Keck Science Handbook Section 3 Teaching and Research

3.1 Teaching Loads

3.2 Service Expectations for New Tenure-Track Faculty Members

3.3 Restrictions on Faculty and the Keck Science Colleges

3.4 Research Support and Facilities

3.5 Human Subjects in Research

3.6 Use of Animals in Research

3.7 Statement on Scientific Integrity

3.8 Policy on Intellectual Property

3.1 Teaching Loads

3.1.a Normal Teaching Loads

The normal teaching load for Keck Science faculty members is 15 credits per year. One credit is given for each “hour” of lecture and each hour of lab taught per week in a course, except for lab sections where no preparation of the laboratory by the faculty member is required. In those courses, faculty receive 2/3 credits for each hour of laboratory per week. 

With the approval of the Keck Science Dean, each instructor in a team-taught course may receive up to full credit for the course when both instructors are present at all lectures. Normally this requires instructors to show a special reason for the course to be team-taught–e.g., when instructors from two separate disciplines are required. Faculty wishing to team teach should make requests to the Keck Science Dean in the spring for courses to be taught in the following year. 

Faculty teaching assignments are determined each year by each discipline in consultation with the Keck Science Dean. In addition, the Dean monitors faculty teaching assignments to ensure a fair distribution of teaching loads across the department. It is expected that a faculty member will normally teach a variety of courses over the years.  

Before teaching assignments are finalized, the Keck Science Dean confers with the discipline conveners as a group to discuss course needs for the Keck Science Colleges (e.g. Natural Science courses and non-Keck Science courses) as well as the needs for the Keck Science majors.

3.1.b Research Supervision and Overloads

Providing opportunities for student research is an important role for every Keck Science faculty member. Although teaching credit is not awarded for supervision of Senior Thesis research or direction of Independent Studies, records of this work are maintained by the department for each faculty member. Tenured faculty members are encouraged not to supervise more than five two-semester Senior Thesis projects per year. Untenured faculty members are limited to a maximum of three two-semester first readerships and a total of four first readerships.

Subject to the provisions of any relevant appointment contracts, Keck Science faculty members may not teach an overload during the fall and spring semesters without permission of the Keck Science Dean, whose permission may only be given in the case of an emergency such as the illness or resignation of another faculty member, an unexpected over-enrollment, or a financial exigency in the case of the requesting faculty member. 

3.2 Service Expectations for New Tenure-Track Faculty Members

New Keck Science faculty members, if hired at the Assistant Professor level, normally teach the equivalent of four courses (12 credits) in their first year. Also, in keeping with practices at the Keck Science colleges, in their first year newly hired faculty members are not asked to serve on any college committees and have no advisees assigned to them. In a new faculty member’s second year, the teaching load reverts to the normal five course-equivalent load for Keck Science faculty members described in Section 3.1, and the faculty member may be assigned advisees. In addition, prior to tenure, Keck Science faculty members are eligible for assignment to college committees but not for service as chairs of committees. Service responsibilities within the Keck Science Department during the first six years should be discussed with the Keck Science Dean and the faculty member’s mentor.

3.3 Restrictions on Faculty and the Keck Science Colleges

3.3.a Restrictions on Faculty 

Full-time faculty members are expected to have no outside obligations, financial interest, or other activities that conflict or interfere with their primary, commitment to the Keck Science Department. The department recognizes the importance of faculty consulting as an activity that advances the competence and professional expertise of faculty members by keeping them abreast of the latest developments in their fields. However, such consulting work should not involve an average of more than one day per week while the Colleges are in session.

Subject to the provisions of any relevant appointment contracts, Keck Science Faculty may not teach an overload during the academic year without permission of the Keck Science Dean, whose permission may only be given in the case of an emergency such as the illness or resignation of another faculty member, an unexpected over-enrollment, or a financial exigency in the case of the requesting faculty member. 

The Department also strongly discourages full-time faculty from teaching courses at other institutions for compensation during the academic year. Approval to do so must be obtained from the Keck Science Dean and will be given only in cases of serious financial exigency of the faculty member or an unusual need of another Claremont College to fill a temporary faculty shortage to cover a specific course.

3.3.b Restrictions on the Keck Science Colleges

In order to ensure appropriate staffing of the Keck Science curriculum, the Keck Science Colleges are subject to the following restrictions regarding the teaching of courses outside the Keck Science curriculum: 

• Each College is permitted to have Keck Science faculty members teach up to two courses outside the Keck Science curriculum (the non-Keck Science Course Limit). Each College Dean must submit a request to the Keck Science Dean by January 30th for any courses to be taught by Keck Science faculty members at their campus during the following academic year.
• If a College wants more than the non-Keck Science Course Limit to be taught by Keck Science faculty members, the College will pay to the Keck Science program 15% of total compensation of the faculty member for each additional course. These payments shall be used to fund the Keck Science faculty salary pool in order to support the replacement of the lost courses.

The Keck Science ADC is to review the non-Keck Science Course Limit on a periodic basis.

3.4 Research Support and Facilities

Every effort is made by the Keck Science Department to provide support for research by tenured and tenure-track faculty members. This includes provision of computers, necessary laboratory space and equipment, opportunities to apply for modest internal research grants administered by the department, and assistance in seeking outside research grants. In addition Keck Science faculty members receive Individual Faculty Accounts (IFAs) each year that can be used for travel, research related expenses, and other expenses not covered by the department in that year.

3.4.a Space Allocation Policy

Allocations of space are made by the Keck Science Dean after consultation with the Budget Committee (which includes the three discipline conveners). The shortage of space for the Keck Science Department requires everyone to use space as efficiently as possible. The following guidelines indicate the space priorities:

• All tenured and tenure-track faculty members should have individual offices and shared or individual research space. However, they should consult with the Keck Science Dean about their need for office and lab space during sabbatical leaves.
• Visiting faculty members may request research space from the Keck Science Dean for themselves and for students working with them. The Keck Science Dean will determine the availability of suitable space after consultation with the Budget Committee and any faculty members whose research space might be affected.
• Space for support staff is allocated by the Keck Science Dean after consultation with the Keck Science Budget Committee.

3.4.b Individual Faculty Accounts

All Keck Science tenured and tenure-track faculty members, regardless of the college to which they are assigned, receive an Individual Faculty Account (IFA). Faculty members may draw on this fund for a variety of research and teaching expenditures (other than salaries) including, but not limited to, the following:

• travel, room, and board for activities in direct support of research and/or teaching such as professional conferences;
• purchase of books, journals and professional memberships as needed for research and/or teaching;
• equipment needed for research and/or teaching;
• payment of costs associated with the publication of articles or books.

The following policies apply to these funds:

• Each faculty member is responsible for maintaining a record of expenses from this fund, although records are also maintained in the department office.
• Funds not spent by June 30 may not be carried over into the next academic year.
• Funds are awarded to faculty members while on sabbatical leaves, but not while on leaves without pay.
• Faculty must follow the guidelines for reimbursable expenses set by the CMC Treasurer’s office and currently maintained in CMC’s Reimbursement Policy .
• The Keck Science Dean has final authority over all questions involving expenses or reimbursements.

The amount of funding for Keck Science IFAs is set annually and matches the amount allocated to faculty members at CMC.

In addition, Keck Science faculty members may be eligible for faculty teaching, research, and service awards at the Keck Science Colleges. 

3.4.c Internal Departmental Resources for Faculty and Staff

3.4.c.1 Keck Grants

A grant from the W. M. Keck Foundation to each of the Keck Science Colleges created an endowment that the department administers for the purpose of supporting research by faculty members and students in the Keck Science Department. Funds are awarded on a competitive basis by the Keck Science Budget Committee. Application forms may be obtained from the Keck Science Office and must be submitted to the Keck Science Dean. Full time, tenured or tenure-track faculty members and staff may apply for the following types of Keck grants: 

• large grants (funding requests greater than $1,500 with a maximum of $15,000). Payment of the largest grants may be spread over three years. Once a large grant is awarded the recipient is not eligible to apply for another large grant until the term of the first grant has expired. Approximately $15,000 is available for large grants each year.
• small grants (funding requests greater than $500 but less than or equal to $1,500). Faculty members may apply for small grants annually. Approximately $10,000 is available for small grants each year. 

In addition, all faculty and staff may apply for:

• mini grants (funding requests of $500 or less).

Examples of the types of items and activities for which Keck grant funds may be used are research supplies and equipment, wages for student assistants (work-study preferable), computer hardware and software, books, photocopying costs, reprints and page charges associated with publication, and mileage charges for field work. Regardless of the type of grant, Keck funds may not be used for travel to professional meetings, registration fees at meetings, or salary. 

3.4.c.2 Guidelines for Applications for Large and Small Keck grants

Proposal application forms may be obtained from the Keck Science office. Applications should contain the following information: 

• a detailed description of the proposed project including its value to the field of study and to the Claremont Colleges and its relationship to the applicant’s total research effort;
• a detailed budget with justification provided for capital equipment requests, i.e., items that cost more than $500;
• a timetable by which various phases of the project are expected to be completed, and
• an indication of the availability of (or the application for) funds from other sources in support of the proposed or related projects.

Applications for large and small grants are due at the end of the second week of the spring semester.

All awardees are required to submit to the Keck Science Budget Committee an annual report of the research funded by a Keck grant and the uses to which the funds were put. These reports are due by the end of August in the year in which the award was made. 

Grants once awarded should be spent during the award period. One six-month extension may be granted by the Budget Committee. Unspent funds are used to make new grants. 

3.4.c.3 Guidelines for Applications for Mini Keck Grants

All faculty and staff members, including those with part-time or visiting positions, may apply for mini grants at any time. The maximum value ($500) may be prorated for part-time personnel based on teaching load. Applicants must submit a one-page description of the project and an itemized budget to the Keck Science Dean. Applications are considered by the Budget Committee at the earliest opportunity. A brief summary report of how funds were used and the work that was completed is due by the beginning of the next academic year. 

3.4.d Faculty Travel in Support of Student Research

All Keck Science faculty are eligible to apply for funds to reimburse travel, room, and board expenses up to a maximum of $1,000 per year incurred in direct supervision of student research at off-campus sites. Proposals requesting such support, based on estimated costs, must show that the need for travel is established by the student project, rather than by a faculty project on which a student happens to be working. Any proposal for a travel allowance should be submitted to the Keck Science Dean and must be approved by the Budget Committee. Reimbursement will follow submission of receipts and will be made from Keck funds.

3.4.e Extramural Funding

Faculty members are strongly encouraged to seek extramural funding in support of their research from public and private external sources. Faculty members may request summer salary for themselves and for students as well as funds for equipment, supplies and travel. It is also permissible to use extramural funds to support graduate students, post-doctoral fellows, or support staff. Please observe the following policies for proposals:

• Any salary requests for faculty, staff, or students should also include funds for fringe benefits using the standard college percentages.
• When permitted, all proposals should include provision for indirect cost recovery in the budget, using the rate established for CMC.
• All proposals by Keck Science faculty members should be submitted through CMC unless an alternative process is approved by the Keck Science Dean.

In addition, faculty members are encouraged to complete their work on proposals well before any program deadlines, since there are often delays in obtaining documentation, approvals, and signatures that may be required.  

The Keck Science Dean, the Keck Science staff, the Development Offices at each of the Keck Science Colleges, and the Keck Science Research Office all can assist faculty members in

• identifying possible sources for research support,
• preparing proposals, and
• submitting them on time.

3.4.e.1 The Keck Science Research Office

The Keck Science Research Office is under the direction of the Keck Science Dean. The goals for the office are to:  

• Provide support and assistance in seeking both College funds and external funding from government and private sources.
• Generate and maintain a grant application web page that provides information about funding resources, policies, and application procedures.
• Generate and maintain a data base for proposals submitted and grants received by the Keck Science Department.
• Maintain file copies of proposals submitted and make them available to faculty members writing new proposals.
• Work with the Department Office to maintain records of majors and alumnae/i/a that may be used in grant applications.
• Maintain institution and discipline-dependent data on facilities and support staff that may be needed for grant applications.
• Assist Principal Investigators by assembling grant applications, arranging for department or institution support letters and signatures, preparing “boilerplate” material, and reviewing budgets.
• Monitor the completion of all required steps in preparing and submitting proposals and ensure that proposals are submitted on time.
• Follow policies and procedures established by the Presidents to allocate recognition for grant awards to each of the Keck Science Colleges, and work with the PR departments at the Colleges to publicize grants.
• Assist Principal Investigators and the Treasurers’ Offices at the Colleges in managing budgets, preparing annual reports, and providing current budget statements for grants after they are received.

3.4.f Internal Departmental Resources for Students

The Keck Science Department enthusiastically encourages undergraduate students to become involved in original research. To that end, some of the income from the Keck endowment is used to support summer research in the form of Summer Research Fellowships. Approximately eight to ten fellowships, currently for $4,000, are awarded each year. All full time students are eligible to apply, although preference is given to returning students. Recipients are expected to work for approximately ten weeks during the summer at the Keck Science Center or at a field station under the supervision of a Keck Science faculty member. Applications to conduct research elsewhere or under the supervision of someone other than a Keck Science faculty member will be considered on a case-by-case basis.

Applications must be prepared by the students and are due in the Keck Science Office by the end of the week immediately following Spring Break. Application forms are available in the office and should include

• a detailed project description including the question to be addressed and the justification for that question,
• the significance of the proposed project,
• an itemized budget, and
• the name and signature of the faculty member who has agreed to supervise the project.

In addition the faculty supervisor must submit a recommendation letter in support of the project.

Students may also apply to the William Eaton Fund for summer research grants. This fund, established in 1973 in memory of a CMC science student, is intended to support research projects, preferably in environmental science, an area of particular interest to William Eaton. Students from all three Keck Science colleges are eligible to apply, but preference will be given to students from CMC. This fund typically supports two or three grants of approximately $4,000. The application process is the same as described above for Keck Summer Research Fellowships.

Additional sources of support for student summer research are generally available from various grants to the department, to the Keck Science Colleges, and to individual faculty members. All students who receive research grants are required to

• submit two to three page reports explaining the progress they made on their project by the end of the summer for which the grant was awarded, and
• make a presentation at the Keck Science Summer Research Symposium held early in the fall semester.

Senior thesis students working during the school year are allocated $250.00 for research-related expenses. 

3.4.g Funds Available Directly from the Keck Science Colleges

Each Keck Science college has programs that may provide funds for student research or student travel to a conference.

CMC offers funding for summer internships in the U.S. with nonprofit organizations. Students may use this funding to acquire experience with hospitals, universities, and research centers. Application deadlines are in late February. Additional information is available on the CMC Career Services website. Requests for funds to present papers or research results at conferences should be brought to the Dean of Students Office. 

Pitzer students may apply for grants (currently $250) to assist Independent Study projects, senior theses (whether required or optional), and other senior projects. They may also apply for funds up to a maximum of $500 to support travel if they are presenting papers or research results at professional meetings. There are normally two grant periods each year, one in the early fall and one in the early spring. Applications can be obtained from the Dean of Faculty’s Office, F208, and should be turned in there. 

Scripps students seeking support for research projects or for presenting papers or research results at conferences are eligible to apply for support from several potential sources. 

• The student government accepts requests for funding.
• The Motley coffeehouse has a mechanism for funding projects.
• The Scripps student investment club funds projects from its earnings.
• The Dean of Faculty’s office awards travel support to students making scholarly presentations from the Ellen Browning Scripps Fund. Students should see the Associate Dean of Faculty for information about the application process for this program.

3.4.h Summer Research in Relation to Thesis and Honors

Keck Science criteria for honors in the major include a requirement that a student complete a two-semester thesis. Under the conditions described below, a summer research project that is supervised by a Keck Science faculty member and for which a student receives a stipend will be allowed to count for the research component of a two-semester thesis, and the student who completes such work will be eligible for departmental honors provided that:

• the student is registered at CMC or Scripps (this is not an option available to Pitzer students);
• the research is undertaken between the student’s junior and senior years;
• the student enrolls in Bio/Chem/Physics 189L (a non-credit course) in the fall semester of the student’s senior year and in Bio/Chem/Physics 190L (a one credit course) in the fall (normally) or spring of the same year;
• the student writes a thesis from the work conducted the previous summer under the direction of the faculty member who supervised the work (or a faculty member in a closely related area if the supervisor is on leave);
• the student makes an oral report of the student’s summer research at the fall summer research symposium;
• the student presents a poster at the fall poster session; and
• the student attends and submits written reports of at least six science seminars during the fall semester as required of other thesis students.

Normally, thesis credit for summer research will be limited to projects done at Keck Science. Exceptions will be considered in cases where the student can show, in a written proposal submitted prior to the summer research, that there will be a close collaboration between a Keck Science faculty member and the supervisor of the project at a remote site. In addition, the Keck Science faculty member who will direct the writing of the thesis must agree to the proposal in advance and state that they feel competent to advise the student in the writing of the thesis.

3.5 Human Subjects in Research

All faculty members and students who include humans as subjects in their research, even if only to complete a survey form, are required to obtain approval from the Institutional Review Board at the appropriate college. Contact the IRB chair at CMC initially who may require approval from any other college whose students are involved. 

3.6 Use of Animals in Research

Faculty members, staff, and students are expected to provide a level of care for research animals that is consistent with the highest ethical standards. For information regarding these standards see the Public Health Service Policy on Humane Care and Use of Laboratory Animals. The department maintains an Institutional Animal Care and Use Committee (IACUC) consisting at minimum of the following members: a Keck Science faculty member who serves as chair, the department’s attending veterinarian, the Departmental Coordinator, a community member, and a student caretaker.

All research projects in which vertebrate animals will be used must be approved by the IACUC. An application form is available at the departmental web site (students/thesis). Applications for Senior Thesis research must be submitted by the end of the third week in September. Applications for summer research must be submitted by the end of the first week immediately following Spring Break.

The department maintains a small vivarium capable of housing rats and mice. Rats and mice may not be kept anywhere in the building except in the vivarium. The department is not equipped to maintain any other mammals. Birds, reptiles, amphibians and fish may also be housed in the vivarium as space becomes available. Student caretakers are hired by the department and need to be advised of any special treatment required by your research animals. Students using vertebrate animals in research are expected to contribute to their care. The animal care facilities of the Keck Science Department are located in rooms B49-54 in the lower level of the Keck Science Center.

3.6.a Vivarium Regulations

The following regulations apply for the use of the Vivarium:

• Anyone wishing to keep animals in the animal rooms should consult with the Departmental Coordinator and the chair of the IACUC before putting animals in the room.
• Any cage containing animals, or being saved for use in the immediate future, should be labeled with the name and phone number of the faculty member/student. Specific treatments given to the animals, as well as other pertinent information, should be recorded on these labels.
• Animals that are fed normal laboratory “chow” and given water ad libitum will be fed and watered by the student caretaker. Any animal receiving a special diet or watering regime must be maintained by the student conducting the experiment.
• Unless specifically designated otherwise, feces and urine collected under the cages will be removed by the student caretaker.
• Under no conditions are animals to be killed or surgically opened in the animal rooms.
• Under no condition are “wild” animals (collected in the field) to be stored without prior permission of the Departmental Coordinator or the chair of the IACUC.
• The lighting in the animal rooms is regulated by a central computer and the lights should not be turned on or off at the wall switch. The outside door to the animal room suite must be kept closed and locked at all times to maintain the controlled environment.
• Anyone observing a dead or dying animal should notify the faculty member/student to whom the animal belongs or the student caretaker.
• Anyone who receives a bite which draws blood should report the incident to the office and take note of which animal was responsible.
• Animals that die or are euthanized should be placed in labeled ziplock bags and placed in the freezer in Room 48. Periodically the carcasses are picked up by North State Environmental and delivered to NSSI/Sources and Services Inc. for authorized disposal.

If you have any questions, contact the Departmental Coordinator or the chair of the IACUC.

3.7 Statement on Scientific Integrity

(Adapted with modification from the Tri-Council Policy Statement: Integrity in Research and Scholarship by the National Sciences and Research Council of Canada and the Code of Ethics of the American Anthropological Association.)

All active members of our academic community, faculty members and students alike, are expected to uphold and actively promote the following principles in their research and scholarship. 

3.7.a Regarding Plagiarism

• Substantive contributions of collaborators and students must be recognized.
• Unpublished work of other researchers and scholars will be cited only with permission and with due acknowledgment.
• Archival material will be used in accordance with the rules of the archival source.
• Permission of the author will be obtained before using new information, concepts, or data originally obtained through access to confidential manuscripts or applications for funds for research or training that may have been seen as a result of processes such as peer review.

3.7.b Regarding Falsification

• Scholarly and scientific rigor and integrity will be observed in obtaining, recording, and analyzing data, and in reporting and publishing results.
• Authorship of published work will include all those, and only those, who have materially contributed to, and share responsibility for, the contents of the publication.

3.7.c Regarding Conflict of Interest

• Investigators must reveal to sponsors, universities, journals or funding agencies, any material conflict of interest, financial or other, that might influence their decisions on whether the individual should be asked to review manuscripts or applications, test products, or be permitted to undertake work sponsored from outside sources. (The full department policy on conflicts of interest is presented in Section 4.2 )

3.7.d Regarding Treatment of Subjects

• Investigators will recognize that researchers have primary ethical obligations to the people and species they study and to the people with whom they work.
• Investigators will ensure, to the degree reasonably possible, that their research does not harm the safety, dignity, or privacy of the people with whom they work, conduct research, or perform other professional activities. 
• Informed consent must be obtained of persons being studied, providing information, owning or controlling access to material being studied, or otherwise identified as having interests which might be impacted by the research. 

3.7.e Regarding Social Responsibility

• As warranted, investigators should consider the potential social and political implications of the information they disseminate, and attempt to ensure that such information is responsibly contextualized. 

3.7.f Complaints of Scientific Misconduct

Any member of the Keck Science Colleges’ community may bring a complaint alleging violations of scientific integrity or any other form of scientific misconduct to the Keck Science Dean. Such complaints will be investigated by the Keck Science Dean and addressed using the Grievance Procedures described in Section 4.3  of this Handbook.

3.8 Policy on Intellectual Property

The Keck Science Department encourages the production by faculty, students and staff of creative and scholarly research, works and inventions, known broadly as intellectual property. The products of this scholarship may create rights and interests on behalf of the creator, author, inventor, public, sponsor and the Keck Science Colleges. The purpose of this policy is 

• to support and reward scientific research and scholarship,
• to help faculty, students and staff identify, protect, and administer intellectual property
• to define the rights and responsibilities of all involved.

This policy follows that of CMC with changes made only to acknowledge that departmental faculty serve all three Keck Science Colleges. 

3.8.a Application of Policy

Unless a written agreement exists to the contrary, this policy applies to works created by all classifications of Keck Science faculty, staff and students and to non-employees such as consultants and independent contractors who create works on behalf of the three Keck Science Colleges.

3.8.b 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).
2. Patentable works such as patents (processes, machines, manufactures, or compositions of matter); devices; and software excluded from copyrighted materials.
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 the Keck Science Department to identify itself and to distinguish itself and its sponsorship from others.
4. Trade Secrets.

3.8.c Ownership and Use

3.8.c.1 The General Rule 

Keeping with the view that one of the Keck Science Department’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 the Department that Intellectual Property shall be the property of the author or creator. The three Keck Science Colleges  may, however, assert ownership rights to Intellectual Property developed under circumstances set forth further below which involve substantial assistance by the Keck Science Department or Colleges.

To qualify as “substantial assistance,” the Keck Science Department’s or Keck Science Colleges’ 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 Keck Science Colleges do not regard the 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 Departmental or College computer network and websites or similarly-provided electronic communication tools used for non-commercial scholarly pursuits, as constituting “substantial assistance.”

3.8.c.2 Patentable Intellectual Property

3.8.c.2.1 Responsibility for Disclosure of Patentable Intellectual Property

Keck Science personnel who alone or in association with other entities create or intend to create patentable subject matter with any use of Keck Science resources must disclose the matter and obtain prior authorization from the Keck Science Dean (or the Dean’s 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 the Keck Science Colleges. Creators are encouraged to seek the advice of the Dean (or the Dean’s designee) in determining whether the subject matter is patentable or whether one or more of the Keck Science Colleges desires to pursue patenting the matter. If the Keck Science Colleges decide not to invest in a patent application, the faculty member may proceed with no obligation to share resulting income with the Colleges.

3.8.c.2.2 Determination of Rights to Patentable Subject Matter

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

• Development is funded by an externally sponsored research program or by any agreement which allocates rights to the Keck Science Department or College(s).
• The creator was assigned, directed, or specifically funded by the Keck Science Department or Colleges 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.
• Development required substantial use of Keck Science or Colleges resources. Participation of students directly in the development, or indirectly through use and feedback that substantively influences development, constitutes significant use of resources.

3.8.c.3 Other Intellectual Property

3.8.c.3.1 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 the Keck Science Colleges. All disclosures should be made to the Keck Science Dean.

3.8.c.3.2 Determination of Rights to Intellectual Property

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

• Development is funded by an externally sponsored research program or by any agreement which allocates rights to the Keck Science College(s).
• The creator was assigned, directed, or specifically funded by the Keck Science Department or Colleges 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.
• Development required substantial use of Keck Science or Colleges resources. Participation of students directly in the development, or indirectly through use and feedback that substantively influences development, constitutes significant use of resources.

Any income from books, papers, or computer programs are assigned in full to faculty members, except that the Keck Science Department or Colleges may expect that substantial assistance in developing the material will be reimbursed.

3.8.c.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 the Keck Science Colleges 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 arise from the research program to vest with the Colleges, subject to certain retained rights held by the federal government.

3.8.c.5 Special Agreements

The overriding principle underlying this Intellectual Property Policy is to encourage creativity and inventiveness, so the Keck Science Colleges reserve 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 the Colleges and the creator/author will be governed by the principles of that agreement.

3.8.d Administration  

The Keck Science Academic Deans Committee. The Policy on Intellectual Property shall be administered by the ADC, and the stated terms and provisions of the policy shall be determined and interpreted by this body.

Dispute Resolution

The Keck Science Executive Committee serves as a non-binding decision-making body in the case of any dispute relating to this policy. In the event a party does not accept the non-binding decision of the Keck Science Executive 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

The Keck Science Colleges reserve the right to change this policy from time to time. The Keck Science Dean will normally consult with the Keck Science ADC regarding proposed changes to the policy. Such changes require the approval of the Keck Science ADC and unanimous approval of the Keck Science Presidents who may, as necessary bring the policy to their Boards for final approval.

3.8.e Royalties

All revenues derived from Intellectual Property created by Keck Science faculty and owned by the Keck Science Colleges including electronic media will be received by the Office of the Keck Science Dean and administered by the Keck Science ADC. For each specific piece of Intellectual Property owned by the Keck Science Colleges, costs incurred in the process of perfecting, transferring, and protecting rights to the property paid by the Keck Science Colleges 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 Keck Science-derived Intellectual Properties shall be shared equally between the creator and the Keck Science Colleges absent agreement otherwise. The Keck Science Colleges and/or the creator may, in appropriate circumstances, take equity positions in companies licensed to market or use Intellectual Property.

3.8.f Use of Keck Science names/logos

Keck Science Department or Colleges 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 Keck Science Dean.