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Index in Alphabetical Order

Policy Number Policy name Content
2104 Part-time and Adjunct Faculty

This policy is designed to provide for the appointment and employment of adjunct and part-time faculty members. The university recognizes the contribution made to the successful accomplishment of the mission of the institution by the dedicated group of faculty members who teach and/or provide services on a part-time or adjunct basis.

1204 Information Security

This policy assigns responsibility for the security of departmental, administrative and other critical university information and systems. Components of security include confidentiality, availability and integrity.

4102 Student Financial Obligations

This policy establishes guidelines and procedures for students to settle financial obligations to James Madison University.

1114 Mandatory Drug and Alcohol Testing for Commercial Driver's License Holders

In order to promote campus and highway safety, the university will conduct mandatory drug and alcohol testing of all university employees who possess commercial driver's licenses and use them in performance of their university jobs.

1334 Student Employment

The university employs qualified students for various positions in order to meet personnel needs. The objective of this policy is to define student employment and to outline the conditions of employment for student employees. Student employment is separate and distinct from financial aid given to students, and this policy also is designed to distinguish between the two types of payments made to students.

2101 Faculty Selection and Hiring Procedures

This policy has been developed in accordance with state and federal law to provide uniformity in the selection and hiring process for faculty members. Compliance is required for all faculty hires, unless otherwise specified herein.

1105 Prohibition of Weapons

This policy provides rules and regulations concerning the possession of weapons on campus and in all facilities and locations owned or operated by James Madison University (the university) in an effort to provide a safe and secure learning and working environment for its students, employees and visitors.

1302 Equal Opportunity

This policy represents a commitment by the university to support the practice, spirit and good-faith efforts regarding equal opportunity and diversity, beyond mere compliance with government regulations. A commitment to diversity is a commitment to all members of the university community. Diversity among staff, students and faculty offers the university an opportunity to realize its mission.

1406 Reporting Suspected Child Abuse or Neglect

The purpose of this policy is not only to comply with relevant state laws related to the mandatory reporting of suspected child abuse or neglect, but to recognize the responsibility of the university to provide a safe environment for children.

4202 Abandoned and Unclaimed Personal Property

This policy outlines the procedures and responsibilities for collection, retention and disposal of abandoned and unclaimed property on the JMU campus or other locations owned, leased or operated by the university.

1104 The Institutional Review Board on the Use of Human Subjects in Research

This policy provides for the establishment of the Institutional Review Board (IRB) at the University to oversee all human research at the university. The Institutional Review Board for the Protection of Human Research Participants is an independent compliance committee mandated by the U.S. Department of Health and Human Services (HHS). (See Title 45, Part 46 of the Code of Federal Regulations.) The most recent version of the regulations, adopted in 1991, includes the adoption of the Federal Policy for the Protection of Human Subjects, generally known as the "Common Rule." This policy, promulgated by the sixteen federal agencies that conduct, support, or otherwise regulate research involving human participants, is designed to make uniform the human research participant protection system in all relevant federal agencies and departments.

1506 Use of University Property

The purpose of this policy is to prohibit employees of the university from using university property for personal or private purposes.

3109 Bloodborne Pathogens UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

  1. PURPOSE

    This policy advises classified employees, faculty members, administrators, student employees and all other employees of the university of the practices and procedures to help prevent exposure to the Hepatitis B (HBV) and Human Immunodeficiency Virus (HIV) by blood and other body fluids.
  2. AUTHORITY

    This program is mandated for all at risk employers/employees by the United States Department of Labor in Occupational Safety and Health Act (OSHA) Standard 29 CFR 1910.1030 of March 6, 1992, and by the Commonwealth of Virginia through Virginia Occupational Safety and Health (VOSH) and is applicable to the university.

    The President of the university has given the Vice President for Student Affairs the responsibility and the authority to ensure that these guidelines are followed and complied with.
  3. DEFINITIONS

    At risk employees:
    All employees who could be "reasonably anticipated," as a result of performing their job duties, to have contact with blood and other potentially infectious materials.

    Exposure incident:
    A specific eye, mouth, other mucous membrane, non-intact skin, or parenteral contact with blood or other potentially infectious materials that results from the performance of an employee's duties.

    Other body fluids:
    Substances such as human semen, vaginal secretions, cerebrospinal fluid, peritoneal fluid, amniotic fluid, saliva in dental procedures, any fluid visibly contaminated with blood, and indistinguishable body fluids.
  4. APPLICABILITY

    This policy applies to all employees of the university.
  5. POLICY

    Members of the university community are to comply with OSHA and VOSH health related codes, laws and standards applicable to the handling of and exposure to Bloodborne Pathogens.

    The Bloodborne Pathogens Control Program is designed to help prevent the spread of HIV and HBV infections to persons who may be reasonably expected to come into contact with blood and other body fluids as part of their work/activities or what is defined by OSHA as an "exposure incident"(see definitions below). It should be noted, however, that there is limited possibility that someone will acquire HIV or the HBV as a result of job-related contact with blood or other body fluids.

    Until proven otherwise, all blood and other body fluids will be considered contaminated. For purposes of expediency, future reference to "blood and other body fluids" will simply be stated as "blood."
  6. PROCEDURES

    6.1 AT RISK POSITIONS

    Human Resources will evaluate the Employee Work Profile (job description) to determine whether a position is to be considered 'at-risk'. A supervisor requesting change of status for any position must request the change from human resources. Vice presidents, division heads, and their supervisory staff will annually identify at risk positions/personnel and ensure that they comply with the appropriate instructions. Human resources will maintain a list of all positions (faculty, staff, and students) that have been designated at risk.
  1. The employee will be notified by his/her supervisor of the time and location for the medical training and the departmental training (see Training section).
  2. After the employee has received both training sessions, he/she is required to take one of the following actions:

    • If the employee decides against the inoculation option, he/she must complete a Declination Form and submit it to the trainer. These forms will be filed in the University Health Center.
    • An employee in an at risk position, may decide at a later time to receive the inoculation. They should contact the university health center to schedule their first inoculation.
    • If the employee chooses to be inoculated, he/she must complete the HBV/HIV Consent form. They will then receive the first of three inoculations from the University Health Center. The employee is responsible for obtaining the second and third inoculations according to the specified time frame.
    • Provide appropriate documentation of previous inoculation series.
Any other faculty, classified employee, wage employee, or student who is exposed to blood or body fluids as a result of performing a "good Samaritan" act during working hours, which is outside of his or her duties is covered for post exposure.

6.2 Persons who begin the inoculation process, but fail to complete the series by the designated time schedule, should consult with one of the UHC RNs responsible for the BBP medical training.

6.3 TRAINING
All persons in at risk positions will be given medical and departmental training provided by the university. Human Resources and the University Health Center will coordinate all medical training activity. Human Resources will maintain employee-training records. Human Resources will maintain training records for all student positions designated at risk.

1) Medical Training

  • This training will be provided by the University Health Center and will include:
  • What are bloodborne pathogens?
  • Who is at risk?
  • What is exposure?
  • How is an exposure incident handled?
  • How does the employee protect himself/herself?
  • Information on the vaccine.
  • Laboratory workers must receive additional specialized training.
2) Department Training
All departments with at risk positions must conduct annual departmental training, including any pertinent updates. Employees must be aware of the HAZMAT (hazardous materials) manual, the OSHA regulations, and the exposure control plan, including where these materials are kept within the department. The training must review the specific exposure control plan developed for the office/department. An outline of an exposure control plan would include:

  • Definition of at risk positions for the department
  • Description of specific job duties/tasks that place the employee at risk (i.e. performing venipunctures, aiding an injured athlete).
  • Description of proper performance of job duties to prevent disease transmission (i.e. proper hand washing, use of barriers such as gloves).
  • Description of engineering and work practice controls which are in place to reduce the likelihood of exposure (i.e. sharps disposal containers, biohazard bags).
  • Description of hazard communication (i.e. warning labels).
  • Description of personal protective equipment available in the departments and its proper use (i.e. latex gloves, goggles).
  • Description of decontamination and disposal procedures of personal protective equipment and infectious waste or materials (i.e. clean-up procedure, proper use of bleach).
  • Description of other protective practices required by the department.
  • Reporting process for an exposure incident.
  • Departmental engineering and work practice controls must be examined and evaluated on a regular basis to ensure their effectiveness.
  • Annual re-evaluation and implementation of safer needle devices as part of the exposure control plan update.
  • Documentation of the involvement of non managerial, front line employees in choosing safer needle devices.
6.4 POST-EXPOSURE EVALUATION AND FOLLOW-UP

  1. Employees (whether at risk employees or others performing a good Samaritan act who have a potential exposure incident) will contact the designated supervisor. If the exposure is related to BBP, the supervisor will immediately contact the university safety engineer or Workers Compensation coordinator in Human Resources and refer the employee to the University Health Center (during regular hours) or the Rockingham Memorial Hospital Emergency Room for medical evaluation) The supervisor will complete the Blood Borne Pathogen Incident Report available on the HR Website.
  2. Persons may sign a waiver refusing medical assessment and treatment.
  3. If an exposure is validated by medical personnel, an evaluation will include a confidential medical evaluation documenting the circumstances of exposure, identifying and testing the source individual, if feasible, testing the exposed employee's blood, post-exposure inoculations, counseling and evaluation of reported illnesses. The university will cover the associated costs. The results of any tests will be kept confidential and disclosed only with written consent of the exposed individual.
  4. A "Sharps Injury Log" for recording injuries from contaminated sharps will be kept by Human Resources. Incidents should be reported using the "Needle stick Reporting Form" available on the HR website
6.5 MEDICAL RECORD KEEPING
The medical records for all persons involved in an exposure incident must be maintained for length of employment plus 30 years. All records are confidential. Records must include name and social security number, hepatitis B vaccination status (including dates), results of any examinations, medical testing and follow-up procedures, a copy of the healthcare professional's written opinion, and a copy of information provided to the health care professional. Faculty, classified staff and administrative employee records will be maintained in Human Resources. Student employee records will be maintained in the University Health Center.

  1. RESPONSIBILITIES

    7.1 Each department head is responsible for the application and enforcement of the mandated policy in areas under their direction. The office of public safety, director of human resources and the Associate Director of the university Health Center will facilitate compliance with the standard.

    7.2 Department heads of at risk personnel are responsible to develop and implement departmental exposure control plans; disseminate awareness information; establish engineering and work practice controls and alert human resources of vacancy in an at risk category or identify new at risk positions.

    7.3 All approved costs involved in training, equipment, inoculations, decontamination, post exposure follow-up and like expenses related to this program will be paid by the university through designated budgets.

    7.4 The office of public safety and the human resources office will oversee and assure compliance of the Bloodborne Pathogen Control program at the university. The University Health Center in cooperation with Human resources will coordinate and provide the medical training and vaccination administration to all at risk employees.

    7.5 Directors/Department heads are responsible for maintaining an accurate record of the status of employees in at risk positions related to medical and departmental operation.
  2. SANCTIONS

    Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.
  3. EXCLUSIONS

    None
  4. INTERPRETATION

    The authority to interpret this policy rests with the President, and is generally delegated to the Vice President for Student Affairs.
Original Version: March 1, 1999

Approved: May 2002
Linwood H. Rose, President

Index of Terms

Blood
HIV
Hepatitis
Vaccination





1111 Smoking Regulations

This policy establishes the rules and regulations concerning smoking on the JMU campus, on property controlled by JMU, and in facilities and vehicles owned or controlled by JMU. This policy ensures compliance with the Virginia Executive Order 41.

4501 University Business Activity

This policy outlines the criteria for the university to ensure that its business activities are conducted in conformity with federal income tax legislation.

4100 Signature Authority on Contracts

This policy establishes those who are authorized to sign contracts to enter the university into official commitments, financial or otherwise.

1115 Violence Prevention

This policy is to provide procedures for the prevention of violence on campus, including assessment and intervention with individuals whose behavior poses a threat to the safety of the campus community.

1304 Outside Employment of Faculty

This policy provides guidelines for the reporting and monitoring of employment outside of the university by faculty members.

1403 A&P Faculty and Classified Staff Training & Development

The purpose of this policy is to outline the university's commitment to the development of its employees by providing and encouraging participation in a variety of job-related training and development opportunities.

1314 Transfer or Separation from Employment

This policy protects the university's interests by establishing procedures for supervisors, Human Resources(HR), Student Work Experience Center (SWEC), Information Technology(IT), Payroll Services and other departments to use in ensuring that proper security is maintained when an employee transfers or separates from university employment.

5101 Private Fundraising

This policy establishes guidelines for the solicitation of private funding and the coordination of engagement activity with alumni, donors, parents and friends.

1214 University Information Technology Security Program

James Madison University has a highly complex and resource rich information technology environment upon which there is increasing reliance to provide mission-critical academic, instructional and administrative functions. Safeguarding the institution's computing assets in the face of growing security threats is a significant challenge requiring a strong, persistent and coordinated program that leverages widely accepted, effective security practices appropriate for the higher education environment. This policy states the codes of practice with which the university aligns its information technology security program.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provides full delegated responsibility for management of the institution's information technology security activities. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its security activities.

1212 Information Technology Infrastructure, Architecture and Ongoing Operations

It is critically important that James Madison University's information technology (IT) infrastructure, architecture and ongoing operations support the mission of the institution. To help ensure this need is met, decisions affecting these areas must reflect standards, guidelines and practices found to be effective in the higher education environment. This policy establishes the nationally recognized codes of practice with which the university aligns its IT infrastructure, architecture and ongoing operations.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology infrastructure, architecture and ongoing operations. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its infrastructure, architecture and ongoing operations.

1325 Wage Employment

It is the policy of the university to employ qualified persons for wage employment in order to meet personnel needs as outlined below. The objective of this policy is to define wage employment and to outline the conditions of employment for wage employees.

2204 Policy for Institutional Biosafety UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

INTRODUCTION
James Madison University recognizes the importance of conducting a broad spectrum of original problem-solving research which requires the use of recombinant DNA technology. Cognizant that these activities may be accompanied by some risks, the University requires that the activities by this policy be reviewed and approved by an Institutional Biosafety Committee (IBC) to ensure that it is conducted in accordance with the National Institutes of Health Guidelines For Research Involving Recombinant DNA Molecules as published in the Federal Register on 7/5/1995. This policy is in full compliance with the applicable federal and state laws and regulations. In addition, adherence to this policy shall not exempt investigators employing recombinant DNA molecules in their research from compliance with other applicable laws, regulations or policies (e.g. research with human subjects or research with animals).

APPLICABILITY
This policy is applicable to all recombinant DNA research which is conducted at or sponsored by or under the aegis of James Madison University. No activity involving the construction or handling of recombinant DNA molecules or organisms and viruses containing recombinant DNA molecules shall be initiated without the prior notification, and if necessary, review and approval, of the James Madison University Institutional Biosafety Committee.

DEFINITION OF RECOMBINANT DNA MOLECULES
In the context of this policy and in accordance with the NIH Guidelines (section IB), recombinant DNA molecules are defined as either (i) molecules which are constructed outside living cells by joining natural or synthetic DNA segments to DNA molecules that can replicate in a living cell, or (ii) DNA molecules that result from the replication of those described in (i). Synthetic DNA segments likely to yield a potentially harmful polynucleotide or polypeptide (e.g., a toxin or pharmacologically active agent) shall be considered as equivalent to their natural DNA counterpart. If the synthetic DNA segment is not expressed in vivo as a biologically active polynucleotide of polypeptide product, it is exempt from this policy.

INSTITUTIONAL BIOSAFETY COMMITTEE
An institutional Biosafety Committee (IBC) comprised of the University faculty and staff and two outside community members appointed by the Vice President for Academic Affairs shall fulfill the responsibilities described in the National Institutes of Health Guidelines for Research Involving Recombinant DNA Molecules. The Chair shall be elected by the committee members.

A. Committee Membership
See Institutional BioSafety Committee Requirements at the following URL; http://www4.od.nih.gov/oba/rac/guidelines_02/NIH_Guidelines_Apr_02.htm#_Toc7261582
The IBC members shall be selected so that they collectively have experience and expertise in recombinant DNA technology and the capability to assess the safety of recombinant DNA research experiments and any potential risk to public health or the environment. At least two members shall not be affiliated with James Madison University (apart from membership on the IBC) and shall represent the interest of the community area with respect to the health and protection of the environment. When possible, there shall be at least one member from each department/unit conducting recombinant DNA research. The Associate Vice President for Research and Program Innovation and the Director of Sponsored Programs shall also be members.

B. Meetings
The IBC shall meet as needed, but at least once per year. A schedule of meetings shall be publicly posted. Meetings will be open to the public whenever possible, consistent with protection of privacy and proprietary interests. A quorum for conducting business shall consist of two-thirds of current members except that at least one member not affiliated with James Madison University apart from serving in the IBC must be present. The meetings will follow recognized parliamentary procedure.

C. Reports
The IBC will report annually to the University community concerning the performance of its assigned functions as described in Section VII B below.

EXPERIMENTAL CLASSES AND PROCEDURES
The different classes of experiments and particular constraints applying to each (e.g., containment requirements) are found in Section III of the NIH Guidelines for Research Involving Recombinant DNA Molecules. As these regulations are modified by subsequent agency action, those modifications shall be incorporated into this policy. A summary description of each class of experiment and the associated required procedures are outlined in the following subsections.

Experiments which require specific Recombinant DNA Advisory Committee (RAC) review and National Institutes of Health (NIH) and IBC approval before initiation of the experiment.

Experiments in this class cannot be initiated without submission of relevant information on the proposed experiment to NIH, the publication of the proposal in the Federal Register for thirty (30) days of comment, review by the RAC, and specific approval by the NIH. Definitions and examples are presented in III A and B of the NIH Guidelines.

Experiments which require IBC approval before initiation of the experiments.

Experiments in this class require submission of relevant information to the IBC for review and approval must be obtained prior to initiation of the experiments. Definitions and examples are presented in III C of the NIH Guidelines.

Experiments which require IBC notification before initiation of the experiment.

Experiments in this class require submission of relevant information to the IBC prior to initiation of the experiments. Definitions and examples are presented in Section III D of the NIH Guidelines. Approval by the IBC is not required UNLESS the IBC determines the investigator has incorrectly classified the experiments.

FORMS AND PROCEDURES
Each investigator using recombinant DNA molecules in his/her research is required to complete a "Registration Document for Recombinant DNA Research" form for each project (or proposed project) involving recombinant DNA being conducted. This form must be completed and approved by the IBC to receive certification for external funding proposals. However, all projects/activities involving recombinant DNA, whether they are part of a grant proposal or not, must be submitted to the IBC. An "Annual Renewal" form must also be completed for each project. These forms are available from the IBC and are attached as an appendix to this document.

FUNCTIONS OF THE IBC
A. On behalf of James Madison University, the IBC shall review all proposals to assure compliance with NIH guidelines and University policy on biosafety.

B. On behalf of James Madison University, the IBC shall conduct periodic self-studies of the effectiveness of University policy on biosafety and the implementation procedures, reporting the results to the Vice President of Academic Affairs and recommending any needed revisions. This will involve responsibility for:

1. Reviewing the containment levels of experiments;

2. Reporting within 30 days to the Energy and Environmental Awareness Committee and the Office of Sponsored Programs identified with or violations of the guidelines and research-related accidents or illnesses; the IBC along with the Director for Sponsored Programs, under the direction of the Associate Vice President for Research and Program Innovation, has responsibility for communication with external sponsoring and monitoring agencies;

3. Making recommendations to the Energy and Environmental Awareness Committee and Director for Sponsored Programs concerning applications for exemptions within 30 days of their submission, subject to approval Associate Vice President for Research and Program Innovation.

4. Participating with the Energy and Environmental Awareness Committee in the development of emergency plans to deal with accidental spills and personnel contamination resulting from research;

5. Ensuring through periodic inspections that laboratory standards are rigorously followed;

6. Assessing the training in expertise of recombinant DNA personnel in notifying principal investigators and the University community of the results of the assessments. The Chair of the IBC will maintain the files of all the paperwork relating to the Committee; copies of all records will also be on file in the Sponsored Programs Office.

INVESTIGATOR RESPONSIBILITIES
The Principal Investigator is responsible for reviewing this policy and complying with its requirements. Specifically, he/she will:

a. file a "Registration Document for Research Involving Recombinant DNA" and an "Annual Renewal" form for each project and meet all the requirements of the NIH Guidelines;

b. make available to laboratory staff copies of protocols that describe potential biohazards and the precautions to be taken;

c. provide appropriate instruction and training in practices and techniques necessary to ensure laboratory safety;

d. supervise the laboratory staff to ensure that appropriate safety techniques and procedures are employed;

e. report in writing to the IBC any significant problems pertaining to the operation and implementation of containment practices and procedures;

f. submit applications for external funding of recombinant DNA research to the IBC prior to transmittal for external funding.



REGISTRATION DOCUMENT FOR RESEARCH INVOLVING RECOMBINANT DNA

James Madison University Institutional Biosafety Committee

This form must be submitted for all research involving recombinant DNA molecules. Renewal of approval for each project is required every 12 months. In this document Guidelines refers to Guidelines for Research Involving Recombinant DNA Molecules (NIH Guidelines, June 1994), as published in the Federal Register 7/5/94, 8/5/94.

General Registration Information

1. Principal Investigator:

2. Department:

3. Phone:

4. Building and room number(s) where research is to be conducted:

5. Project title:

6. Project start date:

7. If part of grant proposal, list agency, grant title: (if pending, list requested funding dates; if funded, list number and funding dates)

8. Does this project contain proprietary information?:

If yes, please describe.

Class of Experiments Involving Recombinant DNA and Containment Levels

1. Which class of the Guidelines for covered experiments apply to the proposed experiments (see section III of the Guidelines). Check which one applies:

____ III-A. Experiments that require RAC, NIH, and IBC approval before initiation.

If class III-A is checked, see items III-A-1 through III-A-4 in the Guidelines, indicate all those that apply, and explain on a separate sheet.

____ III-B. Experiments that require IBC approval before initiation (see items III-B-1 through III-B-5 in the Guidelines). Check all that apply to III-B and explain in detail each check on a separate page.

____ a. Use of other than a class 1 agent as host-vector system. State class

____ b. A viral vector (other than class 1) will be used:

Will less than 2/3 of a genome be used? Yes No

With helper virus? Yes No

May your experiment enhance pathogenicity (e.g. insertion of oncogene, extend host range)? Yes No

____ c. Whole animals or plants will be used as host.

____ d. Experiments will involve more than 10 liters of culture.

____ e. An attempt will be made to obtain expression of a foreign gene.

____ III-C. Experiments that require IBC notice simultaneously with initiation of experiments (experiments not included in III-A, III-B, and III-D).

____ III-D.Exempt experiments (see items III-D-1 through III-D-5 in the Guidelines).

2. Which physical containment level applies to this proposal (Appendix G, section II in the Guidelines)?

Circle one: BL-1 BL-2 BL-3

3. Describe the rationale for selecting class and containment levels chosen and cite appropriate sections of the Guidelines.

Description of Recombinant DNA Experiments

Please answer in detail each of the questions listed below. Use additional sheets if necessary.

1. Summary of project (1 or 2 paragraphs). Include purpose for which recombinant DNA will be used in the project and briefly describe the range of techniques to be employed. Please define any acronyms and abbreviations.

2. Host strain(s) used, including genus, species, parent strains, and class of each agent.

3. Vectors to be used. Include source.

4. Source and nature of inserted DNA sequences. Include size, gene name(s) and function of gene(s), and sequence(s), if known.



ANNUAL RENEWAL FORM FOR PROJECTS INVOLVING RECOMBINANT DNA

James Madison University Institutional Biosafety Committee

(Please fill out a separate form for each project.)

Principal Investigator:
Department:
Phone Number:
Project Number:
Project Title:
Funding agency(ies)

1. Current status (check one)

____ Initiated Date ________________

Expected completion date_________

____ Will be initiated Date_________________

____ Continuing

____ Will not be initiated or will be discontinued

____ Completed Date_________________

2. This project is being conducted as originally submitted, or all amendments to this proposal have been previously approved.

____ Yes ____ No

If amendments are being proposed , please describe on a separate sheet. Upon review, the Principal Investigator may be requested to complete a new proposal. If containment level or class has changed, please submit a new proposal.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

Received and approved by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



REGISTRATION DOCUMENT FOR RESEARCH INVOLVING INFECTIOUS AGENTS

James Madison University Institutional Biosafety Committee

In addition to overseeing the use of recombinant DNA technology the Institutional Biosafety Committee (IBC) of James Madison University also oversees the use of infectious agents in biological research. To ensure the proper and safe usage of such agents in teaching and research laboratories at the University, all investigators are required to abide by the regulations and procedures described in Biosafety in Microbiological and Biomedical Laboratories published by the U.S. Department of Health and Human Services (May 1993). In order to monitor activities involving infectious agents, this form must be submitted by all instructors and primary investigators employing infectious agents in their research. It should be updated when any changes occur and at the very least be updated annually. Those investigators who have provided all the information regarding infectious agents on the "Registration Document for Research Involving Recombinant DNA" need not complete this form.

General Registration Information
1. Principal Investigator:

2. Department:

3. Phone:

4. Building and room number(s) where research is to be conducted:

5. Project title:

6. Project start date:

7. If part of grant proposal, list agency, grant title: (if pending, list requested funding dates; if funded, list number and funding dates)

8. Does this project contain proprietary information?: If yes, please describe.

Description of Activities Employing Infectious Agents

Describe in detail; (a) the nature and goals of the project, (b) the basic procedures employed, (c) each of the infectious agents used (including full name, source, genotype, pathogenicity, antibiotic resistance pattern), (d) the biosafety level chosen and the rationale for choosing this level.

Agreement Sheet

I agree to abide by the regulations and procedures described in the CDC/NIH publication Biosafety in Microbiological and Biomedical Laboratories published by the U.S. Department of Health and Human Services (May, 1993).

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____ Received and reviewed by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



Approval Sheet

I agree to abide by the Guidelines for Research Involving Infectious Agents (NIH Guidelines) as published in the Federal Register 7/5/1994 in conducting all work using infectious agents.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____Received and reviewed by the Institutional Biosafety Committee

____Approved

____Approval not required

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)

Approval Sheet

I agree to abide by the Guidelines for Research Involving Recombinant DNA Molecules (NIH Guidelines) as published in the Federal Register 7/5/1994 in conducting all work using recombinant DNA molecules.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

____ Received and reviewed by the Institutional Biosafety Committee

____ Approved

____ Approval not required

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



ANNUAL RENEWAL FORM FOR PROJECTS INVOLVING INFECTIOUS AGENTS

James Madison University Institutional Biosafety Committee

(Please fill out a separate form for each project.)

Principal Investigator:

Department:

Phone Number:

Project Number:

Project Title:

Funding agency(ies)

1. Current status (check one)

____ Initiated Date ________________

Expected completion date_________

____ Will be initiated Date_________________

____ Continuing

____ Will not be initiated or will be discontinued

____ Completed Date_________________

2. This project is being conducted as originally submitted, or all amendments to this proposal have been previously approved.

____ Yes ____ No

If amendments are being proposed , please describe on a separate sheet. Upon review, the Principal Investigator may be requested to complete a new proposal. If containment level or class has changed, please submit a new proposal.

__________________________________ _________________
(Signature of Principal Investigator) (Date)

Received and approved by the Institutional Biosafety Committee

__________________________________ _________________
(Signature of Chairperson of Institutional Biosafety Committee) (Date)



Approved May 1, 1998 by Linwood H. Rose, President





4305 Recycling

This policy sets the parameters for James Madison University’s commitment to effective environmental management through recycling.

1107 Intellectual Property

1. PURPOSE

This policy is designed to:

  1. Establish ownership criteria for intellectual property developed by members of the JMU community, and protect the equities of the creator as well as the University,
  2. Define the responsibilities, rights and privileges of those involved, and
  3. Establish basic guidelines for the administration of this policy.

2. AUTHORITY

JMU as a public institution of higher education in Virginia is required to adopt patent and copyright policies consistent with the policy guidelines promulgated by the State Council of Higher Education. See Code of Virginia, Section 23- 4.3, 23-4.4, and 23-9.10:4.

3. DEFINITIONS

Throughout this policy, where it is appropriate, the singular form of a noun also includes the plural: "creator" also means "creators" if there are more than one, etc.

Assigned duty:
(Required by legislation for determining when transfers of intellectual property must be approved by the Governor) - "Assigned duty" is narrower than "scope of employment," and is an undertaking of a task or project as a result of a specific request or direction. A general obligation to do research, even if it results in a specific end product such as a vaccine, a published article, or a computer program, or to produce scholarly publications, is not a specific request or direction and hence is not an assigned duty. In contrast, an obligation to develop a particular vaccine or write a particular article or produce a particular computer program is a specific request or direction and is therefore an assigned duty. At the same time, if the University has contributed time or resources to the discovery or creation of a product, it would claim an equity interest in such discoveries or creations.

Claims an Interest:
The University "claims an interest" in intellectual property when it asserts a right in the property under its intellectual property policy. The University may choose not to "claim an interest" in some forms of intellectual property that it does not want to own, even though it might legally be able to assert ownership.

Creator:
Either an inventor in the context of patentable inventions, or an author in the context of copyrightable works of authorship.

Employee:
Full-and part-time faculty; classified employees, administrative staff; and students who are paid for specific work by the University. Students may be employees for some purposes and not for others. If they are paid as student assistants, for example, or given grants to do specific research, they will be employees. Students receiving general scholarship or stipend funds would not normally be considered employees.

Finance Officer:
The member of the administration appointed by the President to administer all royalty and licensing arrangements associated with the university's intellectual property.

Fund to Support Research and Innovation:
A fund established by this policy from net revenues resulting from commercialization of intellectual property, designed to support faculty, staff and students in research and development. The fund shall be administered by the Office of the President, and maintained by the Finance Officer.

Intellectual Property:
Anything developed by anyone covered by the University's intellectual property policy that fits one or more of the following categories:

  • A potentially patentable machine, article of manufacture, composition of matter, process, or improvement in any of these; or
  • An issued patent; or
  • A legal right that inheres in a patent; or
  • Anything that is copyrightable (in legal terms, this means anything that is an original work of authorship, fixed in a tangible medium of expression)


Intellectual Property Committee:
The committee appointed by the President to advise him on all intellectual property matters at the university. Intellectual Property Committee members are appointed by the President annually.

Intellectual Property Office:
The office in the Academic Affairs Division charged with administration of this policy.

Intellectual Property Officer:
The member of the administration appointed by the President to serve as the contact between the President and the Intellectual Property Committee as an ex officio member of the committee.

Reporting Period:
The period from July 1 of one year through June 30 of the following year.

Royalties Received:
Any value received during the reporting period, including cash payments as well as the market value of any property or services received, in consideration for a transfer of any intellectual property in which the University claims an interest.

Significant Use of General Funds:
(Required by legislation for determining when transfers of intellectual property must be approved by the Governor). This phrase, and the phrase "developed wholly or significantly through the use of general funds," means that general funds provided $10,000 or more of the identifiable resources used to develop a particular intellectual property. A reasonable cost should be assigned to those resources for which a cost figure is not readily available, such as salary, support staff, and other equipment and resources dedicated to the creator's efforts. Resources such as libraries that are available to employees generally should not be counted in the assessment of the use of general funds.

State Council of Higher Education for Virginia ("SCHEV"):
The Commonwealth of Virginia's coordinating body for higher education.

Student Course Work:
Copyrightable or patentable creations made during the course of activities leading to academic credit.

Substantial use of university resources:
What constitutes "substantial use" of university resources must be answered on the basis of the facts and circumstances of each situation. The university will not ordinarily construe the provision of office or laboratory space, access to the library, use of the university's information technology infrastructure, or the payment of employees' salary as substantial use of university resources. Any colleges, departments or offices that support the employee's activities must be consulted in any determination of substantial use. As a general guideline, the use of university resources, (other than the library, the employee's office or laboratory, and salary) will be considered substantial if the value of those other resources used exceeds $10,000 in any twelve consecutive month period. Examples of resources subject to the $10,000 limitation include computer charges, graduate assistant or technical salaries and wages, laboratory equipment and materials, and secretarial salary.

NOTE: If the combination of university resources and general funds exceeds $10,000 in any twelve consecutive month period, the university will consider the use of university resources to be substantial.

University Research Program:
Any university sponsored or supported program of research.

Works Made for Hire:
For the purpose of this policy, it shall be deemed that an invention has been "Made for Hire" if the employee is employed, directed or assigned to:

  1. Invent, improve, develop or perfect any art, machine, design, manufacture, or composition of matter,
  2. Conduct or perform research, development work, or both,
  3. Supervise, direct, coordinate, or review University financed or conducted research or development work, or both, or
  4. Act in a liaison capacity with agencies or individuals engaged in such research or development.

This assignment, however, does not preclude the sharing of royalties or other payments with the employee in accordance with this policy.

4. APPLICABILITY

This policy applies to all employees, students, visiting faculty and researchers, and employees and visitors covered by sponsored program agreements or other contractual arrangements.

Individuals outside the university who hold intellectual properties that they wish to exploit, may request inclusion under this policy. If it is in the university's interest to accept such a request, the university and the individual shall execute a legally binding contract, clearly stating the terms and conditions of the arrangement. The sharing of royalties will be explicitly stated. Requests should be made to the Intellectual Property Officer. The IPO, in consultation with the Intellectual Property Committee, shall consider its acceptance under this policy. An evaluation of and recommendation on a request for inclusion shall be made within ninety (90) days of the receipt of the formal request. If the request is honored, the Intellectual Property Officer will develop special royalty arrangements with the external property holder to mutual satisfaction.

5. POLICY

5.1 Patentable Discoveries and Inventions
University Ownership: Patentable materials developed by University employees shall usually be the property of the university. A discovery or invention developed by an employee that is a work made for hire, or that is developed or created using substantial university resources, or that is related to any university research program involving the employee within the past twelve (12) months, is the property of the university. Under this policy, the rights to all patentable discoveries and inventions are retained by the University unless that right is preempted by an external project sponsor. Different sponsors have different policies with respect to inventions resulting from work done under sponsored projects. In general, the University is unwilling to give up its patent rights unless the full cost of the research is supported by the sponsor. Should royalty income be generated from the application of technology, the university will share in that income according to the formula found in section 6.3.

Sponsored Research and Outside Ownership: Depending on the terms of the grant or contract, Sponsors of research projects may be entitled to ownership of a discovery or invention made by an employee of the University without payment of any royalty. This ownership may occur when the sponsor provides funds for the entire project and in research involving the testing of a product or products developed by the sponsor. Agreements on patent matters may be negotiated where it is necessary to do so as a prerequisite to University participation in the project or receipt of a grant or contract. The Principal Investigator on a project should be familiar with the patent policies of both the university and the sponsor. The Office of Sponsored Programs should be consulted prior to submitting a proposal that may result in patentable discovery or technology. The Intellectual Property Officer is authorized to ratify such agreements on patent matters where it is necessary to do so as a prerequisite to university participation in the project or receipt of a grant or contract.

Employee Ownership - A discovery or invention developed by an employee shall be the exclusive property of the inventor(s), only if: (a) the discovery or invention is not a work made for hire; (b) the University has not contributed substantial resources, and (c) the discovery or invention is not along lines related to any University research program then in progress or completed within the past twelve (12) months with which the inventor may have a connection.

Student Ownership - Ownership of patentable discoveries or inventions developed by students who are also employees of the university will be determined by the rules that apply to all university employees. In general, patentable works developed in connection with course work assignments belong to the student. However, in all cases of work made for hire or significant use of university resources in the development of the patentable discoveries or inventions, the university may exercise its right to ownership or position of equity.

5.2 Copyrightable Works
University Ownership - The 1976 Copyright Act (P.L. 94-553) provides that, when a copyrightable work is produced by one person who has been employed by another for that purpose, it is the employer and not the actual producer that is the copyright proprietor. At JMU, traditionally faculty members have been granted the copyrights in their works by the institution.

Sponsored Research and Outside Ownership - Funds and facilities provided by governmental, commercial, industrial, or other private organizations, which however are administered and controlled by the University, shall be considered to be funds and facilities provided by or through the University for the purpose of this policy statement. Agreement between the University and the sponsor pertaining to share of royalties and title to copyrightable materials shall be addressed in the contract between the University and the sponsor. University employees who contract with third parties for the development of copyrightable materials can relinquish no greater interest in the materials than they legally possess. Therefore, if substantial University resources are employed in the development of material subject to copyright, the University retains interests in the materials, regardless of the terms of a contract between the third party and the University employee, unless the University specifically waives its rights.

Employee Ownership - Copyrightable materials developed by University employees shall usually be the property of the employee. The University will exercise ownership under the work- made-for-hire rationale only when the employee was assigned to create the specific product whose ownership is in question. A faculty member's general obligation to produce scholarly works (for example, textbooks and related instructional materials) does not constitute an assigned duty for purposes of determining copyright ownership. If a copyrighted work, produced as an assigned duty of an employee, is marketed, the employee ordinarily will not share in any royalties from sales of the work. Online course components created for distance or distributed learning activities, including lecture recordings, are an exception to this provision under the section below.

Student Ownership - Ownership of copyrightable material developed by students who are also employees of the university will be determined by the rules that apply to all university employees. In general, copyrightable works developed in connection with course work assignments belong to the student. However, in all cases of work made for hire or significant use of university resources in the development of the copyrightable material, the university may exercise its right to ownership or position of equity.

Specific Applications:

  1. Audio and Video Recordings - When a faculty member has been assigned to teach a specific class, and that class is transmitted electronically to another site, on or off campus, and in the performance of those duties a recording is made simultaneously with such transmission, the resulting fixed work shall be considered University property. The retention and/or marketing of recordings for subsequent instructional use, on or off campus, will be undertaken only with the consent of the faculty member.
  2. Performance Recordings - This special case of audio and video recordings covers the live performing arts as well as those arts and events that otherwise use performance (such as film and video), excluding documentation of lectures (as above in (a)). For performance recordings the following policy measure apply without administrative review:
    • The university reserves the right to use the recordings made by the university of performances by its employees and students for archival, educational, and commercial purposes, as described below. Copyright in the recording itself, but not in the performance, is assigned to JMU. Recordings of musical and dramatic performances of university employees and students made in any format can be duplicated for preservation in the same or any other appropriate analog or digital format to maintain an archival record at the university.
    • The university can use such recordings, in whole or in part, for educational purposes, including activities in criticism, comment, news reporting, teaching, scholarship, research, library services and institutional promotion in any appropriate format.
    • When the university uses such recordings, in whole or in part, for commercial or profit-making purposes, it will normally obtain the permission of the performers for such endeavors before the recording is made. If no permission is obtained in advance, the university will make reasonable good faith efforts to obtain such permission from the performers when the decision to offer the recording for sale is made. If the university is unable to secure permission from the performers for such an endeavor, the university will make available to each performer a pro rata portion of any net profits realized from the commercialization of the recording. The university will determine the amount of the share of profits for each performer.
    • The university office that makes and archives the recording may provide each JMU performer involved in it with one personal copy, under a reimbursement arrangement determined by the university to provide reimbursement up to the cost for the duplication.
  3. Distance Learning Materials - Distance learning materials and courseware created by faculty without the substantial use of university resources remain the property of the faculty member. If the development of distance learning materials or courseware has required substantial use of university resources, the university will own the copyright, but the faculty member and the university will both retain a non-exclusive license to use these materials in educational settings, even if the faculty member leaves the university. Should there be any commercial potential for the materials or courseware developed with substantial use of university resources, the faculty member and the university shall share in any revenues per the royalty distribution matrix described in this policy.


5.3 Required Disclosure
All discoveries, inventions and copyrightable materials for which a university employee is responsible and which may involve an interest by the university must be reported to the Intellectual Property Officer as promptly as possible, but always prior to the start of any commercial exploitation, using the Intellectual Property Disclosure Notification form appended to this policy. The purpose of this disclosure is to determine whether, and to what extent, the University has a proprietary interest in the discovery, invention or material. This report shall include a full and complete disclosure of the discovery, invention or material concerned and identity of all persons participating in the development.

Each discovery, invention or copyrightable material should be disclosed regardless of whether or not the inventor or creator plans to exploit the discovery, invention or copyrightable material for financial gain.

6. PROCEDURES

Please note that disclosure forms and detailed filing instructions are located at the following two websites:

http://www.jmu.edu/sponsprog/ipdisclosures.html

http://www.jmu.edu/sponsprog/ipsubmit.htm

6.1 Disclosure
The Intellectual Property Office will receive all disclosures forms. The Intellectual Property Officer will promptly refer the submission to the Intellectual Property Committee for review and evaluation of possible proprietary interest on the part of the university. Confidentiality will be maintained on all disclosures to the extent possible by all parties. However, notice of filing will be sent by the Intellectual Property Office to the academic unit head or department head, dean, and appropriate vice president.

6.2 Evaluation
The disclosure should be reviewed by the university before information about the discovery, invention or copyrightable material is made available to any other party. The Intellectual Property Committee shall complete and report its evaluation to the Intellectual Property Officer and the inventor or creator within ninety (90) days from the date of receipt of the disclosure, unless it is mutually agreed by the Intellectual Property Committee and the inventor or creator that additional time is needed and an alternative deadline is established. The inventor shall have the right to make recommendations pertaining to such determinations.

The Intellectual Property Committee will determine that the university has a proprietary interest in discoveries, inventions and copyrightable materials resulting from work made for hire, from substantial use of university resources, or from significant use of general funds.

When the university does not claim an interest in an intellectual property about which it is notified, the Intellectual Property Committee will so advise the creator in writing.

If the evaluation report indicates that the University has a proprietary interest, the Intellectual Property Committee will recommend handling that interest by either royalty or licensing arrangements with the inventor or creator of the property.

The university may decide to commercialize an intellectual property on a case-by-case basis.

6.3 Royalty and Licensing Arrangements
The Intellectual Property Office will negotiate any license or royalty arrangements concerning property in which the university claims a proprietary interest. The contract for such license or royalty arrangement must conform to the university's contract approval process. The Finance Officer will administer all licensing and royalty arrangements associated with the intellectual property under such licenses or royalty arrangements.

If the university pursues commercial exploitation of an intellectual property created by a member of the JMU community in which it has a proprietary interest, the following royalty distribution matrix applies. The amounts listed are based on net revenues.

Of the first $25,000,
60% to creator
20% to creator's academic unit or department
20% to central Intellectual Property Office

From $25,001 - $50,000
50% to creator
20% to creator's academic unit or department
10% to creator's college or division
20% to central Intellectual Property Office

From $50,001 - $100,000
50% to creator
20% to creator's academic unit or department
10% to creator's college or division
20% to Fund to Support Research and Innovation

Above $100,000
50% to creator
20% to creator's academic unit or department
30% to central Fund to Support Research and Innovation

However, in cases in which the intellectual property is the result of a work for hire or the university is the original owner of the property, the appropriate vice president in whose division the intellectual property is created will determine the distribution of any royalties.

Joint creators must agree at the time of their notification on the fraction that each will share in any royalties. In the absence of such agreement, the creator's share of royalties will be split evenly between the joint creators.

If the university decides not to pursue commercialization, it retains the right to license intellectual property to the creator in return for an equitable royalty to be determined by the Intellectual Property Officer, 80% of which shall be returned to the creator's department or program for the purpose of supporting additional research and innovation, after any development costs have been recouped. The Finance Officer and the sponsoring academic unit head or department director will be responsible for determining the extent of any development costs. This licensing shall be in lieu of any additional royalties to the creator.

For all intellectual property, the University retains a non-exclusive license to use the intellectual property for its own educational and administrative purposes.

6.4 Dispute Resolution
Should any issues develop as to the ownership of the intellectual property involved in an evaluation, the Intellectual Property Committee shall document the dispute and notify the Office of the President. The parties involved shall be entitled to appear before the Committee and to present evidence with respect to the disputed ownership. The Committee's determination shall be made in writing and shall contain a statement of the basis for its decision and recommendation. The President of the University, on his/her own motion or at the request of any interest party, may review any determination of the Committee. The President may affirm, modify, or reject any determination of the Committee. The decision of the President is final.

6.5 Transfers of University Intellectual Property
Except when the Governor's prior written approval is required, the Board of Visitors may transfer any intellectual property in which the university claims an interest.

The Governor's prior written approval is required for transfers of title to patents and copyrights that were:

  1. Developed wholly or significantly through the use of State general funds, by an employee of the university acting within the scope of his or her assigned duties; or
  2. Developed wholly or significantly through the use of state general funds, and are to be transferred to an entity other than the following:
    • The Innovative Technology Authority; or;
    • An entity whose purpose is to manage intellectual properties on behalf of nonprofit institutions; or
    • An entity whose purpose is to benefit the university.


When prior written approval is required, the university will send a description of the intellectual property and the proposed transaction to the State Council of Higher Education for Virginia ("SCHEV"). Within thirty (30) days, SCHEV will recommend action to the Governor, including any conditions SCHEV thinks should be attached to the proposed transfer. The Governor may also attach conditions to the transfer.

Approval is not required for the grant of a license to use an intellectual property, but only when the actual title is to be transferred.

When an employee creates intellectual property on his or her own initiative, or as part of his or her general obligation of scholarship, the university may transfer title to the property without approval if the transfer is to one of the entities noted under this section above.

If the development of an intellectual property by an employee is a work made for hire, and is done with significant use of state funds, the university must obtain the Governor's approval before transferring the property, whether or not the transferee is one of the entities listed under this section above.

6.6 Reporting Requirements
The Intellectual Property Officer will compile and submit annual reports to SCHEV. Each annual report will include the following information:

  1. The name of the university;
  2. The name of the IPO submitting the report;
  3. The number of intellectual properties in which the institution claims an interest under this policy, divided into patentable subject matter and copyrightable subject matter;
  4. The names of all transferees to whom the university has transferred any interests, including licenses, in intellectual properties (If the university is not able publicly to identify the transferee, the university will identify the particulars of the transfer as well as the reasons why such information should not be reported.);
  5. The total royalties received by the university during the reporting period.

7. RESPONSIBILITIES

The Intellectual Property Officer is responsible for compiling and submitting the annual reports to SCHEV.

The Finance Officer has responsibility for the administration of applicable royalty and licensing arrangements associated with intellectual property in which the university has a proprietary interest. The Finance Officer will also maintain the Fund to Support Research and Innovation.

The Finance Officer and the sponsoring academic unit head or department director will be responsible for determining the extent of any development costs to the university of any intellectual property.

The Committee on Intellectual Property has the following authority and responsibility with respect to intellectual property.

  • To publicize and administer existing policy and guidelines for the evaluation, disposition and exploitation of intellectual property in which the university has a propriety interest;
  • To develop and recommend University policy to the President dealing with intellectual property;
  • To hear and make recommendations to the President on disputed ownership of discoveries, inventions, and copyrightable materials;
  • To hear and make recommendations to the President on disputed equities of the University, the creators and other parties associated with the intellectual property concerned;
  • To make recommendations to the President for the sharing of royalties between the University and the creator of the intellectual property in which the University has a proprietary interest;
  • To promulgate such guidelines and procedures as may be necessary for the implementation of this policy, subject to review and approval of the President.

8. SANCTIONS

Failure to make a required disclosure may result in a forfeiture by the creator of any proceeds or profits that the University would otherwise be obligated to pay pursuant to this policy. Failure to disclose is considered professional misconduct under the terms of the Faculty Handbook and Staff Handbook, and a violation of university disciplinary policy under the Judicial Conduct standards in the Student Handbook, and may subject the creator to sanctions up to expulsion for students.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The university claims no interest in an invention, discovery or copyrightable work if the work is produced completely outside of and using no university resources, facilities or personnel other than the inventor. An example would be inventions or copyrightable works resulting from pursuance of a hobby, not related to the employee's university activities, and conducted off-campus.

10. INTERPRETATION

The authority to interpret this policy rests with the President, and is generally delegated to the Intellectual Property Officer.

Date of Last revision: June 1, 1997

Approved:
December 31, 2002
Linwood H. Rose, President

INDEX TERMS:

Copyright
Patent
Intellectual Property
Licensing
Technology Transfer
Inventions
Discoveries
Research

SAMPLE FORM FOLLOWS


Appendix A
JAMES MADISON UNIVERSITY
INTELLECTUAL PROPERTY DISCLOSURE NOTIFICATION
for Copyrighted works

NOTE: INVENTION DISCLOSURES ARE CONSIDERED CONFIDENTIAL AND PRIVILEGED INFORMATION. EXCEPT FOR INDIVIDUALS ENGAGED IN THE EVALUATION AND APPROVAL PROCESS, THE INFORMATION WILL NOT BE DIVULGED TO OTHERS WITHOUT THE PERMISSION OF THE CREATOR(S).

1. Title of the Copyrighted work:
____________________________________________________________

Type of Copyrighted work:
Software; _____Book;_____Article; _____Video; _____Film; _____Other (Describe)__________________________________________________ ____________________________________________________________

I. List of originators (writers or other creators)

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

II. SPONSORSHIP INFORMATION

A. Was the labor that led to this work undertaken as part of a sponsored project: _____Yes _____No
If no, please move to Section II.E. If yes, complete the appropriate blanks below.

B. Provide name and signature of Principal Investigator (if sponsored project funding was involved in development of the work)

Name:
Title:
Signature: Date:

C. JMU Grant or Project Number
_________________________________

Name of Sponsoring Agency or Company ____________________________________________________________

Grant or Contract Period.

D. As far as you know, does the sponsor have any prior claims to the work? (_____Yes _____No)
If yes, please indicate the nature of these commitments.

____________________________________________________________
____________________________________________________________

E. Were University facilities, equipment, materials, funds, information, or the time or services of other University employees used in the production of the work?
_____Yes _____No
If yes, please indicate the nature of these contributions.

____________________________________________________________
____________________________________________________________

What is the estimated value of these contributions?____________________________________________

F. Do you consider that this work resulted from your normal work activities? (_____Yes _____No)

III. DESCRIPTION (Attach separate documents if needed)

Please provide a description of the work you are submitting. Your description should describe:
  • The content of the copyrightable work;
  • The work's relationship to other similar works;
  • Novel or unusual features of the work;
  • Advantages of the work;
  • Possible uses of the work;
  • And, limitations of the work.


Appendix B
JAMES MADISON UNIVERSITY
INTELLECTUAL PROPERTY DISCLOSURE NOTIFICATION
for Inventions and Discoveries

Invention and Intellectual Property disclosures are considered confidential and privileged information, except for individuals engaged in the evaluation and approval process. The information will not be divulged to others without the permission of the creator(s). Title of the Invention or Discovery:
____________________________________________________________

I. List of originators (inventors)

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

Originator: __________________________________________
Percentage of contribution: ________%
Department:
Phone:
Email:
Signature Date:
Department Head or Director Signature: Date:

II. SPONSORSHIP INFORMATION

A. Was the labor that led to this work undertaken as part of a sponsored project:
_____Yes _____No
If no, please move to Section II.E. If yes, complete the appropriate blanks below.

B. Provide name and signature of Principal Investigator (if sponsored project funding was involved in development of the work)

Name:
Title:
Signature: Date:

C. JMU Grant or Project Number
_________________________________

Name of Sponsoring Agency or Company
____________________________________________________________

Grant or Contract Period.

D. As far as you know, does the sponsor have any prior claims to the invention or discovery?
(_____Yes _____No)
If yes, please indicate the nature of these commitments.

____________________________________________________________ ____________________________________________________________

E. Were University facilities, equipment, materials, funds, information, or the time or services of other University employees used in the production of the invention or discovery?
_____Yes _____No
If yes, please indicate the nature of these contributions.

____________________________________________________________ ____________________________________________________________

What is the estimated value of these contributions?____________________________________________

F. Do you consider that this work resulted from your normal work activities? (_____Yes _____No)

III. DESCRIPTION (Attach separate documents if needed)

A. If you are submitting an invention, is it a new process, application or method; composition of matter; a device or one or more products for a new use or an improvement to an existing product, process, application or method?

B. Identify and expand on the novel or unusual features. How does the invention differ from present technology? What problems does it solve, or what advantages does it possess?

C. If not indicated previously, what are possible uses of the invention? In addition to immediate applications, are there other uses that might be realized in the future?

D. Does the invention possess disadvantages or limitations? If so, can they be overcome? How?

E. Attach sketches, drawings, photographs and other materials that may help illustrate the description. Rough art work, flow sheets, Polaroid photographs, and penciled graphs are satisfactory as long as they tell a clear and understandable story.

IV. OTHER PERTINENT DATA

A. Has the invention been described in specific detail or in a general way in a publication? (For this purpose, "publication" includes abstracts of public presentations, news stories, etc. as well as published scientific papers.) Has the invention been described orally at meetings? Please provide exact details including dates and copies of any publications.
B. Is a publication or oral disclosure descriptive of the invention planned within the next six months? Give date (estimate if unknown) and attach copies of any existing manuscripts, preprints, or abstracts.

C. Has the invention been tested experimentally? Are experimental data available?

D. Are there known inventions by other research workers that are related to this one? Please describe, including information on relevant patents and publications, if available.

E. Has the material been disclosed to industry representatives?

F. Has any commercial interest been shown in the invention?

G. Do you know of other firms that might be interested in the material?

If yes, name companies and specific individuals and their titles.
 

1320 Providing and Obtaining Employment Reference Information

The purpose of this policy is to outline the procedures for obtaining as well as providing employment-related reference information at James Madison University, and to establish the university’s commitment to open, truthful, job-related reference information sharing.

1108 Internal Controls

This policy provides guidelines for implementation of internal control programs.

1505 Use of University Owned Telephones & Services by University Employees

This policy prescribes procedures for the use of university-owned telephones and services by JMU employees. It is designed to implement applicable policies of the Commonwealth of Virginia.

2112 Student Privacy

The purpose of this policy is to outline the university's responsibility for compliance with laws concerning access to and privacy of student records and student information.

1109 Records Management

The purpose of this policy is to authorize a university records management program in accordance with State law and the university's need for proper records management.


Some major considerations in records retention and disposition are:

  • Legal requirements must be met.
  • Audit requirements must be met. This includes the university's ongoing internal audit program as well as the requirements of the Auditor of Public Accounts and other external agencies.
  • Limitations of space. The university has very limited storage space. Departments are restricted as to both the volume of records that can be maintained, and the duration for which records may be stored.
  • Historical and research information about the university must be preserved. In addition, records with historic value should be kept in a manner that makes them readily accessible to researchers.
1324 Discrimination and Harassment UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

1. PURPOSE

This policy sets out the university's commitment to providing a workplace and learning environment free from illegal discrimination and harassment. It also provides procedures for university community members and visitors to file internal complaints alleging discrimination or harassment against any employee or affiliate of the university, or against any visitor whose discrimination or harassment interferes with the complainant's workplace or learning environment. Procedures for complaints filed against students can be found in the JMU Student Handbook.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6; 23-9.2:3. The Board has delegated the authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND / OR REGULATION

This policy is written in accordance with Title VI and Title VII of the Civil Rights Act of 1964 (42 U.S.C. §§2000d and e), Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), the Age Discrimination in Employment Act (29 U.S.C. § 621 et seq.), the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.) the ADA Amendments Act of 2008 (ADAAA) (42 U.S.C. § 12,101 et seq.), Section 504 of the Rehabilitation Act of 1973 (29 USC section 791, et seq.), and the Equal Pay Act (29 U.S.C. § 206 et seq.), as well as the Virginia Human Rights Act (Code of Virginia §2.2-3900 et seq).

3. DEFINITIONS

Affiliate
An individual who has a formal affiliation with the university under the terms of Policy 1337.

Complainant
A university community member or visitor who files a formal complaint under this policy.

Complaint
The signed and written document used to file a formal complaint under this policy.

Complaint Commencement Date
The date on which the complainant provides the Title IX Officer with the written and signed complaint.

Day
A calendar day. When the end of a specified period of days falls on a weekend or on a day when classes are not scheduled, that period shall be deemed to end on the next scheduled class day. (Example: A specified time period will not end during spring break or on any day between the end of the last summer session and the first scheduled class day of the fall semester. The specified time period will be continued until the next official class day.)

Director of Equal Opportunity (DEO)
The person the president has charged with oversight of this policy and procedure. The DEO is the Title IX Coordinator for the university.

Discrimination
To take an adverse action or provide unequal treatment based on a person's age, color, disability, national origin, parental status, gender identity, genetic information, political affiliation, race, religion, sex, sexual orientation or veteran status when such action deprives a person of a privilege or right (such as a benefit, an equitable evaluation, a grade, a position or a promotion), or otherwise adversely affects the person. This also includes retaliation for filing a complaint and harassment on the basis of one of the bases listed above. It also includes denial of a reasonable accommodation for a disability.

Faculty Member
An instructional or Administrative & Professional (AP) faculty member employed by the university.

Harassment
A form of discrimination consisting of unwelcome or offensive physical, verbal or written conduct that shows aversion or hostility toward a person on the basis of age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status in the following situations:

  1. When submitting to or rejecting the conduct is made the basis for an evaluation, personnel action, or recommendation for a personnel action affecting an employee, or an evaluation, action or recommendation for an action affecting a student; or
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student, and the conduct creates a hostile, intimidating or offensive learning or working environment.

Harassment specifically includes instances of sexual violence of any type perpetrated against a member of the university community.

Respondent
An employee or affiliate of the university or visitor against whom a complaint under this policy is filed.

Retaliation
Overt or covert acts of discrimination, harassment, interference, intimidation, penalty, reprisal or restraint against a group or individual exercising rights under this policy. Retaliation shall be deemed to constitute harassment and, therefore, will be considered a separate violation of this policy.

Staff Member
A full- or part-time classified employee or wage employee.

Title IX Coordinator
The individual designated by the university to coordinate the institution's compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.). The Title IX Coordinator for the university is the DEO. The DEO has oversight of this policy, coordinates the actions of the various Title IX officers on campus and is responsible for reporting on the university's compliance with Title IX.

Title IX Officer
The officials within the university charged with receiving, investigating and processing complaints under this policy. The Title IX Officer who is assigned to handle complaints by student athletes under this policy is the Associate Athletics Director for Compliance (AAD). The Title IX Officer who is assigned to handle complaints by all other students under this policy is the Director of the University Health Center (UHC). The Title IX Officer who is assigned to handle complaints by staff members under this policy is the Director of Human Resources (HR). The Title IX Officer who is assigned to handle complaints by faculty members and visitors under this policy is the DEO.

University Community Member
An individual employed or affiliated with the university in one or more of the following full-or part-time capacities:

  • Administrative & Professional (AP) faculty member
  • Classified employee or other employee (such as wage or part time)
  • Instructional faculty member
  • Affiliate
  • Student (graduate or undergraduate)

Visitor
For the purposes of this policy, a person who is not enrolled at, compensated by or an affiliate of the university but is engaged in a university sponsored or contracted working or learning activity.

4. APPLICABILITY

This policy applies when a member of the university community or visitor believes that s/he has been subjected to harassment or discrimination by an employee or affiliate of the university or by a visitor. All acts of discrimination and harassment are covered provided that at least a substantial portion of the alleged wrongful behavior either occurred on university-controlled, university-leased or university-owned property or otherwise had a significant connection to or effect on the activities of the university or the learning or working environment for the complainant.

A person who is no longer a member of the university community or a visitor but who was when at least a substantial portion of the alleged wrongful behavior occurred is eligible to file a complaint. A complaint filed by a complainant who has no further connection with the university or against a respondent who has no further connection with the university may be dismissed by the DEO if the university has no means to take appropriate steps to eliminate the harassment, prevent its recurrence or address its effects.

5. POLICY

The university is committed to providing a work and learning environment that is free from discrimination or harassment based on protected criteria. Conduct that constitutes discrimination or harassment is a violation of university policy and is sanctionable.

This policy prohibits discrimination against an individual on the basis of age, color, disability, national origin, gender identity, genetic information, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status. It applies in the employment relationship, including job application procedures, hiring, advancement, discharge, compensation, job training, or other terms and conditions of employment. It applies in the educational relationship with students, including application procedures, admissions, grades, discipline, dismissal, or other terms and conditions of matriculation. It applies in the provision of services that are provided by the university to students or other individuals, including visitors. It is also a violation of this policy to retaliate against or harass an individual who files charges or participates in proceedings under this policy.

Any member of the university community or visitor who is subjected to discrimination or harassment by an employee, affiliate or visitor may bring a complaint under this policy to attempt to address the situation.

Any member of the university community who is subjected to abuse or harassment by a student may bring a complaint under the terms of the Student Code of Conduct. See http://www.jmu.edu/judicial/handbook/JudicialPolicies.html

6. PROCEDURES

6.1 Informal Resolution Attempts

6.1.1. Before bringing a complaint to the Title IX Officer, the complainant is encouraged to discuss the complaint with the respondent to attempt to resolve it, except in cases involving sexual violence where encouraging such a discussion is never appropriate. In any case, if the complainant does not feel comfortable discussing the matter directly with the respondent, the complainant is encouraged to discuss the matter promptly with any of the following university resources:

  • The DEO
  • The complainant's supervisor
  • A Counseling and Student Development Center staff member
  • Human Resources staff member
  • the faculty, staff or student ombudsperson
  • The respondent's supervisor
  • Another Title IX Officer
  • Another university official who the complainant believes to be an appropriate adviser given the nature of the situation (i.e., a coach, a faculty mentor, a residence hall adviser, etc.)

Any university official contacted by a complainant is encouraged to communicate the general nature of the matter to the DEO, without disclosing the identities of the parties if necessary, to assist the DEO in developing effective campus educational programs and assessing the campus climate.

6.1.2. If the complainant meets informally with a Title IX Officer or any other university official and asks that the information disclosed be kept confidential, the university official contacted informally by the complainant must determine whether to keep the information confidential or whether it must be communicated to the DEO to protect the university. However, in cases involving allegations of conduct that appear to constitute sexual harassment, including sexual violence, the university official contacted has an affirmative duty to disclose the information to the DEO and does not have the discretion to keep the disclosed information confidential. University officials should inform any individual who has disclosed information concerning sexual harassment that such information will not be kept confidential and should encourage the potential complainant to cooperate with the investigation of the matter.

6.1.3. If any discussions between the complainant and the respondent or between the complainant and any other university official do not lead to a resolution that is satisfactory to the complainant or if the complainant does not pursue such discussions, the complainant should contact the Title IX Officer not later than 30 days after the last behavior date. Failure to make a timely report to the Title IX Officer may impede the university's ability to effectively investigate the charge, but such failure will not prohibit the complainant from filing a formal complaint, as long as such complaint is timely filed under 6.2.1.

When the complainant contacts the Title IX Officer, that person will discuss with the complainant the procedures that will be followed with respect to any ensuing investigation, resolution attempts and referral for a potential hearing. The Title IX Officer will also notify the DEO, who will advise the appropriate vice president (organizationally above the respondent) of the existence of the complaint, whether it is formal or informal.

6.1.4. If the complainant decides not to file a formal complaint of discrimination (except sexual harassment or sexual assault), the Title IX Officer will inform the DEO. The DEO will advise the appropriate vice president that no complaint was filed, and the matter will be closed.

6.1.5. If the complainant decides not to file a formal complaint in the case of an allegation of sexual harassment, including sexual assault, the Title IX Officer will, even without the cooperation of the complainant if necessary, investigate the allegations to the extent possible under the circumstances. It is within the discretion of the Title IX Officer to decide whether the respondent must be notified of the informal charge before or in the course of the investigation.

6.1.6. If the investigation into potential sexual harassment reveals information that indicates that the policy applies and that the evidence justifies a preliminary finding of a violation of the policy, the Title IX Officer will report this finding to the DEO. The DEO will advise the complainant, respondent, and the respondent's supervisor or sponsoring department of the preliminary finding. The appropriate vice president (organizationally above the respondent) will also receive notice of the finding. The Title IX Officer will turn over the findings to the DEO, who will decide whether to give them to the respondent's supervisor or sponsoring department. The DEO will not supply the findings to the complainant or the respondent but will inform them that the matter has been turned over to the respondent's supervisor or sponsoring department.

6.1.7. If the investigation into potential sexual harassment reveals information that indicates that the policy does not apply or that the evidence does not justify a preliminary finding of a violation of the policy, the Title IX officer will report this finding to the DEO, who will advise the respondent's supervisor or sponsoring department that the informal complaint will be dismissed. The Title IX officer will inform the complainant and the respondent that the informal charge is dismissed. This decision is final and may not be appealed.

6.1.8. If the complainant decides to file a formal complaint, the Title IX Officer may, with the permission of the complainant, contact the respondent and attempt to help bring about a resolution. The Title IX Officer may suggest that the complainant and the respondent participate in mediation, but participation is not mandatory and is never appropriate in cases involving sexual violence. Mediation is entirely voluntary, and failure to participate in mediation shall not be considered adversely against either the complainant or the respondent in any ensuing investigation or hearing.

6.2 Complaint Process

6.2.1. The formal complaint must be filed by the complainant not later than 180 days after the last date of discriminatory or harassing behavior by providing the Title IX Officer with a signed, written document detailing the allegations, naming the respondent and providing as much detail as possible about the charges. The Title IX Officer may extend this period to no more than 300 days if an informal resolution procedure under 6.1.8. is in progress. A formal complaint may not be filed anonymously or on behalf of another person, although an anonymous complaint or third party complaint alleging sexual violence may be investigated by the Title IX Officer if sufficient information is provided. The Title IX Officer will confirm the complaint commencement date with the complainant in writing and will notify the respondent and the DEO, supplying both with a copy of the complaint.

6.2.2. Upon receipt of the complaint, the Title IX Officer shall determine whether this policy applies and will dismiss a complaint if the policy does not apply. The Title IX Officer will notify the complainant, the respondent and the DEO in writing of the dismissal. A decision by the Title IX Officer that this policy does not apply is final and may not be appealed.

By way of example, the Title IX Officer may find that this policy does not apply upon determining any of the following:

  1. That even if the complainant's allegations are true, the respondent's conduct would not constitute harassment or discrimination as defined in this policy.
  2. That the alleged conduct did not occur on university-owned, university-leased or university-controlled property or did not otherwise have a significant connection to the activities of the university or the working or learning environment for the complainant.
  3. That the complainant or respondent is not a university community member or a visitor with whom the university has any continuing relationship.
  4. That the complaint was not timely filed.
  5. That the complainant was not the party harmed by the discrimination or harassment, and the party harmed cannot be identified or has no interest in pursuing the matter. However, in cases involving sexual harassment, the unwillingness of the party harmed to be involved in the matter will not necessarily result in a dismissal.

This list is not exclusive, and other situations may result in the Title IX Officer determining that the policy does not apply.

6.2.3. If the Title IX Officer determines that this policy applies, the Title IX Officer shall conduct an investigation of the complaint in any manner the Title IX Officer deems appropriate. All members of the university community are required to cooperate in the investigation.

6.2.4. Not later than 60 days after the complaint commencement date, the Title IX Officer shall provide the appropriate office with authority over the respondent (i.e., the supervisor for an employee or the sponsoring department for an affiliate) with a confidential written report of the Title IX Officer's recommendations and findings, with a copy to the DEO and the appropriate vice president organizationally above the respondent. The Title IX Officer may also report to the appropriate office the Title IX Officer's opinion on whether the evidence justifies a preliminary finding by the Title IX Officer that the respondent violated this policy and whether the respondent should be charged with misconduct under the appropriate disciplinary procedures, if any. Any such preliminary finding by the Title IX Officer shall be based on a preponderance of the evidence available. Such a preliminary finding is not binding on the fact-finders in any subsequent misconduct hearing or procedure and shall not be available to the complainant or the respondent. Its function is entirely advisory to the appropriate office concerning the office's subsequent handling of the allegations in the appropriate process. It is then up to the appropriate office to determine what steps to take, including whether to institute disciplinary procedures against the respondent for misconduct, subject to review by the appropriate vice president.

6.2.5. The university will take prompt and effective steps reasonably calculated to end discrimination and harassment, eliminate any hostile environment and its effects, and prevent the discrimination or harassment from recurring. Appropriate steps to end discrimination and harassment may include separating the complainant and the respondent, providing counseling for the complainant and/or respondent or taking disciplinary action against the respondent or against a complainant who makes a false report.

6.2.6. A classified staff member may be disciplined or discharged for violation of this policy under the Commonwealth's Standards of Conduct. See Policy 1317. A wage employee may be disciplined or discharged for violation of this policy under the terms of Policy 1325. An AP faculty member may be disciplined or discharged for violation of this policy under the terms of Policy 1335. An affiliate may have his/her status as affiliate removed for violation of this policy under the terms of Policy 1337. An instructional faculty member may be disciplined or discharged for violation of this policy under the terms of the Faculty Handbook, Section III.A.25.

6.2.7. If the Title IX Officer finds by a preponderance of the evidence available that the evidence does not justify such a preliminary finding of violation, the Title IX Officer will dismiss the complaint and will send a notice of such dismissal to the complainant, the respondent, the DEO and the appropriate vice president organizationally above the respondent.

6.2.8. A decision by the Title IX Officer that the evidence does not justify such a preliminary finding of violation may be appealed by the complainant to the DEO within five days by presenting a written appeal detailing the reasons the decision should be overturned.

6.2.9. If no appeal is timely filed, the complaint will be dismissed by the DEO, and the complainant, respondent and vice president will be notified.

6.2.10. If an appeal is timely filed, the DEO will decide whether to refer the case to the appropriate office for further proceedings or to uphold the dismissal. The DEO's decision will be sent in writing to the complainant, the respondent and the appropriate vice president. The DEO's decision on whether to refer the case to the appropriate office for further proceedings or to dismiss the case is final and may not be appealed.

6.2.11. If the Title IX Officer finds that the evidence justifies a preliminary finding of violation, the Title IX Officer will notify the DEO, the appropriate vice president organizationally above the respondent, the complainant and the respondent that s/he is referring the complaint to the appropriate office for further proceedings.

6.2.12. The DEO will serve as a resource for any hearing officer or body who is charged with conducting a hearing or reaching a decision on the issue of the respondent's misconduct under the terms of this policy. Upon request, the DEO may serve in an advisory capacity in any such hearing or meeting. The Title IX Officer may serve as a witness or as the responsible official presenting the allegations of misconduct against the respondent in any such hearing or meeting.

6.3 Other provisions:

6.3.1. Exceptions to Provisions
It is not intended that the outcome of a complaint be determined by a procedural violation that does not unduly prejudice the complainant or the respondent. Therefore, the Title IX Officer, the DEO, the appropriate vice president organizationally above the respondent or the appropriate office to whom the case is referred may make exceptions to the provisions (including time deadlines) of this policy provided, however, that any exception is intended to bring about a just outcome and does not unreasonably adversely affect another participant in the process.

6.3.2. Confidentiality, Other Consequences
All participants in all proceedings under this policy will observe confidentiality to the extent reasonably possible. However, in the event of any final determination of a violation of this policy, the appropriate vice president organizationally above the respondent will provide information about the final determination to appropriate university officials and to the complainant and respondent. The university may also use any information obtained in the proceedings to defend itself against any claims, complaints or allegations brought against it.

6.3.3. Education
The DEO will provide educational materials to appropriate university officials and community members in order to enable them to better fulfill their responsibilities under this policy.

6.3.4. Suspension Pending Outcome
Pending the outcome of any investigation and pending the completion of the procedures in this policy and in the policies concerning misconduct referenced herein any member of the university community charged with discrimination or harassment may be temporarily suspended from employment and/or issued a no-trespass notice banning the person from campus. Additionally, any person charged through a formal or informal complaint under this policy will be notified that retaliation is prohibited and may result in a separate charge under the policy.

6.3.5. Attorneys in Procedures
The person filing a complaint and the person accused of violating this policy have the right to obtain advice of private counsel concerning this policy and the procedures in it. However, the role of counsel is purely advisory in this policy and procedure, and absent exceptional circumstances attorneys are not to be active participants in the process. The DEO, the administrators involved in the decisions, and any committees operating under this policy and procedures shall have access to advice from the Legal Services Office for the university.

6.3.6. Criminal Proceedings
The existence of criminal proceedings will not necessarily delay or interrupt the procedures outlined in this policy, unless the law enforcement agency or prosecution requests that the university procedures be suspended, in which case the university will determine whether and for how long to suspend its procedures.

7. RESPONSIBILITIES

University community members and visitors are responsible for behaving in a nondiscriminatory and non-harassing manner toward other university community members and visitors, are responsible for reporting allegations of conduct that would constitute sexual harassment to the DEO and are responsible for abiding by the terms of this policy.

The DEO is responsible for accepting and investigating complaints by faculty members, determining the applicability of this policy to specific complaints, coordinating with the UHC, AAD and HR on the processing of complaints, notifying the appropriate vice president (organizationally above the respondent) of complaints, making recommendations, and disseminating information as provided in this policy.

The UHC is responsible for accepting and investigating formal complaints by students, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

The AAD is responsible for accepting and investigating formal complaints by student athletes, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

HR is responsible for accepting and investigating formal complaints by staff members, determining the applicability of this policy to specific complaints, and coordinating with the DEO on the processing of those complaints.

The employee respondent's supervisor is responsible for determining whether a report and recommendation under this policy should be handled through the misconduct procedures for an employee.

The sponsoring department is responsible for determining whether an affiliate's status should be revoked for violation of this policy.

The vice presidents are responsible for making final decisions concerning referral of all complaints filed against members of the university community under their division.

The DEO is responsible for recommending appropriate actions against a visitor who is found to have violated this policy.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment, removal of affiliate status, exclusion from future learning or working opportunities at the university, and/or issuance of a no-trespass notice.

9. EXCLUSIONS

9.1. This policy does not provide procedures for complaints filed against students. Any allegation of harassment or discrimination against a student (except in the student's capacity as a university employee) should be reported to the Office of Judicial Affairs for disposition pursuant to the Student Judicial System as set forth in the JMU Student Handbook.

9.2. Even if an allegation of harassment or discrimination is one of the exclusions from the scope of this policy, any affected person may discuss it with the DEO.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the DEO.

Previous Version: August, 2012
Approved by the President: August 2012

Index Terms

Director of Equal Opportunity
Discrimination
Harassment
Sexual Harassment
Sexual Violence

2202 Care and Use of Laboratory Animals

This policy provides the university community with procedures for the appropriate care and use of laboratory animals at the university.

1213 Information Technology Project Management

James Madison University is committed to continually improving the delivery of information technology solutions within budget, on schedule, within scope and in such a way as to best contribute to accomplishing the university's mission and strategic plans. This policy furthers that goal by establishing the common and consistent application of project management best practices in the management of information technology (IT) projects.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology project management and project auditing activities. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its project management and project auditing activities.

4401 University Supported Travel

This policy outlines requirements for all official travel for James Madison University.

1308 Family and Medical Leave

It is the objective of James Madison University to provide eligible employees with up to 12 weeks of paid or unpaid, job-protected family or medical leave for specified family and medical reasons with continuation of group health insurance coverage under the same terms and conditions as if the employee had not taken leave. Eligible employees are entitled to:

Twelve workweeks of leave in a 12-month period for:

  • the birth of a child and to care for the newborn child within one year of birth
  • the placement with the employee of a child for adoption or foster care and to care for the newly placed child within one year of placement
  • to care for the employee’s spouse, child, or parent who has a serious health condition
  • a serious health condition that makes the employee unable to perform the essential functions of his or her job
  • any qualifying exigency (as defined by the Department of Labor) arising out of the fact that the employee’s spouse, child or parent is called to active duty or has been notified of an impending call or order to active duty in the Armed Forces in support of a contingency operation
  • up to 26 workweeks of leave during a single 12-month period to care for a spouse, child, parent or other family member (if the nearest blood relative) with an illness or injury incurred in the line of duty while in the Armed Forces
2114 Part-Time Instructional Faculty

1. PURPOSE

This policy provides the procedures concerning employment of part-time instructional faculty members at James Madison University.

2. AUTHORITY

The Board of Visitors has the authority to enact personnel policies for all employees of the university. Where this authority has not been exercised by the board, it is delegated to the president.

3. DEFINITIONS

Administrative & Professional Faculty:
Sometimes referred to as 'A&P Faculty', this is a faculty member whose primary responsibility is management or administration but is not teaching (as opposed to instructional faculty). In the past, A&P Faculty were sometimes referred to as 'T&R Administrators.' However, that terminology is no longer used commonly.

At-will employee:
A faculty member who has no legitimate expectation of the continuation of his or her employment relationship with the university.

Expiration:
The natural and automatic termination of a fixed term contract of employment.

Fixed term contract:
An employment contract with a specific termination date or length of duration.

Instructional Faculty:
The members of the faculty who have responsibilities that include teaching, research and service as the majority of their duties. Sometimes referred to as 'T&R Faculty'.

PAR:
Personnel Action Request form.

Part-time faculty:
Faculty members who are employed for less than a full academic year, or who are employed for at least an academic year at less than a full work load for that academic unit.

4. APPLICABILITY

This policy relates to the employment of all part-time instructional faculty members, including adjunct and visiting appointments; academic year, calendar year, fixed term appointments and interim appointments.

5. POLICY

5.1 All part-time faculty member contracts are for a fixed term, and they expire automatically at the end of the contract term. No notification of the faculty member is needed to effect termination, and the expiration is not an appeal-able action.

5.2 There is no limit to the number of successive fixed-term contracts that may be awarded to a part-time faculty member. A part-time faculty member may be hired each semester for as long as needed by the academic unit.

5.3 Except with the written permission of the Vice President and appropriate dean, a part-time faculty member should not be given a full-time teaching load for more than two academic semesters in a row. Any employment in the next succeeding academic semester should be for a teaching load of less than full-time, so that there are never three semesters in succession where the part-time faculty member carries a full-time teaching load. For the purposes of this rule, the summer semesters do not constitute a break in service, allowing a full-time teaching load in the succeeding fall semester.

5.4 James Madison University does not utilize part-time employment contracts for tenured, tenure-track, or renewable term faculty members.

5.5 A part-time faculty member may be terminated during the term of a contract for misconduct, unsatisfactory performance, or any other reason that does not violate academic freedom. Part-time faculty members do not have any appeal rights for the termination of a contract before its expiration except on the grounds of a violation of academic freedom.

5.6 The Faculty Handbook and all other policies relating to faculty members generally apply to part-time faculty members, unless the policy specifies otherwise. Part-time faculty members are bound by the same responsibilities as full-time faculty members, including academic responsibility, professional ethics, academic honesty and integrity, and the responsibility to abide by all university rules and policies. They also enjoy most of the same privileges, including academic freedom, equal opportunity, and privacy protection as state employees. Part-time faculty members are not eligible for state employment benefits.

5.7 The procedures in this policy must be followed in the hiring, assigning, and separation of part-time faculty members at James Madison University.

5.8 Part-time faculty members are at-will employees.

6. PROCEDURES

6.1 Hiring
Part-time faculty members may be hired using an offer letter written from the hiring department to the candidate. Such a letter must contain, at a minimum:

  • Dates of employment (first day of the semester and employment termination date)
  • Pay
  • Rank (most often, 'Instructor')
  • Academic unit
  • Classes to be taught and class schedule
  • A statement that part-time employees do not qualify for state benefits
  • A statement that employment is contingent on the class/classes being held, noting that the employment offer may be rescinded if the class/classes are canceled for any reason
  • A statement listing the documentation required for hiring (from Policy 2101) if not already submitted
  • The academic unit head signature
  • The signature of the part-time employee accepting the assignment

Part-time hiring is subject to the hiring procedures set out in Policy 2101, including the requirement for transcripts, a completed application, etc. However, a full search is not required to hire a faculty member as a part-time employee.

6.2 Termination
For part-time faculty members who are terminated during the term of the contract, the academic unit head must generate the PAR immediately upon termination of the faculty member and send the PAR to the Office of Human Resources.

No campus clearance form is needed by the office of human resources for part-time faculty members who are separated from employment with the university. It is the department's responsibility to ensure that all part-time faculty properly clear with appropriate offices. Departmental clearance forms completed by terminating part-time faculty will be retained by the department for its use.

6.3 Assignments
Workload for a part-time faculty member shall be negotiated between the faculty member and the academic unit head, and should be set out in writing each semester of employment, signed by both parties. Changes during the academic year should also be set out in writing and signed.

Generally, part-time faculty members are not required to participate in scholarly activity or service except as specified and negotiated between the faculty member and the academic unit head.

7. RESPONSIBILITIES

Academic unit heads and direct supervisors are responsible for following the procedures for regarding part-time faculty members.

Deans are responsible for reviewing and approving all part-time faculty practices and procedures used within their colleges.

The Vice President for Academic Affairs is responsible for reviewing and approving all part-time faculty practices and procedures for instructional faculty.

The Director of Human Resources is responsible for processing the PARs regarding part-time faculty members.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

The procedures detailed in this policy do not apply to A&P faculty or to full-time faculty members.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Vice President for Academic Affairs.

Approved:
May 2002
Linwood H. Rose, President

Index Terms: 
Part-time faculty
Temporary faculty

3107 Parking

Parking regulations are enforced to encourage the responsible use of parking facilities. This policy provides a mechanism for consistent application of the rules and regulations governing parking. Parking Services relies on permit fees and citation revenue to support the direct and indirect costs of operating parking facilities, including but not limited to construction of new parking areas, maintenance of existing parking areas, enforcement, snow removal, lighting, etc.

1404 Mediation

While James Madison University has established procedures for the resolution of grievances, the university also has alternative dispute resolution processes. Employee Mediation Services, a mediation program for university employees, provides a more collegial, less adversarial, and thus a more satisfying means to resolve conflicts.

3106 Lost and Found Property

This policy outlines the procedures for recording, storing and returning or disposing of items turned in to a Lost and Found Center at any of the following locations:

  • Bookstore
  • Carrier Library
  • Convocation Center
  • East Campus Dining Hall
  • Godwin Hall
  • Gibbons Hall
  • Harrison Hall
  • ISAT/CS Building
  • Madison Union / TDU
  • Memorial Hall
  • Moody Hall
  • Off Campus Life / Festival
  • Public Safety
  • Residence Life
  • Rose Library
  • Student Success Center
  • Surplus Property
  • University Recreation
  • Zane Showker Hall

Each of these areas has access to a central computer database for posting lost and found items.

1338 Faculty Leave

This policy provides a uniform method for faculty members to take leave from work.

4502 Collection of Debts Owed by Employees to the University

The purpose of this policy is to provide guidelines for James Madison University to collect all debts owed to it by its employees.

3110 Recording Student Complaints

This policy is designed to provide a standard for recording and collecting written student complaints across all divisions of the university.

1703 Sustainable Construction

The purpose of this policy is to outline requirements and procedures for ensuring the use of sustainable building practices in the design and construction of new or renovated university facilities.

2105 Emeritus Faculty

James Madison University recognizes the important contributions to the institution that have been made by faculty members who rendered many years of dedicated service before retirement. This policy is designed to provide procedures for the appointment of emeritus status for faculty members at the university.

1305 Performance Evaluation for Classified Employees

The purpose of this policy is to ensure a high standard of work performance for every classified employee and to provide for a more fulfilling work experience. In addition, this policy is designed to foster communication between supervisors and classified employees which includes a clear statement of performance expectations and a workable performance plan. The university’s Performance Management Program is an integral part of the Compensation Management System, as is regular and consistent communication between the supervisor and the employee.

1502 University Communications and Marketing

Communications that are visually and editorially consistent create and maintain a strong cohesive institutional identity. To ensure that all official university communications preserve and promote a consistent image of the university while accurately conveying its message, this policy provides for the establishment of the James Madison University Identity System, found at http://www.jmu.edu/identity/index.shtml. The online version is the authoritative source for the JMU Identity System.

1601 Auditing Program/Charter

Audit and Management Services was established by the Board of Visitors and president to provide an independent, objective assurance and consulting activity designed to add value and improve university operations. The department helps the university accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. This policy describes the general purpose, authority and responsibility of the office of Audit and Management Services.

1507 Academic Coursepack Service

1. PURPOSE

The university's Academic Coursepack Service (ACS) has been established within the university's copy center as a centralized service for providing the means for university faculty, staff and students to obtain copyright permissions and to collect and pay royalty fees and publishers' payments for the use of copyrighted material. The authorizations and fees for this service apply to the making of photocopies and photocopy anthologies for sale and/or distribution to the university community. This policy is designed to ensure compliance with current federal laws and regulations prohibiting copyright infringement.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth of Virginia to govern James Madison University. See Code of Virginia section 23-164.6;23-9.2:3. The board has delegated the authority to manage the university to the president.

3. DEFINITIONS

Anthology:
Collection of literary selections.

Copyright:
The sole right to reproduce, publish and sell a literary or artistic work.

Bibliographic data:
A history or description of writings or publications.

Requester:
The person requesting the Copy Center to make copies of copyrighted materials under this policy.

User:
The person for whom such copies are made, usually a student in a requester's class.

4. APPLICABILITY

This policy applies to the use of state or university funds to produce photocopies of copyrighted materials by all members of the university community. All course packets that contain copyrighted material and are used for classes shall be considered as photocopy anthologies and will be required to conform to this policy.

5. POLICY

If state or university funds are used to produce photocopies of copyrighted materials, requesters are required to use the university's copyright permission service. The Copy Center has no control over whether a copyright owner will grant permission for use of copyrighted material and can make no guarantee that such permission will be granted. Unless and until such permission is granted, the Copy Center will not create the coursepacks requested.

Copyright laws apply to reproduction, email, translation, on stage enactment and postings on the internet.

6. PROCEDURES

6.1 Requests for copying services will be accepted by the Copy Center only with the appropriate copyright permission request form, one for each request. The form may be obtained from the Copy Center located in the Medical Arts complex, CISAT Copy Center or from the Copy Center web page.

6.2 Requests for copying service should be submitted to the Copy Center by the published deadline for each semester on the Copy Center webpage. Requesters will be required to provide base bibliographic data for each item in the anthology before the request will be processed. Requests will be handled in order of submission.

6.4 When copyright permission is granted by the copyright holder, the copying of the material must be completed by the Copy Center, and all fees for use of the copyrighted materials will be added to the cost of producing the request, and charged to the user.

6.5 All Coursepacks are sold through the JMU Bookstore. The Copy Centers typically produce only 80% of the class enrollment to avoid waste and additional copies are produced within 24 hours.

7. RESPONSIBILITIES

The Associate Vice President for Business Services oversees the operation of the Copy Center.

The General Manager of the Copy Center is responsible for facilitating the copyright permissions process, and for approving, monitoring and supporting the services available at the copy centers.

8. SANCTIONS

The requester is solely liable for any use of copyright materials in violation of U.S. law or for failure to follow the proper procedures for obtaining permission for the use of copyrighted materials. The university will not be liable for any judgments, awards, damages, fees (including attorney's fees) costs or other expenses incurred in the investigation, defense or settlement of any claims arising out of such use in violation of this policy.

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

Copies of copyrighted materials made using non-state funds are not controlled by this policy, and are the sole responsibility of the person paying for and making the copies outside of the rules and protections of this policy. The university will provide no protection for such activity.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Associate Vice President for Business Services.

Previous Version: November 2010
Approved by the President: August 2002

Index Terms:
Coursepack
Copy Center
Copyright
Copying
1206 Contingency Management for Technology-based Information Systems

This policy establishes the requirement for departments to create and maintain written contingency management plans for all information-based systems/applications that support critical functions.

1322 Probationary Period for Classified Employees

To establish the university's policy for the mandated probationary period for all classified employees.

5103 Naming Opportunities

This policy establishes guidelines for naming facilities, places, colleges, schools, institutes, centers, programs, and other units at the university.

1333 Retirement Incentive Plan for Faculty

This policy exists to describe the James Madison University Retirement Incentive Plan for Faculty. The James Madison University Retirement Incentive Plan for Faculty provides supplemental retirement benefits to participating faculty members to meet critical university objectives. The objectives of the plan include:

1. To provide the university with increased flexibility in the allocation of faculty positions among programs in order to better meet enrollment demands, curricular needs, and other university objectives.

2. To facilitate the hiring of new faculty members who have credentials and experiences that will best support and enhance the mission of the university

3. To help alleviate the financial strain of retirement that may prevent some faculty who would like to do so from retiring.

1311 Personnel Action Request Form (PAR) UNDER REVIEW

Because personnel actions often affect pay and always affect employees and supervisors directly, it is important that the process of submitting, recording and tracking information related to these actions be clear and well managed. This policy serves to define the current business process and assist in ensuring timely and accurate transactions.

1503 Space Management

Physical facilities must be managed in a manner that best supports the university's mission and provides for the efficient utilization of the university's limited supply of space. This policy establishes procedures for (1) allocating and assigning space to and between departments and operating units of the university; (2) maintaining an inventory of space and numbering rooms, and; (3) dealing with space emergencies which might arise as a result of facility construction, renovation, or disaster.

1303 Provisions for Granting Overtime and Compensatory Leave

This policy establishes an overtime and compensatory leave policy at James Madison University as provided by the Fair Labor Standards Act (FLSA) which applies to all JMU employees.

1321 Criminal Background Checks

This policy is intended to protect the university’s interests and the well-being of its students, faculty, staff, and the public. This policy establishes parameters for criminal background checks on individuals who are offered employment, employed, or reemployed and those who associate with the university in various capacities. Convictions disclosed or discovered in the criminal background check process may influence the selection of the applicant where the conviction is job-related or such that the university deems the employment/affiliation of the individual poses high risk to the university community.

1336 On-Call Status and Compensation

To establish a consistent procedure to identify and compensate classified employees who are required by the university to respond to emergency or essential work situations related to their official duties and responsibilities.

1211 Information Technology Accessibility

This policy is established to support the James Madison University community in promoting equal access opportunity to information technology by the application of accessibility standards, guidelines, training, tools and methods consistent with higher education. The aim is to provide this opportunity in a setting that fosters independence and meets the guidelines of the Americans with Disability Act (ADA) and the Rehabilitation Act of 1973. This policy sets forth accessibility standards and guidelines that reflect best practices for achieving the accessibility of information technology for use by persons with disabilities.

The Commonwealth of Virginia Restructured Higher Education Financial and Administrative Operations Act of 2005 grants institutions additional authority over financial and administrative operations, on condition that certain commitments to the Commonwealth are met. Chapters 824 and 829 of the 2008 Virginia Acts of the Assembly and JMU's Memorandum of Understanding with the Commonwealth provide full delegated responsibility for management of the institution's information technology architecture, infrastructure and ongoing operations, of which IT accessibility is a part. This delegation includes the authority to conduct these activities in accordance with industry best practices appropriately tailored for the specific circumstances of the university, in lieu of following Commonwealth-determined specifications. This policy documents the industry best practices with which the university will align its IT accessibility activities.

1312 Workers Compensation/Return to Work

The purpose of this policy is to outline the university's plan for compliance with applicable Workers Compensation law, providing resources for employees who are injured on the job, and the reporting procedure for accidental injuries or occupational diseases arising out of and in the course of university employment.

1326 Immigration Reform and Control Act

The purpose of this policy is to ensure that the university complies with the Immigration Reform and Control Act (IRCA) in ensuring that all university employees' identity and eligibility to work in the United States are verified. The policy also sets guidelines for the university's responsibilities in hiring individuals who are not United States citizens or permanent residents, including the guidelines for payment of immigration fees necessary to employ such international workers at the university.

1328 Leave Sharing

It is the Commonwealth's objective to allow eligible employees to participate in a leave-sharing program. This policy represents the university's participation in this objective. It is designed to permit a classified employee to donate annual leave to another classified employee who may need additional leave as a result of a qualifying illness or injury that has resulted in a leave without pay occurrence.

1313 Recruiting, Selecting & Hiring Classified and Wage (non-student/part-time) Positions

The purpose of this policy is to provide requirements for the recruiting and selection process for classified and non-student wage employees at James Madison University.

1113 Emergency/Disaster Leave

This policy provides a method to grant up to 80 hours of paid leave annually to qualifying employees who are called away from their regular jobs to provide specific kinds of emergency services during defined times of state and/or national disaster or who need to attend to the medical needs of self and/or immediate family members when communicable disease of public health threat conditions have been declared by the State Health Commissioner and the governor. This policy also provides a method to grant up to 80 hours of paid leave annually to employees who are victims of disasters that meet the criteria specified in this policy.

1310 Alternative Work Schedules

The university is receptive to alternative work schedules that allow for the effective delivery of academic, student and administrative services. The purpose of this policy is to improve the quality of work life for university employees by allowing the exploration of work schedules that allow balancing work and family/personal responsibilities. It is also important to understand that, in all cases, the accomplishment of university-related work must be considered first in determining when, and if, alternative schedules may be used. It is possible that in some units, workloads may not permit flexible schedules or allow flexibility on a limited basis.

5001 Annual Planning Policy

The purpose of this policy is to outline the university’s planning process in support of its mission, vision, core qualities and goals.

1339 Negotiated Amicable Separation Agreements for Administrative & Professional Faculty

The purpose of this policy is to ensure uniform procedures to follow in negotiating amicable separation agreements between the university and administrative & professional faculty.

4302 Facility Modification/Maintenance

The purpose of this policy is to outline procedures for the initiation, funding and approval of university facility modifications and maintenance. This policy is designed to ensure the optimal condition of campus facilities and the prudent management of financial resources.

1508 Media Relations and Social Media Publishing

The university's employees may be called upon to interact with members of the traditional news media in conducting the business of the university. In addition, the university, its departments, employees and students may use social media websites to conduct the business of the university. This policy is designed to provide guidance for employees and students when called upon to conduct university business using traditional news media or social media in the following ways:

  1. To establish, sustain and manage a positive relationship between the university and traditional news media outlets;
  2. To establish, clarify and coordinate the university's role in the use of social media..; and
  3. To ensure the university's strategic priorities and messages are advanced in a consistent and effective manner through traditional and social media.

2106 Instructional Faculty Separation from Employment

This policy provides the procedures for separation from employment for instructional faculty members, including non-renewal, expiration of contract, termination, retirement or resignation.

1209 Electronic Messaging

A variety of electronic communication mechanisms are available to individuals and groups at James Madison University. These electronic messaging systems are an alternative to paper-based letters, memos, posters, fliers and notices. They currently include such systems as electronic mail (e-mail), mailing lists, social media sites, news and instant messaging services, and web sites that are used for communication.

The university's electronic messaging systems provide a medium for information exchange in support of its teaching, research, service and administrative activities.

This policy sets forth responsibilities and principles that shall direct the use of JMU's electronic messaging systems, both internally and as part of the global electronic community.

1401 Reimbursement for Work-Related Education or Training from an External Source

This policy outlines the university’s plan to reimburse full-time employees who receive approved work-related education or training from an external source after successful completion of the course or for departments to pay for such course work in advance.

The purposes of the policy are to train employees with (a) work-related education in the use of new or modified equipment, (b) work-related education in skills and knowledge required by changes in current positions, (c) work-related education that maintains or improves skills required in the job, or (d) work-related education to meet degree requirements in a program for which the employee is enrolled and the university does not offer an equivalent course.

1603 Reporting Fraud, Waste and Abuse

The purpose of this policy is to establish procedures for reporting fraud, waste and abuse involving university property or resources.

1504 Rental Charges and Recoveries for Continuing Occupancy or Use

The purpose of this policy is to (1) outline procedures for identifying rental areas, determining rental rates, assessing the impact of rental charges and recoveries on fees, and establishing internal rental billing and payment procedures; (2) clarify the circumstances under which the university may provide facilities support to research, public service, and non-university activities and organizations; and (3) detail acceptable arrangements relative to the payment of a rental or use charge when university owned facilities are occupied or utilized on a continuing basis by programs that receive no general fund support. This policy addresses the role of the office of budget management, building managers, occupants, and facilities management in ensuring that these objectives are realized.

1501 University Advertising

The purpose of this policy is to maintain and enhance the consistency of James Madison University's public image presented in media advertisements, ensure a consistent usage of James Madison University's visual brand and messaging, maximize the impact of James Madison University's advertising expenditures by coordinating advertising procurement, and deliver measurable results.

1202 Information Systems Implementation & Project Management

This policy provides direction and requirements related to management of information technology projects of varying size, scope and cost.

1323 New Employee Orientation UNDER REVIEW

This policy provides the university's rules for new employee orientation.

3101 Faculty/Staff Advisers to Student Organizations

The university offers students the opportunity of developing new interests, expanding cultural and social horizons, exercising leadership, serving their fellow human beings and finding outlets for social entertainment through recognized student organizations. The university considers these opportunities intrinsic to its educational mission since they encourage the total development of the student by providing an environment for social, cultural, emotional and personal growth.

While a large responsibility for a student's growth rests with the student, faculty/staff advisers are responsible for assisting students in developing and producing programs and experiences that will broaden their learning, apply and interrelate acquired knowledge, and create patterns of behavior that will lead to a richer, fuller life, which is uniquely and individually their own.

1210 E-Commerce

This policy outlines the criteria for James Madison University to ensure all university E-Commerce applications have been approved, implemented and maintained in conformity with applicable federal and state laws and regulations and university policies.

1307 Performance Evaluation of Administrative & Professional Faculty

This policy delineates the method for providing annual performance evaluations of administrative and professional faculty.

1112 Contingency Management Planning

Policy currently under revision

1. PURPOSE

This policy establishes the requirement for departments to maintain written contingency management plans and alternate procedures for dealing with disasters and extraordinary circumstances that (1) threaten the health and safety of the public and/or state workers, (2) could have a significant negative impact on the fiscal or legal integrity of university operations, or (3) interfere with the delivery of essential university programs.

2. DEFINITIONS 

Contingency:

A condition resulting from a natural or man-made occurrence that is of sufficient magnitude or duration to cause significant disruption in the accomplishment of agency program objectives. 

Contingency Management Planning:

The advance planning and preparations necessary to minimize loss of resources and provide reasonable assurance that critical university services and operations will be maintained in the event of a contingency. 

Contingency Management Plan:

A written plan to be enacted in the event of a disaster or other contingency. Such a plan includes an identification of critical functions, procedures for restoring these functions, assignment of responsibilities for activating and implementing the plan, and requirements for training, testing and maintenance activities related to the plan. 

Threat Assessment:

An analysis of the potential jeopardies which a department might encounter. Included are the loss of a building, loss of an essential item of equipment, and loss of key personnel.

3. RESPONSIBILITIES

Vice Presidents/Provosts are responsible for threat assessment and for identifying those critical departments, functions, and/or applications within their respective divisions for which contingency management plans and procedures are to be maintained. 
 
Department Heads/Directors are responsible for developing, maintaining, and testing contingency management plans as designated by the appropriate Vice President/Provost. 
 
4. REQUIREMENTS

Departmental contingency management plans and procedures should identify threats, specify individual responsibilities, and describe the actions to be taken in the event of a disaster or other contingency. Plans must be in writing and should be reviewed at least once a year. Testing of procedures should be conducted as appropriate. 
 
5. SPECIFIC REQUIREMENTS FOR INFORMATION-BASED APPLICATIONS

The Virginia Council on Information Management (CIM) has established specific requirements for identifying critical applications and developing contingency management plans (including disaster backup and recovery procedures) for automated and manual information-based systems. Such systems generate, manipulate or depend on data. The contingency management requirements and responsibilities for these systems are addressed in Policy 1206 (Contingency Management for Information-based Applications). 

Approved March 1, 1999 by Linwood H. Rose, President

1306 Extra Employment for Faculty and Exempt Staff Members Within the University

This policy provides guidelines for the assignment of and payment for work at the university in addition to or instead of the regular assigned work of full-time instructional faculty members, Administrative and Professional faculty members and exempt staff members.

1207 Appropriate Use of Information Technology Resources

The purpose of this policy is to provide direction to members of the university community regarding safe and responsible use of university technology resources and to outline the obligations they have as a whole and individually to abide by established standards of acceptable use. 

1309 University Closings, Class Cancellations and Exam Postponements Due to Inclement Weather or Emergencies

The purpose of this policy is to establish a process by which the university may close or cease parts of its operation in response to inclement weather or emergencies.

1405 Faculty-Staff Waiver of Tuition Program for Degree-Seeking Course Work at JMU

The purpose of this policy is to outline the university’s waiver of tuition program for degree-seeking course work at James Madison University in support of the university’s commitment to employee personal and professional development.

4104 Student Loan Activities

The Higher Education Opportunity Act (HEOA) that must be executed by all institutions participating in Title IV financial aid programs including student loan programs requires a code of conduct with which the institution's officers, employees, and agents shall comply. Such code must prohibit a conflict of interest with the responsibilities of an officer, employee, or agent of an institution with respect to such loans, and include the provisions set forth in the HEOA related to conflicts.

1000 University Policy Management

This policy outlines the process of policy management at the university, primarily by the University Policy Committee (UPC). The UPC is a team that is responsible for assisting the president and vice presidents with the oversight and management of those policies that have wide university impact.

4308 Moving: Changing Department/Office/Laboratory/Classroom Space

This policy outlines procedures for the successful move of a classroom, department, laboratory or office at James Madison University.

1301 Nepotism and Employment of Family Members

This policy is intended to establish the rules and procedures for the employment and supervisory assignments of members of an employee's immediate family.



1316 Release of Information from Employee Records

This policy establishes guidelines for access to and release of personal information on employees that is maintained by the university.

1317 Standards of Conduct and Performance for Classified Employees

This policy is written to reflect James Madison University's compliance with the Commonwealth of Virginia's policy to ensure the clear statement of employee expectations and fair treatment of all classified employees. Standards of Conduct are designed to protect the well being and rights of all employees; to assure safe, efficient university operations; and to assure compliance with law. The ultimate goal of this policy is to help employees become fully contributing members of the university community.

The Standards of Conduct serve the following purposes:

  • Establish guidelines for positive employee behaviors that contribute to the success of the university's mission.
  • Establish a fair and objective process for correcting or treating unacceptable conduct or work performance.
  • Distinguish between less serious and more serious acts of misconduct and provide corrective action accordingly.
  • Limit corrective action to employee conduct occurring only when employees are at work or when otherwise representing James Madison University in an official or work-related capacity, unless otherwise specifically provided for.
1205 Data Stewardship Policy

This policy establishes the methodology by which the university will manage its data and assigns responsibilities for the control and appropriate stewardship of university data.

1201 Information Technology Resource Management

In conjunction with JMU Policies 1212 (Information Technology Infrastructure, Architecture and Ongoing Operations) and 1213 (Information Technology Project Management), this policy establishes general requirements and responsibilities associated with the management and use of computing and telecommunications resources and services at James Madison University.

1335 Terms and Conditions of Employment for Administrative & Professional Faculty

The purpose of this policy is to ensure uniform procedures for the employment of administrative & professional faculty.

1402 Faculty-Staff Waiver of Tuition Program for Non Degree-Seeking Course Work at JMU

The purpose of this policy is to outline the university’s waiver of tuition program for non-degree-seeking course work at James Madison University in support of the university’s commitment to employee personal and professional development.

2110 Ordering Textbooks

The purpose of this policy is to establish procedures for ordering textbooks for the students and faculty of the University. The policy addresses action by the Virginia General Assembly, section 23-4.3.1 Code of Virginia.

2103 Graduate Assistantships

Graduate assistants contribute significantly to the programs of both academic and non-academic areas of the university. Assistantships provide financial assistance to qualified students. They also offer opportunities for students to gain worthwhile teaching and other experiences relevant to their chosen disciplines. The primary purpose of a graduate assistantship is to obtain training or work experience necessary for the completion of a degree and not to provide services for the university. This policy provides for the appointment and use of graduate assistants at James Madison University.

5002 Program Review Plan and Compliance

This policy establishes common program review components and requirements for non-Academic Affairs departments and/or offices. A separate Academic Affairs policy governs program reviews for areas within the Division of Academic Affairs.

2201 Sponsored Programs Proposals: Pre-Award/Post-Award Procedures

1. PURPOSE

This policy provides procedures for university employees to submit proposals to outside sponsors for instruction, research, training, service or other related project support that involves specific requirements for performance on the part of the University.

2. AUTHORITY

The JMU Board of Visitors is authorized to establish policy for the university. In cases where the board has not exercised that authority, it is delegated to the president.

3. DEFINITIONS

Contract:
A mechanism for procuring a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals. A contract is a legally binding document.

Cooperative Agreement:
An award similar to a grant, but in which the sponsor's staff may be actively involved in proposal preparation and anticipates having substantial involvement in research activities after the award has been made.

Cost Sharing:
The portion of the total project costs of any sponsored agreement that is not provided by the sponsor.

Direct Costs:
Clearly identifiable as being related to a specific project. General categories of direct costs include but are not limited to communication and travel, contractual services, equipment and computer use, fringe benefits, salaries and wages, supplies, housing and meals.

Facilities and Administrative Costs:
Incurred for common or joint objectives and, therefore, cannot be identified readily and specifically with a particular sponsored project, an instructional activity or any other institutional activity. Facilities and administrative costs are synonymous with indirect costs.

Facilities and Administrative Rate Agreement (Indirect Costs):
A negotiated agreement with the Department of Health and Human Services. The rates shall be applied consistently to all applicable sponsored-program activity at the university, including all federal, nonfederal and industrial sponsors.

Grant:
A type of financial assistance awarded to an organization to conduct research or other programs as specified in an approved proposal. A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.

In Kind:
Contributions or assistance in a form other than money, such as equipment, materials or services of recognized values.

Principal Investigator:
The individual with the responsibility for conducting the research or other activity described in a proposal for an award. The terms "principal investigator" or project director" may be used interchangeably in accordance to the agency's program language.

Proposal:
A formal written description concerning the conduct of research, training or technical assistance with the support of an external sponsor. The proposal represents an offer by the university to perform the activities specified and contains all information necessary to describe project plans, staff capabilities and funds requested. The university's review and approval process assures compliance with both sponsor and university policies.

Sponsored Programs:
Projects or programs that are conducted by faculty member(s) and/or administrative staff member(s) and supported - fully or in part - by external restricted funding awarded to the university. Sponsored programs may be research, instructional or service in nature. In all sponsored programs, the university has obligations to the funding source in accordance with the terms of a proposal or agreement. In the case of a proposal, these obligations are based on the project description developed by the faculty member(s) and/or administrative staff member(s). In the case of a grant, these obligations are based on the project description developed jointly by the sponsor and the faculty member(s) and/or administrative staff member(s).

Sponsor/Funding Agency:
Federal, state or private agencies external to the university who provide support for a program or project at the university.

Total Direct Costs:
The total of all direct costs of a project.

Total Project Costs:
The total allowable direct and indirect costs incurred by the institution to carry out an approved project or activity.

4. APPLICABILITY

This policy applies to all JMU employees and governs university educational programming, research and scholarly endeavors sponsored in whole or in part by outside entities including government and industry. It does not apply to gifts or contributions handled through the JMU Foundation and the Division of University Advancement.

5. POLICY

A sponsored program is an award from an external source (the "sponsor") for an agreed upon purpose with sufficient custodial responsibility to warrant unique administrative accountability. It is established by an agreement, usually called a contract, cooperative agreement, grant, purchase order or other document decided upon between the university and the sponsor. Sponsored programs are undertaken to augment institutional resources to enhance the university's research and educational programming, and to facilitate the ability of faculty members, staff members and students to develop and achieve their goals in educational programming, research and service delivery through successful competition for external funding.

The proposal serves as the primary document upon which the university and a funding source agree to provide the facilities, funds and services necessary to perform the project development, research, service and/or training. Grants and contracts are made to the institution and not the principal investigator; therefore, institutional approval and involvement is required. The proposal specifies the obligation of the principal investigator to perform services, the university to provide facilities and services, and the sponsor to provide support.

University employees who plan to submit a proposal to an outside sponsor must have the preliminary approval of their academic unit head and dean before contacting the Office of Sponsored Programs to obtain the necessary forms to begin the formal process of a program proposal.

All external publicity on grants and contracts is to be verified with the Office of Sponsored Programs prior to release through the JMU Office of Media Relations.

6. PROCEDURES

6.1 Internal Procedures

Contracts, grants, research agreements and sponsored-award documents are legal instruments that bind the parties to the terms stated therein. Therefore, state and federal laws as well as James Madison University policies and regulations must be followed when preparing, accepting, signing and executing such legal documents. Thus, all proposals - whether new or continuing - must be processed through the Office of Sponsored Programs for formal university approval and signature before they are submitted to external sponsors. The OSP serves as the administrative voice in the negotiation and acceptance of grants and contracts and subsequent modifications.

A sponsored-program proposal is usually originated by the faculty or staff member who will be in charge of the program under the direction of the appropriate academic unit head or administrator.

All proposals soliciting external support - whether from federal, private or state agencies - call for some commitment of institutional resources. Therefore, the Proposal Internal Approval Form must be prepared and submitted by the principal investigator with the approval of a sponsoring academic unit. Cost sharing should be engaged in only in the following circumstances:

  • When mandated by the sponsor
  • When necessary to accurately reflect the level of effort required to conduct the project
  • When necessary due to the competitive nature of the award

In the event mandatory cost sharing is required, the principal investigator must complete a Cost Sharing Request Form (Exhibit 2) and obtain appropriate university approval(s).

Approval from those responsible for the administration of university resources must be obtained prior to the formal submission of the proposal.

In addition to the Internal Approval Form, sponsored-program proposals should include the following sections in the following order:

  1. title page and abstract, problem statement: purpose for developing the proposal,
  2. objectives: goals and desired outcomes,
  3. procedures: program methods and program design - a plan of action,
  4. evaluation methodology: product and process analysis, and
  5. budget and budget justification.

6.2 Steps for Proposal Development and Pre-Award

  1. Faculty and staff members who wish to pursue sponsored programs should receive preliminary approval from the appropriate academic unit head or director and dean. Before writing a proposal, the individual faculty or staff member should contact the dean, academic unit head or director to enlist approval and support for the project. Questions concerning faculty time commitments, space and facilities, as well as proposed new courses and/or requirements, should be resolved at this time. All early correspondence including any letters of intent in initial solicitation efforts are to be routed through the Office of Sponsored Programs.
  2. A number of funding agencies, in compliance with Federal Executive Order 12372, Intergovernmental Review Process, require that state and regional clearinghouses be notified of the intent to apply for funds. Such notification is transmitted on Standard Form 424 and should be submitted at least 30 days prior to submitting an application for funds.
  3. Principal investigators who plan to submit a proposal involving the use of human subjects are required to have the Institutional Review Board for the Use of Human Subjects review the proposal prior to submitting the proposal to the Office of Sponsored Programs (see JMU Policy 1104). In such cases, the principal investigator or project director will inform the Office of Sponsored Programs of the need for this review; the Office of Sponsored Programs will coordinate the review process. Proposals involving the use of human subjects are not to be submitted to the target agency until the Institutional Review Board has conducted this review for the Use of Human Subjects.
  4. Principal investigators who plan to submit a proposal involving the use of vertebrate animals are required to have the proposal reviewed by the Institutional Animal Care and Use Committee prior to submitting the proposal to the Office of Sponsored Programs (see JMU Policy 2202). In such cases, the principal investigator or project director will inform the Office of Sponsored Programs of the need for this review; the Office of Sponsored Programs will coordinate the review process with the IACUC. Proposals involving the use of vertebrate animals are not to be submitted to the target agency until the IACUC has approved the proposed work.
  5. The principal investigator should contact the Office of Sponsored Programs for guidance concerning the calculation of project costs to include current federally negotiated facilities and administrative costs (indirect costs) and appropriate fringe benefit costs. The principal investigator should verify equipment estimates with the vendor and/or the JMU Office of Procurement Services.
  6. After obtaining preliminary approval from the academic unit head or director and dean, the principal investigator can get a Proposal Internal Approval Form from the Office of Sponsored Programs. The principal investigator will then submit the completed proposal along with the Proposal Internal Approval Form to the academic unit head for endorsement of approval. The Proposal Internal Approval Form and any other signatures necessary to the proposal must be obtained and then submitted to the dean of the principal investigator's college or division for signature. The Proposal Internal Approval Form and the original proposal with one copy is then ready to be submitted to the Office of Sponsored Programs.
  7. Proposals prepared for submission to external funding agencies must be received in their entirety in the Office of Sponsored Programs at least five full workdays prior to the agency's target date for mailing. Failure to meet this deadline may jeopardize the on-time submission of the proposal. Proposals not meeting this deadline shall be submitted with conditional approval only. If subsequent review reveals that the submitted proposal contains errors, inaccuracies and/or misrepresentations, is incomplete, or does not conform with sponsor or university requirements, the principal investigator shall be responsible for making appropriate changes or withdrawing the proposal.
  8. The Office of Sponsored Programs will review the completed proposal for compliance issues and for budget consistency, create the permanent file for the proposal and verify that all necessary agency program submission requirements have been met. The completed proposal will then be signed by an authorized person in the Office of Sponsored Programs and forwarded to the offices of the appropriate university officials for signatures. The Office of Sponsored Programs cannot assure that this will be accomplished for proposals submitted in less than the five-day time frame. If substantive changes are made after signatures have been obtained, a revised proposal will be rerouted noting the changes.
  9. The signed proposal will then be returned to the Office of Sponsored Programs, which will return the approved proposal to the principal investigator or project director for final review and for making the required copies and mailing from the academic unit. The Office of Sponsored Programs retains the original Proposal Internal Approval Form and the remaining copy of the proposal for the official university file.
  10. The file is considered funded when the Office of Sponsored Programs receives the award document from the sponsoring agency. Official agency documents with original signatures must be provided to the Office of Sponsored Programs and retained in the official university file.
  11. The Office of Sponsored Programs will inform appropriate university officials, including the Office of Media Relations, of awards and will be responsible for coordinating with Grants and Contracts Financial Services to begin the financial management of the sponsored program.
  12. It is recommended that principal investigators/project directors systematically coordinate with the Office of Sponsored Programs further efforts to obtain additional funding for their projects from the present funding source or other sources.
  13. Coordination with the Division of University Advancement must be made before contacting private sector funding sources. Information pertaining to the definition of a gift, as well as the solicitation and acceptance of gifts may be obtained by referring to JMU Policy 5101.


 6.3 Procedures for Project Management Post-Award

  1. All funds received for sponsored programs are under the fiscal control of the assistant vice president for finance. These funds must be receipted and disbursed in accordance with university policy, state and federal law, and sponsored programs' restrictions (including federal OMB circulars A21, A89, A110, and A133).
  2. Full-time faculty members and employees may be paid for additional services performed under grant auspices. However, authorization for compensation in excess of the regular salary must be in accordance with the procedure set forth in JMU Policy 1304, Extra Employment of Faculty and Administrative Staff. No binding commitments can be made nor remuneration provided until a PAR form has been submitted and approved by the appropriate administrative officials.
  3. The principal investigator will work directly with Grants and Contracts Financial Services for the financial management of the project. For specific information, the principal investigator should contact Grants and Contracts Financial Services after being notified of the award. Grants and Contracts Financial Services will provide the principal investigator with the internal budget form.
  4. Upon receipt of the approved Internal Budget Form, Grants and Contracts Financial Services will establish a post-award fiscal project file, create an account in the Financial Accounting System, provide monthly expenditure/budget printouts to be used by the principal investigator for making financial decisions related to the sponsored project. Grants and Contracts Financial Services will monitor financial activity of the sponsored project.
  5. All budget revisions must be prepared on the Request for Budget Revision Form, secured from Grants and Contracts Financial Services, and routed through the same offices originally specified on the Internal Budget Form.
  6. If an internal budget covers more than one fiscal year, any continuing or unencumbered balance will be carried forward from one fiscal year to another.The principal investigator will submit effort reports, invoices for payment, reimbursement requests, grantor-required fiscal reports, and other financially related documents through the appropriate offices, to Grants and Contracts Financial Services, for review and distribution on a timely basis. Post-award non-fiscal reporting is facilitated through the Office of Sponsored Programs.
  7. At the close of a project, unexpended funds will be disposed of according to the provisions of the terms and conditions of the sponsoring agency. If provisions have not been made, Grants and Contracts Financial Services will contact the grantor by letter to determine proper disposition.
  8. Specific Office of Human Resources requirements are found in the following policies:

7. RESPONSIBILITIES

The Office of Sponsored Programs provides the state-mandated central review process for all external funding requests, adhering to regulations set by the federal government, the Commonwealth of Virginia and the university. The Office of Sponsored Programs serves the university as the administrative voice in the negotiation and acceptance of all grants and contracts and subsequent modifications. The Office of Sponsored Programs is responsible for the following in addition to performing other duties as directed by the provost and vice president for academic affairs:

  1. Disseminating information relating to external funding
  2. Maintaining appropriate records
  3. Promoting university-sponsored programs by monitoring related faculty and staff activities
  4. Serving as the liaison office for sponsored programs

Academic unit heads, deans and directors are responsible for reviewing, approving, monitoring and supporting projects of interest to their divisions and areas of responsibility. Only those individuals designated by the president as signatory authority for all sponsored programs administered through the university are empowered to sign documents on behalf of the institution. Those individuals currently authorized to sign proposals and accept grants and contracts on behalf of the university are the assistant vice president for academic resources and the director of the Office of Sponsored Programs in specific instances. The university is not committed to accept awards resulting from the submission of proposals not authorized by the institution.

The principal investigator or project director is responsible for conducting the project in accordance with institutional policies, submission guidelines from the agency and federal circulars A-21 and A-110 under the terms of the grant or contract. Any arrangements with the grantor for any major changes in the original agreement must be made through the appropriate offices in conjunction with the Office of Sponsored Programs. The principal investigator must have the technical competence and substantive capabilities to carryout a sponsored project. Therefore, the principal investigator or project director is responsible for preparing the Internal Budget Form and coordinating matters of financial activity, personnel and position changes with the proper university departments.

The Office of Media Relations is responsible for releasing all external publicity on sponsored programs, projects, grants and contracts.

The Grants and Contracts Financial Services Office is responsible for the following:

  1. Creating an account in the financial accounting system
  2. Establishing a post award grant file
  3. Monitoring the financial activity of the sponsored project
  4. Providing monthly expenditure/budget printouts

8. SANCTIONS

Failure to follow this policy may result in disciplinary action up to and including dismissal from employment.

9. EXCLUSIONS

Employees applying for external funding for purely private projects that do not in any way involve James Madison University or any of its resources need not follow these procedures. For further clarification, review JMU Policy 1106-Conflict of Interest.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the provost and vice president for academic affairs.

Approved:
February, 2004
Dr. Linwood H. Rose, President

Index Terms:
Conflict of Interest
Contracts
Cooperative Agreement
Cost-Sharing
Facilities and Administrative Cost
Grants
In-Kind
Principal Investigator
Proposal
Sponsor/Funding Agency
Sponsored Programs
Total Direct Costs
Total Project Costs
 
Appendices:

Form 1 - Internal Approval Form
Form 2 - Cost Sharing Request Form

See "Forms" available at http://www.jmu.edu/sponsprog

Proposal assistance available from OSP at http://www.jmu.edu/sponsprog/ProposalPrepGuide.doc

Guidance for faculty and staff seeking external support http://www.jmu.edu/sponsprog/guidance.html

1110 Alcohol and Other Drugs

To comply with relevant laws related to the abuse of alcohol and controlled substances and help provide for a healthy and safe university community for employees, students, the local community and campus visitors. In addition, it is the intent of the university to offer support and possible solutions to employees who are struggling with alcohol or other drug-related problems.

1315 Notification Regarding Death

This policy provides for the proper notification to the university community regarding the death of a member of the university community. It will facilitate an appropriate response and record the information in university databases.

1705 Bottled Water Use

The university has made Environmental Stewardship a matter of strategic emphasis. If the university’s mission is to be fulfilled, students, faculty, staff, and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to Environmental Stewardship is the effective management of bottled water use, which this policy addresses.

1701 Sustainable Procurement

This policy supports campus sustainability at James Madison University and provides guidelines, information and resources in procuring products that will minimize negative impacts on society and the environment to the greatest extent practical.

1103 Responding to External Requests for Information

This policy provides guidelines for responding to questionnaires, survey forms, and other requests for information and data from external sources.

3104 Use of Bulletin Boards & Posting Public Notices

The purpose of this policy is to outline the proper guidelines and procedures for posting information on campus related to ongoing campus activities, events, and notices of interest.

1331 Disabilities & Reasonable Accommodations

This policy sets forth provisions for the university's compliance with relevant legislation and policy and establishes the university's intent that qualified persons with disabilities be provided with reasonable accommodation to ensure equal access and equal opportunities with regard to the university's programs and services. This policy is intended to provide a method by which the university will process requests for disability accommodations.

2205 Policy for Misconduct in Research and Other Scholarly Work UNDER REVIEW

THIS POLICY IS CURRENTLY UNDER REVIEW

The president has appointed the Provost to serve in the role of the Vice President for University Relations and External Programs.

These assurances and procedures implement James Madison's Policy on Misconduct in Research and other scholarly work. This policy applies to all faculty and administrative staff in the performance of scholarly and creative activity and research conducted at JMU whether performed under external or internal funding. It meets the certification and requirement guidelines of Section 493 of the Public Health Service (PHS) Act as well as other Federal and State agencies and private foundations. James Madison University expects that the highest ethical standards as well as compliance with public laws and regulations will prevail in the conduct of its activities. 

It is understood that the inherent requirement for integrity in the quest for knowledge and in the creation of scholarly and artistic works is fundamental to the academic purpose. It is the policy of James Madison University to maintain high ethical standards in research and other scholarly work, to prevent misconduct and to promptly and fairly evaluate and resolve instances of alleged or apparent misconduct. Nothing in this policy should be construed as being intended to in any way restrict academic freedom. To the contrary the University strongly encourages and supports research and scholarly activity. 

ASSURANCES 
James Madison University will provide vigorous leadership and will take immediate action into any allegation or other evidence of possible misconduct. 

All parties will be treated with justice and fairness and JMU will be sensitive to the reputations and vulnerabilities of all parties. 

The University will document all pertinent facts at each stage of the response to the allegation. 

The University will protect to the maximum extent possible, commensurate with protecting the rights of the accused, the privacy or those who in good faith report apparent misconduct. 

James Madison University will afford the affected individual confidential treatment to the maximum extent possible, a prompt and thorough investigation, and an opportunity to comment on allegations and findings of the inquiry and/or the investigation. 

The process pursued to resolve allegations of misconduct will not damage research itself. 

The University will conclude its responsibilities to the charge after resolving allegations of misconduct internally to all involved individuals; and externally to the public, the sponsors of research, the research literature, and the research community. 

The procedures listed below preserve the highest attainable degree of confidentiality compatible with an effective and efficient response to the allegation. 

DEFINITIONS 
"Act" means the Public Health Service Act, as amended (42 U.S.C. 201 et. seq.). 

"Days" shall mean calendar days, excluding Saturday, Sunday and such other days as the University is officially closed. 

"Institution" means James Madison University. James Madison University assumes legal and financial accountability for the awarded funds and for the performance of the supporting activities. 

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

"Investigation" means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred. 

"Mischievous Allegation" is one that is made knowing it to be false, or made with a reckless disregard for the truth. 

"Misconduct" or "Misconduct in Science" means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. 

"PHS" means the Public Health Service. 

"OSI" means the Office of Scientific Integrity which is established in the Office of the Director, National Institute of Health (NIH) to oversee the implementation of all PHS policies and procedures related to scientific misconduct. 

"Secretary" means the Secretary of Health and Human Services (HHS). 

ALLEGATIONS OF MISCONDUCT 
James Madison University has a responsibility to pursue an allegation of research misconduct fully and to resolve questions regarding the integrity of research. The purpose of the evaluation of an allegation is to determine whether or not there is or is not substantial basis to believe that scholarly misconduct has occurred, and whether formal discharge proceeding or other action with respect to the individual's employment is warranted. In its responsibility the University will focus on the substance of the issues and be vigilant not to permit personal conflicts between colleagues to obscure the facts. 

The names of the complainant as well as the respondent will be held in strictest confidence and will be only released to those who must know. However, the respondent has the right to know the name of the complainant. 

Allegations of misconduct in scholarly work may come from various sources within or outside the University. 

No one shall be deemed to have engaged in such misconduct unless it is determined by a preponderance of all relevant evidence that the conduct in question was done intentionally and with a desire to deceive. 

The individual accused of research misconduct shall be entitled to be represented by legal counsel (at his/her own expense) in all meetings relating to the alleged misconduct. 

If the accused is found innocent of misconduct, the University will be responsible for the accused individuals reasonable legal expenses. Also, should the complainant be found to be a mischievous allegation, the complainant may be held responsible for the accused's legal costs. 

PROCEDURES 
All allegations of misconduct will be evaluated first by an inquiry, and then, if the inquiry so indicates, by an investigation. The inquiry is not a formal hearing; it is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations. 

The accused will be notified when an inquiry into an allegation of misconduct is being initiated and again if an investigation is being initiated. 

A. Initiation of an Inquiry 
An allegation of scholarly misconduct to be considered must be made in writing and delivered to the Vice President, University Relations and External Programs. It must be signed. Any person making an allegation must also agree to support it when requested before University officials and such committees as may be appointed under these procedures. If the Vice President of University Relations and External Programs has a conflict of interest with a case, the allegation will be pursued by another administrator. 

B. Notification to the Respondent 

1. Upon initiation of an inquiry, the Vice President, University Relations and External Programs will notify the respondent in writing of the existence and nature of the complaint and the process that will follow. The respondent will be informed of the proposed membership of the committee of inquiry for the purpose of identifying in advance any real or potential conflict of interest and the project will be deferred until the allegation is resolved. 

2. The respondent will be given copies of written documents (if any) that support the allegations. 

3. The respondent will be invited to present a written response to the allegations; this response will become a part of the case file maintained by the office of the Vice President, University Relations and External Programs.

C. Timeliness 
Due to the sensitive nature of an alleged case of research misconduct, the University will strive to resolve each case expeditiously. The inquiry phase will normally be completed and a written report of the findings filed by the institution's own record within 60 days of initiation. If the committee anticipates that the established deadline cannot be met, a report, citing the reasons for the delay and progress to date, will be filed with the Vice President of University Relations and External Programs and the respondent and appropriately involved individuals will be informed.

D. The Inquiry 
The inquiry process will be handled with the establishment of a formal committee by the Vice President, University Relations and External Programs. The Vice President is not required to form or convene a committee to take action on a complaint which in his/her judgment is frivolous, unreasonably vague, or known to be otherwise improper. If it appears that the allegation is a proper written and signed document and indicates serious scholarly misconduct the Vice President, University Relations and External Programs shall appoint a Committee of Inquiry. 

1. The Membership of the committee will be specifically chosen to evaluate the particular allegations under consideration. These individuals will not have a real or apparent conflict of interest in the case in question, be unbiased, and have an appropriate background for judging the issues being raised. They are to be tenured faculty with no appointment in the departments of either the complainant or the respondent. 

2. The Committee shall consider the allegation and conduct a preliminary formal review to determine if there is a reasonable and sufficient basis to warrant a full and more lengthy formal review. The manner of inquiry committee shall proceed in the fashion the Committee believes best serves to reach an initial informed assessment of the probability of the truth, accuracy, error, or falsity of the allegations. It rests in the judgment of the Committee when, and in what manner, it will receive submissions or interview the accused faculty member and the accusing party. The committee of inquiry shall arrive at a judgment as expeditiously as possible. 

3. All parties to the case, including the inquiry committee itself, shall have the opportunity to present evidence, to call witnesses, and to examine or cross-examine them. 

4. Information, expert opinions, records, and other pertinent data may be requested by the committee. 

5. All parties have the right to the assistance of legal counsel; however, as the inquiry is informal and intended to be expeditious, principal parties shall speak for themselves, with counsel, if any, assuming an advisory role to his client. 

6. To ensure the safety and security of any written documents associated with the allegation, committee members will be asked to review such documents within the Office of Sponsored Programs (if any) exist. Such documents shall remain in the office at all times. 

7. The Committee may keep confidential notes of its inquiry as it believes are reasonable to document its activities and findings. 

8. The Committee shall prepare for the Vice President, University Relations and External Programs a confidential written report of its preliminary findings. The written report will state what evidence was reviewed, summarize relevant interviews, and include the conclusions of the inquiry. The report shall also contain a recommendation for any further action. The recommendations shall be as follows: 

a. If a majority of the Committee determine that upon the information available to them it is reasonable to believe that an act of academic misconduct may have occurred, then the Committee shall recommend that a full investigation be conducted. 

b. If the Committee determines that it is not reasonable to believe an act of academic misconduct has occurred, it shall so inform the Vice President, University Relations and External Programs and also determine whether the allegation was mischievously made. 

c. If an allegation is found to be unjustified and to have been maliciously motivated, a recommendation for disciplinary action against the person or persons making the allegation shall be made. See Section A under Institutional Action. 

d. If an allegation is found to be unjustified but has been submitted in good faith, no further formal action other than informing all involved parties shall be recommended.

9. The proceedings of the inquiry, including the identity of the respondent, will be held in strict confidence to protect the parties involved. Protection will be provided also to the maximum extent possible, the privacy of those who in good faith report apparent misconduct.

E. Notification of Findings From the Inquiry. 
1. The respondent shall be given a copy of the report of inquiry. If he or she comments on that report, those comments will be made part of the record. 
2. The complainant will be informed by the Vice President, University Relations and External Programs of the outcome of the inquiry. 

a. Finding of no misconduct 
If the inquiry outcome does not find misconduct, all involved parties shall be so notified by the Vice President, University Relations and External Programs and efforts will be made to be sure individuals are cleared of unsupported allegations. 

The documentation of inquiry will be maintained in a secure manner for a period of at least 3 years after the termination of the inquiry to permit a later assessment of the reasons for determining that an investigation was not warranted, if necessary. 

b. Finding of misconduct for externally funded projects 

1. The Director of the OSI will be notified in writing on or before the date the investigation begins when on the basis of the initial inquiry, the institution determines that an investigation is warranted for any externally funded projects. 

2. Any agency sponsoring the research will be notified of a pending investigation. 

3. The OSI and/or other appropriate authorities will be notified within 24 hours if there is any reasonable indication of possible criminal violations. 

4. Allegations found to require investigation will be forwarded to the investigative body with the procedures outlined below.

F. Investigation
The purpose of the investigating committee is to undertake a thorough analysis of the allegation and to obtain all reasonable available information which it believes relevant to the charges. It is expected that the investigation should be completed within 120 days of its initiation. 

1. The Vice President, University Relations and External Programs shall, within 30 calendar days of the reporting by a committee of inquiry of the need for investigation, appoint an investigating committee of senior faculty who are without conflict of interest, hold no appointment in the departments of either the complainant or the respondent, and have appropriate expertise for evaluating the information relevant to the case. 

2. The committee may hold hearings and has the authority, responsibility and resources to collect and consider all of the evidence relevant to the allegation. 

3. It may obtain expert opinions, if necessary, to reach firm conclusions and may seek the advice of external experts if that is required to avoid conflicts of interest. 

4. The investigation must be thorough. It must obtain sufficient evidence to permit the committee to reach a firm decision about the validity of the allegation, or to be sure that further investigation could not alter an inconclusive result. 

5. If in the course of the investigation, additional information may emerge that may justify broadening the scope of the investigation beyond the initial allegations, the respondent is to be informed in writing of significant new directions in the investigation. 

6. If, during the investigation the University believes it necessary to act to protect the health and safety of research subjects, patients, and students, such administrative action will be taken. 

7. Copies of all materials secured by the committee shall be provided to the respondent and other concerned parties as judged appropriate by the committee. 

8. The respondent shall have an opportunity to address the charges and evidence in detail. The respondent may be accompanied by and confer with legal counsel at hearings, but is expected to speak for him/herself. 

9. Hearings will be confidential and may be declared closed by request of any of the principals. Written notification of hearing dates and copies of all relevant documents will be provided by the Vice President, University Relations and External Programs in advance of scheduled meetings. A record of the proceedings will be made, and a transcript prepared upon request and made available to involved parties. 

10. After all evidence has been reviewed and hearings completed, the investigating committee shall meet in closed sessions to deliberate and prepare its findings and recommendations. 

11. If the investigation cannot be completed in 120 days, the committee should compile a progress report, identify reasons for the delay, and request an extension from the Vice President, University Relations and External Programs. 

12. The committee will submit to the Vice President, University Relationss and External Programs a full report that details the committee's findings and recommendations. The report of the committee is advisory.

G. Notification of Findings of the Investigation
1. The Vice President, University Relations and External Programs will send the report to the respondent. The respondent may comment in writing upon the report. 
2. The OSI will be notified of the final outcome of the investigation when appropriate.

INSTITUTIONAL ACTIONS 
A. Absence of Fraud or Serious Misconduct 

1. All research sponsors and others initially informed of the investigation will be informed in writing that allegations of fraud were not supported. 

2. In publicizing the finding of no fraud, the institution will determine whether public announcements will be harmful or beneficial in restoring any reputations that may have been lost. Usually, this decision will rest with the person who was innocently accused. 

3. If the allegations are deemed to have been maliciously motivated, appropriate disciplinary actions will be taken against the complainant. 

4. If the allegations are found to be unjustified but were submitted in good faith, no further formal action will be taken.

B. Presence of Fraud or Serious Misconduct 
1. The Vice President, University Relations and External Programs will notify all federal agencies, sponsors, or other entities initially informed of the investigation of the finding of fraud. 

2. If, upon consideration of the report of the Committee of Investigation, it is believed that an act of scholarly misconduct is supported by a preponderance of the credible evidence, then disciplinary and/or administrative action consistent with the faculty member's contract and University rules and regulations will be initiated.

THE RIGHT TO APPEAL 
1. Individuals may appeal the judgment of the investigating committee and/or the sanction. 

2. A written statement of the grounds for the appeal must be submitted to the president of the institution within 30 days of written notification of the results of the investigation. Grounds for appeal may include, but are not limited to: 

a. New previously unconsidered evidence; 
b. Sanctions not in keeping with the findings;
c. Conflict of interest not previously known among those involved in the investigation; and 
d. Lapses of due process.

3. Upon receipt of a written appeal, the president will evaluate the evidence and make a determination. He may reopen the investigation. The president's decision will be binding on all parties and will be conveyed to all involved in a timely fashion. 

4. In the case of termination, the president's decision may be appealed as provided for under the faculty member's contract and Manual of Policies and Procedures. 

2203 Conflict of Interests Disclosure for Sponsored Programs

This policy is designed to protect the credibility and integrity of the university's faculty and staff so that public trust and confidence in the university's sponsored research and educational activities are ensured and to comply with federal guidelines concerning sponsored research. This policy establishes procedures and standards to ensure there is a reasonable expectation that the design, conduct or reporting of research funded under sponsored grants, contracts or cooperative agreements will be unbiased by any conflicting financial interests of an Investigator.

1332 Telecommuting

The purpose of this policy is to comply with the Commonwealth of Virginia Department of Human Resources Management (DHRM), which permits agencies to designate administrative & professional faculty and classified employees to work at alternate work locations for a mutually agreed upon portion of their workweek. This policy also complies with the requirement of DHRM Policy 1.61-Telework that agencies establish a telecommuting policy.

1318 Emeritus Staff

James Madison University recognizes the important contributions to the institution that have been made by staff members who rendered many years of dedicated service before retirement. This policy is designed to provide procedures for the appointment of emeritus status for staff members at the university.

1319 Classified Employee Leave Without Pay

It is university practice to grant classified employees leave without pay in accordance with this policy and the Virginia Personnel Act.

1330 Animals on University Property

This policy provides the rules and regulations concerning employees, affiliates, students and visitors bringing animals on university property.

2102 Substantive Change Reporting Requirements

This policy exists specifically to establish, clarify and communicate the requirement that all university changes deemed to be "substantive" must be approved by the president and Board of Visitors, with subsequent notification to and/or approval by the university's regional accrediting body, the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC).

The policy defines what changes are deemed to be "substantive" and the requirements, procedures and processes for coordinating the university's timely and complete notification of substantive changes to SACSCOC. This policy is primarily designed to address academic programs and curricular issues, although other defined substantive changes are also covered.

1106 Conflict of Interests

The purpose of this policy is to maintain the public’s highest trust in public officers and employees of the university and to provide procedures for employees to abide by state law.

4303 Use of State Vehicles

The university maintains a fleet of vehicles needed to conduct the business of the university. This policy establishes parameters and procedures for university-owned vehicles and vehicles leased or rented by the university to be used by employees and student groups in conducting the business of the university.

1702 Water Use & Leak Prevention

The university has made environmental stewardship a matter of strategic emphasis. If the university's mission is to be fulfilled, students, faculty, staff and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to environmental stewardship is the effective management of water use, which this policy addresses.

3108 Health and Safety

This policy provides guidelines and instructions to assist university officials in their compliance with applicable provisions of the Occupational Safety and Health Act, as well applicable laws and regulations of other state and federal regulatory agencies.

1704 Energy Use

The university has made environmental stewardship a matter of strategic emphasis. If the university’s mission is to be fulfilled, students, faculty, staff, and the community must develop a campus culture that reflects the importance of effectively managing its natural and social resources. A critical element for the commitment to environmental stewardship is the effective management of energy use, which this policy addresses.

1102 University Holidays

1. PURPOSE

This policy provides the method for determining the holiday schedule for James Madison University each calendar year.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth to govern the university, including the authority to establish employment rules. See DHRM Policy 4.25 Holidays. This authority includes setting the holiday schedule each calendar year, to correspond with the number of holidays given to all state employees.

3. DEFINITIONS

Employee Advisory Committee:
An advisory committee reporting to the president that was established to foster open, honest and productive communication between employees and the university administration with an emphasis on matters of concern to all employees.

University Holiday:
A date on which the university is officially closed for normal business.

4. APPLICABILITY

The holiday schedule is applicable to all members of the university community except those required to perform necessary maintenance and services during times when the university is officially closed (i.e., designated employees).

5. POLICY

The president shall sign into effect each calendar year a schedule of official university holidays. 
The schedule shall include American Independence Day (July 4th), Thanksgiving, the day after Thanksgiving, a Winter break, New Year's Day, Memorial Day Monday and Martin Luther King, Jr. Day. It may also include time for spring break and other appropriate holidays up to the number set by the Commonwealth of Virginia as holidays for state employees.

6. PROCEDURES

  • Each August, the Director of Human Resources will create a proposal for holidays in the succeeding calendar year.
  • The proposal will be forwarded to the Employee Advisory Committee for review.
  • Following review by the Employee Advisory Committee, the Director of Human Resources will forward the proposal to the division heads and the executive assistant to the president for review, edit and approval.
  • The resulting list of university holidays will be sent to the president for final review and approval - normally by November 1.
  • The university holidays are posted on the Human Resources website.
  • If additional holiday hours or days are granted by the Governor the same process will be followed in determining the assignment of those additional hours or days.

7. RESPONSIBILITIES

The Director of Human Resources is responsible for the initial proposal of holidays, coordinating the proposal through the above process and for communicating the upcoming year's holiday schedule to the university community.

The Employee Advisory Committee is responsible for reviewing the proposed holiday schedule.

The Senior Leadership Team and the executive assistant to the president are responsible for initial review and approval of the proposed holiday schedule.

The president is responsible for approving the final holiday schedule for the upcoming year.

8. SANCTIONS

Employees who violate this policy are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

If the Governor of the Commonwealth declares a state holiday for all state employees, such a declaration will be put into effect and the Director of Human Resources will take the appropriate steps to notify the university community.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous version: July, 2010
Approved by the President: May, 2002

Index Terms

Holidays
Official University Holidays
Employee Advisory Committee
University Closings
Personal Leave Day
Spring Break
Winter Break
Independence Day
Thanksgiving
Martin Luther King, Jr. Day
Christmas

4101 Contractual Agreements: Student Clubs and Organizations

This policy establishes guidelines for the management of the contractual agreements entered into by student clubs and organizations.

1509 Use of Images

This policy governs the use of images owned by James Madison University to preserve and promote a positive and consistent public representation of the university and its mission and to protect the reputation of the university, its employees and its students.

4301 Building Security

The effective control and security of university buildings are necessary requirements for the safety and protection of university personnel and equipment. Therefore, the following policy is established for the issuance and security of university keys, which are the heart of an effective building security program.

4201 Procurement of Goods, Supplies & Services

This policy prescribes regulations for the university’s procurement of goods, supplies and services. The policy is designed to comply with applicable State laws, regulations and policies.

1341 Break Time for Nursing Mothers

This policy establishes a break time for nursing mothers policy at James Madison University as provided by Section 7(r) of the Fair Labor Standards Act (FLSA) which applies to all employees.

4310 Illicit Discharge Detection and Elimination (IDDE)

Establish methods for controlling the introduction of pollutants into the municipal separate storm sewer system (MS4) in order to comply with requirements of the National Pollutant Discharge Elimination System (NPDES) permit process, as implemented through the Virginia Stormwater Management Program (VSMP) Permit for James Madison University (JMU).

1337 Affiliates

This policy is designed to establish the rules and procedures for the university’s designation of an individual as a University Affiliate.

3115 Camps and Other Residential Programs Involving Minors

To provide for appropriate supervision of minors who are participating in university-supported camps and/or endorsed residential programs held at the university and using university facilities.

3117 Programs Involving Minors (Non-Residential)

To provide for appropriate supervision of minors who are participating in university-supported programs and/or endorsed programs held at the university and using university facilities.