Preface

In furtherance of maintaining and promoting New York University’s reputation for excellence and integrity, the Board of Trustees has promulgated this Code of Ethical Conduct, which sets forth the general principles to which we subscribe and to which we expect every member of the University--every part-time and full-time employee, faculty member, officer, trustee, overseer, and advisory board member--to adhere. These principles have been derived from federal, state, and local laws and regulations, University policies and procedures, contractual and grant obligations, and generally accepted principles of ethical conduct.

• Adherence to the Highest Ethical Standards
  
  Every member of the University shall, at all times, conduct his or her activities in accordancewith the highest professional and community ethical standards.



• Respect for and Compliance with the Law
  
  Every member of the University is expected to become familiar with those laws, regulations, and University rules which are applicable to his or her position and duties, and to comply with both their letter and spirit. The University will implement programs to further members’ awareness and to monitor and promote compliance. All questions and concerns about the legality or propriety of any action or failure to take action by or on behalf of the University should be referred to either the member’s supervisor or to the Office of Legal Counsel.



• Compliance with all Contractual and Grant Terms and Conditions
  
  Every member of the University is expected to comply strictly with the terms and conditions of each University grant and contract on which he or she is working and to provide access to records of such grants and contracts to authorized University officials upon request Questions or concerns about grant or contract terms and conditions should be referred to the Contract Office or the Office of Sponsored Programs.



• Support of the University’s Goals and Avoidance of Conflicts of Interest
  
  New York University is a not-for-profit institution which is dedicated to teaching and research.Every member of the University is expected to faithfully carry out his or her professional duties in furtherance of the University’s mission. Every member has a duty to avoid conflicts between his or her personal interests and official responsibilities and to comply with University and applicable School codes and guidelines for reporting and reviewing actual and potential conflicts of interest and conflicts of commitment. Additionally, a member may not utilize his or her position with the University for his or her personal benefit. Members are also expected to consider and avoid, not only an actual conflict but also, the appearance of a conflict of interest.



• Maintenance of the Highest Standards of Academic Integrity
  
  Every member of the University involved in teaching and research activities is expected to conform to the highest standards of honesty and integrity. Activities such as plagiarism, misrepresentation, and falsification of data are expressly prohibited. All research at the University must be conducted in strict conformity with the applicable University policies, procedures, and approvals and the requirements of all governmental and private research sponsors.



• Respect for the Rights and Dignity of Others
  
  New York University is committed to providing equal educational, employment, and health care opportunities and providing an environment which respects the dignity of students, faculty, employees, patients, and others who come into contact with the University. Every member of the University is expressly prohibited from: physically assaulting anyone; discriminating on the basis of race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis; sexually harassing anyone; and depriving anyone of rights in his or her physical or intellectual property.



• Striving to Attain the Highest Standards of Patient Care
  
  Every member of the University involved in furnishing medical and dental services is expected to provide the highest quality of services responsive to the needs of patients, their families, and the communities in which the University functions. All patient care must be reasonable, necessary, and appropriate to the situation and be provided only by duly qualified University personnel. All patient records and documentation must conform to all applicable legal and payor requirements as well as professional standards. Every member of the University is expected to protect the confidentiality of patient information.



• Maintenance and Preservation of Accurate Records
  
  Members of the University are expected to create and maintain records and documentation which fully conform to all applicable laws and professional, and ethical standards. Every member of the University who is involved, directly or indirectly, in the preparation or submission of a bill to any governmental or private payor is expected to use his or her best efforts to ensure the bill addresses only those services rendered and products delivered and in the correct amount, supported by appropriate documentation.



• Conducting Business Practices with Honesty and Integrity
  
  Every member of the University is expected to conduct all business with patients, payors, vendors, competitors, and the academic community with honesty and integrity. This duty includes, but is not limited to: adherence to federal and state anti-fraud and referral prohibitions in dealing with vendors and referral sources; adherence to all antitrust laws (such as those governing prices and other sales terms and conditions, improper sharing of competitive information, allocation of territories, and group boycotts); and protecting and preserving University property and assets--including proprietary intellectual property, buildings, equipment, books, supplies, and funds.



• Concern for Health and Safety; Respecting the Environment
  
  Every member of the University is expected, in the performance of his or her duties, to comply with all laws and regulations which govern occupational and patient health and safety and to make every reasonable effort to ensure that students, faculty, patients, employees, and visitors are protected from undue health risks and unsafe conditions.
  
  Every member of the University is expected, in the course of his or her activities: to comply with all applicable environmental laws and regulations; to ensure that the University has obtained all necessary licenses, permits, and approvals; and to employ the proper procedures and controls in the storage and handling of radioactive and toxic materials and in the handling and disposition of hazardous and biohazardous wastes.



• Reporting Suspected Violations of the Code; Enforcement of the Code
  
  This Code of Conduct has been created and exists for the benefit of the entire University and all of its members. It exists in addition to and is not intended to limit the specific policies, procedures, and rules enacted by the University and each of its Schools.
  
  Each member of the University is expected to uphold the standards of New York University and to report suspected violations of the Code or any other apparent irregularity to either his or her Supervisor, the Human Resources Department, the Director of Internal Audit, the Vice President of Finance, the School Compliance Officer, the Office of Legal Counsel, the Chief Compliance Officer, or the NYU NO CALLER ID toll-free HOT LINE (877) 360-7626. If a member prefers, he or she may make the report anonymously (by mail or by hotline). The University, will if requested, make every reasonable effort to keep confidential the identity of anyone reporting a suspected violation, to the extent permitted by law, and except if doing so would effectively prevent the University from conducting a full and fair investigation of the allegations.
  
  This Code of Ethical Conduct will be enforced. Reports of suspected violations will be investigated by authorized University personnel. Officers, managers, and supervisors have a special duty to adhere to the principles of the Code, to encourage their subordinates to do so, and cooperate fully with any investigation undertaken. If it is determined that a violation has occurred, the University reserves the right to take corrective and disciplinary action against any person who was involved in the violation or who allowed it to occur or persist due to a failure to exercise reasonable diligence. Additionally, the University may make an appropriate disclosure to governmental agencies (including law enforcement authorities). Disciplinary actions will be determined on a case-by-case basis and in accordance with the applicable disciplinary codes.



• Promise of no Retaliation
  
  The University promises that there will be no adverse action, retribution, or other reprisal for the good faith reporting of a suspected violation of this Code, even if the allegations ultimately prove to be without merit. The University will, however, pursue disciplinary action against any member who is shown to have knowingly filed a false report with the intention to injure another.
  
  The University reserves the right, at any time, to amend this Code of Conduct in its sole, good faith, discretion.

New York University is committed to a policy of equal treatment and opportunity in every aspect of its relations with its faculty and staff members, without regard to race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis. This includes, but is not limited to, recruitment, hiring or appointment, selection for training, transfer, layoff, promotion, granting of tenure, rates of pay and other forms of compensation, and participation in University-sponsored educational, social and recreational programs.

It is likewise the established policy of New York University to foster the full realization of equal economic opportunity at all levels and in all segments of the faculty and staff through a positive and continuing affirmative action program. It is the aim of the University to provide opportunities for all faculty members and employees to realize their potential, and to assist them both to function more effectively and to reach a level commensurate with their ability.

A full copy of New York University’s Affirmative Action Policy is available for inspection by any employee or applicant for employment. It can be found at Bobst Library (consult BOBCAT for specific location), the Office of Human Resources, 7 East 12th Street, as well as the office of an employee's Human Resources Officer.

Inquiries concerning the application of the laws and regulations concerning equal employment and educational opportunity at New York University (including Title VI--equal opportunity regardless of race, color, or national origin; Section 504--equal opportunity for the disabled; and Title IX--equal opportunity without regard to gender) may be referred to: The Office of Equal Opportunity, New York University, 70 Washington Square South, Room 1225, New York, New York 10012. Inquiries may also be referred to: The Office of Federal Contract Compliance Programs, U.S. Department of Labor, 26 Federal Plaza, New York, NY 10278.

Employees who believe they have been discriminated against may contact their Human Resources Officers; the Sr. Director of Employee Relations, 7 East 12th Street, (212) 998-1242; or the Vice Provost and Coordinator for the Office of Equal Opportunity, Bobst Library, 70 Washington Square South, (212) 998-2370.

Those with complaints may also contact: the District Director, Employment Standards Administration, Office of Federal Contract Compliance Programs, 26 Federal Plaza, Room 36-116, New York, New York 10278, (212) 264-7742, or the US Equal Employment Opportunity Commission (EEOC), 1801 L Street, N.W., Washington, D.C. 20507, or an EEOC field office by calling toll free (800) 669-EEOC. For individuals with hearing impairments, EEOC’s toll free TDD number is (800) 800-3302.

Statement of Policy

New York University is committed to maintaining a learning and working environment that is free of bias, prejudice, and harassment - an environment that supports, nurtures, and rewards career and educational advancement on the basis of ability and performance. Harassment based upon race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis is prohibited by law and undermines the character and purpose of the University. Such harassment is illegal and against University policy, and will not be tolerated.

This policy covers all members of the University community and those who affect the University community such as vendors or visitors. The University encourages everyone to report all incidents of harassment regardless of who the offender may be.

• Definition of Prohibited Harassment
  
  Prohibited harassment is conduct based on race, gender and/or gender identity or expression, color, religion, age, national origin, ethnicity, disability, veteran or military status, sexual orientation, marital status, citizenship status, or any other legally protected status when:
  
  
  1. submission to or rejection of the conduct is either an explicit or implicit term or condition of employment, basis for participation or advancement in an academic program, or basis for participation in a University activity or benefit; or
  
  
  
  2. such conduct creates an intimidating, hostile or offensive work, academic or residential environment; or
  
  
  
  3. such conduct otherwise adversely affects employment or academic opportunities
  
  
  
  Examples of such prohibited conduct when based upon a legally protected status include, but are not limited to:
  
  
  • Verbal abuse or hostile behavior such as insulting, teasing, mocking, degrading or ridiculing another person or group;
  
  
  
  • Unwelcome or inappropriate physical contact, comments, questions, advances, jokes, epithets or demands;
  
  
  
  • Physical assault or stalking;
  
  
  
  • Displays or electronic transmission of derogatory, demeaning or hostile materials;
  
  
  
  • Unwillingness to train, evaluate, assist, or work with an employee, faculty member, or student.
  
  
  
  Harassment is unacceptable in the workplace, classroom, student and faculty housing, sports, University facilities, and in other University-related settings, such as study abroad programs and University-sponsored social functions and events. This behavior violates University policy even when it may not be sufficiently severe or pervasive to constitute a violation of law.
  
  
• Responsibilities to Report
  
  All members of the University community should report incidents of harassment in order to support the University policy. In order to assure the University is free of prohibited harassment, University officers, deans, department heads, faculty members, directors, and supervisors are required to report all incidents of harassment that they may have witnessed or have been advised of.
  
  The most appropriate recipients of reports are:
  
  
  1. The Office of The Vice President for Student Affairs or the appropriate School’s designee if the alleged harasser is a student (See Contact List below or call Title IX & Title VI Officer, Thomas Grace at 212-998-4403);
  
  
  
  2. The Human Resources Officer of the appropriate School or Department or The Office of Employee Relations of the Human Resources Division if the alleged harasser is an employee, including a student employee (See Contact List below).
  
  
  
  3. The Dean of the appropriate School or Faculty or the Dean’s designee if the alleged harasser is a faculty member (See Contact List below); or
  
  
  
  4. The Director of Equal Opportunity if the alleged harasser is a visitor, vendor, third-party, or the Dean of an NYU School (contact e. Frances White at 212-998-2370).
  
  
  
  Contact information for these individuals can be found in the Anti-Harassment Policy Contact List at http://www.nyu.edu/eo/AHPCL.pdf
  
  It is not always easy to interpret words or actions that may be ambiguous and one may think are inappropriate. Therefore, the offices noted above are available to discuss the circumstances and address matters before they become severe or pervasive.
  
  If a report is made to any of these offices, and that is not the appropriate office to receive the report, it becomes the responsibility of that office to forward the report to the appropriate office. If any of the persons at these offices is implicated in the harassment, or if a conflict of interest arises, the report should be made to the Director of Equal Opportunity. If that office is implicated, the report should be made to the Provost.
  
  
• Reporting a Harassment Complaint
  
  All individuals who believe they have been harassed should file a complaint with the appropriate individuals or offices cited above. Verbal complaints should be reduced to writing by either the complainant or the individual who receives the complaint in order to preserve an accurate record. The written complaint should identify the parties involved; describe the harassing behavior; when and where it occurred; and identify by name or description any witnesses.
  
  Complaints should be promptly reported so that appropriate action may be taken in a timely manner. However, the late reporting of complaints may not prevent appropriate remedial action.
  
  Any conduct that may be in violation of this policy will be investigated, regardless of whether a complaint is filed, and appropriate remedial action will be initiated. Effort shall be made to complete the investigation of a complaint within thirty (30) days of the report of the harassment. Extensions of the time frame may be necessary in some circumstances. The complainant and alleged harasser will be notified of the extension.
  
  
• Confidentiality
  
  The University will maintain the confidentiality of the complaint to the greatest extent consistent with our goal of conducting a thorough and complete investigation. Effort will be made to safeguard the privacy and rights of all persons involved.
  
  
• Investigation and Disposition of the Complaint
  
  The investigator will conduct a prompt, thorough and impartial investigation of the complaint in the manner he or she deems necessary. The parties to the complaint will each have an opportunity to be heard during the investigation. The parties will also be informed of the status of the investigation as deemed appropriate. The investigation process is strictly internal to NYU, so the presence of legal counsel or third parties is not permitted at any stage of the process unless otherwise required by law.
  
  If it is determined that a violation of the University's harassment policy has occurred, prompt remedial action shall be taken. The nature of the remedial action and the process for its implementation will depend upon the particular facts and circumstances. If remedial action involves the imposition of sanctions, appropriate disciplinary procedures will be used. Sanctions imposed may be appealed through the appropriate appeals process depending on the status of the accused. The disposition of the complaint shall be communicated to the complainant and the alleged harasser.
  
  If it is determined that no violation has occurred, such findings shall be communicated to the complainant and the alleged harasser.
  
  If the results of an investigation show that the complainant knowingly filed false accusations of harassment, or that a witness gave false statements, such individuals will be subject to the appropriate disciplinary action.
  
  
• Retaliation
  
  The University will take every step necessary to protect the complainant and any witnesses against retaliation for reporting the harassment or for participating in the investigation of a complaint.
  
  Any employee, faculty member, or student who retaliates against an individual who complains of harassment, witnesses harassment, or participates in the investigation of a harassment complaint violates University policy and may be subject to sanctions. Complaints of retaliation should be reported as violations of this policy.
  
  
• Sexual Assault
  
  Sexual assault is a sexual act against the will and without the consent of the victim or where the victim is incapable of giving consent. This includes conduct that would be considered criminal under the New York State Penal Code. Since the medical, emotional, and legal needs of a sexual assault complainant may differ from those of other harassment complaints, sexual assault victims should, in addition to filing a University complaint, report the assault to the police and pursue counseling and other services available at the University. Students should consult the publication, New York University’s Polices and Procedures Concerning Sexual Assault for guidance on medical and counseling services. Faculty members and employees should consult New York University’s Faculty and Staff Assistance Program for medical and counseling service referrals.
  
  
• Consensual Relationships
  
  Sexual behavior that is welcome or consensual does not constitute sexual harassment under the law. However, romantic relationships in situations where one individual has greater power or authority over another frequently result in claims of harassment when the relationship ends and a perception of favoritism while the relationship continues. Such relationships are inappropriate. A "consensual" relationship between a professor and his/her student, a supervisor and a subordinate, or a coach and team player are examples of inappropriate relationships. If a consensual relationship occurs, any situation of authority must be discontinued and appropriate action may be taken.
  
  
• Education
  
  The University supports a complete program for the education of its community with respect to the meaning and implementation of this policy. Training will be scheduled accordingly.
  
  

Policy

In order to ensure the safety and security of the workplace, the University strictly prohibits violence or threatening behavior. Anyone who engages in any violence in the workplace or in threats of violence or threatening behavior is subject to disciplinary action, up to and including termination of employment and, in the case of an employee who also is a student at the University, additional student disciplinary action up to and including expulsion. The University may, as it deems appropriate, seek legal sanctions against violators.

Prohibited Behavior

Prohibited behavior includes but is not limited to hitting, shoving, sexual assault, attacks, stalking, verbal or non-verbal threats, electronically communicated threats or threatening behavior, vandalism, arson and possession, use or threatened use of a weapon of any type.

Workplace Security Measures

To fulfill this commitment to a safe work environment for all, the following is University policy:

• Access to the University’s property is limited to those with legitimate interest.



• All students, staff and faculty on or in the vicinity of the University’s premises must display NYU identification on the request of NYU Protection Department personnel, faculty, administrators or other authorized personnel.



• All visitors must produce and display identification while on the University’s premises upon the request of the Protection Department or other authorized personnel.



• The University reserves the right to enter and inspect its property and work areas under appropriate circumstances.

• Department Head or Manager



• Human Resources Officer



• Office of Employee Relations in Human Resources X81242

• Frequent, angry outbursts; difficulty controlling temper.



• Expression by the employee that others are out to get him or take his job; chronically disgruntled.



• Recent isolation of employee from co-workers; unusually poor social skills.



• Rash, impulsive behavior without apparent forethought.



• Acute sensitivity to criticism; blaming others when things go wrong.



• Bragging about past acts of violence; fascination with firearms or violence.



• Impaired judgement and performance; mood swings.



• Acutely hostile reaction to discipline or employment termination.

1. be employed by another academic institution other than while on leave of absence from the University,



2. have a significant financial interest in, or accept a substantial consulting assignment with an entity, which would do business with, or compete against the University,



3. engage in sponsored research to which the sponsor has established access limitations or presentation or publication delays beyond a 60-day period for patent filing, etc.; free and widespread dissemination of information is an essential ingredient of faculty activity,



4. grant an exclusive license to a sponsor of research,



5. assume an executive or managerial position in a public or private organization.

1. Prior to approval of a proposal or acceptance of an award by the University, all Researchers who plan to conduct research at the various units of the University at Washington Square must disclose to their deans any Financial Interest which they ormembers of their Immediate Family have in any commercial entity that will participate in the proposed research.



2. A Researcher with a Financial Interest in any commercial entity that will participate in the research, may not engage in such research, except upon the written approval of his or her dean, after review by the dean or his or her designee(s).



3. During the Research Period, a Researcher may not acquire a Financial Interest (or, if approval has been obtained based upon disclosure of a Financial Interest, an additional Financial Interest) in a commercial entity participating in such research unless the Researcher has disclosed the intent to do so and received approval for such acquisition as provided by these Guidelines. This prohibition also applies to the Researcher’s Immediate Family.

1. The term Researcher includes all faculty members and other research staff, including the Principal Investigator/Project Director and Co-Principal Investigator/Project Director, who will assume responsibility for the design, conduct or reporting of the research, or are in a position to control the expenditure of research funds.



2. The term research extends to all research and related activities, including research training, demonstrations and evaluations.



3. A commercial entity is participating in the research whenever it sponsors such research, or supplies substances, materials or services for such research, or may in any way derive benefits from such research, or engages in licensing discussions with New York University with respect to inventions in which a property right may be claimed by the Researcher.



4. Having a Financial Interest means:
   
   
   • Owning or having an agreement to acquire stocks or stock options or other securities which have a fair market value of $10,000 or more, or which constitute an ownership interest of greater than 1% in a commercial entity, but does not cover ownership of stocks, stock options or other securities in such entities in a form over which the Researcher has no control, such as in mutual funds or blind trusts; or
   
   
   
   • Serving as a compensated consultant, manager, or director of a company or entity; or
   
   
   
   • Otherwise having an expectation of financial gain as a result of performing the research, other than compensation paid to the Researcher by New York University or the Researcher’s share of proceeds, if any, of royalties or other income received by New York University as a result of commercialization of an invention made by the Researcher.
   
   
   



5. Immediate Family means the Researcher’s spouse, children, siblings, parents, or equivalent relatives by marriage, or other individuals regularly residing in the Researcher’s household.



6. The Research Period means the period from the time the Researcher’s active and personal involvement in the research begins until: a) the Researcher’s active and personal involvement in the research ends; or b) the University’s involvement in the research ends, whichever is later.

1. A Principal Investigator/Project Director submitting a proposal for review by his or her dean, or receiving an award based on an informal request, will complete and file a Researcher’s Disclosure Statement, and will ensure that all Researchers appointed by him or her also complete and file Researcher’s Disclosure Statements as required by these Guidelines.



2. If neither the Principal Investigator/Project Director nor a member of his or her Immediate Family has a Financial Interest in a commercial entity that will participate in the research, and there is no other Researcher (or any member of his or her Immediate Family) who has such an Interest, the Researcher’s Disclosure Statement(s) should accompany the proposal or award for administrative processing as usual by the Dean’s Office.



3. If the Principal Investigator/Project Director (or a member of his or her Immediate Family) has a Financial Interest in a participating commercial entity, and/or if any other Researcher (or a member of his or her Immediate Family) has such an Interest, the Researcher’s Disclosure Statement(s) should be transmitted in confidence directly to the dean or to his or her designee for review. Processing of the proposal or award will be postponed, pending the written approval of the dean or of his or her designee; or, if there is a deadline for submission or acceptance, processing will proceed on condition such approval is forthcoming within 30 days, after which the proposal may be withdrawn or the award returned.



4. Upon receiving a confidential disclosure of the Financial Interest of a Researcher or of a member of his or her Immediate Family, the dean will within 30 days undertake a review of such disclosure, or at his or her option, submit such disclosure to another individual or committee duly appointed by him or her to advise him or her in these matters, and determine in a written notice to the Principal Investigator/Project Director whether the research should proceed. All such determinations, and the basis for them, will be documented by the dean, maintained together with the Researcher’s Disclosure Statement(s) in official school records, and reported to sponsors as required by the terms of any sponsored agreement.



5. Disclosure review will take into account, among other considerations, the nature and extent of the conflict of interest, as weighed against the interests of the research, what steps, if any, may serve to eliminate or mitigate it, and whether, and under what conditions, if any, a waiver is appropriate.



6. Failure to comply with the requirements of these Guidelines may lead to sanctions, including reprimand, censure, termination of funding, ineligibility for proposal submission, suspension, and dismissal or expulsion.

• The University’s Obligation
  
  The University is obligated by the State Board of Regents to provide indemnification under specified conditions to trustees, officers, and employees. Section 18 of the University Charter provides that “Any person made a party to any action, suit or proceeding by reason of the fact that he or she, his or her testator or his or her intestate, is or was an officer or employee of New York University, or an officer or member of the Board of Trustees of said University, or an officer or member of the managing board of any separate administrative unit of said University, or of any corporation which he or she served as such at the request of said University, shall be indemnified by said University against the reasonable expenses, including attorneys’ fees, actually and necessarily incurred by him or her in connection with the defense of such action, suit or proceeding, or in connection with any appeal therein, except in relation to matters as to which it shall be adjudged in such action, suit, or proceeding that such person is liable for negligence or misconduct in the performance of his or her duties. Such right of indemnification shall not be deemed exclusive of any other rights to which such person may be entitled apart from the provisions of this paragraph.”



• Additional Activities Deemed To Be Within the Scope of Employment of Faculty Members
  
  In addition to the normal range of intramural activities traditionally considered to fall within the scope of employment of a member of the New York University faculty, it is recognized that members of the faculty, as members of a collegial and learned profession, are called upon from time to time and for nominal or no compensation to evaluate the scholarship or other qualifications of members of faculties of other institutions of higher learning for purposes of promotion or tenure. Where a member of the University faculty undertakes such activity, he or she shall be afforded the same degree of legal protection by the University for that activity as for his or her other faculty duties whenever an equivalent degree of protection is not provided by the other institution.
  
  Similarly, it is recognized that faculty members of other institutions of higher learning often participate in tenure and promotion evaluations of members of the New York University faculty. Where such external persons are not entitled to receive legal protection from their own institutions for such participation in New York University faculty evaluations, the University is prepared to offer them such protection on the same terms and conditions as it is afforded to our own faculty.



• Litigation over Confidential Evaluations
  
  In order to preserve a meaningful process of peer review for promotion and tenure, it is vital to obtain candid analysis and opinion from qualified scholars. Therefore, it is the general policy of New York University to treat as confidential all evaluations of University faculty, making only such limited exceptions as are necessary to permit informed review of promotion and tenure decisions by the appropriate decision makers and review panels within the University. Where external litigation arises, it is the policy of the University to preserve the confidentiality of evaluations wherever possible. It is recognized, however, that situations may arise in which binding and enforceable court orders will compel the University either to surrender confidential documents or information or to face contempt proceedings. In such cases, the University must make a conscientious judgment as to the appropriate course to follow. Where a faculty member of the University properly maintains exclusive possession of a confidential document or exclusive knowledge of facts which are the subject of a court disclosure order, he or she may similarly be faced with a choice between compelled disclosure and contempt. It is the policy of the University under such circumstances, to furnish the faculty member with legal assistance should he or she choose to resist such order by asserting in good faith, a conscientious belief that disclosure would significantly infringe on academic freedom. In the event legal services are supplied directly to a faculty member or by outside counsel in connection with any actual or threatened action to hold such faculty member in contempt, this shall not be construed as reflecting any view of the University in support of the position expressed by the faculty member. Should the faculty member eventually be subject to a final order or judgment imposing sanctions or penalties for a refusal to make disclosures, such sanctions or penalties would be borne by the faculty member.



• Procedures for Furnishing Legal Assistance to Faculty
  
  Where a faculty member wishes to request indemnification under the provisions of Section 18 of the University’s charter (and as further defined by this memorandum), he or she must promptly notify the University’s Office of Legal Counsel, in writing, of any actual or threatened action, suit, or proceeding, as to which entitlement to indemnification is claimed.
  
  The Office of Legal Counsel shall have the option to provide legal services directly to an entitled faculty member or to have the matter referred to appropriate outside counsel. Where the Office of Legal Counsel determines that the matter should or must (because of a conflict of interest between the faculty member and the University) be referred to outside counsel, the final choice of the particular outside counsel shall be made jointly by the Office of Legal Counsel and the faculty member, and the fee arrangements must be approved by the Office of Legal Counsel.



• Questions of Entitlement
  
  Where a question arises as to a faculty member’s entitlement to indemnification, the matter shall be referred to the General Counsel of the University for a determination. If a request for indemnification is denied in a case arising from a faculty member’s refusal to comply with a court order to disclose confidential information, the faculty member may request a review of the determination by the Faculty Senators Council Grievance Committee. That committee shall make a recommendation to the Chancellor of the University, whose decision shall be final. These provisions, however, shall not preclude any faculty member denied indemnification from thereafter seeking judicial review of such denial.

• Consultation Procedure.
  
  Because one of the main responsibilities of the faculty is the curriculum, no program leading to a degree or certification in any school of the University should be discontinued or reorganized without the involvement of the faculty of that school in reaching the decision.
  
  When discontinuance or reorganization of a particular program is proposed, the entire matter is to be considered by an appropriate elected standing committee of the faculty of the school concerned (e.g., Policy and Planning Committee, Academic Affairs Committee, etc.) with the President of the Student Council of the affected school as an ad hoc member.
  
  The department concerned should have the opportunity to present a proposal for continuation and/or reorganization to the committee. Such a proposal should have the support of a majority of the voting members of that department, although minority reports should be admissible for consideration.
  
  The committee should have access to all pertinent information including, but not limited to:
  
  
  1. The reasoning behind the proposed termination or reorganization.
  
  
  
  2. The administrative history of the program, including what actions have been taken over the preceding five years which were supportive or non-supportive of the program.
  
  
  
  3. All recent academic evaluations of the program by both internal and external evaluators.
  
  
  
  4. All financial data relevant to the program and related programs, including estimated costs for retaining it or reorganizing it as a quality program consistent with the standards of New York University, and the probable impact such expenditures would have on other programs in the school.
  
  
  
  The committee should also allow and encourage other appropriate members of the University community to provide further information and opinions, orally or in writing.
  
  When it has concluded its study, the committee should report to the dean of the school and to the faculty of the school.
  
  After the committee has made its report, the faculty will have the opportunity to vote on whether the program should be maintained.



• Decision Making.
  
  If the faculty recommends that a program be discontinued or reorganized, this should be done. If the faculty recommends that the program be maintained, and if this is not feasible, the degree, if any, to which it can be maintained/supported should be negotiated between faculty and administration. After a final decision has been reached, the administration must issue a written report to the faculty stating the reasons for the decision.
  
  Should termination or reorganization involve an entire school, the above procedure would be conducted by the Faculty Council.
  
  (Resolution of the Board of Trustees adopted on December 1, 1997)
  
  WHEREAS, on December 10, 1979, the Board of Trustees of New York University adopted a resolution providing for “Procedures for Termination or Reorganization of Academic Programs” (the “Prior Resolution”); and
  
  WHEREAS, it has become advisable to adopt the resolutions set forth below concerning the applicability of the Prior Resolution in connection with the potential merger or other combination of the NYU Hospitals Center and/or NYU Health System with the Mt. Sinai hospitals and/or Mt. Sinai Health Systems (the “Potential Hospital Combination”) and the potential affiliation between Mt. Sinai School of Medicine and New York University (the “Potential Affiliation”);
  
  Now therefore, it is hereby
  
  RESOLVED that, the Board of Trustees reaffirms that the Prior Resolution shall apply only to (i) a proposed discontinuation of an existing academic program (or programs) leading to a degree or certification at New York University which, at the time such discontinuance is authorized, explicitly provides for the complete discontinuance of such academic program (or programs), or (ii) a proposed reorganization of an existing academic program (or programs) leading to a degree or certification at New York University which, at the time such reorganization is authorized, explicitly provides for an immediate reduction in the number of existing tenured faculty holding positions in such program (or programs); and it is further
  
  RESOLVED that, in any event, the Prior Resolution shall not apply to the Potential Hospital Combination or the Potential Affiliation unless the Potential Hospital Combination and/or the Potential Affiliation were explicitly to provide for (i) the complete discontinuance of any academic program (or programs) at the NYU School of Medicine, or (ii) an immediate reduction in the number of existing tenured faculty holding positions in any program (or programs) at the NYU School of Medicine; and it is further
  
  RESOLVED that, neither these resolutions nor the Prior Resolution shall create or confer any private right of action or standing on any person or group employed by or affiliated in any way with New York University to pursue any claim or cause of action whatsoever in law or equity, or to pursue any other type of proceeding, in any court, agency of government or other forum or tribunal external to the University; and it is further
  
  RESOLVED that, any question or dispute as to the meaning, applicability or implementation of these resolutions or the Prior Resolution shall be decided solely by the Board of Trustees of New York University whose decision shall be final and binding.

• Members of the same immediate family, or of the same household, cannot work in the same department without prior approval from the Sr. Vice President for Operations and Administration;



• A supervisor/employee relationship between members of the same family or household may not exist at the time of hire or at any time thereafter;



• One member of a family or household may not make decisions or recommendations concerning the conditions of employment, salary, or promotion of another member of the same family or household.

1. Research Ethics
   
   All members of the faculty are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, truth, and accuracy. Any instance of suspected academic fraud or misconduct should be reported to the dean of the relevant school and the Provost. In accordance with federal regulations, the University has established policies and procedures for responding to allegations of research misconduct. The policies and procedures describe the University process for conducting resulting inquiries and investigations. Faculty and students are required to cooperate fully in any inquiry or formal investigation of such allegations, e.g., by providing requested documents and information.



2. Openness of Research
   
   The University does not conduct or permit its faculty to conduct secret or classified research. This policy arises from concern about the impact of such restrictions on two of the University’s essential purposes: to impart knowledge and to enlarge humanity’s store of knowledge. Both are clearly inhibited when open publication, free discussion, or access to research are limited. For the same reasons, the University requires that investigators be able to publish the results of their research without prior approval of a sponsor. Agreements may, however, permit sponsors a brief period to review proposed publications and presentations to identify 1) proprietary information that may require patent or copyright protection, or 2) information confidential to the sponsor that must be removed. In general sponsors are granted review periods of 30 to 45 days prior to submission for publication, but review and delay periods should total no more than 90 days.



3. Data Management
   
   The University requires that all documents related to federally sponsored projects, including primary research data, be available to federal auditors for the period specified by federal regulation – in most cases, a period of three years from the filing of the final financial report. NYU expects faculty members to retain all research data, whether resulting from federal sponsorship or not, in their laboratories or other bona fide research locations, and to provide access to the data when requested to do so by authorized institutional officials. Requests from sponsors for access to research data should be forwarded to the appropriate Offices of Sponsored Programs before a response is made. Subpoenas for research data should be promptly forwarded to the Office of Legal Counsel for review.



4. Principal Investigator Status
   
   In order to ensure that research is conducted by those who have the requisite training and skill, as well as the appropriate relationship to NYU, the University will normally sponsor proposals only when the principal investigator or project director is employed full-time by the University and holds an appointment as assistant professor, associate professor or professor. For the special case of training grants clinical professors, clinical associate professors and clinical assistant professors are permitted to serve as Principal Investigators with the approval of the department chair and the dean. For research scientists/scholars or senior research scientists/scholars, requests for Principal Investigator status must come from the department chair and be directed to the Provost or, where appropriate, the dean of the relevant professional school.



5. Intellectual Property
   
   It is University policy to take title to patents that result from the research activities of faculty, staff and students. In contrast, faculty may retain copyright of their lecture notes, manuscripts and other writings, subject to certain well-defined exceptions [See the Statement of Policy on Patents, Statement of Policy on Copyrights]. The University has created the Office of Industrial Liaison [www.nyu.edu/oil] whose mission is to manage all activities relating to the protection and commercial promotion of intellectual property and to assist faculty in such commercialization.



6. Research Involving Human Subjects
   
   In accordance with federal regulations and University policy, the University has negotiated a Federal Wide Assurance, filed with the U.S. Department of Health and Human Services, which requires that every NYU investigator conducting human subjects research, whether or not funded by a federal sponsor, must submit a proposed research plan to the appropriate NYU institutional review board (IRB) for review. In addition, investigators who participate in human subjects research must complete training in human subjects research, and otherwise must comply with IRB policies and procedures. Research may not begin until the IRB has fully approved the research plan and all related consent documents, and the required training has been completed. Further information and a full statement of applicable University policies and procedures are available on the Research page of the University’s website (at Washington Square: http://www.nyu.edu/ucaihs/ and at the School of Medicine: http://www.med.nyu.edu/irb/).



7. Research Involving Animals
   
   The study of live vertebrate animals is an integral part of the University’s research and teaching missions and is a privilege regulated by legal, state, and federal agencies. Faculty members contemplating using live vertebrate animals in research, teaching, or testing should refer to the websites for the University Animal Welfare Committee (UAWC), at Washington Square: http://www.nyu.edu/uawc/ and the Division of Laboratory Animals at the School of Medicine, http://www.med.nyu.edu/DLAR/. Work with live vertebrate animals may not begin until all required training and approvals are obtained.



8. Environmental Safety
   
   The University has developed guidelines and procedures for handling radioactive materials, hazardous chemicals, potentially hazardous biological materials, and controlled substances, as well as for other aspects of research relating to occupational and environmental safety. These policies are generally administered by the Office of Environmental Services (OES). Any investigator planning to use such materials must consult with OES for guidance on required training, required protocol review, proper handling, state and federal safety regulations, proper procedures in the event of spillage, etc., prior to initiating a study or bringing such materials into a laboratory. In most instances, a laboratory must be inspected and approved by OES before hazardous substances are brought to that location at the University. Protocols calling for the use of certain substances must receive prior review by the cognizant Safety Committee.
   
   All research that involves recombinant DNA must be conducted in accordance with the NIH Guidelines for Research Involving Recombinant DNA Molecules. All non-exempt rDNA research at both Washington Square and the Medical School must be approved by the University's Institutional Biosafety Committee, http://www.med.nyu.edu/spa/compliance/biosafety/policies.html
   
   For more information, see the OES website,
   http://www.nyu.edu/environmental.services/biosafety.shtml

• There be a significant departure from accepted practices of the relevant research community; and



• The misconduct be committed intentionally, knowingly, or recklessly; and



• The allegation be proven by a preponderance of the evidence.

1. That research, teaching, and patient care should conform to the highest standards;



2. That members of the academic community have a responsibility to report what they believe to be research misconduct and to cooperate in investigations of research misconduct; this duty of cooperation includes the obligation to provide all documentation reasonably requested by those charged with investigatory responsibilities herein;



3. That allegations of research misconduct are to be investigated promptly, thoroughly, objectively and fairly; and



4. That the rights and reputation of all parties involved in allegations of research misconduct, including those suspected of research misconduct and those who report research misconduct in good faith, are to be protected.

• Reporting Allegations
  
  
  • An initial report of suspected research misconduct should be brought to the attention of a faculty member, the Director of Undergraduate or Graduate Studies of the school or the Director of Compliance, either anonymously or in person. Those individuals should inform the Dean of the school in which the respondent is employed. Allegations involving the Dean should be brought directly to the Provost. In any instance involving an allegation against a Dean, the word “Dean” as used below shall be deemed to mean the Provost or his or her designee.


• Initial Inquiry
  
  
  • The Dean shall determine whether to authorize a preliminary inquiry or to resolve the allegations through informal processes without further inquiry, and ensure that such resolution is consistent with the appropriate agencies. When reviewing an allegation of research misconduct, the Dean shall determine: (1) if the factual allegation falls within the definition of research misconduct as set forth in “Principles” above and (2) is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If the allegation does not meet both of these requirements, the Dean shall dismiss the complaint and set forth the reasoning therefore in a memorandum maintained for a period of seven (7) years. If the allegation does meet both the above-stated requirements, the Dean shall begin an Inquiry in the manner set forth as follows. The Dean shall appoint at least three persons, with no more than two members from the accused’s (designated as the respondent) department or accuser’s (designated as the complainant) department. They shall make a determination as to whether or not a formal investigation should be carried out. The individuals appointed to undertake the inquiry must be fair, objective and impartial and must possess, where required, the competence to understand the research in question.
    
    At the time of or before the beginning of the inquiry the respondent, shall be advised in writing of the accusation and of the existence of the preliminary inquiry. The inquiry committee must, on or before the date on which the respondent is notified or the inquiry begins, whichever is earlier, and whenever additional items become known or relevant, promptly take all reasonable and practical steps to obtain custody of all research records and evidence needed to conduct the research misconduct proceeding. The inquiry and its findings shall not otherwise be disclosed by the investigators, except as necessary to carry out the assignment, or as otherwise provided herein. Upon initial inquiry the committee will prepare a written report. The form of such report shall conform to the sponsoring agency’s requirements. The preliminary inquiry must be completed within sixty (60) calendar days of its initiation, unless circumstances warrant a longer period. If more than sixty (60) days is taken, the record must include documentation of the reasons for the extension of time. Alternatively if the sponsoring agency requires a different time frame, the inquiry will follow the agency’s requirements.
  
  
  
  • Based on the recommendations of the inquiry committee, the Dean shall either dismiss the allegations for lack of merit, or initiate a formal investigation. Should the Dean decide not to investigate, sufficiently detailed documentation of the inquiry to permit a later assessment must be kept for at least seven (7) years after the termination of the inquiry. Should the Dean determine that a formal investigation is warranted, the Dean shall notify the complainant, the respondent, and the department chair, following the sponsoring agency’s regulations. If the charges are dismissed for lack of merit, the Dean shall give notice of that fact to the respondent and complainant in writing. Should the Dean decide to initiate an investigation, he or she will notify the Compliance Officer of the University, and the Provost who is responsible for notifying any sponsoring agency, and, if a pending work is in question, the publisher or any other recipient organization.
  
  
  
• Formal Investigation and Action



• If the Dean has determined that formal investigation is warranted, he or she will promptly appoint a five member ad hoc committee. Such committee may decide that the investigation will encompass the review of all research with which the individual has been involved. The individuals appointed must be fair, objective and impartial and must possess sufficient competence to understand the research in question. The committee should include one or more persons with expertise in the area in question, persons from at least two different schools of the University, and no person with prior involvement in the subject matter of the inquiry. When required by federal regulations, the Provost shall notify the appropriate Federal Office as required. If the respondent leaves the institution or refuses to cooperate, the investigation will continue according to the prescribed procedures.



• In conducting the investigation, the committee shall comply with such procedures as may have been promulgated by the Provost of the University and as may be required by the regulations of the sponsoring agency. Because the findings of this committee will serve as the factual basis for any subsequent disciplinary proceedings against the respondent, the procedures will provide an impartial and unbiased investigation and a full and fair opportunity for the person to be informed of and defend against the charges.
  
  Any such procedures shall include, at the minimum, the following provisions:
  
  
  1. right of the respondent to a clear written statement of the charges, such notice to be provided within a reasonable time after determining an investigation is appropriate, but before the investigation begins;
  
  
  
  2. right of the respondent to appear before the committee and present testimony on his or her behalf;
  
  
  
  3. right of the respondent to be accompanied by counsel when appearing before the committee;
  
  
  
  4. right of the respondent to a copy of a tape-recording which shall be made of all testimony; however, the committee shall deliberate and may discuss procedural matters in executive session;
  
  
  
  5. right of the respondent to examine the committee’s file of non-confidential documents, receive a draft of the committee’s final report, and comment upon it in writing and/or by appearing before the committee to present arguments in rebuttal;
  
  
  
  6. right of the respondent to a finding determined by majority vote on the basis of a preponderance of evidence;
  
  
  
  7. right of the respondent to a prohibition on all committee members, additional staff, and secretarial assistants from disclosing committee proceedings at any time, except as otherwise provided by these rules or required by law.
  
  
  
• The committee shall conduct its investigation with all deliberate speed and submit to the Dean a written report of its findings of fact and conclusions along with the entire file on the case. A copy of the report shall also be submitted to the respondent by certified mail, with return receipt. The respondent may, if he or she desires, make a statement in writing within ten (10) working days of delivery of the report, and this statement shall be considered by the Dean in conjunction with the committee report. If the Dean finds the report of the committee deficient in any major respect, the Dean may remand the report to the same committee for further consideration or may appoint a new committee.
  
  The outcome of the fact-finding shall be reported to any organization given prior notice under the provisions of section II-B.



• If the investigation determines that the allegations are without merit and the Dean agrees, he or she shall make all reasonable efforts to protect or restore the reputation of the respondent. If the Dean finds that allegations were made in bad faith, he or she shall recommend appropriate action against the complainant in accord with the relevant disciplinary regulations of the University.



• If the Dean agrees that the alleged misconduct is substantiated by a thorough investigation, and determines that 1) research misconduct has occurred by significant departure from accepted practices of the research community for maintaining the integrity of the research record, 2) the misconduct was committed intentionally, or knowingly, or in reckless disregard of accepted practices and 3) the allegations have been proven by a preponderance of evidence, he or she shall recommend sanctions including but not limited to the following: dismissal, suspension, reprimand, limitation on grant submissions, suspension or monitoring of research. The Dean shall submit this recommendation to the disciplinary committee or administrator appropriate to the employment status of the accused:
  
  
  1. The procedure to be followed in the case of faculty misconduct is as outlined in Title IV of the University’s Statement in Regard to Academic Freedom and Tenure (see page 21), unless the Dean recommends dismissal of a tenured faculty member, in which case he or she shall follow University rules set forth in Title III of the University’s Statement in Regard to Academic Freedom and Tenure.
  
  
  
  2. In the case of students implicated in an inquiry into misconduct, the outcome of fact-finding and the Dean’s finding that allegations are substantiated, shall be reported to the discipline committee (or its equivalent) of the School in which the student is enrolled.
  
  
  
  3. In the case of all other employees implicated in an inquiry of misconduct, the outcome of fact-finding and the Dean’s finding that allegations are substantiated shall be referred to the appropriate Dean or Vice President for action in accordance with applicable procedure.
  
  
  
• Because of the special and technical nature of the facts and issues in these cases, the hearing committees provided for in Titles III and IV of the University’s Statement in Regard to Academic Freedom and Tenure (see page 21), the disciplinary committees established pursuant to the various school disciplinary procedures, or the Dean or Vice President responsible for disciplinary action with respect to other employees shall not re-find the facts, but shall treat the report of the formal investigative committee, established in section III-A of this report, as the factual basis for their proceedings. If the Title III or IV hearing committee or, in the case of students or non-faculty employees, the relevant discipline committee or administrator, finds the report to be inadequate, the discipline committee or administrator shall refer the report back to the Dean of the affected school for clarification or augmentation.



• When a decision reached by the hearing committee under Title III or IV or other appropriate person or committee in the case of a non-faculty employee or student has become final, the Dean shall notify the individuals and agencies listed in section IIB of the decision. In addition, if alleged misconduct is substantiated, the dean shall notify editors of any other affected journals and publications as well as institutions, individuals, and sponsoring agencies (or their designees) with which the individual has been affiliated.



• Any appeal shall proceed under the appropriate provisions of Title III or IV (as amended) or other applicable rule in the case of a non-faculty employee or student.

1. Favoring of outside interests. When a university staff member (administrator, faculty member, professional staff member, or employee) undertaking or engaging in Government-sponsored work has a significant financial interest in, or a consulting arrangement with, a private business concern, it is important to avoid actual or apparent conflicts of interest between his or her Government-sponsored university research obligations and outside interests and other obligations. Situations in or from which conflicts of interest may arise are the:
   
   
   • Undertaking or orientation of the staff member’s university research to serve the research or other needs of the private firm without disclosure of such undertaking or orientation to the university and to the sponsoring agency;
   
   
   
   • Purchase of major equipment, instruments, materials, or other items for university research from the private firm in which the staff member has the interest without disclosure of such interest;
   
   
   
   • Transmission to the private firm or other use for personal gain of Governmentsponsored work products, results, materials, records, or information that are not made generally available. (This would not necessarily preclude appropriate licensing arrangements for inventions, or consulting on the basis of Governmentsponsored research results where there is significant additional work by the staff member independent of his or her Government-sponsored research);
   
   
   
   • Use for personal gain or other unauthorized use of privileged information acquired in connection with the staff member’s Government-sponsored activities.
     
     (The term “privileged information” includes, but is not limited to, medical, personnel, or security records of individuals; anticipated material requirements or price actions; possible new sites for Government operations; and knowledge of forthcoming programs or of selection of contractors or subcontractors in advance of official announcements);
   
   
   
   • Negotiation or influence upon the negotiation of contracts relating to the staff member’s Government-sponsored research between the University and private organizations with which he or she has consulting or other significant relationships;
   
   
   
   • Acceptance of gratuities or special favors from private organizations with which the university does or may conduct business in connection with a Governmentsponsored research project, or extension of gratuities or special favors to employees of the sponsoring Government agency, under circumstances which might reasonably be interpreted as an attempt to influence the recipients in the conduct of their duties.
   
   
   



2. Distribution of effort. There are competing demands on the energies of a faculty member (for example, research, teaching, committee work, outside consulting). The way in which a faculty member divides his or her effort among these various functions does not raise ethical questions unless the Government agency supporting the faculty member’s research is misled in its understanding of the amount of intellectual effort the faculty member is actually devoting to the research in question. A system of precise time accounting is incompatible with the inherent character of the work of a faculty member, since the various functions he or she performs are closely interrelated and do not conform to any meaningful division of a standard work week. On the other hand, if the research agreement contemplates that a staff member will devote a certain fraction of effort to the Government-sponsored research, or the faculty member agrees to assume responsibility in relation to such research a demonstrable relationship between the indicated effort or responsibility and the actual extent of his or her involvement is to be expected. Each university, therefore, should—through joint consultation of administration and faculty—develop procedures to assure that proposals are responsibly made and complied with.



3. Consulting for Government agencies or their contractors. When the staff member engaged in Government-sponsored research also serves as a consultant to a Federal agency, his or her conduct is subject to the provisions of the Conflict of Interest Statutes (18 U.S.C. 202-209 as amended) and the President’s memorandum of May 2, 1963, Preventing Conflicts of Interest on the Part of Special Government Employees. When the staff member consults for one or more Government contractors, or prospective contractors, in the same technical field as his or her research project, care must be taken to avoid giving advice that may be of questionable objectivity because of its possible bearing on the staff member’s other interests. In undertaking and performing consulting services, he or she should make full disclosure of such interests to the university and to the contractor in so far as they may appear to relate to the work at the university or for the contractor. Conflict of interest problems could arise, for example, in the participation of a staff member of the university in an evaluation for the Government agency or its contractor of some technical aspect of the work of another organization with which he or she has a consulting or employment relationship or a significant financial interest, or in an evaluation of a competitor to such other organization.

• Objectives
  
  The policies and procedures with respect to patentable inventions developed at New York University are directed toward the following objectives and purposes: (a) establishment of an orderly system whereby inventions resulting from research conducted under University auspices will be developed and utilized in the best interests of the public, the inventor, and the University; (b) provision for both the University and the inventor to share equitably the royalties and other income arising out of inventions developed under University auspices.



• Administration
  
  
  • Any school or college of the University may establish a school or college patent committee that shall make recommendations to the dean on matters pertaining to inventions and patents within the school or college.
  
  
  
  • The recommendations of the school or college shall be subject to the general oversight of the University Sponsored Research Committee and approval by the Chancellor of the University.
  
  
  
• Contract with University Patents, Inc.
  
  
  • The University, exclusive of the Medical Center, has entered into an agreement with University Patents, Inc., a patent management firm engaged in the business of promoting patentable inventions, whereby the University will submit to University Patents, Inc., any invention to which the University has acquired or has the right to acquire title and rights to commercial exploitation and which the University believes may be patentable and should be developed for use by the public. Such invention may or may not be accepted by University Patents, Inc., depending upon the evaluation of the invention made by University Patents, Inc.;
  
  
  
  • Upon accepting an invention (i) University Patents, Inc., acquires sole right and title, subject to contractual obligations of the University, to the invention and all patents obtained thereon; (ii) University Patents, Inc., uses its best efforts to obtain a patent on and to license the invention; (iii) University Patents, Inc., pays to the University a certain portion of the royalties or other income arising from the invention as set forth in the agreement with University Patents, Inc.;
  
  
  
  • Copies of the agreement between the University and University Patents, Inc., are kept on file in the Office of the Chancellor.
    
    Research is an integral part of the educational program at New York University. Such activity, stemming from the interests of the University staff, is part of the staff’s regular employment, and, in some instances, is covered by contractual arrangements with sponsors. In the latter situation, patent and invention rights of the inventor and the University are generally defined.
    
    The next two sections, IV and V, of this Patent Policy delineate procedures for processing inventions developed under these two different sets of circumstances: (a) inventions developed by faculty, staff, and students and (b) inventions developed on University research projects and sponsored research projects.
  
  
  
• Inventions Developed by Faculty, Staff, and Students
  
  
  • As a condition of either employment or continued employment by the University, or the receipt or continued receipt by a student of support from or through the University, every member of the faculty or research staff, or other employee or student shall promptly after discovery submit to the Office of Sponsored Programs or to his or her school or college committee if one exists, any invention, which reasonably could be considered patentable, developed by him or her, or with some other person, either in the course of his or her employment by the University or in connection with research or related activities as a student. The University shall offer the invention to University Patents, Inc., pursuant to the terms of the aforementioned agreement between it and the University; or shall offer said invention to some other entity under similar conditions; or shall take other steps to evaluate and exploit the invention; or declare its lack of interest to the inventor within a reasonable time. In the event the University rejects the invention, it shall become the property of the inventor or inventors, subject, however, to the limitations set forth in paragraph (f) hereof.
  
  
  
  • The term “in the course of his or her employment by the University” shall not, however, include activities arising in approved consulting work.
  
  
  
  • If such invention is accepted by University Patents, Inc., or other entity, both the University and the inventor or inventors thereof shall assign all their right, title, and interest in the invention to University Patents, Inc., or to said other entity, and the invention shall become the sole property of University Patents, Inc., or of said other entity, pursuant to the terms of the aforesaid agreement between the University and University Patents, Inc., or between the University and said other entity, as the case may be. Should the University itself choose to exploit the invention, the inventor or inventors shall assign all right, title, and interest in the inventions to the University. Regardless of the identity of the assignee, the inventor or inventors shall at all times cooperate with the assignee in patenting and exploiting the invention.
  
  
  
  • The University shall pay to the inventor or inventors, his, her, or their heirs, executors, administrators, or assigns a portion of the net proceeds paid to the University, and such portion shall consist of and be computed exclusively from money received by the University from University Patents, Inc., or other entity and arising out of commercial exploitation of the invention. The University shall establish rules and procedures for determining what portion of the monies paid to the University by University Patents, Inc., or other entity and arising out of a particular invention shall be paid to the inventor or inventors of such invention. All decisions of the University determining the payments to be made to a particular inventor and the reasons for such decision shall be set forth in writing. The inventors’ collective share of such net proceeds received by the University from the invention shall ordinarily be fifty percent (50%). Royalties and other income shall, where appropriate, be allocated and expended by the University in accordance with federal regulations governing the use of such funds. Where an invention is developed by more than one person, the inventors shall decide among themselves their respective shares of the inventors’ collective share of net proceeds and shall provide to the Office of Sponsored Programs a written agreement signed by all of the inventors designating their respective shares and authorizing the University to make payments in accordance therewith. One-third of the net proceeds retained by the University shall be allocated to the department in which the invention was made, one third to the school or college in which the invention was made, and one third to the University.
  
  
  
  • The payments to which any inventor shall be entitled hereunder shall be made within ninety (90) days after the receipt by the University of the monies derived from his or her invention during the year. In addition the University shall furnish the inventor or inventors with a copy of the statement of activity and computation furnished to the University by University Patents, Inc., or other entity, pursuant to its contract with the University.
  
  
  
  • In the event University Patents, Inc., or other entity shall reject an invention submitted to it, the Office of Sponsored Programs, with the approval of the Chancellor, may nevertheless, on behalf of the University determine to pursue the exploitation of such invention and shall so indicate by notice mailed to the inventor or inventors within a reasonable time after receipt of notice of the rejection by University Patents, Inc., or other entity. In such event, the inventor or inventors shall assign all their right, title, and interest in the invention to New York University, which shall diligently pursue the exploitation of the invention. The invention shall become the sole property of the University, and the provisions of paragraphs (d) and (e) hereof shall be applicable with respect to the distribution of all monies received by the University and arising out of commercial exploitation of the invention.
    
    If the invention is rejected by University Patents, Inc., or other entity, and the University shall thereafter in writing decline to exploit said invention or fail to pursue diligently its exploitation after written demand by one or more of its inventors to do so, the University shall be deemed to have waived its rights in the invention. The inventor or inventors shall then be free to take such action as he or she or they deem desirable to obtain a patent upon the invention and otherwise exploit and develop such invention. In no event shall the inventor or inventors use the name of the University in exploiting the invention without the consent of the University.
  
  
  
• Inventions Developed on University Research Projects and Sponsored Research Projects
  
  
  • The University conducts special research projects which may be sponsored (i) by the University through special appropriation; (ii) by some other person, corporation, or governmental agency under an agreement with the University. Such special research projects are understood to be those which operate under contractual agreements or Memoranda of Understanding.
  
  
  
  • No person shall be assigned to any special research project as defined above unless he or she shall first sign a written statement that he or she agrees (i) to be bound by the terms of any contract or agreement between the University and any person, corporation, or other agency sponsoring such special research project to the extent that the terms of such agreement provide for the disposition of inventions developed in connection therewith, or in the absence of any such contract or agreement (ii) to be bound by the provisions of Part IV hereof with respect to any invention developed by him or her, either alone or in conjunction with some other person, as a result of his or her assignment to such special research project; and (iii) to submit any such invention to the Office of Sponsored Programs to be processed pursuant to the procedure set forth in Part IV above.
  
  
  

1. If the matter of copyright protection is not explicitly made a part of any contractual document or grant between the sponsor and the University, the University staff whose activities are covered by such documents are free to seek copyright protection in accordance with the practice described in the introductory paragraph of this statement.



2. If the contractual or granting document covering any research or training program at the University has explicit reference to copyright protection, the University staff whose activities are so covered are bound by those conditions and are obligated to do all things necessary to enable the University to fulfill its obligations.



3. The University shall notify each research project director of obligations with respect to copyright which may exist by virtue of contract provisions relating to his or her particular activities.



4. If, in any particular case, it seems desirable to obtain copyright protection, the matter should be referred to the Office of Sponsored Programs at Washington Square. A decision based upon the particular facts presented will be made after consultation between personnel of that office and the research project director in charge of the matter in question.