Manual of General Policy
ARTICLE VI
LEGAL
Policy 6.1
Conflict of Interest
1
General Statement of Policy.
It is the policy of the University that all of its activities shall be conducted in accordance with the highest standards of integrity and ethics and in a manner that will not reflect or appear to reflect adversely on the University's credibility, objectivity, or fairness. Every individual to whom this Policy is applicable (each, a "Covered Individual") must maintain the highest standards of honesty and integrity and must refrain from any use whatsoever of his or her position at the University, or the information, privileges, or influence such position may provide, when such use is motivated by, or gives the appearance that it is motivated by, the desire for private gain or advantage for the Covered Individual, or for other persons, institutions, or corporations with which he or she has family, professional, business, or financial connections. Accordingly, no Covered Individual shall have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity, or incur any obligation of any nature, which is in substantial conflict with the proper discharge of his or her duties and responsibilities at the University.
Sections 2 and 3 of this Policy, which set forth the general standards of conduct and the rules regarding hiring, employment, and contracting decisions and supervisory responsibility involving Family Members, apply to all Covered Individuals. Section 4 sets forth specific obligations of Investigators, whether or not they are Covered Individuals, who are involved in research or similar educational or community outreach activities at the University (collectively, "research") and the University's procedures for reviewing and managing Financial Conflicts of Interest that may arise in connection with such activities. Section 5 sets forth provisions regarding records retention requirements and sanctions for violations of this Policy. Section 6 sets forth the definitions of "Covered Individual", "Family Members", "Financial Conflict of Interest", "Investigator", and other terms used in this Policy. The provisions of this Policy are to be interpreted in light of the paramount importance of academic freedom in the activities of the University.
In the event that Federal, state, or local laws or regulations are enacted (or amended) that require changes in this Policy, the University may amend this Policy, and any related document officially issued by the University to set forth procedures for the implementation of this Policy (each, a "Conflict of Interest Procedural Document"), in order to comply with the new requirements, and such amendment shall not require approval of the University's Board of Trustees.
College and University officials with responsibilities under this Policy are identified by titles that are current as of this Policy's effective date. If the title for a particular position changes at any time, the responsibilities under this Policy shall be performed by the individual having responsibilities within the College or the University similar to the individual who held the former title. If there is a vacancy at any time in the position, the responsibilities under this Policy shall be assumed by the individual to whom such position reports or to his or her designee.
2
General Standards of Conduct.
Although not all possible situations within the scope of this Policy are included in this Section 2, the following standards, which are primarily based on provisions in New York State Public Officers Law §§ 73 and 74, shall serve as general guidance for Covered Individuals. All Covered Individuals are encouraged to consult the advisory opinions of the New York State Joint Commission on Public Ethics interpreting these provisions at http://www.jcope.ny.gov, and all Covered Individuals should bring questions about the applicability or interpretation of any of these standards to the University's Office of the General Counsel at ogc@mail.cuny.edu.
2.1. No Covered Individual shall accept other employment that will impair his or her independence of judgment in the exercise of his or her duties or responsibilities at the University.
2.2. No Covered Individual shall accept other employment or engage in any business or professional activity that will require him or her to disclose confidential information gained by reason of his or her position or authority at the University.
2.3. No Covered Individual shall disclose confidential information acquired in the course of his or her duties or responsibilities at the University, except as required by such duties or responsibilities or by law, nor use such information to further his or her personal interests.
2.4. No Covered Individual shall use or attempt to use his or her position at the University to secure unwarranted privileges or exemptions for himself or herself or others.
2.5. No Covered Individual shall engage in any transaction as a representative or agent of the University with any business entity in which he or she has a direct or indirect financial interest that might reasonably tend to conflict with the proper discharge of his or her duties or responsibilities at the University.
2.6. A Covered Individual shall not by his or her conduct give reasonable basis for the impression that any person can improperly influence him or her or unduly enjoy his or her favor in the performance of his or her duties or responsibilities at the University, or that he or she is affected by the kinship, rank, position, or influence of any party or person in the performance of those duties or responsibilities.
2.7. A Covered Individual shall abstain from making personal investments in enterprises that he or she has reason to believe may be directly involved in decisions to be made by him or her at the University or that will otherwise create substantial conflict between his or her duty or responsibility at the University and his or her private interest.
2.8. No Covered Individual, nor any firm or association of which he or she is a member, nor any corporation ten percent (10%) or more of the stock of which is owned or controlled directly or indirectly by such Covered Individual, shall sell any goods or services having a value in excess of $25 to the University, or contract for or provide such goods or services with or to any private entity where the power to contract, appoint, or retain on behalf of the private entity is exercised, directly or indirectly, by the University, unless such goods or services are provided pursuant to an award or contract let after public notice and competitive bidding.
2.9. No Covered Individual shall accept gifts of more than nominal value where the circumstances would permit the inference that (a) the gift was intended to influence the Covered Individual in the performance of his or her duties or responsibilities at the University, or (b) the gift constituted a tip, reward, or sign of appreciation for any act by the Covered Individual in connection with those duties or responsibilities.
3
Policy regarding Nepotism in Hiring, Employment, Supervisory Responsibility, and Contracting.
3.1
General.
The University seeks to foster a work environment conducive to a satisfying family life for all members of the University community and to accommodate, wherever appropriate, individual needs relating to family life. At the same time, there are a number of situations where the personal interests of a member of the University community may conflict with the proper discharge of his or her duties and responsibilities at the University. In keeping with New York State Public Officers Law §§ 73(14) and (15), this Policy recognizes that conflicts may be inherent in the hiring, employment, and supervision of a Covered Individual's Family Members as well as in entering into contracts that relate to Family Members or with entities in which Family Members have a personal or financial interest. Accordingly, this Section 3 sets forth certain specific prohibitions against a Covered Individual's participation in the conduct of University business involving his or her Family Members.
3.2
Hiring and Employment Decisions.
No Covered Individual shall take part in any decision to hire, promote, discipline, or discharge any of his or her Family Members with respect to any position at the University. If such a hiring or employment matter arises relating to a Family Member, then the Covered Individual must advise his or her supervisor of the relationship in writing and must be recused from any and all discussions or decisions relating to the matter.
3.3
Supervisory Responsibility.
No Covered Individual shall have Supervisory Responsibility for any of his or her Family Members at the University, except as provided by a written waiver as set forth in this Section 3.3, or in the case of research projects, as provided in Section 3.6 below. (For the purpose of this Section 3.3, a Covered Individual shall be deemed to have "Supervisory Responsibility" for a Family Member if the Family Member (a) directly reports to the Covered Individual, or (b) directly reports to a supervisor who reports ultimately to the Covered Individual, regardless of the number of reporting levels that separate the Family Member from the Covered Individual.) Although Department Chairs are Covered Individuals, for the purpose of this section, they shall not be deemed to have any Supervisory Responsibility for full-time faculty members in their department under this section, but they shall be deemed to have Supervisory Responsibility for their department's adjunct faculty members.
If at the time of the initial implementation of this Section 3.3 following the effective date of this Policy, a Covered Individual has Supervisory Responsibility for a Family Member at the University, or subsequent to the initial implementation of this section a Covered Individual may come to have such Supervisory Responsibility, the Covered Individual shall make reasonable efforts to effect a change in the organization or have the Family Member reassigned in order to avoid a violation of this section. If, however, such a change or reassignment is not feasible (e.g., as a result of civil service rules or provisions of the applicable collective bargaining agreement) or would result in significant harm to the operations or activities of the University, the Covered Individual may file a written request for a waiver with the Vice President for Administration of the College where the Covered Individual is employed or such other College official as may be designated by the College President. Such request shall set forth the efforts that have been made to effect a change in the organization, the reasons why a reassignment of the Family Member is not feasible, and the reasons why such a change or reassignment would result in significant harm to the University's operations or activities. If, after a review of all the relevant circumstances, a waiver in writing is granted, the Covered Individual may continue or assume, as the case may be, Supervisory Responsibility for his or her Family Member.
Notwithstanding any waiver regarding Supervisory Responsibility for a Family Member pursuant to the preceding paragraph, no Covered Individual shall participate under any circumstances in any action that directly affects his or her Family Member as an employee of the University individually, and not as a member of a group, including, but not limited to, performance evaluations, position reclassifications, and determination of promotional opportunities or eligibility for additional compensation of any kind from the University.
3.4
Contracting Decisions.
No Covered Individual shall take part in any contracting decision at the University (a) relating to a Family Member, or (b) relating to any entity in which a Family Member is an officer, director, or partner, or in which a Family Member owns or controls ten percent (10%) or more of the stock of such entity. If a contracting matter arises involving either clause (a) or (b), then the Covered Individual must advise his or her supervisor of the relationship in writing and must be recused from any and all discussions or decisions relating to the matter.
3.5
Family Members.
The definition of Family Member, which appears in Section 6.11 of this Policy, is very broad. It covers not only spouses and domestic partners, parents, children, and siblings, but it also extends as far as great grandparents and great grandchildren and many other relatives of a Covered Individual and his or her spouse or domestic partner, as well as to other individuals living in the same household as the Covered Individual. If a Covered Individual has any questions about whether the provisions of this Section 3 apply to his or her situation, it is incumbent upon the Covered Individual to consult the University's Office of the General Counsel at ogc@mail.cuny.edu.
3.6
Applicability to Research.
3.6.1
Research Positions Administered through the Research Foundation.
Sections 3.1 through 3.5 shall not apply to any research positions administered through the Research Foundation. Hiring, employment, and contracting decisions and supervisory responsibility in connection with such positions shall be governed by the Code of Ethics of the Research Foundation.
3.6.2
Research Positions Not Administered through the Research Foundation.
Sections 3.1 through 3.5 shall not apply to any research positions not administered through the Research Foundation if (a) the Investigator files a written request for a waiver with the Vice Chancellor for Research setting forth the description of the research project, the nature of the involvement of the Investigator's Family Member, and the reasons why it would be appropriate for the waiver to be granted; and (b) the Vice Chancellor for Research, after a review of all the relevant circumstances, grants the waiver in writing.
4
Policy on Financial Conflicts of Interest in Research.
4.1
Scope.
This Section 4 applies to all research projects, regardless of the source of funding or support or the commercial exploitation of the results of such projects.
4.2
General.
A particular purpose of this Policy is to promote integrity in research by establishing standards and procedures to ensure, to the extent possible, that any Significant Financial Interest (as defined in Section 6.16) that could directly and significantly affect the design, conduct, reporting, or regulatory review of a research project at the University (each, a "Financial Conflict of Interest" or "Financial Conflict") does not bias the design, conduct, reporting, or regulatory review of the research project.
The University recognizes that interactions between Investigators (as defined in Section 6.14) in a research project at the University and commercial entities have many beneficial results for the University and its faculty, staff, post-doctoral associates, and students, as well as the commercial entities themselves. For example, such interactions are an especially effective means of facilitating the commercial development of University intellectual property, which benefits the public with new goods and services and stimulates economic development. Nevertheless, these interactions may raise conflicts between the personal financial interests of the Investigator and the interests of the University. In some cases, such conflicts may reasonably appear to be likely to affect the judgment of an Investigator.
The University has determined that a strict prohibition of Financial Conflicts of Interest does not serve the public interest because potentially beneficial interactions with industry would be lost. Moreover, the University recognizes that Financial Conflicts of Interest will inevitably arise in a modern research university and that the mere existence of such Financial Conflicts, in the absence of wrongful behavior, is not necessarily improper. As a result, consistent with Federal regulations dealing with objectivity in research and investigatory financial disclosure policy, this Policy seeks to manage Financial Conflicts of Interest in order to minimize the potential harm that could result either from Financial Conflicts that actually impair the judgment of Investigators or from the appearance that the judgment of Investigators has been or will be impaired. The University reserves the right to prohibit the existence of Financial Conflicts of Interest that present unmanageable risks or that would require excessive resources to manage.
The complex situations that may arise involving Financial Conflicts of Interest require management using specialized knowledge and a multi-disciplinary, problem-solving approach. Therefore, this Policy provides for qualified individuals designated at each College, as well as a University-wide Conflicts Committee, to review disclosures by Investigators of Significant Financial Interests related to the Investigators' Institutional Responsibilities (as defined in Section 6.13) to determine whether such Significant Financial Interests are related to the Investigator's research and constitute Financial Conflicts of Interest, and if so, to manage those Financial Conflicts in a fair, objective, and confidential manner in accordance with applicable laws and regulations, this Policy, and any applicable Conflict of Interest Procedural Document.
4.3
Disclosure of Significant Financial Interests.
In addition to any obligation under other University policies, including the University's Intellectual Property Policy, any applicable Conflict of Interest Procedural Document, or any Federal, state, or local laws or regulations, each Investigator must disclose to the College Conflicts Officer at his or her College each Significant Financial Interest that is related to his or her Institutional Responsibilities in any situation designated in this Section 4.3. All disclosures must be made in writing to the College Conflicts Officer (with a copy to the Grants Officer at the College if the Significant Financial Interest is related to a sponsored research project) using the disclosure forms provided by the Office of the Vice Chancellor for Research.
The following situations require disclosure at the time noted in each paragraph:
4.3.1
Proposals and Applications for Research Funding or Support
If (a) an Investigator intends to design, conduct, or report research at the University, or participate in the regulatory review of such research, and (b) funding or other support for the research is being sought directly or indirectly from a government agency, non-profit institution, Company (as defined in Section 6.5), or the University, and (c) at the time a proposal or application for such funding or support is being prepared, the Investigator has a Significant Financial Interest that is related to his or her Institutional Responsibilities, then the Investigator must disclose the Significant Financial Interest to the College Conflicts Officer and the Grants Officer at his or her College before the proposal or application is submitted to the agency, institution, Company, or the University. The Investigator must also comply with any disclosure and approval procedures required by the agency, institution, Company, or the University in connection with any such proposal or application.
Although a Significant Financial Interest relating to a proposal or application for research funding or support must be disclosed prior to the submission of the proposal or application, the review of the Significant Financial Interest by the College Conflicts Officer and the Conflicts Committee may take place after such submission. If, however, a proposal or application for research funding or support is submitted before such review, the Significant Financial Interest must be reviewed, and any related management or oversight plan developed by the Conflicts Committee under Section 4.5.1 must be implemented, prior to the expenditure of any awarded funds or support. Notwithstanding the foregoing, in the case of research at the University involving multi-year funding or support that requires an annual renewal or progress report, the Investigator must disclose any previously undisclosed Significant Financial Interest and updated information regarding any previously disclosed Significant Financial Interest, and also receive approval in writing in accordance with this Policy, before the renewal application or progress report is submitted to the agency, institution, Company, or the University.
4.3.2
Ongoing Funded or Supported Research
If (a) an Investigator designs, conducts, or reports ongoing research at the University, or participates in the regulatory review of such research, and (b) the research is funded or supported directly or indirectly by a government agency, non-profit institution, Company, or the University, and (c) the Investigator has or subsequently acquires a Significant Financial Interest that is related to his or her Institutional Responsibilities, then the Investigator must disclose the Significant Financial Interest to the College Conflicts Officer and Grants Officer at his or her College and receive approval in writing in accordance with this Policy before the Significant Financial Interest is acquired, or as soon thereafter as possible if prior disclosure is impossible. The Investigator must also comply with any disclosure and approval procedures required by the agency, institution, Company, or the University in connection with such research.
4.3.3
Licensing to Certain Companies
If (a) an Investigator responsible for developing, discovering, or creating any University-owned intellectual property becomes aware, or should reasonably have become aware, of a Company's acquisition or intention to acquire ownership of or a license to that intellectual property, and (b) at such time the Investigator has a Significant Financial Interest in that Company, or subsequently acquires such a Significant Financial Interest, then the Investigator must disclose the Significant Financial Interest to the College Conflicts Officer at his or her College and receive approval in writing in accordance with this Policy before the Significant Financial Interest is acquired, or as soon thereafter as possible if prior disclosure is impossible.
4.3.4
Supervision of Students and Post-Doctoral Associates
If an Investigator has a Significant Financial Interest in a Company or subsequently acquires such a Significant Financial Interest, and he or she teaches, supervises, or otherwise has control over any students or post-doctoral associates at the University who might be involved in related work for the Company, then the Investigator must disclose the Significant Financial Interest and the planned student or post-doctoral associate involvement to the College Conflicts Officer at his or her College and receive approval in writing in accordance with this Policy before the assistance of any students or post-doctoral associates in such work may commence or continue.
4.3.5
Changes in a Significant Financial Interest
All Investigators must disclose to the College Conflicts Officer any material change in a previously disclosed Significant Financial Interest within thirty (30) days after the change.
No disclosure is required under this Section 4.3 unless the Significant Financial Interest is within one of the above situations. As required by Federal, state, or local laws or regulations, or as otherwise approved by the University's Board of Trustees, the Conflicts Committee may add to this list. In such event, the Office of the Vice Chancellor for Research shall issue an official advisory to provide notice of the change and shall update the disclosure forms for Significant Financial Interests to reflect the change.
4.4
Review of Significant Financial Interests and Determination of Financial Conflicts at the College.
4.4.1
Designation and Duties of College Conflicts Officers
Each College President, after consultation with the appropriate faculty governance body at the College and approval by the Vice Chancellor for Research, shall designate an employee of the College as the College Conflicts Officer. Each College Conflicts Officer shall perform the following functions:
a) promote awareness at the College of the need to disclose Significant Financial Interests in accordance with this Policy and all applicable Conflict of Interest Procedural Documents and make disclosure forms available throughout the College;
b) receive disclosures of Significant Financial Interests of all Investigators at the College and send copies of those disclosures the Office of the Vice Chancellor for Research;
c) review each disclosure of a Significant Financial Interest, investigate the disclosure and consult with the College Provost and appropriate Department Chair as necessary, determine whether any Financial Conflict involving a Significant Financial Interest exists, and prepare a written report regarding such determination;
d) if a Financial Conflict of Interest is determined to exist, send the report and the complete written record of the review and decision-making to the individuals specified in Section 4.4.2; and
e) assist in the implementation and monitoring of any management and oversight plans developed by the Conflicts Committee for Financial Conflicts of Interest at the College.
If a College Conflicts Officer has a Significant Financial Interest in any of the situations described in Section 4.3, he or she must disclose it directly to the College Provost or the Provost's designee at the required time. In such a case, the College Conflicts Officer shall not participate in any review or decision regarding the Significant Financial Interest, and the College President shall designate another individual to perform the review and decision-making process instead.
4.4.2
College Review and Decision-Making Process
Following the receipt of a disclosure of a Significant Financial Interest, the College Conflicts Officer shall review the Significant Financial Interest and make a determination whether the Significant Financial Interest: (a) is related to the Investigator's research (i.e., could be affected by the research or is in an entity whose financial interest could be affected by the research), and if so, (b) whether a Financial Conflict of Interest exists. Whether or not the College Conflicts Officer determines that a Financial Conflict exists, he or she shall promptly prepare a written report regarding the determination, send the report and the complete written record of the review and decision-making to the University Director for Research Compliance, the College Provost, the Investigator, and if the case involves a sponsored project administered through the Research Foundation, to the Legal Department of the Research Foundation.
4.5
The Conflicts Committee.
4.5.1
Review and Management of Financial Conflicts of Interest
The University's Conflicts Committee shall review the College Conflicts Officer's report and the complete written record of his or her review and decision-making in connection with each Financial Conflict of Interest determined by the College Conflicts Officer. If the Conflicts Committee agrees with the determination of the College Conflicts Officer that the Significant Financial Interest is related to the research in question and that a Financial Conflict of Interest exists, the Committee and its staff shall develop and implement a conflict management and oversight plan that specifies the actions that have been, and shall be, taken to manage the Financial Conflict in accordance with the requirements of the research sponsor and the University. Examples of conditions or restrictions that might be imposed to manage, reduce, or eliminate the Financial Conflict include but are not limited to the following:
a) Public disclosure of the Financial Conflict (e.g., when presenting or publishing the research);
b) For research projects involving human subjects research, disclosure of the Financial Conflict directly to participants;
c) Appointment of an independent monitor capable of taking measures to protect the design, conduct, reporting, and review of the research against bias resulting from the Financial Conflict;
d) Modification of the research plan;
e) Change of personnel or personnel responsibilities, or disqualification of personnel from participation in all or a portion of the research;
f) Reduction or elimination of the Significant Financial Interest (e.g., sale of an equity interest); or
g) Severance of relationships that create the Financial Conflict.
The Conflicts Committee Administrator shall promptly send notice of the Conflicts Committee's determination that a Financial Conflict exists and a copy of the related management and oversight plan to the College Conflicts Officer, the College Provost, the Investigator, any other individuals determined by the Vice Chancellor for Research, and, if the case involves a sponsored project administered through the Research Foundation, the Legal Department of the Research Foundation.
4.5.2
Composition of the Conflicts Committee
The University shall establish a seven-member University-wide Conflicts Committee consisting of the Vice Chancellor for Research or his or her designee, the President of the Research Foundation or his or her designee, a College Provost designated by the Vice Chancellor for Research, and four tenured University faculty members. These faculty members, who shall be actively involved in sponsored research projects and shall have such other qualifications as may be determined by the Vice Chancellor for Research, shall be nominated by a College President or the University Faculty Senate and selected by the Vice Chancellor for Research. The Committee shall include faculty members from at least three different Colleges and represent at least three different academic disciplines. The College Provost and the faculty members on the Committee shall serve a term of three years; provided, however, that two of the faculty members nominated at the time of the formation of the Committee shall serve initial terms of one and two years, respectively, so that the terms of the faculty members will be staggered. Faculty members may not serve more than two consecutive terms. The Vice Chancellor for Research or his or her designee shall be the Chair of the Committee. The Chair shall be a voting member of the Committee but shall vote only in the case of a deadlock or to achieve a majority of the members of the Committee required for a decision under Section 4.5.5.
4.5.3
Meetings of the Conflicts Committee
The Conflicts Committee shall hold meetings with appropriate notice to all participants on a schedule determined by the Chair based on the number of Financial Conflicts of Interest that need to be reviewed and any applicable deadlines for review and reporting established by research sponsors. Committee meetings shall require a quorum of a majority of the members of the Committee. Members of the Committee may participate in meetings using voice or video-conferencing technology, provided that all members receive copies of the materials to be discussed at the meetings in advance. The Chair or his or her designee shall be responsible for setting the agendas for the meetings and distributing to Committee members in advance of the meetings the disclosures of Investigators, the reports and complete written records of the review and decision-making of the cases at the Colleges, and other relevant materials. The College Conflicts Officer shall attend the portions of Committee meetings devoted to the consideration of Financial Conflicts at his or her College, and an Investigator shall be entitled to attend the portion of the Committee meeting devoted to the consideration of his or her Financial Conflict, but neither the College Conflicts Officer nor the Investigator may be present for any discussion regarding the Committee's determination of whether or not a Financial Conflict exists or the development of a management and oversight plan. A member of the University's Office of the General Counsel and/or a legal representative of the Research Foundation shall attend all meetings of the Committee.
4.5.4
Recusal Procedures
The Conflicts Committee shall establish written procedures for the recusal of a Committee member from participating in the Committee's consideration of a particular Financial Conflict of Interest in appropriate circumstances. The Committee shall make these procedures available to interested parties upon request.
4.5.5
Decisions of the Conflicts Committee
The Committee's decisions regarding the disposition of Financial Conflicts of Interest shall be made by a majority of the members of the Committee present at the meeting. The Committee's decisions shall be recorded in written minutes, which shall not include any identifying information about the votes of the Committee members. The Committee shall make decisions regarding the disposition of Financial Conflicts of Interest, including the development and implementation of a management and oversight plan, within thirty (30) days after receiving the written report and complete written record of the review and decision-making process at the College from the College Conflicts Officer; provided, however, that earlier dates may be required to meet the notice requirements and reporting deadlines established by a research sponsor. All decisions of the Committee shall be final.
4.5.6
Authority of the Conflicts Committee
The Committee shall have discretion in reviewing and making decisions regarding the disposition of all Financial Conflicts of Interest and may request and review additional relevant information from Investigators and other sources. The Committee shall annually review the definition of Significant Financial Interest in Section 6.16 and shall have authority to revise the definition in order to comply with new requirements of Federal, state, or local laws or regulations and, subject to approval by the University's Board of Trustees, otherwise revise the definition. The Committee shall have authority to interpret this Policy and shall give Investigators and College Conflicts Officers notice of its interpretative statements through periodic advisories as well as access to the written minutes of Committee meetings appropriately redacted to preserve the confidentiality of the individuals involved.
4.6
Confidentiality of Disclosures.
Many of the matters brought to the College Conflicts Officers, other officials at the College, the Office of the Vice Chancellor for Research, the Research Foundation, and the Conflicts Committee for review and decision-making will include information of a personal and private nature concerning the financial interests of Investigators, proprietary business information, and other information of a highly confidential nature. Accordingly, except as specifically provided in this Section 4 or as otherwise required by Federal, state, or local laws or regulations, all College Conflicts Officers, other officials at the College, the Office of the Vice Chancellor for Research, the Research Foundation, the Conflicts Committee, and others who participate in Committee meetings as provided herein shall maintain all disclosed information in strict confidence and take necessary precautions and actions to preserve the confidentiality of such information, and the Conflicts Committee shall meet in closed session. Information disclosed under this Section 4 may be disclosed outside the University only as required by the source of funding or support for the applicable research or by applicable Federal, state or local laws or regulations, and only after the University's Office of the General Counsel approves such disclosure and the affected Investigator is notified that the information will be released.
4.7
Monitoring of Management and Implementation Plans.
Whenever the Conflicts Committee develops and implements a management and oversight plan, the Office of the Vice Chancellor for Research, with the assistance of the College Conflicts Officer, shall monitor the Investigator's compliance with the plan on an ongoing basis until the completion of the research project.
4.8
Reporting and Liaison to Research Sponsors.
The Office of the Vice Chancellor for Research shall prepare all reports regarding Financial Conflicts of Interest that may be required by research sponsors and shall send copies of those reports to the research sponsors (with copies to the Legal Department of the Research Foundation) in compliance with the notice requirements and reporting deadlines established by the research sponsors. The Office of the Vice Chancellor for Research shall function as liaison to research sponsors regarding these Financial Conflicts.
4.9
Knowledge of Policy and Applicable Laws and Regulations.
The University requires each Investigator and College Conflicts Officer to be familiar with this Policy on Financial Conflicts of Interest and all applicable Federal, state, and local laws and regulations. The University shall provide and require training of Investigators and College Conflicts Officers in accordance with any such laws and regulations.
4.10
Periodic Review of Policy.
Not less frequently than every three years following adoption of this Policy on Financial Conflicts of Interest, the Conflicts Committee shall conduct an evaluation of the provisions set forth in this Section 4 and, if appropriate, amend this Policy, and any related Conflict of Interest Procedural Documents, in order to comply with new requirements of Federal, state, or local laws or regulations or, subject to the approval of the University's Board of Trustees, for any other reason. The Conflicts Committee shall solicit comments from the University Faculty Senate with respect to any such amendments to this Policy.
5
Miscellaneous.
5.1
Records Retention Requirements.
All Covered Individuals shall retain all records regarding Conflicts of Interest in accordance with The City University of New York Records Retention and Disposition Schedule, which is available at http://policy.cuny.edu/pdf_source/rrs.pdf. Specifically with respect to disclosures of Significant Financial Interests related to a sponsored research project and the review of, and response to, such disclosures by Colleges and University officials (whether or not a disclosure resulted in a determination of a Financial Conflict of Interest), and all actions under Section 4 of this Policy, records shall be retained for at least three years from the date the final expenditures report is submitted to the research sponsor.
5.2
Sanctions for Violations of Policy.
Any failure to comply with the provisions of this Policy may result in disciplinary sanctions consistent with applicable collective bargaining agreements, up to and including termination of employment. In addition, any failure by an Investigator to comply with the requirement to disclose Significant Financial Interests or with a management and oversight plan regarding a Financial Conflict of Interest may lead to a loss and/or withdrawal of grant funding or support, ineligibility to submit grant applications to research sponsors or to participate in research on behalf of the University, and/or ineligibility to supervise the work of Investigators in research projects.
6
Definitions.
As used in this Policy, the following words shall have the following meanings:
6.1
Chair
The Chairperson of the Conflicts Committee, as described in Section 4.5.
6.2
College
An educational unit of the University, including all senior colleges and community colleges, the Graduate School and University Center (including, without limitation, the School of Professional Studies, the Graduate School of Journalism, and the CUNY School of Public Health at Hunter College), and the City University School of Law, and the University's Central Office.
6.3
College Conflicts Officer
The individual at each College designated by the College President to perform the functions described in Section 4.4.1.
6.4
College President
The President or Dean of each College, as applicable. For purposes of this Policy, the Executive Vice Chancellor for Academic Affairs and University Provost or his or her designee shall be deemed to be the College President of the University's Central Office, except that the Chancellor of the University shall be deemed to be the College President of the University's Central Office with respect to Section 3.3.
6.5
Company
Any corporation, partnership, association, or other legal entity, excluding entities controlled by the United States government, the State of New York, the City of New York, or the University. A Company shall be deemed to include all of its affiliates and other associated entities.
6.6
Conflict of Interest or Conflict
(a) An actual or potential conflict between the personal interests of a Covered Individual and the interests of the University; or (b) the reasonable appearance of such a conflict.
6.7
Conflict of Interest Procedural Document
Any document officially issued by the University to set forth procedures for the implementation of this Policy.
6.8
Conflicts Committee or Committee
The University-wide committee that reviews disclosures by Investigators of Significant Financial Interests, determines whether or not Financial Conflicts of Interests exist, and develops and implements management and oversight plans with respect to Financial Conflicts of Interest, as described in Section 4.5.
6.9
Conflicts Committee Administrator
The individual designated by the Chair of the Conflicts Committee to perform various administrative functions for the Committee.
6.10
Covered Individual
Any individual who is, or at any time becomes: (a) an officer of the University; (b) a full-time or part-time employee of the University; (c) a post-doctoral associate at the University; or (d) a student engaged in faculty-directed research at the University other than as part of his or her coursework, whether or not the student is paid for such engagement.
6.11
Family Member
Any person living in the same household as the Covered Individual, and any person related to the Covered Individual within the third degree of consanguinity or affinity. Such related persons include the Covered Individual's spouse and the parents, children, siblings, grandparents, grandchildren, aunts and uncles, nieces and nephews, cousins, great grandparents, and great grandchildren of the Covered Individual and his or her spouse, and the spouses of these relatives as well. (For purposes of this Policy, a "spouse" includes a domestic partner under applicable laws governing domestic partnerships and civil unions.) Please refer to Section 3.5. A Covered Individual should consult the University's Office of the General Counsel at ogc@mail.cuny.edu if he or she has any questions about whether the provisions of Section 3 apply to his or her situation.
6.12
Financial Conflict of Interest or Financial Conflict
A Significant Financial Interest that could directly and significantly affect the design, conduct, reporting, or regulatory review of research at the University.
6.13
Institutional Responsibilities
An Investigator's professional responsibilities on behalf of the University, performed in the course of and within the scope of the Investigator's appointment or employment by the University, which may include, for example, activities such as research, research consultation, teaching, professional practice, institutional committee memberships, and service on panels such as Institutional Review Boards.
6.14
Investigator
The project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of a University research project, which may include, for example, collaborators or consultants, whether or not such project director, principal investigator, or other person is employed by the University or the Research Foundation.
6.15
Research Foundation
The Research Foundation of The City University of New York.
6.16
Significant Financial Interest
The Conflict of Interest Procedural Document for research projects funded or supported by a particular sponsor will set forth the definition of Significant Financial Interest applicable to such projects. In the absence of such a definition in an applicable Conflict of Interest Procedural Document, the following definition shall apply:
Anything of monetary value, including, but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interests (e.g., stocks, stock options, or other ownership interests); and intellectual property rights (e.g., patents, copyrights, and royalties from such rights).
The term does not include:
a) Salary, royalties, or other remuneration from the University;
b) Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities;
c) Income from service on advisory committees or review panels for public or nonprofit entities;
d) An equity interest that, when aggregated for the Covered Individual and the Covered Individual's spouse and dependent children, meets both of the following tests: (i) does not exceed $10,000 in value, as determined through reference to public prices or other reasonable measures of fair market value; and (ii) does not represent more than a five percent (5%) ownership interest in any single entity; or
e) Salary, royalties, or other payments that, when aggregated for the Covered Individual and the Covered Individual's spouse and dependent children over the next twelve months, are not expected to exceed $10,000.
6.17
University
The City University of New York.
6.18
Vice President for Administration
The Vice President for Administration (or individual with similar responsibilities) of each College, as applicable. For purposes of this Policy, the Executive Vice Chancellor and Chief Operating Officer of the University or his or her designee shall be deemed to be the Vice President for Administration of the University's Central Office.
(Board of Trustees Minutes,2012,09-24,4,G)
Policy 6.2
Discrimination and Sexual Harassment
I.
Policy on Equal Opportunity and Non-Discrimination
The City University of New York ("University or "CUNY"), located in a historically diverse municipality, is committed to a policy of equal employment and equal access in its educational programs and activities. Diversity, inclusion, and an environment free from discrimination are central to the mission of the University.
It is the policy of the University to recruit, employ, retain, promote, and provide benefits to employees and to admit and provide services for students without regard to race, color, creed, national origin, ethnicity, ancestry, religion, age, sex, sexual orientation, gender, gender identity, marital status, partnership status, disability, genetic information, alienage, citizenship, military or veteran status, pregnancy, or status as a victim of domestic violence/stalking/sex offenses, or any other legally prohibited basis in accordance with federal, state and city laws. 1
[Footnote:] 1 As a public university system, CUNY adheres to federal, state and city laws and regulations regarding non-discrimination and affirmative action. Should any federal, state or city law or regulation be adopted that prohibits discrimination based on grounds or characteristics not included in this Policy, discrimination on those additional bases will also be prohibited by this Policy.
It is also the University's Policy to provide reasonable accommodations when appropriate to individuals with disabilities, individuals observing religious practices, or employees who are victims of domestic violence/stalking/sex offenses.
This Policy also prohibits retaliation for reporting or opposing discrimination, or cooperating with an investigation of a discrimination complaint.
Prohibited Conduct Defined
Discrimination is treating an individual differently or less favorably because of his or her protected characteristics—such as race, color, religion, gender, national origin, or any of the other bases prohibited by this Policy.
Harassment is unwelcome conduct based on a protected characteristic that has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile or abusive work or academic environment. Such conduct can be verbal, written, visual, or physical.
Retaliation is adverse treatment of an individual because he or she made a discrimination complaint, opposed discrimination, or cooperated with an investigation of a discrimination complaint.
II.
Policy Against Sexual Harassment
Sexual harassment, a form of sex discrimination, is illegal under federal, state, and city laws, and will not be tolerated within the University. Members of the University community who believe they have been sexually harassed are strongly encouraged to report the allegations as promptly as possible. Delay in making a complaint of sexual harassment may make it more difficult to investigate the allegations.
Sexual Harassment Defined
Sexual harassment consists of unwelcome sexual advances or requests for sexual favors, or other verbal or physical conduct of a sexual nature when:
• submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or academic standing;
• submission to or rejection of such conduct by an individual is used as a basis for employment or academic decisions affecting such individual; or
• such conduct has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile or abusive work or academic environment.
Sexual harassment can occur between individuals of different sexes or of the same sex.
Although sexual harassment most often exploits a relationship between individuals of
unequal power (such as between a faculty member and student, supervisor and employee, or tenured and untenured faculty members), it may also occur between individuals of equal power (such as between fellow students or co-workers), or in some circumstances even where it appears that the harasser has less power than the individual harassed (such as a student sexually harassing a faculty member).
Examples of Sexual Harassment
Sexual harassment may take different forms. Using a person's response to a request for sexual favors as a basis for an academic or employment decision is one form of sexual harassment. Examples of this type of sexual harassment include, but are not limited to, the following:
• requesting or demanding sexual favors in exchange for employment or academic opportunities (such as hiring, promotions, favorable grades, or recommendations);
• submitting unfair or inaccurate job or academic evaluations or grades, or denying training, promotion, or access to any other employment or academic opportunity, because sexual advances have been rejected.
Other types of unwelcome conduct of a sexual nature can also constitute sexual harassment, if sufficiently severe or pervasive that the target finds, and a reasonable person would find, that an intimidating, hostile or abusive work or academic environment has been created. Examples of this kind of sexual harassment include, but are not limited to, the following:
• sexual comments, teasing, or jokes;
• sexual slurs, demeaning epithets, derogatory statements, or other verbal abuse of a sexual nature;
• graphic or sexually suggestive comments about an individual's attire or body;
• graphic or sexually suggestive gestures;
• inquiries or discussions about sexual activities;
• pressure to accept social invitations, to meet privately, to date, or to have sexual relations;
• sexual touching, brushing up against another in a sexual manner, cornering, pinching, grabbing, kissing, or fondling;
• coerced sexual intercourse or sexual assault.
Intimate Relationships
1.
Relationships between faculty or employees and students.
Amorous, dating or sexual activity or relationships ("intimate relationships"), even when apparently consensual, are inappropriate when they occur between a faculty member or employee and any student for whom he or she has a professional responsibility. Those relationships are inappropriate because of the unequal power dynamic between students and faculty members and between students and employees who advise or evaluate them, such as athletic coaches or workplace supervisors. Such relationships necessarily involve issues of student vulnerability and have the potential for coercion. In addition, conflicts of interest or perceived conflicts of interest may arise when a faculty member or employee is required to evaluate the work or make personnel or academic decisions with respect to a student with whom he or she is having an intimate relationship. Finally, if the relationship ends in a way that is not amicable, the relationship may lead to charges of and possible liability for sexual harassment.
Therefore, faculty members and other employees are prohibited from engaging in intimate relationships with students for whom they have a professional responsibility, including undergraduates, graduate and professional students and postdoctoral fellows.
For purposes of this section, professional responsibility for a student means responsibility over academic matters, including teaching, counseling, grading, advising for a formal project such as a thesis or research, evaluating, hiring, supervising, coaching, making decisions or recommendations that confer benefits such as admissions, registration, financial aid, other awards, remuneration, or fellowships, or performing any other function that might affect academic or teaching, research, or other academic opportunities.
2.
Relationships between supervisors and employees
Many of the concerns about intimate relationships between faculty members or employees and students also apply to relationships between supervisors and employees they supervise. Those relationships therefore are strongly discouraged. Supervisors shall disclose any such relationships to their supervisors in order to avoid or mitigate conflicts of interest in connection with the supervision and evaluation of the employees with whom they have a consensual relationship. Mitigation may involve the transfer of either the supervisor or employee, reassigning the responsibility to evaluate the employee to a different supervisor, or other appropriate action.
For purposes of this section, supervising an employee means supervising in an employment setting, including hiring, evaluating, assigning work, or making decisions or recommendations that confer benefits such as promotions, raises or other remuneration, or performing any other function that might affect employment opportunities.
Retaliation
This Policy prohibits retaliation for reporting or opposing sexual harassment, or cooperating with an investigation of a sexual harassment complaint.
III.
Discrimination, Sexual Harassment and Retaliation Complaints
The City University of New York is committed to addressing discrimination, sexual harassment and retaliation complaints promptly, consistently and fairly. There shall be procedures for making and investigating such complaints, which shall be applicable at each unit of the University.
IV.
Academic Freedom
These policies shall not be interpreted so as to constitute interference with academic freedom.
V.
Responsibility for Compliance
The President of each college of the University, the CUNY Executive Vice Chancellor and Chief Operating Officer, and the Deans of the Law School and Graduate School of Journalism will have ultimate responsibility for overseeing compliance with these policies at their respective units of the University. In addition, each dean, director, department chairperson, executive officer, administrator, or other person with supervisory responsibility must promptly consult with the Chief Diversity Officer if they become aware of conduct that may violate this policy. All members of the University community are required to cooperate in any investigation of a discrimination, sexual harassment or retaliation complaint.
(Board of Trustees Minutes,2012,11-26,5,A)
Policy 6.3
Domestic Violence
1
Policy Statement
The City University of New York ("CUNY") disapproves of violence against women, men, or children in any form, whether as an act of workplace violence or in any employee's personal life. Domestic violence can spill over into the workplace, compromising the safety of both victims and co-workers and resulting in lost productivity, increased health care costs, increased absenteeism, and increased employee turnover. CUNY is committed to full compliance of all applicable laws governing domestic violence in the workplace while ensuring its commitment to the principles of academic freedom. CUNY is committed to promoting the health and safety of its employees, and to making a significant and continual difference in the fight to end domestic violence. CUNY will review this policy annually and will notify all employees and the New York State Office for the Prevention of Domestic Violence ("OPDV") of any revisions. This policy is enacted pursuant to the terms and obligations imposed upon CUNY by New York State Executive Order No. 19 dated October 22, 2007. (BTM,2008,06-23,005,_B)
2
Definitions
For purposes of this policy, the following terms will be defined as follows. (BTM,2008,06-23,005,_B)
Domestic Violence: A pattern of coercive tactics, which can include physical, psychological, sexual, economic and emotional abuse, perpetrated by one person against an adult intimate partner, with the goal of establishing and maintaining power and control over the victim. (BTM,2008,06-23,005,_B)
Intimate Partner: Includes persons legally married to one another; persons formerly married to one another; persons who have a child in common, regardless of whether such persons are married or have lived together at any time; couples who live together or have lived together; or persons who are dating or who have dated in the past, including same sex couples. (BTM,2008,06-23,005,_B)
Abuser: A person who perpetrates a pattern of coercive tactics which can include physical, psychological, sexual, economic, and emotional abuse against an adult intimate partner, with the goal of establishing and maintaining power and control over the victim. (BTM,2008,06-23,005,_B)
Victim: The person against whom an abuser directs coercive and/or violent acts. (BTM,2008,06-23,005,_B)
3
Policy
3.1
Employee Awareness
a) CUNY will provide its Domestic Violence and the Workplace Policy to all employees. (BTM,2008,06-23,005,_B)
b) CUNY employees will review and follow this policy and procedures. (BTM,2008,06-23,005,_B)
c) CUNY will provide to all employees, and post in locations of high visibility, such as bulletin boards and break rooms, health/first aid offices, university phone directories, and on-line information data bases, a list of resources for survivors and perpetrators of domestic violence, the phone numbers and descriptions of national and local domestic violence resources batterers' intervention programs as well as the information for the New York State Office for the Prevention of Domestic Violence. Also posted prominently will be the names and contact information of CUNY personnel who are trained and available to serve as confidential sources of information, support, and referral. (BTM,2008,06-23,005,_B)
d) Included in the documentation provided to all employees will be information informing employees that New York State law prohibits insurance companies and health maintenance organizations from discriminating against domestic violence victims. The law prohibits designation of domestic violence as a pre-existing condition. An insurance company cannot deny or cancel an insurance policy or require a higher premium or payment because the insured is or has been a domestic violence victim. [Section 2612 of the Insurance Law]. (BTM,2008,06-23,005,_B)
e) CUNY will integrate information on domestic violence into existing materials and literature, policies, protocols, and procedures, including its Workplace Violence Prevention Policy and Procedures and existing health and wellness programs, as appropriate. CUNY will take all reasonable actions to educate employees regarding the effects of domestic violence, ways to prevent and curtail violence, and methods to report such violence to authorities. (BTM,2008,06-23,005,_B)
3.2
Workplace Safety Plans
Each campus within the CUNY system has prepared a domestic violence workplace safety response plan and each campus and worksite is prepared to provide reasonable means and personnel to assist victimized employees in developing and implementing individualized domestic violence workplace safety plans, consistent with existing collective bargaining agreements, statutes and regulations. Said workplace safety response plans are on file on each campus and worksite with the relevant security personnel and with the University-level liaison to OPDV. (BTM,2008,06-23,005,_B)
a) CUNY has designated a University liaison to OPDV to ensure University- wide implementation of the domestic violence and the workplace policy, and to serve as the primary liaison with OPDV regarding the domestic violence and the workplace policy. Said liaison's name and contact information will be provided with copies of this policy to employees and will be listed on all additional literature and postings. (BTM,2008,06-23,005,_B)
b) CUNY has designated campus-level liaisons on each campus to further ensure campus-level implementation of the domestic violence and the workplace policy, to serve as the campus-level liaison within CUNY regarding the domestic violence and the workplace policy, and to be available to employees in need of support. (BTM,2008,06-23,005,_B)
c) Each campus-level liaison will be identified in University and college-level materials and his/her name, phone number and office location will be clearly posted. (BTM,2008,06-23,005,_B)
d) Any employee who obtains a temporary or permanent order of protection is encouraged to provide the relevant security personnel and supervisory personnel with a copy of the petition and court order. Additionally, the employee is encouraged to provide the relevant security personnel and supervisory personnel with the following information on the abuser: a photograph or physical description, description of the abuser's automobile and license plate number, and any other information CUNY needs for the security of the workplace. CUNY is committed to compliance and assistance with enforcement of all known court orders of protection, particularly orders in which abusers have been ordered to stay away from the work site of the victim. If requested by the victim of domestic violence or law enforcement, CUNY will cooperate in situations concerning an alleged violation of an order of protection. (BTM,2008,06-23,005,_B)
e) In the event that a person is observed engaging in threatening behavior, each CUNY campus public safety department will implement its emergency security response plan, including procedures for contacting the appropriate law enforcement agency, and will provide employees with clear instructions about what to do and whom to contact. (BTM,2008,06-23,005,_B)
f) Upon notice from a victimized employee, each campus public safety department, working with the employee, the campus-level liaison and the employee's supervisor will develop and implement individualized workplace safety plans, which may include, when appropriate, advising co-workers and, upon request, the employee's bargaining representative, of the situation; setting up procedures for alerting security and/or the police; temporary relocation of the victim to a secure area; options for voluntary transfer or permanent relocation to a new work site; change of work schedule; reassignment of parking space; escort for entry to and exit from the building; responding to telephone, fax, e-mail or mail harassment; and keeping a photograph of the abuser and/or a copy of any existing court orders of protection in a confidential on-site location and providing copies to security personnel. Plans must address additional concerns if the victim and the offender are both employed by CUNY. (BTM,2008,06-23,005,_B)
3.3
Accountability for Employees who are Offenders
CUNY will not tolerate nor excuse conduct that constitutes workplace domestic violence. CUNY will hold accountable any and all employees who engage in the following behavior: (1) using CUNY resources to commit an act of domestic violence; (2) committing an act of domestic violence from or at the workplace or from any other location while on official CUNY business; or (3) using their job-related authority and/or CUNY resources in order to negatively affect victims and/or assist perpetrators in locating a victim and/or in perpetrating an act of domestic violence. (BTM,2008,06-23,005,_B)
a) In cases in which CUNY has found that an employee has threatened, harassed, or abused an intimate partner at the workplace using CUNY resources such as work time, workplace telephones, FAX machines, mail, e-mail or other means, said employee will be subject to corrective or disciplinary action in accordance with existing collective bargaining agreements, statutes and regulations. If appropriate, law enforcement will be contacted, which may result in arrest, criminal charges, and/or prosecution. (BTM,2008,06-23,005,_B)
b) In cases in which CUNY has verification that an employee is responsible for a domestic violence-related offense, or is the subject of any order of protection, including temporary, final or out-of-state order, as a result of domestic violence, and said employee has job functions that include the authority to take actions that directly impact victims of domestic violence and/or actions that may protect abusers from appropriate consequences for their behavior, CUNY will determine if corrective action is warranted, in accordance with existing collective bargaining agreements, statutes and regulations. (BTM,2008,06-23,005,_B)
c) In cases in which any employee intentionally uses his/her job-related authority and/or intentionally uses state resources in order to negatively impact a victim of domestic violence, assist an abuser in locating a victim, assist an abuser in perpetrating acts of domestic violence, or protect an abuser from appropriate consequences for his behavior, said employee will be subject to corrective or disciplinary action, in accordance with existing collective bargaining agreements, statutes and regulations. If appropriate, law enforcement will be contacted, which may result in arrest, criminal charges, and/or prosecution. (BTM,2008,06-23,005,_B)
3.4
Firearms
Pursuant to New York State and federal law, a person convicted of a domestic violence-related crime or subject to an order of protection, under certain circumstances, forfeits the right to legally possess a firearm or long gun. Additionally, federal law contains prohibitions relating to shipping, transportation, or receiving firearms or ammunition. (BTM,2008,06-23,005,_B)
a) In addition to complying with the law, employees who are authorized to carry a firearm as part of their job responsibilities are required to notify CUNY if they are arrested on a domestic violence- related offense and/or served with an order of protection. Under certain circumstances, such employees are responsible for surrendering their firearms to the issuing agency or to the appropriate police agency. (BTM,2008,06-23,005,_B)
b) Should an employee fail to comply with the requirements set forth above, said employee will be subject to corrective or disciplinary action, in accordance with existing collective bargaining unit agreements, statutes or regulations. In addition, the appropriate law enforcement agency will be notified for possible criminal action. (BTM,2008,06-23,005,_B)
3.5
Training
CUNY will train management and supervisory personnel on this policy and will provide continuing educational opportunities for employees using materials provided by or approved by OPDV. (BTM,2008,06-23,005,_B)
a) All persons designated as liaisons, whether the University-level liaison or college-level liaison, and all liaison-identified support personnel will complete OPDV's one-day training on Domestic Violence and the Workplace as soon as practicable after the appointment is made. Training will prepare support personnel to identify possible signs and indicators of victimization, make appropriate referrals to domestic violence service providers, work with professionals to assist identified victims with safety planning, and develop individualized responses. Training will also include information on the physical, social and cultural realities that may affect victims of domestic violence, the ways in which domestic violence impacts the workplace, including the potential impact on worker productivity and the safety risks to on-site personnel and visitors. (BTM,2008,06-23,005,_B)
b) Campus-level liaisons will designate, as appropriate, managers, supervisors, employee assistance professionals, human resources personnel, union and labor representatives or security staff for additional training on domestic violence issues which may include the one-day OPDV training. (BTM,2008,06-23,005,_B)
c) CUNY will also make training in the prevention and awareness of domestic violence and its impact on the workplace available for all staff. Training will include information on the physical, social and cultural realities that may affect victims of domestic violence, the ways in which domestic violence impacts the workplace, including the potential impact on worker productivity and safety risks. (BTM,2008,06-23,005,_B)
3.6
Reporting Requirements
As directed by OPDV, CUNY is obligated to document all incidents of domestic violence that happen in the workplace, including the number of employees who report domestic violence, the number of employees who request information/services, and the number of referrals made to domestic violence service providers. The information gathered will not contain any identifying personal information. Said information will be forwarded by each college to the University liaison to OPDV for further reporting to OPDV at the time and in a manner determined by OPDV. Such documents will be kept confidential to the extent permitted by law and policy and the provisions of Section 3.7 detailed below. (BTM,2008,06-23,005,_B)
3.7
Confidentiality
Information related to an employee being a victim of domestic violence will be kept confidential, to the extent permitted by law and policy, and will not be divulged without the consent of the victimized employee, unless CUNY determines that maintaining said confidentiality puts the victim or other employees at risk of physical harm, is required by law, or is deemed necessary to enforce an order of protection. The limitations on confidentiality will be discussed with each victim who seeks assistance. In such circumstances where a determination has been made that maintaining confidentiality puts the victim or other employees at risk of physical harm, is required by law, or is deemed necessary to enforce an order of protection, only those individuals (employees and/or safety and security personnel and/or rescue and first aid personnel) as deemed necessary by CUNY to protect the safety of the victim and/or other employees or to enforce an order of protection will be given information concerning incidents of domestic violence. (BTM,2008,06-23,005,_B)
CUNY will disclose only the information necessary to protect the safety of the victim and/or other employees or to enforce an order of protection. Where possible, CUNY will provide to the victim of domestic violence notice of the intent to provide information to other employees and/or safety personnel. Nothing herein will prevent CUNY from investigating an act or acts of domestic violence that happen within the workplace. Examples of situations where confidentiality cannot be maintained include the following (BTM,2008,06-23,005,_B):
a) Supervisors/managers may be informed about a domestic violence incident that happens in the workplace, or a report of domestic violence, if it is necessary to protect the safety of the employee or the employee's co-workers. (BTM,2008,06-23,005,_B)
b) First aid and safety personnel may be informed about a domestic violence incident that happens in the workplace or a report of domestic violence, if it is necessary to protect the safety of the employee or the employee's co-workers. (BTM,2008,06-23,005,_B)
c) Government officials investigating a domestic violence incident that happens in the workplace, or a report of domestic violence, will be provided relevant information on request. (BTM,2008,06-23,005,_B)
3.8
Law Enforcement and Legislation
CUNY will cooperate to the fullest extent legally possible with law enforcement and other appropriate government agencies. In addition, this policy will be interpreted and applied in accordance with all applicable local, state and federal laws as well as all existing collective bargaining agreements, policies and regulations. (BTM,2008,06-23,005,_B)
Policy 6.4
Freedom of Information Law Compliance
The Office of the General Counsel and Senior Vice Chancellor for Legal Affairs shall, on behalf of the Board of Trustees, issue Procedures for Public Access to Records of The City University of New York Under the Freedom of Information Law, which shall supersede prior University Procedures on access to public records. (BTM,2009,01-26,005,_A)
The Office of the General Counsel and Senior Vice Chancellor for Legal Affairs shall be responsible for updating the Procedures for Public Access to Records of The City University of New York Under the Freedom of Information Law as necessary to comply with law and recommended practice at the University. (BTM,2009,01-26,005,_A)
Policy 6.5
Intellectual Property
The following policy regarding ownership, management and distribution rights associated with intellectual property created or developed by members of The City University of New York community is adopted by the University Board of Trustees. (BTM,2002,11-18,005,_B)
1
Purpose
The purpose of this policy is to (BTM,2002,11-18,005,_B):
a) Serve the public good by promoting and facilitating the dissemination of the products of research, authorship and invention by the University community
b) Recognize and encourage research, authorship and invention by the University community by providing for the sharing of tangible rewards resulting from the commercialization of such research, authorship and invention
c) Define the ownership, distribution and commercialization rights associated with the products of research, authorship and invention by the University community, and to define the policies and procedures for managing such products
2
Definitions
2.1
Chancellor
The "Chancellor" means the Chancellor of the University or his or her designee. (BTM,2002,11-18,005,_B)
2.2
College
"College" means a "senior college" or "community college" of the University, or a component thereof, as such terms are defined in the New York Education Law. (BTM,2002,11-18,005,_B)
2.3
Commissioned Work
"Commissioned Work" means work commissioned by the University in writing from a member of the University, outside the scope of his or her employment. (BTM,2002,11-18,005,_B)
2.4
Copyrightable Work
"Copyrightable Work" means an original work of authorship including any scholarly or pedagogical work that has been fixed in any tangible medium of expression from which it can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device, and may include, but is not limited to, books, journals, musical works, dramatic works, multimedia products, computer programs or codes, videos, films, sound recordings, pictorial and graphical works and sculpture. (BTM,2002,11-18,005,_B)
2.5
Creator
"Creator" means a member of the University whose creative activity results in the development of intellectual property. As used in this policy, the term "Creator" also includes groups of researchers, authors or inventors whose joint efforts produce intellectual property. (BTM,2002,11-18,005,_B)
2.6
Designated Individual
"Designated Official" means the College officer who has been appointed by the College President to be in charge of intellectual property matters. (BTM,2002,11-18,005,_B)
2.7
Intellectual Property
"Intellectual Property" means all forms of intellectual property, including but not limited to inventions, copyrightable works, trade secrets and know-how, and tangible research property, but excluding trademarks. (BTM,2002,11-18,005,_B)
2.8
Invention
"Invention" means a process, method, machine, manufacture, discovery, device, plant, composition of matter or other invention that reasonably appears to qualify for protection under the United States patent law, whether or not actually patentable. "Invention" shall also include computer programs and codes, but only to the extent they are patentable. (BTM,2002,11-18,005,_B)
2.9
Member of The University
"Member of the University" means a full-time or part-time faculty member, staff member, or graduate student engaged in faculty-directed research, whether paid or unpaid, or an individual compensated by grant funds made available to the University by or through the Research Foundation. Any other person who develops intellectual property while making extraordinary use of University resources shall also be deemed a "Member of the University," unless there is an agreement providing that such person shall not be subject to this policy. (BTM,2002,11-18,005,_B)
2.10
Office of the General Counsel (OGC)
"Office of the General Counsel" means the Office of the General Counsel and Vice Chancellor for Legal Affairs. (BTM,2002,11-18,005,_B)
2.11
Research Foundation
"Research Foundation" the Research Foundation of the City University of New York. (BTM,2002,11-18,005,_B)
2.12
Scholarly or Pedagogical Works
"Scholarly or Pedagogical Works" means copyrightable works created for traditional academic purposes. Examples include scholarly books (including text books), instructional materials including lecture notes, classroom presentations, research articles, research monographs, student theses and dissertations, novels, poems, films, videos, musical compositions and performances, dramatic works and performances, visual works of art including paintings, drawings, sculpture, installations and performance art, and other scholarly publications or works of artistic imagination, whether such works are disseminated in print, electronically or through some other tangible medium. (BTM,2002,11-18,005,_B)
2.13
Significant Interest
As used herein, significant interest shall include (BTM,2002,11-18,005,_B):
a) The positions of director, officer, partner, employee, or agent, or other managerial position
b) Anything of monetary value, including but not limited to, salary or other payments for services (e.g., consulting fees or honoraria), equity interest (e.g., stock, stock options or other ownership interests), and intellectual property rights and royalties from such rights
The term does not include (BTM,2002,11-18,005,_B):
a) Income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities
b) Income from service on advisory committees or review panels for public or nonprofit entities
c) Financial interests in business enterprises or entities that, when aggregated for the member and the member's spouse and dependent children, meet both of the following tests (BTM,2002,11-18,005,_B):
(i) Do not exceed $10,000 per year in value, as determined through reference to public prices or other reasonable measures of fair market value
(ii) Do not represent more than a five percent ownership interest in any single enterprise or entity
d) Salary, royalties or other continuing payments that, when aggregated for the member and the member's spouse and dependent children, are not expected to exceed $10,000 per year in value
2.14
Sponsor
"Sponsor" means an organization, agency, or individual, providing funding, equipment, or other support, for the University—directly or through the Research Foundation—to carry out a specified project in research, training, or public service, pursuant to a written agreement (Sponsored Research as discussed in this policy). Sponsors include Federal, State, local and other governmental entities, as well as private industry, individuals, educational institutions and private foundations. (BTM,2002,11-18,005,_B)
2.15
Substantial Use of University Resources
"Substantial Use of University Resources" shall mean un-reimbursed use of university resources at a level not ordinarily used by, or available to, all or virtually all, faculty, staff or graduate students, as the case may be. Ordinarily, available university resources include (BTM,2002,11-18,005,_B):
a) Assigned office, laboratory, and studio space
b) Standard office, laboratory and studio equipment
c) Office computer workstations
d) Library and other general use information resources and the means of network access to such resources
The University does not construe the payment of salary in the form of release time or sabbatical leaves as constituting substantial use of university resources, except in those situations where the release time or sabbatical is granted specifically to support the development of commissioned work. The use of ordinarily available university resources for private, commercial purposes is considered substantial use. (BTM,2002,11-18,005,_B)
2.16
Tangible Research Property
"Tangible Research Property" means tangible items produced in the course of research—including, but not limited to (BTM,2002,11-18,005,_B):
a) Biological materials
b) Research notes and reports
c) Laboratory notebooks
d) Computer databases and software
e) Circuit chips
f) Equipment
g) Engineering drawings
2.17
Trade Secrets and Know-How
"Trade Secrets and Know-How" means facts, information, data, designs, business plans, customer lists, and other secret knowledge, that give the owner a competitive edge. (BTM,2002,11-18,005,_B)
2.18
Trademark
"Trademark" means a distinctive word, design or graphic symbol, or combination of the same, that distinguishes and identifies the goods and services of one party from those of another. The term "Trademark" shall include service marks. (BTM,2002,11-18,005,_B)
2.19
University
"University" means The City University of New York. (BTM,2002,11-18,005,_B)
2.20
University Resources
"University Resources" means any resources available to a member of the University as a direct result of his or her affiliation with the University and which would not otherwise be available to a non-University-affiliated individual, including but not limited to (BTM,2002,11-18,005,_B):
a) Funds and financial support
b) Facilities
c) Equipment
d) Supplies
e) Services
f) Non-faculty University personnel
g) Students
h) Release time and sabbaticals
3
Applicability
This policy shall apply to all forms of intellectual property created or developed, in whole or in part, by members of the University (BTM,2002,11-18,005,_B):
a) Making substantial use of university resources
b) As a direct result of University duties
c) Pursuant to the terms of an agreement to which the University is a party
d) In the course of, or related, to activities on grants or contracts administered by the Research Foundation
4
Ownership Of Intellectual Property
4.1
General Rule
a) The Creator shall own all rights in copyrightable works. (BTM,2002,11-18,005,_B)
b) The University shall own all rights in other intellectual property. (BTM,2002,11-18,005,_B)
4.2
Sponsored Research
Ownership of intellectual property resulting from sponsored research shall be determined pursuant to the terms of the agreement between the University or the Research Foundation, as the case may be, and the sponsor, or as otherwise required by applicable law. If ownership is not defined in the agreement, intellectual property shall be owned pursuant to the general rule. (BTM,2002,11-18,005,_B)
4.3
Commissioned Work
The University shall normally own intellectual property resulting from commissioned work. In all cases of commissioned work, ownership and royalty rights shall be specified in a written agreement, a copy of which shall be submitted to the OGC for review and approval as to form. Any such agreement that provides for ownership by other than the University shall also provide the University with a royalty-free, non-exclusive license to use the intellectual property for internal educational and research purposes. (BTM,2002,11-18,005,_B)
4.4
Copyrightable Work Created Within the Scope of Employment
Copyrightable work, other than scholarly or pedagogical work, prepared by an employee of the University or the Research Foundation within the scope of his or her employment, shall be owned by the University or the Research Foundation, as the case may be. Examples of copyrightable work subject to this provision include, without limitation (BTM,2002,11-18,005,_B):
a) Personnel manuals
b) Written policies
c) Administrative handbooks
d) Public relations materials
e) Archival audio and video recordings of College events
f) Official college and University web pages
4.5
Electronically Published Course Materials
Courses designed to be delivered over the internet, by computer, or through similar technologies, may involve both copyrightable works and other intellectual property. Consistent with its intent to recognize the creator as the owner of scholarly or pedagogical works, the University claims no ownership rights in either the intellectual content of such courses, or the tools and technologies used to present them, unless the work was the result of sponsored research or is commissioned work. (BTM,2002,11-18,005,_B)
4.6
Negotiated Agreements
A member of the University who wishes to conduct work making substantial use of university resources under terms different from those set forth in the General Rule above, may enter into an agreement for the use of such resources with the college(s) where such work shall be conducted. Such agreement shall be negotiated by the president(s) of the college(s) with the advice of the OGC, and must be approved by the Chancellor. The agreement shall specify who shall own any intellectual property resulting from such work, any arrangement as to equity-sharing, royalty-sharing, and/or the amount of the fee, if any, to be paid for use of the University resources. (BTM,2002,11-18,005,_B)
4.7
University Media
Copyrightable work prepared for publication in official University and college media, such as television and radio stations, newspapers, magazines and journals, shall be owned pursuant to the individual policies of such media or as defined in their contracts with creators. In the absence of a policy or contract, copyright shall be owned by the University. (BTM,2002,11-18,005,_B)
4.8
Creator's Non-Commercial Use
Where the University owns the intellectual property under this policy, the creator is permitted to continue to use the work for his or her own non-commercial purposes. Any distribution by the creator to academic colleagues outside the University beyond the limits of "fair use", as defined in Section 107 of the Copyright Act of 1976, shall be permitted pursuant to written agreement from the University through the Chancellor or designated individual at each college. (BTM,2002,11-18,005,_B)
5
Administration of this Policy
Authority and responsibility for this policy shall reside with the Chancellor. The Chancellor may seek the advice and assistance of the Intellectual Property Committee. The responsibility for administration of the policy at the college level is delegated to the designated individual at each college. (BTM,2002,11-18,005,_B)
6
Management of Intellectual Property
This provision does not apply to commissioned work or copyrightable work created within the scope of employment, or to negotiated agreements to the extent that this provision conflicts with the terms of the negotiated agreement. (BTM,2002,11-18,005,_B)
6.1
Disclosure of Intellectual Property
Creators shall disclose to the Chancellor any intellectual property that is owned by the University under this policy, including improvements and reductions to practice and intellectual property created under sponsored research. (BTM,2002,11-18,005,_B)
Disclosure shall be made prior to submission of the intellectual property for publication, other release to the public domain, or attempt to license, distribute or manufacture the intellectual property commercially. (BTM,2002,11-18,005,_B)
Where more than one member of the University has participated in the creation of intellectual property, all participants must sign the disclosure notice. (BTM,2002,11-18,005,_B)
6.2
Determination of Ownership Rights
The Chancellor shall determine whether the University has reason to exercise ownership rights over intellectual property disclosed to it and, if the University has such rights, whether it desires to obtain protection for or pursue licensing of such intellectual property. (BTM,2002,11-18,005,_B)
The Chancellor shall promptly notify the creator of his or her determination to disclaim or assert ownership of the intellectual property. (BTM,2002,11-18,005,_B)
The University shall make every reasonable effort to act expeditiously under the circumstances in arriving at all decisions and taking all actions under this policy. (BTM,2002,11-18,005,_B)
6.3
Legal Protection and Commercialization
Intellectual property determined by the Chancellor to be owned by the University may be patented, registered with the U.S. Copyright Office or otherwise legally protected by the University. (BTM,2002,11-18,005,_B)
The creator of such intellectual property shall cooperate with the University in the application for legal protection of the intellectual property, including executing appropriate assignments, declarations and/or other documents required to set forth effectively the ownership and rights to the intellectual property pursuant to this policy. In the event of any dispute between the creator and the University, the creator's obligations under this provision shall be without prejudice to the creator's rights regarding resolution of disputes. (BTM,2002,11-18,005,_B)
All costs involved in obtaining and maintaining legal protection of University-owned intellectual property shall be borne by the University unless the University disclaims, releases, or waives, its ownership rights or unless a licensee accepted by the creator agrees to bear such costs pursuant to the terms of a written license agreement. (BTM,2002,11-18,005,_B)
The creator has primary responsibility for identifying parties having an interest in using, developing or commercializing University-owned intellectual property. (BTM,2002,11-18,005,_B)
The Chancellor shall regularly inform the creator of the progress of the University's protection efforts and licensing of University-owned intellectual property disclosed by such creator. (BTM,2002,11-18,005,_B)
6.4
Request for Release
The creator may request assignment to the creator of some or all of the University's rights in intellectual property (a "release") under the following circumstances (BTM,2002,11-18,005,_B):
a) If the University notifies the creator that it elects not to protect or commercialize University-owned intellectual property, or that it has decided to abandon protection or commercialization. (BTM,2002,11-18,005,_B)
b) If, within ninety calendar days of disclosure to the Chancellor, the creator has not received notice from the Chancellor that the University (BTM,2002,11-18,005,_B):
(i) Disclaims ownership of the intellectual property
(ii) Has taken steps to protect or commercialize University-owned intellectual property
Such request shall disclose the date of any publication of the intellectual property. (BTM,2002,11-18,005,_B)
6.5
Release or Proof of Continuing Effort
Within thirty calendar days of the date of a request from a creator for a release, the University shall take one of the following actions:
a) Disclaim ownership of the intellectual property. (BTM,2002,11-18,005,_B)
b) Execute a release. (BTM,2002,11-18,005,_B)
c) Document that the University has exercised and continues to exercise due diligence in attempting to protect or commercialize the intellectual property. (BTM,2002,11-18,005,_B)
6.6
Form of Release
The University may condition the granting of a release on the assignment to the University of a share, not to exceed ten percent, of net proceeds. For purposes of this section, "net proceeds" shall mean earnings to the creator from the intellectual property over and beyond reasonable costs incurred in the process of legal protection and management. the University shall retain a royalty-free, non-exclusive license to use any intellectual property released to the creator under this policy for internal educational and research purposes. Pursuant to federal regulations, the U.S. government shall also retain certain rights. (BTM,2002,11-18,005,_B)
6.7
University Waiver
The University shall be deemed to have waived its rights in the intellectual property if it fails to either (BTM,2002,11-18,005,_B):
a) Meet the deadline specified in this policy, or a mutually agreeable extended time period
b) In the case of a patentable invention, file a patent application within ninety calendar days of the date of publication as set forth in this policy
6.8
Creator's Right to Protect
If the University disclaims, releases, or waives ownership of intellectual property, the creator shall have the right to obtain protection for, or pursue licensing of, such intellectual property in his or her own name and at his or her own cost. (BTM,2002,11-18,005,_B)
6.9
Intellectual Property Committee.
An Intellectual Property Committee shall be established to advise the Chancellor on disclosures made to him or her, to make recommendations for updates and changes to this policy, and to consider such other matters as may be described in this policy or may be referred to the Committee by the Chancellor. (BTM,2002,11-18,005,_B)
The Intellectual Property Committee shall consist of at least nine members. The Vice Chancellor for Research or designee—who shall serve as chair of the Committee—and the President of the Research Foundation or designee, shall be members. The Chair of the University Faculty Senate, or a person designated by the Chair, shall select the remaining members of the Committee, taking into account the recommendations of the Chancellor. Membership of the Committee shall, insofar as possible, consist of individuals who have generated copyrighted or patented materials and should collectively represent a diversity of types of such materials—, textbooks, biotechnology, software, etc. The General Counsel of the Research Foundation shall serve as staff to the Committee. (BTM,2008,12-08,004,__)
The Chair of the Intellectual Property Committee shall appoint, from among the membership of the Intellectual Property Committee, a Copyright Subcommittee responsible for the review of disclosures of copyrightable works, and a Patent and Technology Subcommittee responsible for the review of disclosures of inventions, trade secrets and know-how, and tangible research property. Each subcommittee shall, insofar as possible, consist of at least five members, a majority of whom shall have generated copyrighted materials, in the case of the Copyright Subcommittee, or patented materials, in the case of the Patent and Technology Subcommittee. The Chair of the Intellectual Property Committee or designee shall serve as chair of the subcommittees. In connection with the review of the disclosure of a particular invention, the Chair of the Patent and Technology Subcommittee may convene a meeting limited to those members whose areas of expertise are most relevant to the subject of the invention. (BTM,2008,12-08,004,__)
Intellectual Property Committee members are appointed for three-year terms with non-concurrent expiration dates and may serve successive terms. (BTM,2002,11-18,005,_B)
6.10
Sponsored Research Requirements
The Research Foundation shall monitor disclosure and reporting requirements and other obligations to sponsors regarding University-owned intellectual property developed under a sponsored research agreement or grant—including, but not limited to, obligations to the U.S. government. (BTM,2002,11-18,005,_B)
6.11
Management Organizations
The University may make an agreement with one or more intellectual property management organizations to undertake the legal protection and/or, with the permission of the creator, commercialization activities, described in this policy. Any such management organization shall be required to abide by the time limits set forth in this policy. (BTM,2002,11-18,005,_B)
7
Distribution of Income from Intellectual Property
A creator of University-owned intellectual property is entitled to share in the income, including royalties, equity interests—subject to any University conflict of interest policy—and dividends, earned from the commercialization of that intellectual property. (BTM,2002,11-18,005,_B)
Subject to the terms of any sponsored research agreement and unless otherwise agreed by the University and the creator, gross income created from commercialization of University-owned intellectual property shall be distributed as follows (BTM,2002,11-18,005,_B):
a) First, to pay for any out-of-pocket expenses incurred by the University or the Research Foundation in connection with the administration, protection and commercialization of such intellectual property, including, but not limited to, fees paid to outside legal, consulting, marketing and licensing organizations and any other out-of-pocket costs incurred by the University or the Research Foundation. (BTM,2002,11-18,005,_B)
b) Then, ten percent applied to a fund at the University for payment of costs related to patent filing, prosecution and maintenance fees. (BTM,2002,11-18,005,_B)
c) The resulting "net proceeds" shall be distributed as follows (BTM,2002,11-18,005,_B):
(i) Fifty percent to the creator. (BTM,2002,11-18,005,_B)
(ii) Twenty-five percent to the University for the support of research and scholarly activity. (BTM,2002,11-18,005,_B)
(iii) Twenty-five percent to the creator's College(s), with Fifty percent of such amount going to the creator's academic or research unit(s) for the support of research and scholarly activity. (BTM,2002,11-18,005,_B)
Where two or more members of the University contributed to the creation of intellectual property, the creators' shares of revenues shall be divided among them equally, unless the members of the University agree upon a different distribution among themselves and notify the University in writing of their agreement. (BTM,2002,11-18,005,_B)
8
Issues Relating to Ownership of Equity and Conflict of Interest
8.1
University's Equity Interest
Subject to the review and approval of the Chancellor, and after a diligent effort to identify prospective sponsors or licensees, the University is permitted to take an equity interest in sponsors or licensee companies under the following terms and conditions (BTM,2002,11-18,005,_B):
a) Sponsors and licensees shall demonstrate management and technical capability and have the financial resources necessary to meet their development objectives and their obligations to the University. (BTM,2002,11-18,005,_B)
b) License agreements shall include measures of performance that must be met in order to maintain the license granted by the University. (BTM,2002,11-18,005,_B)
c) Equity shall not be held in an amount sufficient to confer management power, which generally would limit ownership to less than twenty percent of equity. (BTM,2002,11-18,005,_B)
d) Equity shall represent a fair valuation for the intellectual property. (BTM,2002,11-18,005,_B)
e) The University shall not accept a position on the board of directors of a licensee, but may accept and exercise observer rights on such boards. Exceptions to this policy require the approval of the Chancellor. (BTM,2002,11-18,005,_B)
f) Licensees shall pay for out-of-pocket patenting and related expenses. (BTM,2002,11-18,005,_B)
8.2
Member's Significant Interest
Conflicts of interest may arise when a member of the University has a significant interest in an entity (BTM,2002,11-18,005,_B):
a) To which the University has granted a license of intellectual property created by the member
b) With whom the University has entered into a sponsored research agreement
c) That has contracted with the University for use of the member's University office or laboratory or other university resources
d) That employs or otherwise involves the member's student advisees
A member of the University with a significant interest in an entity as described in this policy shall (BTM,2002,11-18,005,_B):
a) Disclose the significant interest to the University prior to the execution of any agreement between the entity and the University
b) Not represent the University in negotiating the agreement
c) Not employ or otherwise involve such member's student advisees at the entity unless they are paid at market rate
A member's significant interest in a licensee shall not prohibit the member from receiving creator's royalties pursuant to this policy. (BTM,2002,11-18,005,_B)
Nothing in this Section shall lessen the obligation of a member to comply with the requirements of state and federal law, the Research Foundation and any other University policy, regarding the disclosure of conflicts of interest. (BTM,2002,11-18,005,_B)
8.3
Consulting Agreements
Conflicts involving intellectual property may arise when a member of the University enters into a personal consulting or other agreement with a third party. Such agreements may include provisions as to the licensing or assignment of intellectual property and may come into conflict with this policy. Prior to signing any consulting or other agreement that deals with intellectual property owned by the University pursuant to this policy, a member of the University shall have the agreement reviewed by the Chancellor to be certain such agreement does not inappropriately assign University rights to third parties. If the agreement is in conflict with this policy, the Member must either obtain from the Chancellor a waiver of any University rights, or otherwise modify the consulting agreement to conform to this policy. This requirement is in addition to, and does not eliminate the necessity for, any approval required by any University conflict of interest policy. (BTM,2002,11-18,005,_B)
9
Exceptions to and Waiver of Policy
Any member of the University is entitled to request an exception or waiver to the provisions of this policy, including in the event that a publisher or other outside organization proposes terms that are exceptions to this policy. (BTM,2002,11-18,005,_B)
A member of the University wanting an exception or waiver shall, in the first instance, send a written request to the Chancellor, who shall circulate the request to the member's College President, the University Dean for Research and the President of the Research Foundation. If these three individuals agree, the Chancellor shall notify the member that the request is granted. (BTM,2002,11-18,005,_B)
In the event that a request for exception or waiver is not granted, the member of the University shall have the right to appear, accompanied by representatives of such individual's choice, before the Intellectual Property Committee for further consideration of the request. This hearing shall occur no later than thirty calendar days from the date of the request for such hearing. The Intellectual Property Committee shall prepare a report of its findings and submit an advisory recommendation to the Chancellor for review within thirty calendar days of the hearing. The decision of the Chancellor on the findings and recommendations of the Intellectual Property Committee shall be rendered within thirty calendar days and shall be final. (BTM,2002,11-18,005,_B)
Parties to the process described in this policy—including, without limitation, the University Dean for Research, the College President(s), the President of the Research Foundation, the Chancellor, and the members of the Intellectual Property Committee—shall maintain the confidentiality of any intellectual property contained in documents submitted as part of this process. (BTM,2002,11-18,005,_B)
10
Resolution of Disputes
This policy constitutes an understanding that is binding on the University and members of the University for the use of university resources and for participating in research programs at the University. Any questions of interpretation or claims arising out of or relating to this policy, or dispute as to ownership rights of intellectual property under this policy, shall be settled by the following procedure. The issue must first be submitted in the form of a letter setting forth the grievance or issue to be resolved, to a review panel of five members, including a representative of the creator, and designees of the Executive Vice Chancellor for Academic Affairs, the President of the Research Foundation, the Chair of the Faculty Advisory Council of the Research Foundation, and the Provost of the creator's College. The panel shall review the matter and then advise the parties of its decision within 30 calendar days of submission of the letter. The decision of the panel may be appealed by either side to the Chancellor. The decision of the Chancellor shall be final. (BTM,2002,11-18,005,_B)
11
Trademarks
The University owns all right, title and interest in trademarks related to an item of intellectual property owned by the University, or to a program of education, service, public relations, research or training program of the University. (BTM,2002,11-18,005,_B)
12
Role of the Research Foundation
The University hereby assigns its ownership rights in inventions resulting from sponsored research to the Research Foundation. The Research Foundation may file patent applications, as named assignee, for such inventions, subject to the terms of this policy, including the distribution provisions set forth in this policy with respect to income earned from the commercialization of such inventions. Furthermore, nothing in this policy shall prevent the Chancellor from appointing the Research Foundation as the Chancellor's designee for performance of the functions assigned to the University in general or to the Chancellor in particular, or to retain distribution of income from commercialization of intellectual property. (BTM,2002,11-18,005,_B)
13
Effective Date
This policy is effective from the date of approval by the University Board of Trustees with respect to intellectual property created after that date and shall remain in effect until modified or revoked. (BTM,2002,11-18,005,_B)
Policy 6.6
Maintenance of Public Order
The Board of Trustees in compliance with Chapter 191 of the Laws of 1969 (Henderson Act) adopts the following rules and regulations for the maintenance of public order on college campuses and other college property used for educational purposes (BTM,1990,06-25,006,_C):
1
Rules Governing Members of the Academic Community and Visitors
A member of the academic community shall not intentionally obstruct and/or forcibly prevent others from the exercise of their rights. Nor shall he or she interfere with the institution's educational processes or facilities, or the rights of those who wish to avail themselves of any of the institution's instructional, personal, administrative, recreational, and community services. (BTM,1990,06-25,006,_C)
Individuals are liable for failure to comply with lawful directions issued by representatives of the University/college when they are acting in their official capacities. Members of the academic community are required to show their identification cards when requested to do so by an official of the college. (BTM,1990,06-25,006,_C)
Unauthorized occupancy of University/college facilities or blocking access to or from such areas is prohibited. Permission from appropriate college authorities must be obtained for removal, relocation and use of University/college equipment and/or supplies. (BTM,1990,06-25,006,_C)
Theft from or damage to University/college premises or property, or theft of or damage to property of any person on University/college premises is prohibited. (BTM,1990,06-25,006,_C)
Each member of the academic community or an invited guest has the right to advocate his or her position without having to fear abuse—physical, verbal, or otherwise—from others supporting conflicting points of view. Members of the academic community and other persons on the college grounds shall not use language or take actions reasonably likely to provoke or encourage physical violence by demonstrators, those demonstrated against, or spectators. (BTM,1990,06-25,006,_C)
Action may be taken against any and all persons who have no legitimate reason for their presence on any campus within the University/college, or whose presence on any such campus obstructs and/or forcibly prevents others from the exercise of their rights, or whose presence interferes with the institution's educational processes or facilities, or the rights of those who wish to avail themselves of any of the institution's instructional, personal, administrative, recreational, and community services. (BTM,1990,06-25,006,_C)
Disorderly or indecent conduct on University/college-owned or -controlled property is prohibited. (BTM,1990,06-25,006,_C)
No individual shall have in his or her possession a rifle, shotgun or firearm or knowingly have in his or her possession any other dangerous instrument or material that can be used and is intended to inflict bodily harm on an individual or damage upon a building or the grounds of the University/college without the written authorization of such educational institution. Nor shall any individual have in his or her possession any other instrument or material that can be used and is intended to inflict bodily harm on any individual or damage upon a building or the grounds of the University/college. (BTM,1990,06-25,006,_C)
Any action or situation that recklessly or intentionally endangers mental or physical health or involves the forced consumption of liquor or drugs for the purpose of initiation into or affiliation with any organization is prohibited. (BTM,1990,06-25,006,_C)
The unlawful manufacture, distribution, dispensation, possession, or use of illegal drugs or other controlled substances by University students or employees on University/college premises, or as part of any University/college activities is prohibited. Employees of the University must also notify the college personnel director of any criminal drug statute conviction for a violation occurring in the workplace not later than five days after such conviction. (BTM,1990,06-25,006,_C)
The unlawful possession, use, or distribution of alcohol by students or employees on University/college premises or as part of any University/college activities is prohibited. (BTM,1990,06-25,006,_C)
2
Sanctions
2.1
Definitions
a) Admonition: An oral statement to the offender that he or she has violated university rules
b) Warning: Notice to the offender, orally or in writing, that continuation or repetition of the wrongful conduct within a period of time stated in the warning, may be cause for more severe disciplinary action
c) Censure: Written reprimand for violation of a specified regulation, including the possibility of more severe disciplinary sanctions in the event of a conviction for the violation of any University regulation within a period stated in the letter of reprimand
d) Disciplinary Probation: Exclusion from participation in privileges or extracurricular University activities as set forth in the notice of disciplinary probation for a specified period of time
e) Restitution: Reimbursement for damage to or misappropriation of property. Reimbursement may take the form of appropriate service to repair or otherwise compensate for damages
f) Suspension: Exclusion from classes and other privileges or activities, as set forth in the notice of suspension, for a definite period of time
g) Expulsion: Termination of student status for an indefinite period. The conditions of readmission, if any is permitted, shall be stated in the order of expulsion
h) Complaint to Civil Authorities
i) Ejection
Admonition, warning, censure, and disciplinary probation shall be in addition to any other penalty provided by law or The City University. (BTM,1990,06-25,006,_C)
2.2
Students
Any student engaging in any manner in conduct prohibited under this policy shall be subject to the following range of sanctions defined in this policy (BTM,1990,06-25,006,_C):
a) Admonition
b) Warning
c) Censure
d) Disciplinary probation
e) Restitution
f) Suspension
g) Expulsion
h) Ejection
i) Arrest by the civil authorities
2.3
Faculty and Staff
Any tenured or non-tenured faculty member, or other member of the instructional staff, or member of the classified staff engaging in any manner in conduct prohibited under this policy shall be subject to the following range of penalties (BTM,1990,06-25,006,_C):
a) Warning
b) Censure
c) Restitution
d) Fine not exceeding those permitted by law or by the Bylaws of the University
e) Suspension with or without pay pending a hearing before an appropriate college authority
f) Dismissal after a hearing
g) Ejection
h) Arrest by the civil authorities
For engaging in the unlawful manufacture, distribution, dispensation, possession, or use of illegal drugs or other controlled substances on University/college premises, or as part of any University/college activities, such an individual may, alternatively, be required to participate satisfactorily in an appropriately licensed drug treatment or rehabilitation program. A tenured or non-tenured faculty member, or other member of the instructional staff, or member of the classified staff charged with engaging in any of these activities shall be entitled to be treated in accordance with applicable provisions of the Education Law or the Civil Service Law, or the applicable collective bargaining agreement, or the Bylaws or written policies of the University. (BTM,1990,06-25,006,_C)
2.4
Visitors
Any visitor, licensee, or invitee, engaging in any manner in conduct prohibited under this policy shall be subject to ejection, and/or arrest by the civil authorities. (BTM,1990,06-25,006,_C)
2.5
Organizations
Any organization that authorizes the conduct prohibited under this policy shall have its permission to operate on campus rescinded. (BTM,1990,06-25,006,_C)
3
Dissemination of Rules and Regulations
A copy of these rules and regulations is filed with the Regents of the State of New York and with the Commissioner of Education. These rules and regulations are to be incorporated in each college bulletin. (BTM,1990,06-25,006,_C)
4
Security Services On Campuses
All security and safety services provided on college-owned or leased facilities shall be the responsibility of the college President. (BTM,1994,03-21,004,_K)
College responsibility for security and public safety applies to any building or property owned or controlled by the college and used by the college in direct support of, or related to, its educational purposes, and any building or property owned or controlled by student organizations recognized by the college. This includes student union buildings and other entities that bear the name of the college. (BTM,1994,03-21,004,_K)
All security or security related functions at events in college facilities, such as performances, speeches, conferences, meetings, classes, and other special events, shall be managed by the college. No private security personnel, such as bodyguards or escorts acting in a security capacity—with the exception of security guards contracted for by the college—shall perform any campus security or security related functions. The use of armed private security guards is prohibited. (BTM,1994,03-21,004,_K)
After consultation with the campus faculty and student constituencies, as well as with the appropriate University offices, the colleges are to establish security and safety guidelines for persons or organizations appearing at campus events or using campus facilities, consistent with this policy. Contracts for speakers or space rentals should contain conditions whereby events may be canceled or payments or deposits may be forfeited for failure to comply with college security policies and procedures. Additionally, any person or organization violating such an agreement may be denied future access to any University campus or related facility in addition to any other applicable college or lawful sanctions. (BTM,1994,03-21,004,_K)
This policy does not apply to federal, state, county, or municipal sworn law enforcement officers, or to foreign or international law enforcement personnel who are officially charged with the responsibility of providing security for particular individuals, or who are involved in a law enforcement capacity—e.g. crowd control in conjunction with the security officers of the college. (BTM,1994,03-21,004,_K)
This policy, which applies to all facilities and events whether fees are paid to speakers or funded through student fees, is not intended to limit or abridge individual access to or attendance at college events. (BTM,1994,03-21,004,_K)
In the event that private security is necessary and requires an exception to this policy, such exceptions must be approved by the college President and the Chancellor and reported to the Board of Trustees' Committee on Fiscal Affairs, Facilities, and Contract Review at the earliest practicable time. (BTM,1994,03-21,004,_K)
5
Campus Peace Officers
The Board of Trustees of the University has the power to appoint campus officers who shall have the powers of peace officers as set forth in the Criminal Procedure Law within the geographical area of the City of New York. The powers of such peace officers include making arrests, searches and issuing appearance tickets, but not the power to carry firearms. It is appropriate to authorize the Chancellor to withhold these powers of peace officers when they are undergoing background checks and training and to suspend them while they are under investigation for misconduct or poor performance, under a disciplinary penalty, and other circumstances. (BTM,2004,11-29,009,__)
The Board of Trustees authorizes the Chancellor or his or her designee to withhold and make the initial designation, and to suspend and reinstate the authority and powers as peace officers—under the Criminal Procedure Law of New York State—of campus peace officers who have been appointed by the Board of Trustees. (BTM,2004,11-29,009,__)
6
Outside Law Enforcement Intervention
A college president, or his or her designee, shall consult with the Chancellor or his or her designee prior to involving law enforcement agencies during a campus protest, including summoning the police, except in cases of immediate danger to personal safety or to property. In considering such action, the President, or his or her designee, shall make all possible efforts to consult with the student body president(s) and the chair of the faculty governance body. The Chancellor shall endeavor to consult with the student trustee on the President's intent to call the police. (BTM,1991,01-28,007,_A)
The Chancellor shall develop a process to be followed by the colleges and the central office prior to calling the police. (BTM,1991,01-28,007,_A)
7
Violent Felony Offenses and Missing Students
Each college shall adopt and implement a plan providing for the investigation of any violent felony offense occurring at, or, on the grounds of each such institution, and providing for the investigation of a report of any missing student who resides in a facility owned or operated by the college. Such plans shall provide for the coordination of the investigation of such crimes and reports with the New York City Police Department. (BT1999-11-22,006,_A)
The Chancellor is authorized to execute such agreements as are necessary with the New York City Police Department providing for the prompt investigation of such violent felony offenses and missing student reports. The plans of each college shall include compliance with the terms of such agreement(s). (BT1999-11-22,006,_A)
Each college plan must provide for the coordination of the investigation of such reports between the University Public Safety Peace Officer Service and the New York City Police Department in accordance with a written agreement. the University intends to have a master agreement for all of the University colleges with the Police Department. Although the law requires that college plans also include provisions for the reporting and investigation of missing students, this is limited to students residing in dormitories (i.e., facilities owned or operated by the college). (BT1999-11-22,006,_A)
Policy 6.7
Records Retention and Disposition
The General Counsel and Vice Chancellor for Legal Affairs, after consultation with the Office of University Management Consulting, shall prepare and distribute uniform Records Retention and Disposition Regulations, specifying minimum retention periods, which are to be followed by all of the colleges and units of the University. (BTM,1990,02-26,005,_B)
Policy 6.8
This Policy Number Not in Use
Policy 6.9
Violence Prevention
1
Policy Statement
[Footnote:] This document supersedes and replaces The City University of New York Campus and Workplace Violence Prevention Policy approved by The City University of New York Board of Trustees on February 28, 2011. (BTM,2011,09-26,005,_H)
The City University of New York (the "University" or "CUNY") is committed to the prevention of workplace violence and will respond promptly to any threats and/or acts of violence. For purposes of this Policy, Workplace Violence is defined as any physical assault or acts of aggressive behavior occurring where an employee performs any work-related duty in the course of his or her employment, including but not limited to (BTM,2011,09-26,005,_H):
(i) An attempt or threat, whether verbal or physical, to inflict physical injury upon an employee;
(ii) Any intentional display of force that would give an employee reason to fear or expect bodily harm;
(iii) Intentional and wrongful physical contact with an employee without his or her consent that entails some injury; and
(iv) Stalking an employee in a manner that may cause the employee to fear for his or her physical safety and health when such stalking has arisen through and in the course of employment.
Workplace Violence presents a serious occupational safety hazard to CUNY and its employees. The University will respond promptly to threats and/or acts of violence. All employees are responsible for helping to create an environment of mutual respect and for assisting in maintaining a safe and secure work environment and will participate in the annual Workplace Violence Prevention Training Program. Individuals who violate this Policy may be removed from University property and are subject to disciplinary and/or personnel action up to and including termination, consistent with University policies, rules and collective bargaining agreements, and/or referral to law enforcement authorities for criminal prosecution. (BTM,2011,09-26,005,_H)
Incidents involving Workplace Violence will be given the serious attention they deserve. Employees are responsible for reporting any incidents of Workplace Violence of which they become aware. The procedure for reporting incidents of suspected or alleged Workplace Violence can be found in the campus specific Workplace Violence Prevention Programs at Paragraph 7. The procedure for reporting complaints of a potential violation of the CUNY Workplace Violence Prevention Policy and Programs can be found in the campus specific Workplace Violence Prevention Programs at Paragraph 9. (BTM,2011,09-26,005,_H)
[Footnote:] Complaints of sexual harassment are covered under the University's Policy Against Sexual Harassment. (BTM,2011,09-26,005,_H)
The University, at the request of an employee or student, or at its own discretion, may prohibit members of the public, including family members, from seeing an employee or student on University property unless necessary to transact University-related business. This policy particularly applies when an employee or student anticipates that an act of violence may result from an encounter with said individual(s). (BTM,2011,09-26,005,_H)
[Footnote:] Students are not directly covered by this Policy, but they should contact the Department of Public Safety to report concerns about workplace violence. (BTM,2011,09-26,005,_H)
Employee participation in the implementation of this Policy will be through their authorized employee representatives, who will be invited to participate in (BTM,2011,09-26,005,_H):
(1) scheduled physical risk assessment site evaluation(s) to determine the presence of risk factors which may place employees at risk of workplace violence; (2) the development and annual review of a Workplace Violence Prevention Program promulgated by each College for the implementation of the Policy; (3) the annual review of the Campus Workplace Violence Incidents Report prepared annually by each College; and (4) as appropriate, following a serious incident of Workplace Violence. (BTM,2011,09-26,005,_H)