Chapter 6 Faculty Research and Development

6.1 Individual Faculty Accounts (IFA) Policy

6.2 Research Funds

6.3 Research Centers and Institutes

6.4 Sponsored Research: Office of Institutional Philanthropy

6.5 Policy on Research with Human Participants

6.6 Policy on the Care and Use of Animals

6.7 Policy on Indirect Cost from Federal Grants

6.8 Policy on Research Time Allocation for Federal Grants

6.9 Policy and Procedures for Allegations of Research Misconduct

6.10 Policy on Intellectual Property

6.11 Copyright Policy of the Claremont Colleges

6.1 Individual Faculty Accounts (IFA) Policy

1. Eligible full-time faculty are provided with a set amount per fiscal year for use in research, teaching, professional development, related expenses and other expenses not covered by the academic departments.
2. The fiscal year is from July 1 - June 30.
3. Keck Science faculty should refer to the Keck Science Department’s IFA policies.
4. All IFA funds must be used within the fiscal year. In exceptional circumstances, faculty may petition for a bridging of IFA funds between fiscal years. This can only happen for underspent funds that are intended to facilitate travel that crosses fiscal year dates or purchases of products or services that are either delayed or larger than what a single year IFA can accommodate. Petitions must be submitted to the Dean of the Faculty’s office by June 15; earlier petitions are encouraged for advanced planning. Petitions should contain a brief description of the requested items, their specific purpose, and the planned dates and amounts of the purchases. Bridging funds must be spent before September 1.
5. All computer equipment requests must be approved by Information Technology Services (ITS).
6. Eligible faculty members on sabbatical, but not those on unpaid leave, maintain their Individual Faculty Accounts (IFA).
7. Faculty are responsible for monitoring their accounts. A report is provided to faculty on a regular basis or upon request of the faculty support staff. 
8. Reimbursements require the signature of the DOF or designee.
9. Faculty must follow the guidelines for reimbursable expenses as developed by the Business Office (see the Reimbursement Policy ).
10. The Dean of the Faculty has the final authority over questions involving IFA expenses or reimbursements.

6.2 Research Funds

Faculty research funds are administered by the Dean of the Faculty and the Faculty Research Committee.

6.3 Research Centers and Institutes

There are eleven research institutes and centers at Claremont McKenna College. These include The Berger Institute for Work, Family and Children, The Center for Innovation and Entrepreneurship, The Financial Economics Institute, The Family of Benjamin Z. Gould Center for Humanistic Studies, The Keck Center for International and Strategic Studies, The Kravis Leadership Institute, The Lowe Institute of Political Economy, The Mgrublian Center for Human Rights, The Roberts Environmental Center, The Rose Institute of State and Local Government, and The Salvatori Center for the Study of Individual Freedom in the Modern World. The institutes’ mandate is to  provide research opportunities for students and faculty. They also enrich the curriculum, attract distinguished scholars and lecturers to the College, provide students with a variety of internship experiences, and produce scholarly research valuable to the community, the state, and the nation.

Research institutes normally have an advisory board and a director who is a faculty member at CMC. Directors are appointed by the President of the College, and serve renewable five-year terms. Directors are normally required to rotate out after a maximum of two terms. Research institutes report to the Dean of the Faculty, and are ultimately responsible to the President and the CMC Board of Trustees.

Rotation policy approved by Board of Trustees May 2006

6.4 Sponsored Research: Office of Institutional Philanthropy

The Office of Institutional Philanthropy provides assistance to faculty and the College in obtaining external funding support for research activities. The Office of Institutional Philanthropy, housed within the Advancement Office, works with the Dean of the Faculty to achieve the College’s research goals. 

6.5 Policy on Research with Human Participants

Guidelines for the protection of human beings that participate in research are established by federal government regulations established in the Belmont Commission Report. The Report sets out three basic ethical principles for all research involving humans.

Respect for Persons. Individuals are to be treated as autonomous persons capable of making decisions. Persons entering research projects as subjects should do so voluntarily and with adequate information beforehand to make an informed choice regarding participation. Special provisions are required for persons with diminished decision-making capacity.

Beneficence. Researchers are required to “Do No Harm” and to maximize possible benefits and minimize possible harms.

Justice. All persons must be treated equally, and research must not be focused on those who can be exploited.

The essential component that must be part of all human subject research is informed consent. The Belmont Report guidelines require that human subjects must be provided with adequate information regarding the project and their participation, the subjects must agree to participate voluntarily, and researchers have properly assessed the risks and benefits of the research to be carried out. The federal policy, enacted as the Common Rule by sixteen government agencies is administered by the Office of Human Research Protections of HHS. It applies to all research conducted under federal government support. Claremont McKenna College has, like most institutions of higher education, extended the coverage of the Common Rule to include all human research projects regardless of the source of funding. Exceptions to the Common Rule include: research involving educational practices; testing; surveying, so long as human subjects cannot be identified; research involving existing data or specimens; research conducted subject to the approval of federal agencies and intended to examine federal programs or benefits; and taste and food quality evaluation and consumer acceptance studies.

All faculty, administration, and student research involving human participants not exempted by the above exceptions must be presented to the Claremont McKenna College Institutional Review Board (IRB) for its prior authorization to conduct the research. The IRB has the authority to approve, require modifications to, or disapprove the research project according to the guidelines of the Common Rule. The IRB has the authority to utilize an expedited review procedure for certain categories of research. The IRB will carefully review the informed consent elements of the intended research project and must approve an informed consent document to be signed by the subjects of the project. The IRB will also review any potential conflicts of interest involving research.

6.6 Policy on the Care and Use of Animals

At this time, CMC supports the use of animals in research only by faculty assigned to the W.M. Keck Science Department.

The use of animals in research is subject to federal and state statutory controls and ethical considerations. Additionally, faculty members of the W.M. Keck Science Department are subject to the regulations imposed by the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals. All investigators must receive written approval from the Institutional Animal Care and Use Committee (IACUC) before beginning any research involving the use of animals.

Other Claremont McKenna College faculty members who are interested in conducting research using any animal species must contact the Dean of the Faculty who will work with the faculty member and Keck IACUC to determine whether that research will be allowed, how the research will be supported, including animal care protocols and facilities, and how the research will be monitored in ways that comply with all federal, state, provincial, and local laws and regulations.

Updated October 26, 2012

6.7 Policy on Indirect Cost from Federal Grants

Claremont McKenna College will allocate up to 25% of the annual indirect costs of a federal grant back to the principal investigator. These funds can be carried forward indefinitely after the end of the grant and cannot be carried to another institution. Keck Science grants are regulated by Keck Science Department policies.

The principal investigator may use the money, with the approval of the Dean of the Faculty, for library, support personnel, equipment and general professional development. The money cannot be used for additional compensation for the principal investigator. 

Updated July 27, 1998

6.8 Policy on Research Time Allocation for Federal Grants

Faculty may devote up to three summer months to conduct grant-supported research, depending upon any restrictions imposed by the granting agency. Faculty summer salary compensation from the grant is generally based on their nine-month academic salary in the current academic year, prorated at 12/9ths or 33.33 percent in addition to their current salary. Fringe benefit rates for summer salary do not include the cost of health insurance since it is already paid for but may include retirement benefits.

Faculty time devoted to grant-supported research can be as high as 45 percent across all grant-funded projects in any Fiscal year. Based on a 12-month year, up to 25 percent time is available in the summer. An additional 20 percent of a faculty member’s time during the academic year is available for research. For teaching time that may be covered by grants, please see the Course Buyout Policy .

6.9 Policy and Procedures for Allegations of Research Misconduct

6.9.1 Introduction

Claremont McKenna College is committed to ensuring integrity in the conduct of all research by its faculty, students, and staff. The following policy applies to all research activities, funded or not, conducted under the auspices of CMC. The policy applies to all persons employed by, affiliated with, or under the control of the College such as faculty members, staff, students, post-doctoral fellows, researchers, collaborators, consultants, technicians, and those utilizing the College’s Institutional Review Board procedures for research projects regardless of whether they are employed by, under the control of, or formally affiliated with CMC.

In order to ensure the highest levels of professional conduct in all of its research activities, CMC will use the following policy to inquire into, investigate, and adjudicate fairly all instances of alleged misconduct and comply in a timely fashion with all government agency requirements for reporting on cases of possible misconduct when sponsored research project funds are involved. Any significant variations from this policy may be permitted only with the express approval of the Vice President for Academic Affairs and must only be done when the best interests of the College and/or the federal agency warrant.

6.9.2 Definitions

Research misconduct includes, but is not limited to:

Abuse of Confidentiality, which includes the expropriation or abuse of ideas and preliminary data obtained during the process of editorial or peer review of work submitted to journals or in proposals for funding by agency panels or by internal committees at the College such as the Research Committee. It also covers the expropriation and/or inappropriate dissemination of personally-identifying human subject data. It does not include honest error or differences in interpretations or judgments of data, or of regulatory and other standards.

Allegation means any written or oral statement or other indication of possible misconduct made to a College official.

Complainant means the individual(s) who submits an allegation of misconduct and/or retaliation.

Conflict of interest means the real or apparent interference of one individual’s interests with the interests of another individual or of the College, where potential bias may occur due to prior or existing personal or professional relationships.

Deciding Official means the College official who makes final determinations on allegations of misconduct and any responsive College actions. At the College, the Deciding Official is the Vice President for Academic Affairs.

Fabrication, falsification or misrepresentation of data, including (a) reporting experiments, measurements, statistical analyses, or other studies never performed; (b) manipulating or altering data or other manifestations of the research to achieve a desired result; (c) falsifying or misrepresenting background information, including biographical data, citation of publications, or status of manuscripts; and (d) selective reporting, including the deliberate suppression of conflicting or unwanted data.

Good faith allegation means an allegation made with the honest belief that misconduct may have occurred. An allegation is not in good faith if it is made with reckless disregard for, or willful ignorance of, facts that would disprove the allegation.

Inquiry means gathering information and initial fact-finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.

Investigation means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred, and, if so, to determine the responsible individual and the seriousness of the misconduct.

ORI means the Office of Research Integrity, the office within the U.S. Department of Health and Human Services (“DHHS”) that is responsible for the misconduct and research integrity activities of the U.S. Public Health Service.

Plagiarism is the taking and use of another’s work as one’s own.

Research Integrity Officer means the College official responsible for assessing allegations of misconduct and determining when such allegations warrant inquiries and for overseeing inquiries and investigations. The Research Integrity Officer is an Associate Dean of the Faculty, unless there is a conflict of interest, in which case the Dean of the Faculty will appoint another faculty member.

Research record means any information in an electronic data device or any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of misconduct. A research record includes, but is not limited to, grant or contract applications, whether funded or unfunded; grant or contract progress and other reports; laboratory notebooks; notes; correspondence; videos; photographs; slides; biological materials; computer files and printouts; manuscripts and publications; equipment use logs; laboratory procurement records; animal facility records; human and animal subject protocols; and consent forms.

Respondent means the individual against whom an allegation of misconduct is directed or the individual whose actions are the subject of the inquiry or investigation. There can be more than one respondent in any inquiry or investigation.

Retaliation means any action that adversely affects the employment or other College status of an individual, that is taken by the College or an employee of the College, because the individual has made a good faith allegation of misconduct or of inadequate College response thereto or has cooperated in good faith with an Inquiry or an investigation of such allegation.

6.9.3 Responsibilities

If any person believes in good faith that an individual subject to this policy is involved in misconduct, that person should meet with or write the Associate Dean of the Faculty in the Associate Dean’s capacity as the Research Integrity Officer to share the complaint about alleged misconduct. If the Associate Dean determines there is sufficient cause to begin an initial inquiry, the Associate Dean must inform the person alleging misconduct that, as Research Integrity Officer, the Associate Dean must submit an allegation to inquiry even if the complainant chooses not to do so. Any person who is not comfortable bringing a complaint to the Associate Dean may report it anonymously through CMCListens. All individuals subject to this policy have an obligation to cooperate with the Research Integrity Officer in inquiries and investigations. Individuals should be afforded confidential treatment to the extent possible. Respondents may consult with legal counsel and others to seek advice and may have them present for meetings or interviews as observers but not as participants.

6.9.4 Procedures for Handling Allegations

6.9.4.1 Inquiry Phase

Once an allegation of misconduct has been submitted to the Research Integrity Officer, the Officer will appoint a three person Research Standards Inquiry Committee to determine whether there are sufficient grounds to conduct a subsequent Investigation. The Research Standards Inquiry Committee members should be free of any real or apparent conflicts of interest and must make every effort to be objective and fair. The Committee will receive a written charge from the Research Integrity Officer describing the allegations and indicating that the role of the Committee is not to determine that misconduct has occurred, but to determine whether there is sufficient evidence to indicate that an investigation is warranted. The Committee will normally interview the complainant, the respondent, and witnesses as well as examine any data or materials pertinent to the allegation. The Committee may employ whatever outside assistance, legal or otherwise it deems appropriate to the inquiry. The inquiry should be completed within 60 days unless circumstances warrant a longer period. Upon completing its inquiry, the Committee will prepare a written report identifying the evidence reviewed, summarizing the various interviews conducted, and stating the conclusion of the inquiry as to further action. The respondent shall be given a copy of the report and shall have ten days to comment upon it in writing. Any comments by the respondent shall become part of the record.

Within thirty days of the completion of the inquiry, the Research Integrity Officer shall transmit the inquiry report to the deciding official, normally the Vice President for Academic Affairs. The deciding official will determine whether there is sufficient evidence of possible misconduct to justify an investigation. The Research Integrity Officer will notify the complainant and respondent in writing of the determination. If applicable, the Research Integrity Officer will notify all appropriate College officials, sponsoring agencies, and ORI in writing of the pending investigation.

6.9.4.2 Investigation Phase

The deciding official will appoint a Research Standards Investigation Committee of five full-time tenured faculty members who should be free of any real or apparent conflicts of interest and must make every effort to be objective and fair. The Committee will receive the inquiry report; interview the complainant, respondent, and witnesses; and employ whatever outside expert assistance as appropriate including legal and expert opinions. The Research Integrity Officer will define the issues in a written charge to the Committee and will convene the first meeting of the Committee which will then select its own chair. The Committee is to evaluate the evidence and testimony it receives and determine whether, based on a preponderance of the evidence, research misconduct occurred and, if so, to determine who was responsible, and its seriousness. To the extent possible all proceedings will be confidential and the meetings of the Committee will be closed.

The Committee will file a written report of its findings with the Research Integrity Officer. The report will describe the procedures under which the Committee conducted its investigation, who provided information, a detailed description of the testimony and evidence obtained, and how the testimony and evidence support the Committee’s findings. A finding of misconduct requires that it be based on a preponderance of the evidence, that there was a significant departure from accepted research practices of the relevant research community or discipline, and that the misconduct was committed intentionally, knowingly, or recklessly. It will also include the actual text or an accurate summary of any statements by any individual/s found to have committed misconduct. The report will include an advisory recommendation for actions to redress the misconduct. The Research Integrity Officer will provide a copy of the draft report to the respondent who will have ten working days to make any written comments which will be attached to the final Investigation report. The final report will be transmitted to the deciding official. If applicable, the Research Integrity Officer will also notify all appropriate College officials, sponsoring agencies, and ORI in writing of the pending investigation. Investigations should normally be completed within 120 days of the first meeting of the Research Standards Investigation Committee. If the Investigation is to take more than 120 days, the Committee should write an interim report and request an extension from the deciding official.

6.9.4.3 Determination Phase

The deciding official will review the report and ordinarily make a determination within 30 days. The deciding official determines whether misconduct occurred and what actions are to be taken as a result, including any sanctions. Such sanctions may include but are not limited to withdrawal of all pending or published abstracts and papers emanating from the research where misconduct was found, removal of the responsible person from the project involved, restitution of funds, a letter of reprimand, special monitoring of future work, probation, suspension, salary reduction, and steps leading to possible reduction in rank, or termination for cause, provided such steps are consistent with the procedures established in the Faculty Handbook. Where no misconduct was found to have occurred, the Research Integrity Officer will notify all appropriate parties after consultation with the respondent to restore the reputation of the respondent. If it is determined by the deciding official that the Complainant brought forward unsubstantiated allegations of misconduct under malicious or dishonest circumstances, appropriate disciplinary actions may be initiated against the complainant.

6.9.5 Appeal

The respondent may appeal any determination by the deciding official to the President of the College within 30 days. Such appeals must be based solely on a failure to follow procedures. In cases where new evidence is brought to the attention of the President, the President may decide whether the matter should be referred back to the original Research Standards Investigation Committee.

The above policy is required by Federal Law.

6.10 Policy on Intellectual Property

Claremont McKenna College (CMC) encourages the production of creative and scholarly research, works and inventions, known broadly as intellectual property, among faculty, students and staff. The products of this scholarship may create rights and interests on behalf of the creator, author, inventor, public, sponsor and CMC. The purpose of this policy is to support and reward scientific research and scholarship, and help faculty, students and staff identify, protect, and administer intellectual property matters and define the rights and responsibilities of all involved.

1. Application of Policy

The policy applies to works created by all classifications of faculty, staff and students of CMC and to non-employees such as consultants and independent contractors, who create works on behalf of CMC, unless a written agreement exists to the contrary.

2. Identification of Intellectual Property (“Intellectual Property”)

Intellectual property shall consist of the following:

(1) Copyrightable material produced from creative and scholarly activity, such as text (manuscripts, manuals, books, and articles); videos and motion pictures; music (sound recordings, lyrics, and scores); images (print, photographs, electronic, and art); and computer software (programs, databases, web pages, and courseware); and

(2) Patentable works such as patents (processes, machines, manufactures, or compositions of matter); devices; and software excluded from copyrighted materials; and

(3) Trademarked materials, such as words, names, symbols or logos, domain names, trade dress, and slogans or any combination of words which has been adopted by CMC to identify itself and to distinguish itself and its sponsorship from others.

(4) Trade Secrets.

3. Ownership and Use

(1) General Rule

Keeping with the view that one of CMC’s primary benefits to society is the production of original works by its employees and students, and in order to best encourage such activity, it is the general policy of CMC that Intellectual Property shall be the property of the author or creator. CMC may assert ownership rights to Intellectual Property developed under circumstances set forth further below.

To qualify as “substantial College assistance,” the College’s participation in or developmental activity leading to intellectual property must be material, significant, and beyond the resources normally provided to individual employees, staff members, and students. Without limiting the foregoing, the College does not regard the College’s provision of normal and customary compensation, student financial aid, library resources, office or laboratory facilities, office staff or laboratory support, telecommunications facilities, individual personal computers, and ordinary and reasonable access to the College’s computer network and websites or similar College-provided electronic communication tools used for non-commercial scholarly pursuits, as constituting “substantial College assistance.”

(2) Patentable Intellectual Property

Responsibility for Disclosure of Patentable Intellectual Property

CMC personnel who alone or in association with other entities create or intend to create patentable subject matter with any substantial use of CMC resources must disclose the matter and obtain prior authorization from the Office of the Dean of the Faculty (or designee). Such disclosure shall be made when it can be reasonably concluded that a patentable subject matter has or will be created, and sufficiently in advance of any publications, presentation, or other public disclosure to allow time for possible action that protects rights to the intellectual property for the creator and CMC. Creators are encouraged to seek the advice of the Dean of the Faculty (or designee) in determining whether the subject matter is patentable or whether CMC desires to pursue patenting the matter. If CMC decides not to invest in a patent application, the faculty member may proceed with no obligation to share resulting income with the College.

Determination of Rights to Patentable Subject Matter

Except as set forth below, the creators of patentable intellectual property shall retain their rights, and CMC shall not assert ownership rights. CMC will assert ownership rights to patentable intellectual property developed under any of the following circumstances:

• Development was funded by an externally sponsored research program or by any agreement which allocates rights to CMC.
• Development required substantial use of CMC resources.
• The creator was assigned, directed, or specifically funded by CMC to develop the material.
• Material was developed by administrators or staff in the course of employment duties and constitutes work for hire under US law.

(3) Other Intellectual Property

Responsibility for Disclosure of Intellectual Property

In contrast to historical business practice, the tradition of academic institutions is to give faculty members the right to retain ownership of their Intellectual Property. This policy protects that traditional right, and faculty are not obligated to disclose the creation of these materials, even when the product might have commercial value, unless the material was developed under one of the qualifying conditions listed in the next section in which case the creator is responsible for timely disclosure. However, faculty are encouraged to disclose any protectable material that has commercial value to the extent that they may wish assistance in copyright protection and marketing in exchange for profit sharing with CMC. All disclosures should be made to the Office of the Dean of the Faculty.

Determination of Rights to Intellectual Property

Except as set forth below, the creators of Intellectual Property shall retain their rights, and CMC shall not assert ownership rights. However, creators will be expected to grant non-exclusive, royalty-free, perpetual licenses to CMC for Intellectual Property that is developed for CMC courses or curriculum, guaranteeing that CMC has the right to continued use of such material for educational purposes at CMC without charge. CMC may assert ownership rights to Intellectual Property developed under the following circumstances:

• Development was funded as part of an externally sponsored research program under an agreement which allocates rights to CMC.
• A faculty member was assigned, directed, or specifically funded by CMC to develop the material, and CMC has negotiated an understanding or formal contract with the creator.
• Material was developed by administrators or other non-faculty employees in the course of employment duties and constitutes work for hire under US law.
• Development required substantial use of CMC resources. Any income from books, papers, or computer programs are assigned in full to faculty members, except that the College may expect that substantial College assistance in developing the material will be reimbursed to the College. 

(4) Intellectual Property Developed Under Sponsored Research Agreements

Ownership of Intellectual Property developed pursuant to an agreement with any sponsor will be governed by the provisions of that agreement. Sponsored research programs funded by private sponsors will generally provide for CMC to retain title to all intellectual property that arises in the course of the research program with the sponsor retaining an option to acquire commercialization rights through a separate license agreement. Government and nonprofit sponsors generally allow rights to intellectual property that arises from the research program to vest with CMC, subject to certain retained rights held by the federal government. 

(5) Special Agreement

The overriding principle underlying this Intellectual Property Policy is to encourage creativity and inventiveness, so CMC reserves the right to allow some flexibility in applying this policy on a case-by-case basis. In such cases, ownership and use of materials developed pursuant to a special agreement between CMC and the creator/author will be governed by the principles of that agreement.

4. Administration

Office of the Dean of the Faculty

The Policy on Intellectual Property shall be administered by the Office of the Dean of the Faculty and the stated terms and provisions of the policy shall be determined and interpreted by the Dean of the Faculty.

Intellectual Property Review Committee

In implementing this policy, an ad hoc Intellectual Property Review Committee shall (1) review policy provisions from time to time, as needed, with recommendations for change or amendments to the Dean of the Faculty; (2) serve as a non-binding decision-making body in the case of any dispute relating to this policy; (3) review other issues as requested by the Office of the Dean of the Faculty or other interested parties. The Intellectual Property Review committee shall consist of the Dean of the Faculty or designee and four tenured or tenure-track faculty members appointed by the Dean of the Faculty.

Dispute Resolution

In the event a party does not accept the non-binding decision of the Intellectual Property Review Committee with regard to a dispute, that party can request a binding arbitration by a panel of three arbitrators pursuant to, and administered by, the America Arbitration Association. This decision will be final.

Changes to Policy

CMC reserves the right to change this policy from time to time. The Dean of the Faculty will normally consult with the Intellectual Property Review Committee regarding proposed changes to the policy. However, the President has the sole authority to present recommendations to the Board of Trustees for changes to this policy. 

5. Royalties

All revenues derived from CMC-owned Intellectual Property including electronic media will be received and administered by the Office of the Dean of the Faculty. For each specific piece of Intellectual Property owned by CMC, costs incurred in the process of perfecting, transferring, and protecting CMC rights to the property paid by CMC will first be deducted from the gross income available before distribution. An accurate accounting of all such costs shall be made available to the author/creator upon request. The distribution of net proceeds (income less all costs including that of an agency engaged to provide patent administration services) that is received from CMC-owned Intellectual Properties shall be shared equally between the creator and CMC absent agreement otherwise. CMC and/or creator may, in appropriate circumstances, take equity positions in companies licensed to market or use Intellectual Property. 

6. Use of CMC Names/Logos

Faculty, staff, and students may use the CMC name and logos to identify themselves (John Doe, Professor of History, Claremont McKenna College). CMC name(s) and logos shall not be used by individuals or entities in a manner that implies institutional endorsement or responsibility for particular activities, products, or publications involved, for commercial purposes, or by any individual or group promoting itself, without the express written permission of the Dean of the Faculty consistent with CMC’s Trademark Policy.

*This policy was substantially adopted from Washington and Lee University Intellectual Property Policy, which itself included many portions that were taken from the same or similar provisions in the policies of Tufts University and Lehigh University. Portions were also adapted from the Intellectual Property Policy of the University of Denver.

Approved by Faculty, February 8, 2008

6.11 Copyright Policy of the Claremont Colleges

I. Introduction

The Copyright Policy of the Claremont Colleges affirms each institution’s commitment to comply with the United States law pertaining to copyright; to respect faithfully the property rights of authors and their assignees; to educate members of the campus community about copyright law; and to exercise vigorously the rights and responsibilities granted under this law.

Therefore this policy encourages all members of the community to publish their papers, books, and other works in order to share their knowledge openly with colleagues and the public. The policy adheres to the long-standing academic tradition that creators of works own the copyrights in works resulting from their scholarly, pedagogical, and creative activities. This principle is the foundation for our policy on copyright.

This principle also underlies the commitment of the Claremont Colleges to fostering an environment of respect for and responsible use of the intellectual property of others. The Claremont Colleges are committed to helping members of the community comply with copyright laws by providing resources to help individuals make informed, careful, and situation-sensitive decisions about the lawful and fair use of work created by others.

Not to over simplify the issue, but when considering the copying of any original work, determine whether:

1. the work is protected by copyright,
2. the work is available under a license agreement, or
3. whether the intended use qualifies as a fair use, as determined using a case-by-case four-factor analysis.

If the intended use is not a fair use, then seek permission from the copyright owner.

II. Application

This policy applies to all faculty (including those on temporary appointments), staff, and students of the Claremont Colleges.

III. Copyright Ownership and Royalty Distribution

Policies governing copyright ownership and the distribution of income from royalties are the purview of each of the Claremont Colleges.

IV. Library Exemption

Section 108 of the Copyright Act sets forth specific circumstances under which a qualifying library may reproduce materials or portions of materials. Such reproductions are deemed so necessary and reasonable to the functioning of these libraries and to balance the exclusive rights of the copyright holder that prior permission of the copyright holder is not required. In addition to Section 108 rights, a library may also exercise fair use rights under Section 107.

As a “qualifying library” The Libraries of the Claremont Colleges qualify for the exemptions in Section 108 of the Copyright Act and as such have developed policies to implement those exemptions. Those policies and accompanying procedures are published on The Libraries website.

V. Use and “Fair Use” of Copyrighted Words

A. Compliance with Copyright Laws

The Claremont Colleges expects all faculty, staff and students to make a reasonable effort in good faith to comply with copyright laws in their use of copyrighted materials.

B. Fair Use of Copyrighted Works

The Claremont Colleges encourage faculty, staff and students to take full advantage of the “fair use” exception to the exclusive rights of copyright owners. Before relying on the fair use exception, faculty, staff, and students should educate themselves regarding the limits of fair use and should, in each instance, perform a careful, good faith fair use analysis based on the four factors identified in Section 107 of the federal Copyright Act. Faculty, staff and students are strongly encouraged to document their fair use analyses as a defense against claims of copyright infringement. It is recommended that the Fair Use Checklist available on this site be used for this purpose and that this completed form be kept for three years following the date of the last use of the copyrighted item.

C. Assistance with Copyright Compliance

Because of the complexity of copyright law and, in particular, the fair use exception, the Claremont Colleges will provide resources to educate faculty, staff and students and help them make informed, careful and situation-sensitive decisions about the lawful and fair use of works created by others.

D. Violation of Copyright Laws

Upon obtaining knowledge that material residing on its systems or networks is infringing or that its systems or networks are being used for infringing activities (or upon becoming aware of circumstances from which infringing activity is apparent), the respective institution will act expeditiously to remove or disable access to the infringing materials and may deny the individuals responsible further access to its systems or networks as determined by policies specific to each institution. In addition, members of faculty or staff or students or other employed persons who willfully disregard or violate copyright law may be subject to disciplinary action by the respective College in accordance with applicable disciplinary policies and procedures of that institution.

VI. Certification of Permitted Use

Individual faculty members are responsible for understanding the Colleges’ copyright policy and shall be accountable for actions that willfully disregard it. The Claremont Colleges’ responsibility in this area is to provide faculty members access to resources that allow determination of permitted uses. Faculty are responsible for consulting that information and applying it in accordance with the law. The information contained on the consortial copyright website includes tools to assist faculty in making judgments about permitted uses of copyrighted materials.

A. Role of Administrative Assistants

At no time will an administrative assistant reproducing or circulating copyright-protected material in accordance with a faculty member’s or supervisor’s written or verbal instructions be assumed liable for any failure to adhere to copyright law. This protection does not apply to material distributed or reproduced by administrative assistants without the instruction, written or verbal, of a faculty member or supervisor, or to material distributed or reproduced by administrative assistants in a manner that does not reflect such instruction.

B. Role of Student Employees

At no time will a student employee who is reproducing or circulating copyright-protected material in accordance with a faculty member’s or an administrative assistant’s written or verbal instruction be assumed liable for any failure to adhere to copyright law. This protection does not apply to material distributed or reproduced by a student without the instruction, written or verbal, of a faculty member, or to material distributed or reproduced by a student in a manner that does not reflect such instruction.

C. Administrative Assistants, Student Employees, Administrative Staff

When employees, including administrative assistants and student employees operating in the capacity of academic or administrative support, carry out instructions by faculty or supervisory personnel to copy or otherwise reproduce or distribute copyright-protected material, the College understands that the staff member or student employee has assumed no liability for ensuring compliance with copyright law. If, however, any employees believe that tasks they are instructed to carry out are not in compliance with copyright law, they may pursue the following options:

1. seek written certification of compliance from the originator of the task;
2. seek guidance from a supervisor who did not originate the task;
3. request that the faculty or supervisory personnel obtain permission from that employee’s supervisor to carry out the task.

In all cases when administrative assistants, student employees in an academic support role, or other employees make a determination to reproduce or distribute copyright-protected material on their own initiative, they are expected to inform themselves of the policy of the Claremont Colleges for copyright compliance and conform to that policy. The copyright website of the Claremont Colleges includes tools to help any such employee make judgments about permitted uses of copyrighted materials.

VII. Administration and Copyright Policy

A. Implementation of the Policy

Each of the Claremont Colleges will develop procedures and communications to inform faculty, staff and students about this policy.

B. Use and “Fair Use” of Copyrighted Works

Each institution will adopt procedures to implement the “Fair Use” section of this policy.

C. Amendment

The Claremont Colleges, under the auspices of the Academic Deans Committee, may amend this policy from time to time as it deems necessary or desirable, subject to applicable statutory and contractual restraints.

Chapter Revised by the Faculty December 14, 2018