoc Grievance Panel shall have the right to all relevant information and to interview witnesses, including the right to bring together complainant and respondent.
Within 45 working days from its formation, the Ad-Hoc Grievance Panel shall submit its findings to the Special Assistant to the President for Affirmative Action Programs for review. This official shall forward the panel's findings and the background documentation to the Provost, the appropriate Executive Vice President or Senior Vice President for review and comment. After this official approves the panel's recommendations, the Affirmative Action Office shall forward the findings to the complainant, respondent and his/her administrative officer.
If the panel sustains the complainant's grievance the Affirmative Action Office shall monitor the Panel's recommendation. The Provost, the appropriate Executive Vice President or Senior Vice President shall ensure that the Panel's recommendations are smoothly implemented and that no retaliatory actions are taken against the complainant or respondent.

STUDENT EMPLOYMENT GRIEVANCES

Georgetown University students who are also full-time or part-time employees of the University, in their employee capacity, are subject and entitled to the preceding grievance procedures. If the student employee initiates his/her discrimination complaint with the academic Dean or Department Chairperson, the Dean or Department Chairperson will transfer the case to the Affirmative Action Office for resolution.

STUDENT GRIEVANCES IN ACADEMIC AND NON-EMPLOYMENT MATTERS

The grievance procedures in this document to review, investigate and resolve allegations of unlawful discrimination on the basis of age, color, sex, including sexual harassment, disability, marital status, national origin, race, religion, family responsibility, personal appearance, matriculation, political affiliation or sexual orientation, do not apply to student complaints in strictly academic areas, nor do these procedures refer to students in non-employment relationships. Special procedures have been established by all of the University's colleges and schools to resolve academic concerns. The matters should be discussed first with the Dean of the school. The student may submit formal written complaint to the Dean, and a copy of this written formal complaint must be sent to the Special Assistant to the President for Affirmative Action Programs, so that the Affirmative Action Office may be informed of the complaint. The procedures for discrimination complaints are listed in the official school publications of the individual University's colleges and schools.

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Intellectual Property

Contents

A. Preamble and Objectives

Georgetown University has among its primary purposes teaching, research, and the expansion and dissemination of knowledge. Although development of patents and commercial applications is not a primary institutional goal, patentable inventions and other marketable forms of intellectual property do result from the research activities of Georgetown University's employees, including faculty, administration, and staff, as well as students and fellows, who may not be compensated for their activities (hereinafter collectively referred to as “Covered Individual(s)”). The University has an interest in protecting such intellectual properties in order to:

Serve the public good by promoting the disclosure, dissemination, and utilization of inventions which arise in the course of the University's research through established channels of commerce;
Encourage and provide tangible rewards to members of the University community who create such inventions;
Support further research and development by securing for the University a share in the proceeds of such inventions.

The Georgetown University Intellectual Property Policy (hereinafter “this Policy”) has been established to provide for an equitable allocation of responsibilities and rewards among Inventors, their departments and schools, the University, and any external organizations that have sponsored and financed research activities at the University. These policies and procedures apply to the reporting of inventions by investigators, prosecution of patent rights by the University, development of commercial applications, distribution of financial benefit and expense within the University, and distribution of a share of net income from inventions to the Inventor(s).

B. Ownership of Inventions and Patents

Georgetown University acquires ownership in all inventions--any new and useful process of discovery, art or method, machine, manufacture, or improvement thereof--made or conceived by a Covered Individual, provided such invention was made:
1. during a research or other assignment given to a Covered Individual pursuant to a research project, grant or contract, or any other University administered
  program; or
2. utilizing facilities, equipment, funds, or other contributions of the University; and provided 2
3. that the University has not entered into a research grant or contract agreement with express provisions to the contrary.
Inventions made by a Covered Individual exclusively on his or her own time and without the aid of any Georgetown University resources are the sole property of the Inventor, and:
1. Patents from such inventions should be administered so as to not involve the name, facilities, or resources of Georgetown University;
2. Time spent in administering such patents should conform to the University policy on outside activities by an employee;
3. In order to avoid a conflict of interest, a Covered Individual should not patent inventions which are in the specific field of the investigator's work in Georgetown University's research programs without permission from the University;
4. Inventor-owned patents may, upon acceptance by the University, be assigned to Georgetown University at the option of the Inventor for administration under University patent policies, or in accordance with a specific agreement between the Inventor and the University.
Ownership and disposition of invention rights resulting from research financed wholly or partially by governmental, industrial, philanthropic or other organizations shall be determined by the rules, regulations, and procedures of the sponsoring organization and in accordance with the terms of the related research agreement and the policies of Georgetown University. A Covered Individual who elects to perform research on governmental, commercial, or other projects undertaken by the University is required to sign such supplemental agreements as are necessary to enable the University to fulfill its legal obligations with respect to patentable discoveries.
A Covered Individual who has developed an invention under Paragraph B1 or B3 above shall be required, at the request of the University, to execute the papers required for making application for patents in the United States and abroad and assignment of such patent applications or patents to Georgetown University or its designee. The expenses of any resulting patent proceedings are to be paid by the University or by its assignee.
Georgetown University may dispose of its rights obtained under Paragraph B1, B3, and B4 above as follows:
1. by selling, licensing, assigning, or otherwise exploiting such rights;
2. by operating such rights for public use, if in the sole determination of the University after consultation with the inventor, principles of charity or public policy so demand;3
3. by releasing such rights to the Inventor, provided expenses already incurred by the University or an assignee are reimbursed by the Inventor or from the proceeds of commercial exploitation of the invention. Once rights have been released to the Inventor, University funds (including funds in discretionary GD accounts) may not be used to file a patent application or commercialize the invention.
4. by including such rights in a research contract with a third party under which such rights are assigned or licensed either in advance or otherwise, to the third party.
The conditions enumerated in this Policy shall be deemed to be a part of the terms of employment of University faculty, administrators and staff, and the terms of enrollment of University students.

C. Patent Law and the Inventor

The Inventor is subject to many pressures in the academic community to publish materials describing research. Premature publication may, however, adversely affect the public use and benefits of scientific data. Ideas promulgated in the literature without adequate prior protection may ultimately be lost to the public good due to their limited commercial potential. It is important for the Inventor to be aware of the potential harm of premature publication, which severely undermines the patentability of an invention. Because of the great costs associated with bringing a product to market, companies are usually willing to develop technology only if it is protected by patents. The inventor should consult the University Office of Technology Commercialization (OTC) whenever he or she has a question about patent rights. This section of the policy is designed to acquaint the inventor with the basics of a complex and sophisticated area of the law. The OTC is available to assist in the application or interpretation of this policy. In general, a patent owner in the United States has a grace period of one year to file an application after disclosure through publication or public presentation of the nature of the invention. If the U.S. patent application is filed prior to any publication or presentation, worldwide patent rights are preserved for one year from the U.S. filing date. If, however, an invention or innovation is published or presented before filing a U.S. patent application, most foreign patent rights are lost. To fully protect foreign patent rights, it is therefore essential to file a U.S. patent application prior to any publication or presentation. The Inventor can help to safeguard inventions in the early stages of development by carefully noting ideas conceived in a lab notebook. As entries are made in the notebook, a dated signature by the Inventor and a witness should help protect the invention under U.S. Patent Law. In order to protect the discovery's conception date, the Inventor must continue to make signed and dated entries for experiments where attempts to reduce the invention to practice are made. Diligence in recording efforts to reduce an invention to practice is vital. Without such diligence, efforts to establish the first invention date and to take advantage of the legal benefits flowing from it may be in vain. Careful notebook practices will help to protect the invention from subsequent Inventors even if an interloper reduces the invention to practice first, and/or files a patent application first.

D. Duty to Disclose Inventions

Inventions conceived and/or reduced to practice and which are covered by B1, B3, or B4 must be disclosed fully and in good faith to the OTC. When an Covered Individual conceives or reduces to practice an invention and judges that it may be valuable and serve the public good, that individual is required to report the invention through the Chair or Director of his or her Department, Center, or Institute to the OTC on the Georgetown University Invention Disclosure Form (Appendix B). It is the obligation of the Inventor to correctly identify any and all co-inventors on the Disclosure Form. The Inventor also has an obligation to disclose any potential conflict of interest in accordance with the University's Conflict of Interest Policies, and to execute all contracts, assignments, waivers, disclosures, or other legal documents necessary to vest in the University the rights to any invention in which it retains an interest. These obligations remain effective even after Inventors leave the University. Prosecution by an Inventor of patents on inventions to which the University has a right of ownership as described in Paragraph B1 without disclosure of the invention to the OTC and (if so requested by the University) assignment of ownership to the University, constitutes grounds for disciplinary action. Inventors may not enter into any patent agreements related to University intellectual properties with outside organizations without prior authorization from the OTC. The University retains this right of approval exclusively to itself.

E. Office of Technology Commercialization (OTC)

The Office of Technology Licensing (hereafter "OTC") shall be administered by a Vice President for Technology Licensing reporting to the Senior Vice President & Chief Administrative Officer of Georgetown University.

Patenting of Inventions. The OTC will be responsible for initiating patent searches and will act as a liaison to the Office of University Counsel on patent, copyright and licensing issues. The OTC's oversight responsibilities help to ensure that all Inventors receive consistent service from patent attorneys and have a central resource for the coordination, handling, and retention of records related to their inventions. Patent files will be appropriately maintained by the OTC. Inventors will receive evaluations of the marketability of their inventions as well as reports on subsequent marketing to companies and other interested parties. Information on inventions will be disseminated broadly to many companies. Meetings to discuss the marketability of inventions will be arranged by the OTC, and the Inventor will be advised throughout the interaction with potential sponsors.
Licensing of Inventions. The OTC will be responsible for identification of potential commercial sponsors to develop intellectual property owned by the University, for marketing of properties to potential sponsors, and for negotiation of all research and 5 development, licensing, and royalty agreements with sponsors in cooperation, as appropriate, with the Office of Sponsored Programs. Such agreements must conform to University policies, including but not limited to those governing academic freedom and conflicts of interest. Inventors may not independently market or license properties owned by the University. Sponsors may not use the name or logo of Georgetown University or those of any school or other component of Georgetown University, nor imply approval or endorsement of any product by the University in any commercial promotion without the written permission of the University. Once a company has decided to develop or commercialize an invention, the appropriate agreements will be drafted and negotiated with the licensee. Inventors will be kept informed of the negotiations and their input will be sought as appropriate. The University does not differentiate as to the validity of the views of different inventors on the same patent application, but shall give due consideration to these views, and shall negotiate at all times in the interest of the University as a whole. Model agreements for interactions with commercial sponsors are available (Appendix B). Legal counsel will be consulted as required. The licensing agreement will be maintained by the OTC which will be responsible for its administration. The Inventor is, however, central to the licensing process. The Inventor is usually the best advocate and source of expertise for the invention. Throughout the search process for prospective companies to commercialize an invention, the Inventor is encouraged to actively participate and provide guidance. The Inventor's active involvement is often essential to the successful commercialization of a discovery. During the course of negotiation the Inventor's advice and opinions will be routinely sought. In the process of negotiations, the University will use its best efforts to guard the Inventor's freedom to publish, collaborate with other non-profit institutions, and transfer materials for non-commercial purposes to other researchers.
Service to Inventors. The OTC is available to advise Inventors on all questions concerning copyrights, patents, licensing and technology transfer. When an Inventor has an idea, early disclosure to the OTC will ultimately benefit the development of the idea. Members of the OTC staff may advise Inventors on the types of experiments the U.S. Patent Office might require for patentability or to strengthen an application. Searches may also be instituted to review other inventions in the field in order to avoid comparable development. Advice may be sought from others knowledgeable in the field and from patent attorneys. Early planning is crucial to both the development of inventions and to cost effective, commercially valuable technology.
Financial Records and Reports. The OTC will maintain financial records of the expenses and income related to each invention. The inventor will receive periodic financial reports on royalties paid to the University and distributed as described in Section G below. The Inventor has the right to examine the financial records of the OTC related to his or her inventions and copyrights.
Assignment of Ownership to Inventors. It shall be the policy of the OTC, when a decision is made not to file a patent application on a particular invention, or to abandon all patents on a particular invention, to offer to assign to the inventor(s) ownership of the particular invention, subject to the rights of the United States Government in federally funded inventions. The University shall not differentiate between inventors. Circumstances may require that a written agreement be submitted to the University signed by all inventors concerning the inventors’ joint decision as to the invention’s disposition.

F. The University Committee on Intellectual Property (CIP)

The University Committee on Intellectual Property (hereafter “CIP”) shall be appointed by the President with representation from the principal faculties potentially affected by policies in this area and from the administration. It is chaired by, and is advisory to, the Vice President for Technology Licensing.

CIP Membership and Meetings. Membership of CIP shall comprise eleven faculty members, the Chief Financial Officer and Treasurer (or his/her designee), the General Counsel (or his/her designee), and the Vice President for Technology Licensing (Chair). The faculty membership shall include six faculty members nominated by the EVP of the Medical Center, three faculty members nominated by the Provost, and two faculty members nominated by the Faculty Senate. The CIP will meet at least quarterly, or more often if needed.
CIP Functions. It shall be the function of the CIP to advise the Vice President for Technology Licensing with respect to:
1. guidelines and procedures for implementation of the this Policy;
2. interpreting and applying this Policy in individual cases;
3. resolving disputes concerning the interpretation and application of this Policy;
4. recommending such changes in University policy, as may from time to time be desirable, to the Faculty Senate for formal deliberation and vote, and thereafter, for final approval to the President and the Board of Trustees. In particular, the CIP will periodically review specific dollar figures in this policy, and recommend revision as appropriate.
Dispute Resolution. The CIP will assist in the resolution of all disputes between individuals, or individuals and the institution, regarding ownership of patentable inventions or copyrights. The CIP will also assist in the resolution of disputes between Departments and other units over the distribution of royalties and other proceeds as described in Section G1 of this Policy. The CIP will review as appropriate the factual background of the dispute, which may include examining relevant documents and records relating to the invention's inception and development and/or interviewing potential Inventors and others who might be able to assist the CIP in its understanding of the dispute. After its review, the CIP will recommend a proposed course of action to the Vice President for Technology Licensing, whose decision is final.

G. Distribution of Financial Benefit and Expenses, Net Income and Equity

Georgetown University assumes financial responsibility for inventions to which it takes ownership. This responsibility includes but is not limited to the costs of assessing patentability, filing and maintaining patents, marketing and licensing inventions, maintaining records, and defending against infringements and interferences. The University is not, however, obligated to protect or develop any particular technology or invention unless it has made an explicit contractual commitment to do so. Activities related to the protection and marketing of University intellectual properties are intended to be self-supporting. The OTC is required to use the University's resources carefully, with a view to promoting the fiduciary interest of the institution as a whole.

Distribution of Royalties and Other Income. Distribution of all royalties and other income from intellectual properties owned by the University shall be as follows:
1. Deductions from Gross Receipts. All direct expenses related to prosecuting and maintaining a patent, including fees for outside legal counsel, shall be reimbursed to the OTC from receipts related to the invention. In addition, 15% of gross receipts from each invention shall be allocated to the budget of the OTC. When the overall revenues from such receipts are sufficient to support the activities of the OTC, the percentage amount of the allocation may be reduced so that only the actual costs of the OTC's operations are deducted from gross receipts.
2. Net Receipts. "Net Receipts," which shall be defined as gross receipts less the deductions in the preceding subsection a," shall be distributed as follows:
  
  One-half of Net Receipts (50%) shall be distributed to the Inventor(s) of the intellectual property. With respect to all intellectual property reported to the University pursuant to Section D of this Policy on or after May 4, 2006, the Inventor(s)’ share shall be reduced to thirty per cent (30%) of Net Receipts once the Inventor(s) have received $5M in cumulative Net Receipts. [17] Thereafter, thirty percent (30%) of Net Receipts shall be distributed to the Inventor(s) . An Inventor’s entitlement to payment under this paragraph is not dependent upon his/her continued employment at the university. In the case of the death of the Inventor, payment will be made to the Inventor’s estate. If the payment is to be made over time, the payments will be made over the life of the patent. At the option of the Inventor, the Inventor's share may be returned to the Inventor’s laboratory rather than to the Inventor personally. When there are two or more Inventors of a property, the Inventors’ share of Net Receipts shall be allocated equally among the Inventors, unless a prior written agreement executed by all Inventors, the Executive Vice President for Health Sciences, and the Vice President for Technology Licensing provides a different allocation.
  
  10% of Net Receipts shall be distributed to the President of the University (or his/her designee) for support of research and development throughout the institution;
  
  30% of Net Receipts (40% of Net Receipts following the reduction of the Inventors’ share from 50% to 30%) shall be distributed to the Executive Vice President of the Inventor’s campus area (Main Campus, Medical Center, or Law Center). If the Inventor holds appointments on more than one campus, the campus share shall be divided among the EVPs proportional to the percentage of support provided. These funds are to be used for support of research and development on this campus or in interdisciplinary programs involving two or more campuses.
  
  10% of Net Receipts (20% of Net Receipts following the reduction of the inventors share from 50% to 30%) shall be divided among the Departments, Centers, Institutes, Programs, Sectors, and Schools (hereinafter in this paragraph collectively “the Department(s)”) in which the Inventor holds an academic appointment or staff position and from which the Inventor received his or her support, with the royalties to each proportional to the support it provided. Support shall be defined as financial support including without limitation, indirect costs and overhead recovered through grants and funded research (RX accounts), departmental funds (GX, GP or GD accounts), and lab space. In the event an Inventor reports an invention within a year after changing Department(s), there is a presumption that the royalty shall be split equally between the Department in which the Inventor formerly held and subsequently holds academic appointment(s). A Department’s entitlement to payment under this paragraph is not dependent upon the Inventor’s continued employment by the University. Disputes arising under this section shall be resolved by the EVP for Health Sciences with advice from the CIP.
  
  In any case involving multiple Inventors, the proportionate allocation of Net Receipts to the Inventors’ respective campuses and Departments shall parallel their proportionate distribution to the Inventors.
Distributions of Equity. Distributions for license agreements containing equity arrangements will follow the same formula. Such distributions may require stock liquidation. All such distributions will be determined by the Chief Financial Officer and Treasurer.

H. Copyright and Traditional Scholarship

“The primary objective of the copyright is not to reward the labor of authors, but ‘[t]o
promote the Progress of Science and useful Arts.’ To this end, copyright assures authors
the right in their original expression, but encourages others to build freely upon the ideas
and information conveyed by a work. This result is neither unfair nor unfortunate. It is
the means by which copyright advances the progress of science and art.” (Feist
Publications, Inc.. v. Rural Telephone Service Co., 499 U.S. 340, 349 (1991), Justice
Sandra Day O’Connor)

Purposes. A main goal of Georgetown University, as a student-centered research institution, is the discovery, production, and dissemination of knowledge. The copyright policies of the University are intended to further that goal by providing appropriate incentives to faculty and members of the academic staff for the production of new knowledge.
Traditional Independent Scholarship. These policies are not intended to disturb the customary relationship between the University and the author of traditional scholarly works such as books, manuscripts, artistic works, movies and television programs. In general, the University does not claim “work for hire” status under Title 17 of the U.S. Code for such works. Traditionally, most published works written by members of the faculty have been viewed as the property of the author and have been published under agreements made by those authors without participation of the University. Where the criteria in Section I1 below apply, a formal agreement between the University and author must be made pursuant to the procedure described in Section I4 below.
Support for Fair Use. The University strongly encourages faculty members who publish traditional scholarly works to become familiar with their rights under copyright law, and to negotiate contracts with publishers that preserve rather than waive these rights. The University will seek to make available scholarly work of faculty on institutional servers in a manner consonant with copyright law, and encourages faculty to negotiate terms with publishers that allow access by the Academy and students. For information on copyright and fair use, see http://www.lib.umn.edu/copyright/map.phtml.

I. Copyright and Other Intellectual Property

While the University generally has not sought assignment by Covered Individuals of the copyrights in their traditional scholarly works (written or edited), it has generally required assignment of ownership rights in all other Intellectual Property made or conceived by Covered Individuals utilizing the facilities, equipment, funds or other contributions of the University to a degree that is substantially in excess of what is normally provided to Covered Individuals. Consequently, in cases not involving traditional scholarly works, when the University provides substantially more than the usual support for the creation of copyrightable material or commercially valuable collections of information –for example, by subventing publication of scholarship or by committing University resources for the development of digital materials for teaching and learning –formal arrangements (created at the OTC) must be drafted in order to ensure that rights, responsibilities, and prospective revenues are shared equitably between those who develop the Intellectual Property and the University as the provider of auspices and facilitating resources.

Publication Subvention. In those instances when both (1) the University pays the full or a substantial part of the cost of publication (including such costs as printing, editing, etc., but excluding the salary of the primary author(s), and (2) the royalties or revenues from the publication are likely to exceed $10,000, formal agreements concerning the ownership of the copyright and the division of these royalties must be made pursuant to the procedure described in Section I4 below.
Software and Digital Resources. Distinctions that once were common between texts intended to convey information (and subject to copyright guidelines) and research tools (potentially subject to patent guidelines) have become less tenable at a time when software is both copyrightable and potentially patentable and when courseware and digital academic resources are characterized by a high degree of interactivity. Software development by Covered Individuals frequently receives extensive support from the University. Similarly, digital resource for teaching and learning –that is, software (including Web pages programmed in native HTML, XML, or similar protocols, or created using an authoring package or a courseware-development system) and digital content materials designed for display and dissemination over the internet or over the University’s own network frequently are based upon the work of may hands (including instructional designers and technical staff), and they frequently depend upon the University’s network and computer systems and the staff who support them. Consequently, the University may require assignment of an ownership interest in software, including courseware and digital academic resources, developed by Covered Individuals at the University. Formal agreements for these categories of Intellectual Property must be created in order to spell out the respective rights of the individual developers and the University. However, in order to encourage the development of technology-based instructional materials, the University may choose not to exercise its claim to such resources and instead to consider the copyright to lie with the developer(s). In particular, the University will not require assignment of ownership for basic web pages or entries in a course management system that are created and maintained by Covered Individuals without substantial assistance, and that simply provide information (including but not limited to reading assignments, other course requirements and links to relevant external Internet resources) specific to a faculty member’s course(s) and/or information about or copies of publications and other professional activities of a Covered Individual.
Collections of Information. The creation and maintenance of collections of information also frequently require extensive technical, staff, and systems support from the University. Consequently, the University may require assignment of an ownership interest in collections of information developed by Covered Individuals as resources for scholarship and research. Formal agreements for this category of Intellectual Property must be created in order to spell out the respective rights of the individual developers and the University. However, in order to encourage the development and maintenance of such collections of information, the University may choose not to exercise its claim to such materials and instead to consider copyright and other ownership interests to lie with the individual developer(s).
Formal Agreements. Formal agreements between the University and Covered Individuals who develop software, digital resources, or collections of information will be created by the OTC. Because ownership of Intellectual Property is divisible in many ways, these formal agreements will generally be based upon an unbundling and distribution of ownership rights in order to grant the developers and the University the rights each finds more advantageous and the responsibilities each is best qualified to discharge. For example, if the University has made a substantial contribution (through its systems and support expertise) to the creation of software, digital resources, or collection(s) of information, a formal agreement may assign or license to the University the ability to exercise certain rights, including but not limited to:
1. the right, on a limited, non-exclusive basis for the University to make and distribute copies of the material for use in teaching, scholarship, and research within the University.
2. the right to control whether the University’s name or logo is displayed in association with the material.
3. the right to require an appropriate acknowledgement of University support in the creation of the material.
4. the right to reproduce and distribute portions of the material in compilations or other composite works,
5. the right to reproduce and distribute portions of the material for uses directly related to advancing the mission or maintaining the culture of the University.
6. the right to be informed in advance of any licenses or assignments of the material by the author(s) or developer(s).
  
  In addition, the formal agreement may specify certain situations or conditions that would trigger the application of a secondary policy. For example, if software, digital resources, or collection(s) of information are commercialized and they generate revenues, the University may reserve the right to a certain percentage of royalties to recover any investment it may have made in such software, digital resources, or collection(s) of information. As a second example, if the University, as an incentive for development, pays a stipend to a researcher to create software, digital resources, or collection(s) of information, that stipend must be repaid to the University from any revenues that accrue from the subsequent marketing of the materials.
Responsibility to Initiate Formal Agreements. In the case of software, digital resources, or collection(s) of information likely to require the use of University resources for creation, expansion, or maintenance, it is the responsibility of the Covered Individual(s) to initiate a formal agreement with the OTC. In the absence of an agreement to the contrary, the University will claim all authorship rights in software, digital resources, or collection(s) of information created with University assistance as works made for hire under the Copyright Act Title 17 of the United States Code. However, a Covered Individual need not report or initiate formal agreements for basic Web pages or entries in a course management system that are created and maintained by that individual without substantial assistance, and that simply provide information (including but not limited to reading assignments, other course requirements, and links to relevant external Internet resources) specific to a faculty member’s course(s), and/or information about or copies of the publications or other professional activities of the Covered Individual. A Covered Individual also need not report or initiate formal agreements for that employee’s personal archives of data or of other materials relating to scholarship or research.

J. Consulting

Problems may attend the disposition of Intellectual Property that results from activities of Covered Individuals while engaged in the service or at the direction of a firm or institution other than the University. In general, the University recognizes the benefits of such activity to Covered Individual, and often to itself. However, the University is concerned about conflicts of interest that may arise from such activity. (Please refer to the Faculty Handbook under “Extramural Professional Activity” and the Financial Conflicts of Interest Policy.) In addition, the University is concerned not only about the potential loss of revenue but also about the imposition of noncomplete clauses that may hinder Covered Individuals from pursuing the University’s mission of teaching and research or prevent Covered Individuals from participating in University-sponsored research-and-development projects.

Consulting, Intellectual Property and University Resources. In the cases of consulting activities involving the use of Intellectual Property developed with University resources, the Covered Individual should provide to the OTC a copy of any contract for work sponsored by an entity other than the University when the terms of the contract vest control of any resulting intellectual property in that entity. In such cases, the University may require that a formal agreement be created concerning the ownership of such resulting intellectual property, pursuant to the procedures described in Section I4 above. No consulting contract shall restrain or inordinately delay publication of the results of a researcher’s University-related activities.
Consulting, Intellectual Property, and Non-print Media. In the cases of consulting activities resulting in the production of non-print analog or digital instructional materials (for example, for distance learning) for an entity other than the University, the Covered Individual should provide to the OTC a copy of any contract for such activity. In such cases, the University may require that a formal agreement be created concerning the ownership of the resulting intellectual property, pursuant to Section I4 above.

K. Intellectual Property and Work for Hire

Employees. In general, copyrightable material created by a Covered Individual pursuant to a specific direction or assigned duty (other than the teaching of courses) from the University or any of its units shall be considered a work made for hire and shall be property of the University. However, in the case of software, digital resources, collection(s) of information, or other audiovisual educational materials created by Covered Individuals pursuant to specific direction or assignment, the University may choose to share ownership with the individual developer(s). In such cases, formal agreements between the University and the individual employees will be created pursuant to the procedures described in Section C4 above, except that it is the responsibility of the University department or unit overseeing creation of the material to initiate review by the OTC.
Students. In general, the foregoing terms also apply to students at the University. The University makes no claim of ownership to works created by students or other staff members working on their own, outside of an employment relationship with the University. As a condition of matriculation, however, the University reserves the right to make copies of dissertations as needed for the academic and archival purposes of the institution. In addition, the University requires that students waive any claims against the University, its employees, or fellow students arising out of the reproduction, excerpting, and/or distribution of student-authored postings to University-sponsored courseware Web sites or course management systems as needed for the academic, research, and archival purposes of the institution. Students working on a project governed by a contract or agreement to which the University is a party shall be bound by the terms of that contract or agreement. Students who are hired to perform specific tasks that contribute to a copyrightable work will ordinarily have no authorship or ownership rights in that work unless they have a prior written agreement with the author.

L. Appendices

Appendix A – Definitions

Device-Like Software: Computer software primarily intended and likely to result in the
accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product such as data, text, a physical object, or more software.

Disclosure: Executed form reporting the existence of a new invention.

Covered Individual: For purposes of this policy, any Georgetown University employee, (including without limitation faculty, administration, and staff members) or any student or fellow, who is engaged, whether or not for compensation, in University research work from which an invention or copyrightable work is developed.

Intellectual Property: Patent applications, patents, copyrights, inventions, trade secrets relating to said inventions, know how, improvements, and discoveries.

Invention: Any new and useful process or discovery, art, or method, machine, manufacture, device-like computer software, or improvement thereof.

Inventor(s): The individual(s) responsible for conceiving and reducing to practice an idea which becomes an invention.

Reduction to practice: Occurs at the time when an inventor can prove the product or process was produced or applied successfully. As a matter of law, the time of the filing of the patent application is presumptively the time of reduction to practice unless the inventor can demonstrate an earlier date. Diligence in recording efforts and successes in reducing an invention to practice are vital in establishing the earliest possible date of invention.

Research and Development: Investigation of fundamental knowledge or its applications in any academic discipline germane to the university, and reduction of that knowledge to practice.

Specific Field: Area of research for which the inventor is supported by external or intramural funding or other institutional resources such as office or laboratory space, or has written investigational protocols on file at the University.

Textual Software: Computer software primarily intended and likely to result in informing or educating the user or in improving his or her general capabilities

Work Made For Hire: Intellectual property produced in the performance of a grant or contract or as a part of an employee's assigned work responsibilities.

Appendix B –Documents

Copies of the following documents can be obtained from the OTC or its website
(http://otc.georgetown.edu).

Georgetown University Invention Disclosure Form

Model Confidential Disclosure Agreement

Model Materials Transfer Agreement

Model Exclusive and Non-Exclusive Licensing Agreements

Revised May 4, 2006

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Financial Conflicts of Interest Policy

Contents

A. PREAMBLE

Despite the increasing frequency and complexity of the relationships of the University and its faculty and staff with industry, government and other entities, these relationships are governed by one basic principle--the faculty and staff of Georgetown University recognize that their primary professional responsibility is to Georgetown University. To fulfill that responsibility they must be alert to the possibility that outside obligations, financial interests or employment relationships run the risk of compromising their objectivity as teachers, researchers, clinicians, and administrators. Acceptance of a faculty appointment or employment with the University entails a commitment to give one's best efforts to this end and to assign first priority to the needs and goals of Georgetown.

At the same time, the unprecedented growth of academic research and other externally sponsored programs over the last several decades has generated significant opportunities for collaboration between faculty members and companies attempting to convert program findings into commercially viable products. Accepting assistance and financial support from for-profit enterprises makes possible research and other programs on a scope unachievable without that support, and fosters the University's interest in serving society by making the benefits of its faculty members' research and expertise available to those who need it most. A faculty member must, however, be on guard that his or her objectivity is not threatened by obligations owed to the companies or organizations that sponsor University programs.

In addition, members of the Georgetown University community who are supported by public funds incur a special obligation to preserve the public trust. The Federal Government requires assurance that faculty members are aware of potential conflicts of interest arising from interrelationships with Federal agencies and commercial sponsors and of their obligation to notify appropriate University officials of all outside activities that may have conflict of interest implications. Likewise, University officers and others acting on behalf of Georgetown University have an obligation to avoid conflicts, or the appearance of conflicts, between their financial interests and the interests of the University in dealing with any organization or individual having, or seeking to have, any business relationship with the University.

To further these goals and in compliance with relevant Federal policies, [19] Georgetown University has developed a policy for the identification and prevention of financial conflicts of interest. This Financial Conflicts of Interest Policy (the Policy) is designed to promote four fundamental objectives.

To identify conduct that might constitute a conflict of interest, and to provide reliable and workable processes for resolving potential conflicts of interest.
To ensure that relationships between faculty members and external sources of funding are structured in such a manner as to enhance the University's mission in the areas of teaching, research, and clinical care.
To ensure that the relationship between faculty members and external sources of funds promotes values and practices essential to the pursuit of knowledge, including free and open communication among colleagues, the widest dissemination of research results through presentation at professional meetings and publication in professional journals, the encouragement of collaborative research, and the promotion of cordiality and mutual respect among researchers and clinicians.
To ensure that any individual authorized to make decisions on behalf of the University does not inappropriately benefit personally, directly or indirectly, from an entity or person conducting business with the University.

The Policy is applicable to all employees of Georgetown University. It imposes initial disclosure requirements, however, only on (1) FACULTY [20], interns, residents and fellows; and, (2) on STAFF who are responsible for (i) the procurement, exchange or sale of goods, services or other assets; (ii) the negotiation or formation of contracts or other commitments affecting the assets or interests of the University; (iii) the rendering of professional advice to the University; or (iv) managerial, supervisory or advisory functions related to the conduct of SPONSORED PROGRAMS. [21]

This Policy does not address a variety of other practical or ethical issues that may arise during the course of University employment, such as conflicts in time commitments, issues relating to ownership of intellectual property, misconduct in scientific research, and ethical issues, including those involving medical or scientific experimentation using human or animal subjects. Other University policies address these issues.

B. CONFLICT OF INTEREST GUIDELINES

Typically, a financial conflict of interest may arise when a person has the opportunity to influence the University's business, administrative, academic, or other decisions in ways that could lead to personal gain or advantage of any kind. A conflict of interest may also exist when a person has a CONSULTING RELATIONSHIP with a BUSINESS from which he or she receives SPONSORED PROGRAM support, or in which he or she has any other SIGNIFICANT FINANCIAL INTEREST.

While it is difficult to specify precisely what constitutes an objectionable conflict in all situations, the guidelines set forth below establish general standards by which individuals must evaluate their behavior. The guidelines are divided into three categories: conduct presumptively prohibited; conduct permitted only after review and approval; and conduct merely requiring disclosure.

1. CONDUCT PRESUMPTIVELY PROHIBITED

This section of the guidelines describes conduct which is "presumptively prohibited". Presumptively prohibited conduct is presumed to present a prima facie conflict of interest and may not ordinarily be engaged in by any person covered under this Policy. The Policy recognizes, however, that under unusual circumstances, a faculty member or employee may be permitted to engage in presumptively prohibited conduct if he or she presents clear and persuasive evidence that the conduct proposed would not be in conflict with established University policies. In such cases, a faculty member or employee may present his or her case for review under Section D of the Policy.

a. SIGNIFICANT FINANCIAL INTEREST IN A BUSINESS

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY possesses some form of SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, then the person may not

receive SPONSORED PROGRAM support from the BUSINESS; or
assign students, postgraduate students, fellows or other trainees to projects supported wholly or partially by SPONSORED PROGRAM funding from the BUSINESS.

b. PARTICIPATION IN UNIVERSITY DECISIONS

A person may not normally participate in any University decision that has any effect on a BUSINESS in which the person, a member of the person's FAMILY, or an ASSOCIATED ENTITY has a SIGNIFICANT FINANCIAL INTEREST or a CONSULTING RELATIONSHIP, or with which the person is negotiating or has any arrangement concerning prospective employment. Under such circumstances, a person shall recuse himself or herself from any such decision.

c. GRATUITIES, GIFTS AND FAVORS

A person may not solicit or accept gratuities, gifts, favors or anything of monetary value, in excess of $100 per year per source, from a BUSINESS from which the person receives SPONSORED PROGRAM support or with which the University has a substantial contractual relationship known to the person. In addition, a person participating in the selection, award or administration of agreements using Federal funds may not solicit or accept gratuities, gifts, favors or anything of monetary value from grantees/contractors or potential grantees/ contractors, regardless of value. Receipt of any gifts permitted under this paragraph must also comport with applicable University policies on receipt of gifts. Nothing in this paragraph shall preclude a person from soliciting or accepting gifts, donations, or bequests of any kind or in any amount on behalf of the University.

2. CONDUCT PERMITTED ONLY AFTER REVIEW AND APPROVAL

This section of the guidelines describes conduct a person may engage in only after review and approval in accordance with Section D of the Policy.

a. SIGNIFICANT FINANCIAL INTEREST IN A BUSINESS

If a person, a members of his or her FAMILY, or an ASSOCIATED ENTITY possesses a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, then unless he or she first discloses the SIGNIFICANT FINANCIAL INTEREST and receives approval in accordance with Section D of the Policy, the person may not

engage in research on projects that although not sponsored by the BUSINESS, involve TECHNOLOGY owned by or contractually obligated (for example, through a license) to such a BUSINESS;
assign students, post-graduate students, fellows or other trainees to projects listed in (a) above; or,
make clinical referrals to such a BUSINESS

b. CONSULTING RELATIONSHIPS

A person may not enter into a consulting arrangement with a BUSINESS from which he or she receives SPONSORED PROGRAM support or with which the University has a substantial contractual relationship known to that person, where the CONSULTING RELATIONSHIP provides him or her annually with $10,000 or more in compensation of any kind, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, a person who enters into such a CONSULTING RELATIONSHIP may not assign students, fellows or other trainees to projects supported through SPONSORED PROGRAM funds from the BUSINESS engaging him or her for consulting without first receiving specific approval, in accordance with Section D of the Policy, to make such assignments.

c. SERVICE AS AN OFFICER OR EXECUTIVE WITH A NON-UNIVERSITY ENTITY

A person may not assume an uncompensated EXECUTIVE POSITION in, or serve without compensation on the advisory board of, a BUSINESS (not including a government agency, nonprofit organization, or an accredited educational institution) from which the person receives SPONSORED PROGRAM support unless the person first discloses the facts and receives approval in accordance with Section D of the Policy.

d. USE OF THE UNIVERSITY'S NAME

A person who has a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, enters into a CONSULTING RELATIONSHIP with a BUSINESS, or is affiliated with or performs services for a BUSINESS, may not authorize that BUSINESS to use the University's name, symbols, or logo to imply endorsement of the BUSINESS by the University, or to give undue prominence to the fact that the person is associated with the University, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, the person must comply with any other applicable University requirements.

e. USE OF UNIVERSITY FACILITIES

A person may not enter into an agreement with a BUSINESS involving the use of facilities or resources belonging to or utilized by the University, including the person's office or laboratory, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. This procedure supplements and does not supersede space allocation procedures utilized by the University and its campuses.

f. GOVERNMENT FUNDED ACTIVITIES

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY has a SIGNIFICANT FINANCIAL INTEREST in or a CONSULTING RELATIONSHIP with a BUSINESS, he or she may not

participate in government funded research, educational or clinical care activities that would reasonably appear to be directly and significantly affected by such BUSINESS interest or CONSULTING RELATIONSHIP; or
participate by testifying, making recommendations, or voting, in any internal or external decision-making process involving the award or distribution of government funds where the testimony, recommendation or vote would reasonably appear to be directly and significantly influenced by such BUSINESS interest or CONSULTING RELATIONSHIP unless the person first discloses the facts and receives approval in accordance with Section D of the Policy.

3. CONDUCT REQUIRING DISCLOSURE

This section of the guidelines describes conduct which, while not presumptively prohibited or subject to prior approval of an institutional official, must be disclosed in accordance with Section C of the Policy.

a. SERVICE AS AN OFFICER IN A NON-UNIVERSITY ENTITY

If a person assumes an uncompensated EXECUTIVE POSITION in, or serves without compensation on any advisory board of, a BUSINESS (not including a government agency, nonprofit organization, or an accredited educational institution) with which the University has a substantial contractual relationship known to the person, then the person must disclose the facts in accordance with Section C of the Policy.

b. PUBLICATIONS OR PRESENTATIONS

If a person, a member of his or her FAMILY, or an ASSOCIATE ENTITY possess a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, or has entered into a CONSULTING RELATIONSHIP with a BUSINESS, he or she may not publish or give public oral presentation on the results of research sponsored by such a BUSINESS, or of research on TECHNOLOGY owned by or contractually obligated to such a BUSINESS, without first disclaiming in the publication or presentation any endorsement by the University. The person must also disclose the SIGNIFICANT FINANCIAL INTEREST and the CONSULTING RELATIONSHIP to the potential PUBLISHER or sponsor of the public presentation, regardless of whether the PUBLISHER requires such a disclosure.

c. CONSULTING RELATIONSHIPS

If a person enters into a CONSULTING RELATIONSHIP with a BUSINESS where the CONSULTING RELATIONSHIP provides him or her annually with $10,000 or more in compensation of any kind and the CONSULTING RELATIONSHIP is in the field of the person's professional responsibility at the University, he or she must disclose the facts in accordance with Section C of the Policy, regardless of whether or not the person receives SPONSORED PROGRAM support from the BUSINESS or has a SIGNIFICANT FINANCIAL INTEREST in the BUSINESS. This paragraph does not supersede other requirements detailed in the Faculty Handbook.

C. INITIAL AND ANNUAL DISCLOSURE REQUIREMENTS

1. INITIAL DISCLOSURE

The implementation date for this Policy is July 1, 1995. All (1) FACULTY, interns, residents, and fellows; and (2) STAFF who are responsible for (i) the procurement, exchange, or sale of goods, services, or other assets; (ii) the negotiation or formation of contracts or other commitments affecting the assets or interests of the University; (iii) the rendering of professional advice to the University; or (iv) managerial, supervisory, or advisory functions related to the conduct of SPONSORED PROGRAMS shall be required to complete and submit a disclosure form. All University employees within those same categories hired thereafter shall also be required to complete a disclosure form at the time of employment. Within the restrictions imposed by this paragraph, the relevant Executive Vice President, Vice President, or Director may elect to phase in the implementation of this policy; however, any person who is responsible for the design, conduct or reporting of research or educational activities funded, or proposed for funding, by an external sponsor as well as any person involved in the managerial, supervisory or advisory functions related to the conduct of SPONSORED PROGRAMS must comply with the July 1, 1995 deadline. Filing of an initial disclosure form with the appropriate University official by other members of the University community described in this section must be completed by July 1, 1996.

The disclosure forms will require these individuals to reveal any activities or relationships described in Section B of the Policy. Disclosure forms will be considered strictly confidential, and the appropriate Office of the Executive Vice President, Vice President, or Director, as the case may be under Section D.1 of the Policy, will establish procedures for maintaining and preserving confidentiality. Completed disclosure forms will be forwarded to the appropriate individual designated under Section D.1 of the Policy.

2. ANNUAL DISCLOSURE

All FACULTY and STAFF identified in C.1 who are involved in the design, conduct, or reporting of a research project or proposed research project funded by an external source will be required to submit a disclosure form on an annual basis during the pendency of an award. In addition, all FACULTY and STAFF whose initial disclosure reveals a real or apparent conflict of interest will be required to submit a disclosure form on an annual basis until relieved of that obligation by the individual designated under Section D.1 of the Policy. All FACULTY and STAFF members identified in Section C.1 of the Policy are required to submit a revised form if changes arise which the person believes may give rise to a conflict of interest. With the approval of the University Conflict of Interest Committee (See Section D.2 of the Policy), each campus or University Services area of the University will develop a procedure to notify FACULTY and STAFF of this obligation on an annual basis.

3. DISCLOSURE FORM

Annual disclosures shall be made on a form or in a format approved by the University Conflict of Interest Committee. If campuses or University Services areas of the University have existing annual reporting mechanisms, the Executive Vice President of the campus, or the Vice President or Director responsible for the University Services area, may request that the Committee approve the mechanism for the purposes of the reporting required under this Policy.

a. DISCLOSURE OF OWNERSHIP INTEREST OR EXECUTIVE POSITION

When the disclosure required is a disclosure of an ownership interest or of an EXECUTIVE POSITION, the disclosure must contain the following information, when applicable:

the name and address of the BUSINESS and a general description of the BUSINESS;
a statement of the fair market value of the investment or interest held described in broad categories similar to that on Federal disclosure forms (for instance, the investment is worth more than $10,000 but less than $100,000; is worth more than $100,000 but less than $250,000; is worth more than $250,000; all values given shall be the aggregate for all holdings of the person and the person's FAMILY);
the position held in the BUSINESS by the person.

b. DISCLOSURE OF INCOME, FEES, LOANS OR OTHER SIGNIFICANT FINANCIAL INTEREST

When the disclosure required to be given is of income, fees, loans or other sums, the disclosure shall include the following information, when applicable:

the name and address of the BUSINESS and a general description of the BUSINESS activity;
a statement of the aggregate annual amount of income/compensation received from the BUSINESS described in broad categories similar to that on Federal disclosure forms (for instance, income/ compensation is more than $10,000 but less than $100,000; is more than $100,000 but less than $250,000; is more than $250,000; all values given shall be the aggregate for the person and the person's FAMILY);
in the case of a loan, the annual interest rate, the security, the terms for repayment and the names of any guarantors.

D. IMPLEMENTATION OF THE CONFLICT OF INTEREST POLICY

1. INITIAL CAMPUS REVIEW

As detailed in Section D.1.b below, each campus and each University Services area shall appoint an individual who shall oversee the implementation of the Policy and who shall be responsible for:
1. reviewing the disclosure forms required by Section C of the Policy;
2. determining if conduct governed by Section B.1 and B.2 of the Policy will be permitted, and if so, under what, if any, restrictions or limitations (e.g. public disclosure of SIGNIFICANT FINANCIAL INTERESTs, monitoring of research by independent reviewers, modification of the research plan, divestiture of SIGNIFICANT FINANCIAL INTERESTs, etc.);
3. determining whether alleged noncompliance or breach of the Policy has occurred;
4. transmitting appeals of his or her determinations under (b) above to the appropriate individual referenced in Section D.2.c.1 of the Policy;
5. transmitting his or her determinations under (c) above, and any appeal of such determinations, to the University Conflict of Interest Committee for action in accordance with Section D.2.c.2 of the Policy.

All determinations made under (b) and (c) above shall be provided to the affected party in the form of a written statement setting forth the basis for the decision.

In the case of the Main Campus, the Medical Center and the Law Center, the Executive Vice President for the respective campus shall appoint the individual referenced in D.1.a above. In the case of the University Services areas, the Vice President or Director of the relevant administrative area shall appoint the individual referenced in D.1.a above. In any matters in which the appointed individual wishes to engage in conduct covered by Section B.1 or Section B.2 of the Policy, or is alleged to have breached or failed to comply with the Policy, the individual who made the appointment shall perform the functions referenced in D.1.a above with regard to the appointed individual. In the application of this Policy to those individuals who hold Cabinet rank, the Secretary of the University, who holds an appointment from the University Board of Directors, shall serve as the individual referenced in D.1.a above.

2. THE UNIVERSITY CONFLICT OF INTEREST COMMITTEE

a. COMPOSITION

The University Conflict of Interest Committee (the Committee) shall consist of seven (7) principal members, three (3) appointed from the ranks of the full-time FACULTY, three (3) appointed from the ranks of campus non-FACULTY employees, and one (1) appointed by the Vice President and Treasurer, as detailed below.

The Faculty Senate shall select or elect the three (3) FACULTY members, one (1) from the Main Campus, one (1) from the Medical Center, and one (1) from the Law Center.
The Executive Vice Presidents of the three campuses shall each appoint one (1) non-FACULTY member from their respective campuses.
The Vice President and Treasurer shall appoint one (1) individual from a University Services area.
The following personnel or their designees (designees must be appointed for a full term) shall also serve on the Committee as ex officio non-voting members of the Committee in the prescribed circumstances:
the director of the sponsored programs office of the campus from which the issue originates when the matter at issue involves SPONSORED PROGRAM support;
the Director of the Office of Technology Transfer when the matter at issue involved the transfer of intellectual property;
the Medical Center Director of the Faculty Practice Plan when the matter at issue involved faculty practice activities;
the individual appointed under Section D.1 above who made the determination that has been appealed to the Committee.

Seven (7) alternate Committee members, to serve when principal members are unavailable in adequate number, shall also be appointed with the Faculty Senate selecting or electing one (1) FACULTY member from each of the three campuses, the Executive Vice Presidents appointing one (1) non-FACULTY member from their respective campuses and the Vice President and Treasurer selecting one (1) individual from a University Services area.

The normal terms of service for members, whether principal or alternate, elected or appointed, is three years and such members, with the exception of the ex officio members, are not eligible to serve more than two terms consecutively. Terms commence on July 1 and expire on June 30, but a member may continue to participate in any case pending on the date his or her term expires. The University President shall appoint from the members of the Committee a Chair and Vice Chair to serve three years each.

b. DUTIES OF THE COMMITTEE

The Committee shall:

set policies for conflict of interest consistent with this document whether or not in response to future regulatory matters;
conduct annual reviews of all prior decisions to allow conduct covered by Section B.1 and Section B.2;
establish specific requirements for the disclosure forms described in Section C of the Policy;
develop and publish procedures supplemental to those set forth in the Policy for implementing the disclosure and approval process; and
make final determinations in matters appealed to the Committee in accordance with Section D.2.c.1 or Section D.2.c.2 of the Policy.

c. COMMITTEE CASE DISPOSITION

Committee decisions regarding compliance with this Policy fall under two separate headings. Class I covers cases in which a person appeals a decision by the individual designated under Section D.1 of the Policy to disallow or restrict conduct covered by Section B.1 or B.2 of the Policy where such a decision has in turn been upheld by the relevant official described in Section D.2.c.1 below. Class II covers cases in which an allegation has been made that a person has violated the Policy and may therefore be subject to disciplinary measures. Decisions in Class I cases are not subject to FACULTY or other relevant grievance code procedures, but proposed or actual administrative actions pursuant to Class II decisions are subject to such procedures. All decisions of the Committee shall be in the form of a written statement setting forth the basis for the decision and shall be by majority vote of those voting, with a majority of the Committee constituting a quorum. Persons who are the subject of cases shall have the right to ask the chair of the Committee to replace any member for actual or apparent bias.

1. CLASS I CASES

Decisions of the individual designated under Section D.1 above to bar or restrict conduct covered by Section B.1 or B.2 of the Policy shall be reviewed by the Executive Vice President of that person's campus, by the Vice President or Director of the University Services area for University Services personnel, or in the case of an Executive Vice President, the Vice President or Director of a University Services area, or any individual who holds Cabinet rank, by a University official with a rank of at least vice president designated by the University President. Decisions by these individuals to allow such conduct shall be final. Decisions by these individuals to bar such conduct may be appealed to the Committee. All decisions by these individuals shall be provided to the affected party and shall be in the form of a written statement setting forth the basis for the decision.

The Committee will decide appeals in accordance with this Policy and with the policies established from time to time by the Committee. The Committee shall endeavor to develop a consistent body of decisions that can guide the Committee in future deliberations on similar cases. All decisions of the Committee shall be provided to the affected party and shall be in the form of a written statement setting forth the basis for the decision. Decisions of the Committee shall be transmitted by the Committee to the University President and shall be final unless overruled within thirty (30) days by the President. Any decision by the President to overrule a decision of the Committee shall be in the form of a written statement setting forth the basis for the President's action.

Except as provided in the Policy, all information generated or used in the proceedings of the Committee shall be held in strictest confidence. [22] The complete file of the proceedings shall be preserved on a confidential basis in the Office of the Secretary of the University. At the discretion of the Committee, decisions rendered in previous cases shall be available to persons who demonstrate a specific need, such as a need to prepare a case before the Executive Vice President or the Committee, or a need for guidance in determining whether or not to undertake or approve a proposed activity. The Committee shall redact all identifying characteristics when releasing previous decisions.

2. CLASS II CASES

Where a determination that an alleged infraction of the Policy has in fact occurred is referred to the Committee for action, or that determination is appealed to the Committee, the Committee shall review the matter and make its own determination. The initial referral by the individual designated under Section D.1 of the Policy will be promptly reported by the Committee to the person who has allegedly committed the infraction. The Committee shall receive any written or oral submission that the person may wish to provide within a reasonable time set by the Committee for such submissions, and he or she shall have the right to know the evidence against him or her on which the allegation of an infraction is based. If the Committee upholds the determination that an infraction has occurred, the Committee will make recommendations to the referring official with regard to further action. Such further action may include oral admonishment, written reprimand, reassignment, demotion, suspension with or without pay, or separation. The recommendation made by the Committee to the individual designated under Section D.1 of the Policy shall be in writing and a copy shall be provided to the affected person. Actions taken subsequently by any campus official on the basis of the Committee's recommendation shall be subject to review under any relevant provision of an established University grievance procedure.

E. WAIVER

The President may waive some or all of the requirements of the Policy if enforcement would likely result in a breach of a contractual commitment entered into before the effective date of the Policy.

APPENDIX A - DEFINITIONS

An "ASSOCIATED ENTITY" means any BUSINESS in which a person, alone or together with one or more members of the person's FAMILY, holds any interest in income or assets.
"BUSINESS" means any corporation, firm or other legal entity organized for profit or charitable purposes, excluding Georgetown University.
For the purposes of this Policy only, "University Services" means any component of the University not under the administrative jurisdiction of one of the three campus Executive Vice Presidents. Authority granted in the Policy to the Director of a University Services area is not in addition to that of a relevant Vice President, but rather shall only exist when the University Services area does not report to a Vice President.
"CONSULTING RELATIONSHIP" means any arrangement by which a person provides services for compensation of $10,000 or more in any given year as an independent contractor or employee to any entity other than Georgetown University. For the purposes of this Policy it also means publication agreements for which an individual receives compensation in excess of $10,000.
An "EXECUTIVE POSITION" means a position as director, officer, partner, trustee or other position of management in a BUSINESS.
The term "FACULTY" as used in the Policy includes all full-time faculty members, part-time faculty members, and visiting faculty members. Although the term does not include volunteer clinical faculty members, a department chairperson may, under appropriate circumstances and with notice to the person affected, designate a volunteer clinical faculty member in his or her department as "faculty" for the purposes of the Policy. In addition, the Executive Vice President for each of the three campuses may at his or her discretion in writing exempt as a class part-time and/or visiting faculty from this definition and from all or a portion of the Policy, provided exempted individuals are not engaged in research funded by the Federal government.
The "FAMILY" of a person included that person's spouse and dependent children.
"PUBLISHER" refers to the publisher of a book, journal, or other scholarly work in which a FACULTY member publishes the results of activities conducted at Georgetown University, using Georgetown University resources, or under Georgetown University's auspices; the sponsor of a seminar, conference or academic gathering at which such research is discussed; and the editorial staff of any publication in which the results of such research appear. "Publishing" includes what is ordinarily considered as publishing in any written or electronic medium, as well as speeches, public communications and other formal presentations.
A "SIGNIFICANT FINANCIAL INTEREST" means any of the following when possessed by a person or in aggregate by more than one member of his or her FAMILY:
1. a financial interest in a BUSINESS, such as ownership of stock, stock options or warrants, if the annual dividend income derived from such ownership is more than $10,000, or if the ownership interest represents more than 5% of the voting power of all ownership interests in that BUSINESS. This definition does not include any interest owned solely by reason of investment in such BUSINESS by a mutual fund, pension fund, or other institutional investment fund over which the person or FAMILY member exercises no control;
2. the right to receive income from a BUSINESS in an annual amount of more than $10,000 when that right takes the form of an entitlement or expectation to receive a salary, fee, royalty or any other form of compensation, other than a dividend or capital gain, including the value of goods and services, unless otherwise permitted by this Policy. This does not include a CONSULTING RELATIONSHIP, which is separately defined above.
3. a loan from, or other indebtedness to, a BUSINESS, regardless of amount.
The term "SPONSORED PROGRAM" as used in the Policy is a research or other activity supported or paid for in whole or in part, directly of indirectly, from external sources. "Sponsored program support" means the funds or other things of value given to enable a sponsored program to be performed.
1. An external source can include a government department or agency (foreign, federal, state, or local); a not-for-profit foundation, corporation or organization; a for-profit corporation or BUSINESS entity; and any natural person who supports research through the donation or commitment of funds other than University funds.
2. Programs or research qualify as sponsored programs even if the sponsored program support comes from University funds. Programs or research also qualify if the sponsored program support comes from a University-administered fund and the research and investigators are selected by University personnel, so long as the sponsored program support comes from an extramural source and the extramural source is aware that some or all of its funding has been placed in a University-administered research fund.
The term "STAFF" as used in the Policy includes all those University employees who are not "FACULTY" as defined above, including non-teaching academic staff.
The term "TECHNOLOGY" is used inclusively in this Policy to mean any instrument, machine, device, process, software, compound, drug, or diagnostic, medical or surgical procedure.

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University Code of Procedure for Alleged Misconduct in Research (1990)

Contents

A. APPLICABILITY

This code applies to any person holding a University appointment or otherwise employed by the University who is alleged to have engaged in misconduct in research, including sponsored research [23]. This code applies to all campuses and subdivisions of Georgetown University.

B. DEFINITION OF MISCONDUCT IN RESEARCH

"Misconduct in research" means (1) fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, or reporting results from research, or (2) failure to meet material legal or University requirements governing research. This definition does not include honest error or honest differences in interpretations or judgments of data.

C. INITIATION OF AN INQUIRY

Allegations of misconduct in research as defined above should be submitted in writing, signed by the complainant, to the Chairperson of the Research Integrity Committee (described in Paragraph E), or to any other member of that Committee, who shall immediately transmit the allegation to the Chairperson (or Vice Chairperson when the Chair is unavailable).

Upon receipt of the allegation the Chairperson (or Vice Chairperson as circumstance may demand) shall promptly supply a copy of the charge to the Executive Vice president under whose campus jurisdiction the person subject to the allegations (the respondent) conducted the questioned activity. Within ten days of receiving the allegation the Chairperson shall inform the respondent of the allegations, with particulars, although the identity of the complainant need not necessarily be disclosed. Within three working days of receiving the allegation, the Chairperson will appoint a subcommittee of three members (one as chair) of the Research Integrity Committee to conduct a preliminary inquiry into the matter, examining whether the allegation substantively alleges misconduct in research as defined above, and whether it merits investigation. In creating the subcommittee the Chairperson shall attempt to avoid any appointment that may involve a conflict of interest or the appearance of a conflict of interest. At least one member of the subcommittee shall come from a campus other than the campus where the respondent's work has been carried out. The respondent shall be notified of the membership of the subcommittee. The complainant shall be available to the subcommittee from the inception of its operation.

During this inquiry stage, the subcommittee may consult with persons other than the complainant and respondent, as the subcommittee deems appropriate, including experts from outside the University. The subcommittee may require the respondent, the complainant and any material witness to furnish the original copies of relevant records under the control of these persons, respectively (a copy of these originals will be provided at committee expense, upon the request of any such person). In all proceedings in which he or she appears before the subcommittee the respondent may be advised by counsel or other advisor. The subcommittee shall accept evidence or representations as may from time to time be submitted by respondent during the subcommittee's inquiry.

If anonymity is requested by a complainant who submits a signed complaint, the request is to be honored insofar as possible. Unsigned allegations will be subject to the most careful scrutiny for particularity of detail and other qualities bearing on credibility. The University recognizes that considerations of personal and professional risk sometimes justify the submission of unsigned allegations, but strongly discourages the practice.

If the circumstances appear exigent at the time the Chairperson notifies the relevant Executive Vice President or at any time thereafter, that Executive Vice President may take all appropriate steps to assure the safekeeping of original copies of relevant research data, and may suspend the respondent, with pay, from further work on the matters to which the referred allegations relate. If the allegations involve potential harm to human or animal subjects, in violation of National Institutes of Health guidelines, the ExecutiveVice President at any time may suspend the protocol, transfer supervisory authority to another person on an interim basis, and/or take reasonable steps to postpone publication of data as to which question has been raised until such time as proceedings before the Research Integrity Committee have been terminated. [24]

Within 30 days of the time the subcommittee is appointed, the subcommittee shall report back to the Chairperson with a recommendation either (1) that the matter be terminated on the grounds that no violation within the purview of this Code has been committed, or (2) that the full Committee investigate the matter further. [25] The 30 days may be extended by the Research Integrity Committee Chairperson at the request of the subcommittee or the respondent for good cause, but may not be extended beyond 60 days unless the record of the inquiry contains documentation of the reasons for any such extension. Either recommendation is to be immediately forwarded to the relevant Executive Vice President. If the recommendation is to investigate further, the Chairperson will promptly (and in any event not later than 30 days following receipt of the report) commence full Committee proceedings under paragraph D, and the Executive Vice President, as federal rules may require [26], shall notify any agency sponsoring the research in question that a full Committee investigation has been initiated.

D. REFERRAL TO RESEARCH INTEGRITY COMMITTEE; PROCEDURES

Where a matter is referred to the full Research Integrity Committee for investigation, the Chairperson will provide the respondent with a written statement of the allegations, and a summary of the evidence. The Committee's membership may be supplemented as appropriate by interim appointments by the Chairperson, described in Paragraph E. The Committee may conduct such inquiry and hold such hearings as it deems necessary, including seeking the views of experts from outside the University. The Committee can examine all data relevant to the integrity of the respondent's research conduct [27]. The Committee is authorized to request that the relevant Executive Vice President take steps, if not previously taken, to protect the original copies of any research data that may have bearing on the merits of the allegations against the respondent. The Committee may require the respondent to furnish the original copies of relevant records under respondent's control.

In all proceedings in which he appears before the Committee, the respondent may be assisted by counsel. The respondent shall have the right to present witnesses or evidence in other form to the Committee whether in a hearing or otherwise. In any hearing the respondent may, personally or through counsel, conduct cross-examination of any witnesses against him. Formal rules of evidence used in judicial proceedings are not applicable, but respondent or his counsel remain free to argue as to the weight to be accorded any evidence received. In any event, all evidence received by the Committee is to be disclosed to the respondent. [28]

Unless there are extenuating circumstances requiring a longer process, the Research Integrity Committee will make and report its findings with supporting evidence to the relevant Executive Vice President in writing in no more than 90 calendar days from the date of referral, unless the Chairperson extends the time upon the reasonable request of the respondent, or for other good cause.

FINDINGS. The Committee may make findings under the following headings: (A) a finding of willful misconduct; (B) a finding that no willful misconduct was committed, but that serious error has occurred; or (C) a finding that no misconduct or serious error was committed.

If the finding is under (C) above, the case will be terminated. Where a case is terminated, nothing of it may appear in the personnel record of the respondent or the complainant. Any previously imposed suspension will be promptly lifted.

If the finding is under (A) or (B) above, or if the respondent concedes the merit of the allegations at any time during these proceedings, the Committee shall make a recommendation as to the sanction of sanctions to be imposed. These sanctions include, in ascending order of severity:

letter of reprimand
special monitoring of future work
probation
removal from a particular project
termination of employment

Upon receipt of a Committee finding and the Committee's file on the case the Committee Chairperson will immediately transmit a copy of the finding to the respondent and to the complainant, if known. [29]

TRANSMITTAL TO EXECUTIVE VICE PRESIDENT. When full Committee review has concluded, the Committee Chairperson shall immediately transmit the Committee finding, and the full Committee report, and the file, to the appropriate Executive Vice President. The Executive Vice President may then impose sanctions but not before providing the respondent with notice of what he proposes to do, and with a reasonable opportunity to request and argue for lesser or no sanction, but in no event may the sanction imposed be more severe than that recommended by the full Committee. In any case the Executive Vice President is free to remand a matter for clarification or further findings.

Sanctions recommended by the Committee and imposed under this Code are not grievable matters under the University Grievance Code. However, a failure to fully comply with procedures required by this Code is grievable.

CONFIDENTIALITY. Except as provided by this Code, the proceedings of the subcommittee and the full Committee, and all information generated therein, shall be held in strictest confidence. [30] Moreover, throughout the proceedings covered by this Code, the reputations of the complainant and the respondent shall be protected.

Under the conclusion of proceedings under this Code the result in a finding adverse to the respondent, the University will inform any agency sponsoring the research in question, research collaborators and other parties affected by the misconduct, and where relevant, journal editors. The complete file on the proceedings shall be preserved on a confidential basis in the Office of the Secretary of the University.

E. RESEARCH INTEGRITY COMMITTEE

The Research Integrity Committee shall be composed of twelve members, the Chairperson to be appointed by the President of the University. Of the other members of the Committee three shall be appointed by the Executive Vice President of the Medical Center from that campus; three shall be appointed by the University Provost from Main Campus faculty, at least two of whom shall be in the field of natural sciences; two shall be appointed by the Executive Vice President for Law Center Affairs, and three shall be appointed by the Faculty Senate, at least two of whom shall be in the field of natural sciences. Members shall serve a term of three years, and may be reappointed. However, for the first appointments under this Code, the appointing authorities shall designate their first appointees as having respectively an initial one, two, or where applicable, three year term, renewable. Any member of the Committee whose appointment expires before the case terminates is authorized to continue service until the case is terminated. As need arises (e.g., a concern with potential conflict of interest), substitute members of the Committee may be appointed to serve in that case on an ad hoc basis by the Committee Chairperson, to maintain Committee membership at twelve.

The members of the Research Integrity Committee shall elect from their ranks a Vice Chairperson from a campus other than that from which the Chairperson comes. In the absence of the Chairperson, or Vice Chairperson, their designee(s) may act on any matter.

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Computer Systems Acceptable Use Policy

Contents

This policy is designed to guide students, faculty, and staff in the acceptable use of computer and information systems and networks provided by Georgetown University. More importantly, it is meant as an application of the principles of respect and reverence for every person that are at the core of Georgetown's Catholic, Jesuit identity.

GUIDING PRINCIPLES

The Georgetown University community is encouraged to make innovative and creative use of information technologies in support of education and research. Access to information representing a multitude of views on current and historical issues should be allowed for the interest, information and enlightenment of the Georgetown University community. Consistent with other University policies, this policy is intended to respect the rights and obligations of academic freedom. The University recognizes that the purpose of copyright is to protect the rights of the creators of intellectual property and to prevent the unauthorized use or sale of works available in the private sector. Also consistent with other University policies, an individual's right of access to computer materials should not be denied or abridged because of race, creed, color, age, national origin, gender, sexual orientation, or disability.

The University cannot protect individuals against the existence or receipt of material that may be offensive to them. As such, those who make use of electronic communications are warned that they may come across or be recipients of material they find offensive. Those who use e-mail and/or make information about themselves available on the Internet should be forewarned that the University cannot protect them from invasions of privacy and other possible dangers that could result from the individual's distribution of personal information.

Georgetown University computing and network resources are to be used only for University-related research, instruction, learning, enrichment, dissemination of scholarly information, and administrative activities. The computing and network facilities of the University are limited and should be used wisely and carefully with consideration for the needs of others. Computers and network systems offer powerful tools for communications among members of the community and of communities outside the University. When used appropriately, these tools can enhance dialog and communications. When used unlawfully or inappropriately, however, these tools can infringe on the beliefs or rights of others.

RESPONSIBILITIES

The following examples, though not covering every situation, specify some of the responsibilities that accompany computer use at Georgetown and/or on networks to which Georgetown is connected.

Users may not attempt to modify the University system or network facilities or attempt to crash systems. They should not tamper with any software protections or restrictions placed on computer applications or files.
Users may use only their own computer accounts. Users may not supply false or misleading data nor improperly obtain another's password in order to gain access to computers or network systems, data or information. The negligence or naivete of another user in revealing an account name or password is not considered authorized use. Convenience of file or printer sharing is not sufficient reason for sharing a computer account. Users should not attempt to subvert the restrictions associated with their computer accounts.
Users are responsible for all use of their computer account(s). They should make appropriate use of the system and network-provided protection features and take precautions against others obtaining access to their computer resources. Individual password security is the responsibility of each user.
Users may not encroach on others' use of computer resources. Such activities would include, but are not limited to, tying up computer resources for excessive game playing or other trivial applications; sending harassing messages; sending frivolous or excessive messages, including chain letters, junk mail, and other types of broadcast messages, either locally or over the Internet; using excessive amounts of storage; intentionally introducing any computer viruses, worms, Trojan Horses, or other rogue programs to Georgetown University hardware or software; physically damaging systems; or running grossly inefficient programs when efficient ones are available.
Users are responsible for making use of software and electronic materials in accordance with copyright and licensing restrictions and applicable university policies. Georgetown University equipment and software may not be used to violate copyright or the terms of any license agreement. No one may inspect, modify, distribute, or copy proprietary data, directories, programs, files, disks or other software without proper authorization.
Users must remember that information distributed through the University's computing and networking facilities is a form of publishing, and some of the same standards apply. For example, anything generated at GU that is available on the Internet represents GU and not just an individual. Even with disclaimers, the University is represented by its students, faculty and staff, and appropriate language, behavior and style is warranted.

ADMINISTRATION AND IMPLEMENTATION

The University encourages all members of its community to use electronic communications in a manner that is respectful to others. While respecting users' confidentiality and privacy, the University reserves the right to examine all computer files. The University takes this step to enforce its policies regarding harassment and the safety of individuals; to prevent the posting of proprietary software or electronic copies of electronic texts or images in disregard of copyright restrictions or contractual obligations; to safeguard the integrity of computers, networks, and data either at the University or elsewhere; and to protect the University against seriously damaging consequences. The University may restrict the use of its computers and network systems for electronic communications when faced with evidence of violation of University policies, or federal or local laws. The University reserves the right to limit access to its networks through University-owned or other computers, and to remove or limit access to material posted on University-owned computers.

All users are expected to conduct themselves consistent with these responsibilities and all other applicable University policies. Abuse of computing privileges will subject the user to disciplinary action, as established by the applicable operating policies and procedures of the University. Abuse of networks or computers at other sites through the use of Georgetown University resources will be treated as an abuse of computing privileges at the University. When appropriate, temporary restrictive actions will be taken by system or network administrators pending further disciplinary action; the loss of computing privileges may result.

The University and users recognize that all members of the University community are bound by federal and local laws relating to civil rights, harassment, copyright, security and other statutes relating to electronic media. It should be understood that this policy does not preclude enforcement under the laws and regulations of the United States of America or the District of Columbia.

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Harassment Policy

Contents

POLICY STATEMENT ON HARASSMENT

It is the policy of Georgetown University to prohibit harassment on the basis of age, color, disability, family responsibilities, gender identity and expression, genetic information, marital status, national origin, personal appearance, political affiliation, pregnancy, race, religion, sex, sexual orientation, source of income, veteran’s status or other factor prohibited by federal and/or District of Columbia law.

This policy on Harassment will be widely disseminated to members of the University community, and will be consistently enforced. The policy will be reexamined, updated as appropriate, and distributed regularly to all students, faculty, and staff. All employees are responsible for completing training provided by the University to prevent harassment and promote a respectful community.

1. Sexual Harassment

For the purposes of this policy, sexual harassment is defined as any unwelcome sexual advance, request for sexual favors or other verbal or physical conduct of a sexual nature when:

Submission to such conduct is made explicitly or implicitly a term or condition of an individual's employment or academic advancement; or
Submission to or rejection of such conduct is used as a basis for making an employment or academic decision affecting an individual; or
Such conduct has the purpose or effect of interfering with an individual's work or educational performance, or of creating an intimidating, hostile, or offensive environment for work or learning.

Sexual harassment may occur between persons of the same or opposite gender.

Sexual harassment subverts the University's mission, diminishes the dignity of both perpetrator and victim, and threatens permanent damage to the careers, educational experience, and well-being of our students, faculty and staff.

Sexual harassment is especially serious when it occurs between teachers and students or supervisors and subordinates. In such situations, sexual harassment unfairly exploits the power inherent in a faculty member's or supervisor's position. Although sexual harassment often occurs when one person takes advantage of a position of authority over another, the University recognizes that sexual harassment may also occur between people of equivalent status. This includes peer sexual harassment. Regardless of the form it may take, the University will not tolerate conduct of a sexual nature that creates an unacceptable working or educational environment.

2. HARASSMENT OTHER THAN SEXUAL HARASSMENT

Harassment, other than sexual harassment, is verbal or physical conduct that denigrates or shows hostility or aversion to an individual because of age, color, disability, family responsibilities, gender identity and expression, genetic information, marital status, national origin, personal appearance, political affiliation, pregnancy, race, religion, sex, sexual orientation, source of income, veteran’s status or any basis prohibited by federal and/or District of Columbia law, when such conduct has the purpose or effect of: unreasonably interfering with an individual’s academic or work performance; creating an intimidating, hostile, or offensive educational or work environment; or otherwise adversely affecting an individual’s academic or employment opportunities.

Harassment may include, but is not limited to: verbal abuse or ridicule, including slurs, epithets, and stereotyping; offensive jokes and comments; threatening, intimidating, or hostile acts, and displaying or distributing offensive materials, writings, graffiti, or pictures.

3. NATIONAL ORIGIN AND ACCENT HARASSMENT

The Equal Employment Opportunity Commission (EEOC) has taken the position that harassment of employees on the basis of their national origin or their accent or manner of speaking is a violation of Title VII of the Civil Rights Act of 1964 as amended. Under EEOC guidelines, ethnic slurs and other verbal or physical conduct relating to an employee’s national origin, surname, skin color or accent would constitute unlawful harassment when such conduct:

has the purpose or effect of creating an intimidating, hostile or offensive working environment;
has the purpose or effect of unreasonably interfering with the employee’s work performance; or
has the purpose or effect of adversely affecting his or her employment opportunities.

Procedure for Complaints

Any member of the University community who believes that conduct that violates this policy has occurred, or who has questions concerning this policy, is encouraged to contact the Office of Institutional Diversity, Equity and Affirmative Action immediately. This Office is staffed with trained counselors, and administers both a confidential mediation process and a confidential grievance procedure. A full description of the Grievance Procedures may be obtained from the Office of Institutional Diversity, Equity and Affirmative Action.

In addition, the University recognizes that supervisors bear a particularly important responsibility to deter harassment. Supervisors who learn of conduct that may violate this policy should immediately contact the Office of Institutional Diversity, Equity and Affirmative Action, and, as appropriate, inform their own supervisors.

In accordance with the guidelines of the EEOC, all complaints will be investigated impartially, and appropriate corrective action will be taken, including discipline for inappropriate conduct. Complaints will be handled confidentially, except as necessary for investigation and resolution.

This policy prohibits retaliation, harassment, or other adverse action against an individual for making a complaint, assisting in an investigation, opposing harassment or otherwise exercising rights protected by law. It further prohibits taking any adverse academic or employment related action against an individual based on an unsubstantiated allegation or rumor of harassment.

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Policy on Consensual Sexual Relationships Between Senior and Junior Members of the University Community

Contents

A. INTRODUCTION

There are various approaches an institution could take to address the issue of consensual sexual relationships between a "senior" and a "junior" person. (See definitions below.) One extreme is to ban all such relationships. The other is to pretend such relationships do not exist. The University has taken a middle ground in this policy. [31]

The policy not only points out the potential legal and ethical pitfalls of consensual sex in the University setting, but also, and more specifically in the section called "Standards and Procedures," asserts the University's right to protect the integrity of its own operations from the conflicts of interest and disruptions in the academic and employment environments that can arise from consensual sexual activity involving members of the University community.

B. THE NATURE OF THE PROBLEM

Consensual sexual relationships between "senior" and "junior" members of the Georgetown community--that is, between two persons where one party (the "senior") possesses direct academic, administrative counseling, or extracurricular authority over the other (the "junior")--do not violate laws prohibiting sex-based discrimination. [32] Nevertheless, such relationships are a matter of significant concern to the University because of th