12 Research Policy, Patents, Postdocs, Associates, Trainees

(Prepared by the Research Policy Committee of the Faculty of Graduate Studies and Research.)

This Policy should be interpreted in a manner that is consistent with the vision of the University as a research community committed to the principles of honesty, trust, and collegiality and to the idea that fair play must prevail at all times.

It is important for the University community to have an explicitly stated ethical framework within which all research should be conducted. This need has been recognized by all the major funding agencies - the Canadian Institute of Health Research (CIHR), the Natural Sciences and Engineering Research Council (NSERC), the Social Sciences and Humanities Research Council (SSHRC), le Fonds Québécois de la Recherche sur la Nature et les Technologies (FQRNT) formerly FCAR, and Fonds de la Recherche en Santé du Québec (FRSQ).

This Policy on Research Ethics applies to all individuals who conduct research at McGill University or at one of its affiliated institutions. The term "research'' includes all forms of funded and unfunded scholarly and creative work by McGill staff and students and by people who use McGill facilities for the creation, dissemination, and publication of scholarly work.

Some of the provisions of this Policy deal with matters that are also treated in other University guidelines and regulatory documents. In appropriate cases, reference to these guidelines and documents should also be made.

This Policy does not attempt to address all matters relating to the ethical conduct of research activities. Consequently, it is recognized that many academic units will require more specific provisions than those guidelines supplied in this Policy. Academic units are encouraged to develop and/or subscribe to more specific provisions.

The University requires honesty and integrity in research and scholarship. The University, through the appropriate administrative offices and in accordance with the provisions of this Policy and other applicable regulatory procedures, will (a) help facilitate the resolution of disputes concerning matters dealt with in this Policy (see article 9), and (b) investigate allegations of misconduct under this Policy and take action, as appropriate.

Research projects should be managed, funding should be used and research should be conducted with due consideration for all University policies on research ethics. In addition to this Policy, these latter include policies set out in existing university regulations or guidelines, such as the Regulations on Research Policy, Policy on Intellectual Property, Regulations Governing Conflicts of Interest in Propriety Research , the Policy on Ethical Conduct of Research involving Human Subjects, and the Guidelines for Research with Animal Subjects.

The primary responsibility for the selection and conduct of research rests with the individuals performing the research. In the case of collaborative or team research, the research director or principal investigator is obliged to ensure that the members of the research team or group are aware of the contents of this Policy and of other applicable ethical norms governing the conduct of the research. In such cases, the research director or principal investigator should take all reasonable measures to ensure that the provisions of this Policy are complied with by the members of the research team. In the case of research conducted by students for academic credit, the instructor, supervisor or research director, as the case may be, in addition to informing the student of his or her obligations in respect of the ethical conduct of research, shall take further reasonable measures to ensure that the student's research is conducted in accordance with the provisions of this Policy and with other applicable ethical norms.

Researchers are expected to maintain the highest standards of honesty and integrity. Any form of academic dishonesty, including but not limited to the following, is a serious offence:

The gathering of data and research materials must be undertaken with honesty and integrity. Researchers should never publish data they know to be false or the result of deliberate acts of falsification.

Researchers should not knowingly represent the published or unpublished work of another person as their own or assist anyone else in doing so. The use by a researcher of work done by other people must be appropriately and adequately acknowledged. Plagiarism is an act of academic dishonesty.

Upon the demonstration that a researcher has represented another person's work as their own, it shall be presumed that the researcher did so knowingly; the researcher shall bear the burden of rebutting the presumption by evidence satisfying the person or body hearing the case that no such knowledge existed.

A conflict of interest arises where the researcher has a material interest of any nature - personal, financial, career or otherwise - that may conflict with the researcher's duty of honesty and integrity. Where a conflict of interest arises, a researcher must immediately disclose it in writing to his/her superior and to all other persons to whom it should be disclosed, in accordance with the context and with the highest standards of honesty and integrity.

Where a granting agency provides guidelines on the use of research funds, researchers and directors of research projects must follow those guidelines scrupulously. Researchers and directors of research must also follow all university guidelines on the management and disbursement of funds. Regardless of the source of research funding, it is not permitted to divert any of the research resources for personal or any other use, except in cases where the grant or contract specifically provides otherwise.

Nothing in the provisions of this policy is intended to impugn the actions of a person who has made an honest error, or who exercises judgement or interprets data or designs experiments in a way which may reasonably be the subject of honest differences of opinion.

All research involving human subjects must be conducted in a manner consistent with the highest scholarly and ethical standards, in accordance with the regulations and guidelines prescribed by Law, the Tri-Council Policy Statement: Ethical Conduct for Research Involving Human Subjects and the University.

All animal research must be conducted in compliance with the guidelines of the Canadian Council on Animal Care (CCAC) and the University.

Research collaborators should establish as early as possible, how the attribution of authorship and how the allocation of copyright are to be divided between them.

In the absence of an agreement between the researchers, the following rules governing the attribution of authorship apply:

- the order of the names in a publication is decided according to the quality of the contribution, the extent of the responsibility and accountability for the results, and the custom of the discipline.

In the absence of an agreement between the researchers, where there are co-authors, the following further rules apply:

- the author who submits a manuscript for publication accepts the responsibility of having included as co-authors all persons who are entitled to co-authorship, and none who are inappropriate;

- the submitting author should send each co-author a draft copy of the manuscript and should make a reasonable attempt to obtain consent to co-authorship, including the order of names; and

In the absence of an agreement between the researchers, the allocation of copyright is governed by university policy and the law.

The rules in (a) apply to the case where the collaborators are professor and student. Further to those rules, a student should be granted due prominence on a list of co-authors of any multiple-authored article that is based primarily on the student's own dissertation/thesis, according to the practice in the discipline.

Reference is made to existing university regulations in "Regulations, Policy and Guidelines: A Handbook for Academic Staff'', Chapter 6 "Regulations on Research Policy'', Chapter 8 "Policy on Intellectual Property'' and Chapter 9 "Regulations Governing Conflicts of Interest in Proprietary Research''.

All public and private funding sources (grants, contracts and gifts including endowed income that funds named chairs) used in the conduct of research should be acknowledged in resulting publications.

"Data'' in this article includes the methodology used to obtain results, the actual research results, and the analysis and interpretations by the researchers.

The rules set out in article 7 of the Policy govern questions concerning the attribution of authorship of and the ownership of the copyright in Data.

Data must be organized in a manner that allows ready verification. Data must be gathered in accordance with principles governing the use of human and animal subjects.

Subject to exceptions based on a duty of confidentiality and the laws respecting intellectual property and access to information, after data are published, they must be made available to any party presenting a reasonable request to examine them. In cases where there is a disagreement between the researcher and the person requesting the data, the matter shall be referred to the Office of the Vice Principal (Research) for resolution.

All original data must be retained for a reasonable length of time. A period of at least five years from the date of publication is recommended.

The provisions in this article govern disputes between co-researchers. They do not govern allegations of misconduct under this Policy. Allegations of misconduct are dealt with in article 10 of this Policy.

Where disputes between co-researchers arise, they should be resolved amicably and in a respectful and collegial fashion. Where a dispute cannot be resolved by the parties themselves, the parties should seek the advice of the appropriate authorities in their unit, who may help the parties resolve the dispute in any way to which the parties may agree, including conciliation, mediation, and binding and non-binding arbitration. To this end, the parties may agree that other persons become involved in the dispute in order to help facilitate its resolution. The parties may stipulate that their own involvement in any dispute resolution process is without prejudice to their rights in any subsequent process.

The University has a duty to investigate disputes and to help facilitate their resolution, in accordance with the following provisions. However, the University has no obligation to ensure that disputes are resolved, since the resolution of disputes is ultimately subject to the will of the parties to the dispute.

If the dispute is between individuals working under a principal investigator(s), the principal investigator shall investigate and attempt to resolve the matter. If the principal investigator is involved in the dispute, the Head(s) [i.e., Chair(s), Director(s), etc.] of the Department(s) or academic unit(s) concerned shall investigate and attempt to resolve the matter. If any party involved in the dispute should object to the investigation of a Head, or if a Head is directly involved in the dispute or allegation of misconduct, the Dean of the appropriate Faculty, School or academic unit and/or the Vice-Principal (Research) shall be informed and shall either investigate the dispute and attempt to resolve it or nominate a senior academic staff member, acceptable to the parties, to act as investigator, who shall attempt to resolve the matter.

Any allegation of misconduct under this Policy made against a non-student member of the University, shall be dealt with in accordance with the disciplinary procedures generally applicable to that person. For the purposes of those procedures, misconduct under this Policy is a matter subject to discipline pursuant to those procedures. Any allegation of misconduct under this Policy made against a student shall be dealt with in accordance with the procedures established under the Senate Code on Student Conduct and Disciplinary Procedures, and, for the purposes of that Code, misconduct under this Policy is an academic offence.

Research in the University is relevant for the general benefits of society, as well as for specific intellectual purposes. It should be used to increase knowledge in ways that do not harm society. Furthermore, all teaching in the University should have a base in the creative experience of scholarly and scientific inquiry.

The University recognizes that research flourishes only in a climate of academic freedom. Since the conditions for good research in our many disciplines are quite different, individual investigators are normally expected to assume direct responsibility for the intellectual and ethical quality of the work. A serious responsibility rests on the individual members of the Community who are best equipped through special knowledge to remain aware of the consequences of their research activity; the researcher must balance the possibility of harmful application against potential benefits.

A gift is a voluntary transfer of property without valuable consideration or benefit of any kind to the donor, or to anyone designated by the donor. While a donor cannot impose obligations upon the University, the gift may be restricted as to its use. It may lead to the issuance of an official donation receipt for income tax purposes, at the request of the donor.

A research contract is an agreement between a sponsor and the University in which the University and researcher(s) agree to perform a specified research project and which generally confers upon the sponsor rights to the results of that project. Title to any intellectual property arising is negotiated. The University will normally be compensated for the assignment of licences or other options. A default on the part of the University or researcher to perform the obligations undertaken may give rise to a liability for contractual breach. A research contract is a business transaction, hence all direct and indirect costs of the University, including the salaries of researchers, may be charged to the sponsor. To the extent that the Dean of the Faculty considers the research activity to be beyond the scope of normal research duties, researchers may earn honoraria apart from regular salary, under the terms of the research contract. Such remuneration and research activity should conform to the University policies on consulting.

A research grant given in aid of research through the University is financial support for a researcher, conducting research in a particular subject area, without formal detailed stipulation as to the direction of such research. The research conducted forms part of the staff member's regular research duties and is not normally the object of any additional compensation to the researcher. Title to the results of the research activity, including intellectual property, licensing or other related options is not vested in the grantor. A research grant does not generate enforceable obligations except as to the management of the funds for grant purposes and, where applicable, according to the grantor's guidelines or policies. A research grant has no limitations on publication and no requirements as to deliverables other than reporting and financial stipulations. A research grant usually covers direct costs, while indirect costs should be recovered whenever possible.

2. Certain kinds of research data in the custody of governments and other agencies are restricted in order to protect the privacy of individuals or private corporations. If the restriction is not such as to prevent the eventual use of the research undertaken by students or staff members for theses or publications, these restrictions are permissible. Such restrictions, as they relate to the use of research undertaken by students or staff members for theses or publications, should not exceed the delays set out in Regulation 3.

3. The University shall not accept requests from outside bodies for delays in publication in excess of one year. The Vice- Principal (Research), however, shall have the right to agree to requests for delays up to two years in exceptional cases, for example, when patents are pending or intended. In the case of theses, the student shall agree in writing to such a delay before the request is considered.

5. Neither the name of the University nor that of any member of staff shall be used for publicity in connection with a research contract without the prior written approval of the Vice-Principal (Research).

6. Titles to intellectual property arising out of a contract, the obligations and abilities of different parties to seek patents, and the payment of associated royalties, shall be defined by the terms of the contract signed by the University, following negotiation by the Office of Technology Transfer.

8. No one may use University premises, or publications under its control or jurisdiction, to recruit in any manner a member of the University community as a participant in medical testing or in clinical trials involving human subjects related to non-University research projects.

9. A research director or principal investigator shall not employ a relative, whether by blood, marriage, or union, in a position funded by his or her research grant, contract, or otherwise under his or her jurisdiction, without prior written approval of the Vice-Principal (Research) and the relevant dean.

10. Applicants for contracts or grants whose source is a government military agency shall indicate on the Graduate Studies and Research check list/approval form whether this research has direct harmful consequences. Where the University so requires, the applicants shall furnish a written statement setting out the possibilities of direct harmful application and potential benefits of their research.

11. The primary responsibility for undertaking research conforming to these Regulations rests upon the researcher. The Vice- Principal (Research) shall supervise the procedures to be followed by researchers in fulfilling their responsibilities under paragraph 10 respecting research contracts sponsored by government military agencies. The Vice-Principal (Research) shall advise the Board of Governors on whether the proposed contract conforms to McGill's guidelines on research. The Board of Governors has final authority to approve these contracts.

12. The Vice-Principal (Research) shall report to Senate, two years from their date of implementation, with respect to the general workings of the procedures and provide a summary of the decisions made.

Amendments Approved:
Board of Governors, September 15, 1986, Minute 6108 (Art. 8)
Board of Governors, October 20, 1986, Minute 6128 (Art. 9)
Amendments received by Senate, February 10, 1988, Minute 84 (Art. 10, 11 & 12)

The following policy relates specifically to undergraduate and graduate students who are engaged in research as part of their university programs. Some sections also apply to those cases where an investigator enlists the services of an inexperienced person as assistant, technician, trainee, etc. in connection with a research project.

2) Students, especially undergraduates, tend to have only temporary involvement with a research project and may be absent during routine safety drills. Particularly attention should be given to the instruction of each beginning student. Solitary work in a laboratory containing potential hazards should be strongly discouraged. Research projects shall avoid a requirement for solitary after-hours work.

3) Where research projects involve the use of specially hazardous materials (e.g. radioactive, carcinogenic or poisonous chemicals) departments shall ensure that students have signed a statement that they have received and read appropriate health and safety information and shall forward such statements to the Building Director. [Refer to McGill University Manual of Radiation Safety, June 1984.]

1) When a student assists in a research project, a clear distinction should be made between work for which the student is paid, and research training which contributes to the student's academic program.

2) As a general rule, paid work should not be considered eligible for credit towards an undergraduate course. In some departments, different arrangements have traditionally been held; in such departments open discussion should ensure that one policy is applied uniformly throughout the department and disseminated to students.

3) When a graduate student is assigned a salary or partial support by the investigator (e.g. from an operating grant or similar fund controlled by the investigator) a clear agreement should be made as to the duties expected of the student in conjunction with the investigator's own research project vis-à-vis the work contributing to the student's thesis.

1) When a student begins working with an investigator who may be funded in whole or in part by contracts, consulting agreements or grants from outside agencies, a clear agreement should be made at the outset as to the accessibility of research findings for publication.

McGill's Research Policy prohibits staff researchers from engaging in research which may not subsequently be communicated to the scientific community through the normal channels of meetings and publications. Although exceptions to this rule are occasionally permitted by the Vice-Principal (Research), research projects assigned to students should be unrestricted and subject to the usual processes of thesis production and examination.

2) If at any time, during the program, the student's own research discoveries or those of other group members lead to a need for limitation on free communication, there should be full discussion by the whole group in concert with the administrative supervisor of the department, institute or faculty, of the reasons for such a proposal. In the event that a consensus is not reached, the matter shall be referred to the Vice-Principal (Research) for resolution.

3) When a thesis has been completed and satisfactorily examined, the student may wish to delay its publication or deposition in the McGill and National Libraries for a short period. Such requests may be made, in writing, to the Graduate and Postdoctoral Studies Office. Delays of one, or in exceptional cases, two years may be approved.

*Section 8, 9 & 10 of the Regulations Governing Conflict of Interest in Proprietary Research, November 1985.

1) The enterprise in which a member has an economic interest may not employ University students. However, such an enterprise may enter into contractual agreements to this effect with the University or be a partner with the University within a program of one of the granting agencies.

Where such enterprise has made a grant, gift or donation to the University, no payment out of such grant, gift or donation shall be made to the interested member without prior approval of the Principal.

2) Members intending to acquire an economic interest in an enterprise shall inform all students who may be affected by their actions at the earliest possible date. Students shall immediately be free to seek the advice of the departmental Chair, the Dean of the Faculty, or the Dean of Graduate and Postdoctoral Studies.

3) Where students are employed by such enterprise, the member having an interest therein shall ensure that students who have already done substantial work under their academic supervisor shall be able to continue in their chosen area of research. Where it is possible to differentiate between the project of the thesis student and that of the enterprise in such a way that the student may continue the thesis project unhampered, the Dean of Graduate and Postdoctoral Studies shall arrange for the appointment of a co-supervisor unconnected with the enterprise.

Academic freedom brings responsibilities to students and staff alike. Students should realise that the good name and research reputation of the University and its professors rests in large measure upon the quality of research done by its students. Students, as members of the University, have the responsibility to follow the principles set out in the University Research Policy and in the regulations of the Graduate and Postdoctoral Studies Office.

All research projects involving the use of human subjects conducted at or under the auspices of McGill University require ethics review and approval by a McGill Research Ethics Board (REB) or an REB of a McGill affiliated hospital or an REB recognized by a formal agreement with the University, before the research may begin. There are five University Research Ethics boards: Faculty of Medicine, Faculty of Agricultural and Environmental Sciences, Faculty of Education, and two University committees (REB I and REB II). The following excerpt from the Tri-Council Policy Statement: Ethical Conduct of Research Involving Humans indicates the range of research projects or instances that should be reviewed by the REB: whether the research is conducted by staff or by students; whether the research is funded or not; whether the funding is internal or external; whether the subjects are from inside or outside the institution; whether the subjects are paid or unpaid; whether the research is conducted inside or outside Canada; whether the research is conducted inside or outside the institution; whether the research is conducted in person or remotely (e.g., by mail, electronic mail, World Wide Web, fax or telephone); whether the information is collected directly from subjects or from existing records not in the public domain; whether the research is to be published or not; whether the focus of the research is the subject; whether the research is observational, experimental, correlational or descriptive; whether a similar project has been approved elsewhere or not; whether the research is a pilot study or a fully developed project; whether the research is to acquire basic or applied knowledge; and whether the research is primarily for teaching or training purposes or whether the primary purpose is the acquisition of knowledge. There are five University Research Ethics Boards: Faculty of Medicine, Faculty of Agricultural and Environmental Sciences, Faculty of Education, and two University committees (REB I and REB II).

The following excerpt from the Tri-Council Policy Statement indicates the range of research projects or instances that should

whether the research is conducted in person or remotely (e.g., by mail, electronic mail, World Wide Web, fax or telephone);

whether the information is collected directly from subjects or from existing records not in the public domain;

whether the research is observational, experimental, co-relational or descriptive;

whether the research is primarily for teaching or training purposes or whether the primary purpose is the acquisition of knowledge.

Ethics approval must be renewed on an annual basis. All McGill members must be familiar with the McGill Policy on the Ethical Conduct of Research Involving Human Subjects which articulates the administrative structures, procedures and requirements for the ethical review of human subject research at McGill University. This document and further information on McGill Research Ethics Boards and their submission requirements can be found at www.mcgill.ca/rgo/ethics/human. For further information please contact the Research Ethics Officer at (514) 398-6831.

The University Animal Care Committee is the University body responsible for ensuring the humane care and use of animals in research and teaching. The UACC is responsible for ensuring University-wide understanding of, and compliance with, the applicable requirements concerning the procurement, care and use of animals at McGill University and its affiliated institutions.

a) to ensure that all animal care and use at the University and affiliated institutions is carried out in accordance with the policies and guidelines of the Canadian Council on Animal Care and McGill University.

b) to establish policies and procedures to ensure that no research, teaching or testing involving animals (including field studies) commences without prior approval by a Facility Animal Care Committee. Animal use protocols are reviewed and approved by Facility Animal Care Committees on an annual basis with particular emphasis on the ethics of animal investigation. All teaching projects, and those categorized at "Pain and Discomfort" Level D will be referred to the UACC Subcommittee on Ethics for further review.

c) to ensure that all research using animals has been peer reviewed for scientific merit, irrespective of funding source; and provide a mechanism for projects funded from internal or industry sources to be peer reviewed according to the CCAC guidelines on animal use protocol review.

Facility Animal Care Committees are established for each affiliated institution and each major University constituency using animals in research or teaching. The purpose of each FACC is to ensure that all animals used in research or teaching within its jurisdiction are used and cared for in accordance with all applicable requirements.

To permit review and approval by the appropriate Facility Animal Care Committee a completed "Animal Use Protocol" form must be submitted at least two months prior to (1) starting new projects; (2) changes in animal use procedures, or (3) expiry of previously approved applications. Animal use applications must be renewed annually. Research funds may be withheld by the University administration for programs that are in non-compliance with either University or CCAC guidelines. Note that animal use theory and practical training is now mandatory for all personnel involved in a project using live animals.

The Animal Use Protocol form can be obtained at www.mcgill. ca/gps/rgo/animal/forms. For further information on forms, training courses, standard operating procedures, policy and regulations, consult the UACC Web site at www.mcgill.ca/rgo/animal/ or, contact the Research Ethics Officer (Animal Studies) at (514) 398-2837.

The Animal Resources Centre serves as the major centre of expertise in laboratory animal science and medicine for the animal-based research and teaching activities of McGill University and its affiliated hospitals. The Centre and its two veterinarians are responsible for advising on the care and use of experimental animals throughout the University and its affiliated hospitals. The Centre's veterinarians are also responsible, along with the Facility Animal Care Committees, for ensuring compliance with the standards of the Canadian Council on Animal Care (CCAC) for the care and use of experimental animals. Its professional, technical and clerical staff offer a comprehensive range of services to all teaching and research programs using experimental animals. The Centre also provides training and consultation in methods of animal experimentation and in laboratory animal science for technicians, students and academic staff through a recurring series of lecture and workshops, and through individual instruction.

This policy sets forth the rules applying to ownership, distribution, and commercial rights to intellectual property developed by McGill University academic staff, administrative and support staff and students, as well as procedures that govern the use and distribution of intellectual property.

The primary functions of the University are education, research, and dissemination and creation of knowledge. The University's mission statement calls for "providing service to society in those ways for which we are well suited by virtue of our academic strengths". The University affirms the principles of wide freedom of research and of free publication of the information generated. To carry on research solely or even primarily in anticipation of profits would be incompatible with the University's objectives and primary functions. However, it must be recognized that Software or Inventions resulting from research often serve the public interest best when they reach the private sector under appropriate agreements and are protected by patents, if applicable. Even though some Inventions and Software may not be proper matter for intellectual property protection and are better disseminated through publication in learned journals, the University and the Inventor, in some cases, wish to promote their commercial development. The University and the Inventor should be allowed to benefit financially from transactions resulting from commercial development. The Intellectual Property Policy is therefore providing for the obligation for researchers to divulge inventions or softwares when commercial developments are inticipated as well as for a sharing mechanism for the benefits generated between McGill University and its researchers. As the University proceeds with helping researchers to commercialize their inventions, an assignment of rights will be required.

Intellectual property is the product of a cooperative relationship among academic staff, administrative and support staff, students, and the University and derives from the creative energies of the individual fostered by the academic community and the environment including infrastructure provided by the University. The Inventor and the University (and affiliated institutions) have a shared interest in the intellectual property. As hospitals and research centres affiliated with the University may have contributed to the resources and the environment that led to Inventions or Software, agreements between the University and its affiliated institutions will provide for proper recognition of the financial and other interests of all parties.

Since the University draws its operating and research funds in large measure from the governments of Quebec and of Canada, the commercial development of its Intellectual Property must, to the extent possible, result in benefits to Quebec and Canada. The University further recognizes that the presence of a vibrant, local, knowledge-based economy is beneficial to its members and wishes to contribute to its development.

To serve the public interest by contributing to the development of useful and morally acceptable products, services, and processes;

To contribute, to the extent possible, to the socio-economic well-being of Quebec and Canada;

To ensure equitable returns to the University in support of its academic mission, to affiliated institutions, and to the Inventors;

To meet government and the public expectations with respect to putting to use University discoveries.

"Author" means an employee of the University, whether academic or administrative and support staff, or another physical person associated with the University, who has written or created a Work.

"Contract of Employment" means a contract by which a person undertakes to do work for remuneration, according to the instructions and under the direction or control of the University.

"Days" means calendar days, unless used in conjunction with a qualifying word indicating a different meaning.

"Electronic Research Material" or "ERM" means the electronic representation, in whole or in part, of an Invention or Software, and includes but is not limited to, digitized blue prints, programming source codes and executable programs.

"Field of Academic Research" means the particular areas of research in relation to which an Inventor has published Works, or has received funding, or has made Inventions or has developed Software, in the course of his or her academic duties at any time during the six years preceding the date of disclosure of an Invention or Software.

"Field of Academic Research and Teaching" means the fields in relation to which an Inventor has been teaching, and the particular areas of research in relation to which he or she has published Works, or has received funding or has made Inventions, or has developed Software or Learnware, in the course of his or her academic duties at any time during the six years preceding the date of creation of Learnware.

"Founder" means an Inventor who accepts a significant role in the initial development phase of a spin-off company based wholly or in part on his or her Invention or Software.

"Incidental Use" means a use that plays a minor role in, and is not essential to, the development of an Invention or Software.

"Invention" means any new and useful process, formula, machine, manufacture or composition of matter, within the purview of the Patent Act.

"Inventor" means any employee of the University, whether academic or administrative and support staff, who is defined as such under patent legislation. In this policy, the term "Inventor" shall also be used in reference to development of Software. The word "Inventor" shall also mean a physical person, such as a visiting professor, an adjunct professor or a post-doc, temporarily working or doing research at the University.

"Know-How" means a skill or ingenuity that is available or known only to a limited number of persons, that is related to a licensed Invention or Software, and that is made known or available under license to the licensee of that Invention or Software.

"Lead Inventor" means that member of a group of co-Inventors designated by the group to act as its contact person with the University.

"Learnware" means Software designed for teaching purposes that provides for interaction with the user, or makes use of a Multimedia Product, or both. It includes technology-enabled learning products in electronic format.

"Moral Rights" means non-commercial rights related to the right of an Inventor to claim authorship and to protect the integrity of his or her work.

"Multimedia Product" means a product where software allows for interaction between the user and various media technologies such as the reproduction of sound and image.

"Net Income" means all consideration, including, without limiting the generality of the foregoing, royalties, cash, equity, and options, but excluding any and all consideration granted to a Founder in accordance with section 9.4, received by the Inventor(s) and the University from the sale, licensing, or other disposition of an Invention or Software, less the costs specifically related to the protection, licensing, distribution, or commercial development of the Invention or Software. Considerations include equity and options taken in lieu of royalties.

"Net Total Income" means the sum of Net Income and of any and all consideration granted to Founder in accordance with section 9.4.

"Net Royalties" means all royalties, including, without limiting the generality of the foregoing, any one time payment, milestone payment or pass-through royalty, received by the Inventor(s) and the University from the sale, licensing, or other disposition of an Invention or Software, less the costs specifically related to the protection, licensing, distribution, or commercial development of the Invention or Software.

"Software" means any set of instructions that is expressed, fixed, embodied or stored in any manner and that can be used directly or indirectly in a computer in order to bring about a specific result.

"Tangible Research Material" or "TRM" means the tangible embodiment of an Invention or Software, and includes but is not limited to biological materials, or physical devices.

"Work(s)" means literary, scientific, technical, dramatic, musical, artistic, architectural work material and any original production within the purview of the Copyright Act, with the exception of Software.

This Policy does not apply to students of the University except where: (a) they have contributed to a Work with one or more Authors affiliated to McGill University; (b) they have contributed to an Invention with one or more Inventors affiliated to McGill University or they have created an Invention that they wish to develop with the help of the University. Students who qualify under the above exceptions shall be treated as Inventors.

a) the Work was created as a result of research sponsored by a third party pursuant to a written agreement with the University, wherein copyright is determined by specific terms of the agreement. Unless the terms of the agreement give ownership of copyright to the third party, copyright is owned by the University until all rights, such as a license or an option, granted to the third party under the agreement have been exercised or have become extinguished, at which point, the Authors becomes the sole owner of copyright;

The University is automatically granted a non-exclusive, royalty-free, irrevocable, indivisible and non-transferable license to use, for its own academic purposes, all Works created by an Author: (a) with University assistance; or (b) with the use of University equipment, facilities, or resources; or (c) in the course of academic duties or work in the course of study, research or teaching. This license shall neither confer to the University commercial rights, nor the right to reproduce published Works. The University shall not disseminate Works in a way that would allow persons who are not members of the University community to have electronic access to them. For the purpose of this section, the University's "own academic purposes" refers to research carried on at the University, by professors, students and staff of the University, and teaching by professors of the University to students registered at the University.

Subject to sections 5.3 and 5.4, the Inventor and the University jointly own the rights to Inventions created by an Inventor: (a) with University assistance; or (b) with the use of University equipment, facilities, or resources; or (c) in the course of academic duties or work in the course of study, research, or teaching.

Subject to sections 5.3 and 5.5, the Inventor and the University jointly own the rights to Software created by an Inventor: (a) with University assistance; or (b) with the use of University equipment, facilities, or resources; or (c) in the course of academic duties or work in the course of study, research, or teaching; and in the case of Learnware, in the fields in which the Inventor has been teaching and doing research at any time during the six years preceding the date of creation of such Learnware.

Notwithstanding sections 5.1 and 5.2, where the Invention or Software was created by an Inventor who is a member of the administrative and support staff of the University, as a result of activities covered by his or her Contract of Employment, the rights to such Invention or Software are owned by the University.

Notwithstanding section 5.1 and subject to section 5.3, the following categories of Inventions are not jointly owned by the University and the Inventor, and may be owned by the Inventor, the University, a third party, or jointly by two or more parties, as the case may be:

a) where developed in the course of research sponsored by a third party pursuant to a written agreement with the University, wherein ownership rights are determined by specific terms of the agreement. Unless the terms of the agreement give ownership of the Invention to the third party, such Invention is owned by the University until all rights, such as a license or an option, granted to the third party under the agreement have been exercised or have become extinguished, at which point the Invention becomes jointly owned by the University and the Inventor;

c) where made by an Inventor in a domain outside his or her Field of Academic Research, and where only Incidental Use has been made of University facilities and resources. The rights are then owned by the Inventor;

d) where made by an Inventor who is a member of administrative and support staff of the University, as a result of activities not covered by his or her Contract of Employment, and where only Incidental Use has been made of University facilities and resources. The rights are then owned by the Inventor;

Notwithstanding section 5.2 and subject to section 5.3, the following categories of Software are not jointly owned by the University and the Inventor, and may be owned by the Inventor, the University, a third party, or jointly by two or more parties, as the case may be:

a) where developed in the course of research sponsored by a third party pursuant to a written agreement with the University, wherein ownership rights are determined by specific terms of the agreement. Unless the terms of the agreement give ownership of the Software to the third party, such Software is owned by the University until all rights, such as a license or an option, granted to the third party under the agreement have been exercised or have become extinguished, at which point the Software becomes jointly owned by the University and the Inventor;

e) in the case of Software which does not constitute Learnware, where developed by an Inventor in a domain outside his or her Field of Academic Research, and where only Incidental Use has been made of University facilities and resources. The rights are then owned by the Inventor;

f) where constituting Learnware developed by an Inventor in a domain outside his or her Field of Academic Research and Teaching, where only Incidental Use has been made of University facilities and resources. The rights are then owned by the Inventor;

g) where developed by an Inventor who is a member of administrative and support staff of the University, as a result of activities not covered by his or her Contract of Employment, and where only Incidental Use has been made of University facilities and resources. The rights are then owned by the Inventor;

j) where constituting learnware developed as part of a Web based course specifically funded by the University, the rights are then owned or apportioned in accordance with a written agreement between the University and the Inventor.

Inventors are required to disclose to OTT those Inventions and Software described in sections 5.1, 5.2, 5.3, 5.4(a) and 5.5(a) that they wish to develop for commercial purposes before they are publicly disclosed. This disclosure is to be made to OTT, acting as the delegate of the Vice Principal (Research), through a "Report of Invention"("ROI").

Inventors of Software may wish to defend their moral rights to their work. The University shall then provide appropriate advice and guidance to these Inventors.

For the purpose of this section, except where otherwise specified in the text, the word Inventor shall, in cases where there are more than one Inventor, mean the Lead Inventor, or the Founder.

Inventors are not obliged to seek commercial development of their work, and the University will respect the decision of the Inventor not to commercialize his or her Invention or Software. Unless the Software is owned by a third party pursuant to section 5.5(a) or (b), or by the University pursuant to section 5.5 (j), Inventors of Software are free to license or distribute it without profit, or to put it in the public domain so that it is easily accessible, as long as their plan to disseminate such Software is in accordance with guidelines developed, and from time to time updated by the Senate Committee on Technology Transfer for that purpose.

OTT shall acknowledge receipt of the ROI. Within 30 days of receipt of the ROI, OTT shall meet with the Inventor to discuss the various options open to him or her regarding commercialization of the Invention or Software, and sources of information about those options. At the Inventor's request, meetings with experienced University Inventors may also be arranged.

Participation of both the Inventor and OTT in the decisions regarding the commercialization of an Invention or Software is essential to the development and implementation of a successful commercialization plan. The Inventor and OTT shall cooperate in the development of a commercialization plan which will serve the interests of both the University and the Inventor. Inventors shall not protect or commercialize Invention or Software independently of the University.

Within 90 days of receipt of the ROI, or a longer delay if accepted by all parties, OTT and the Inventor will prepare a mutually acceptable commercialization plan outlining the options to be considered for the development of the Invention or the Software. The plan will be prepared in the spirit of this policy and will address matters such as the need for further evaluation, additional research, intellectual property protection, seed funding, potential sources of financing, as well as delays. The plan shall outline the responsibilities of OTT and the Inventor in the commercialization process. The commercialization plan may result in the assignment to the Inventor of the rights of the University in the Invention or Software, under section 8.4. Should OTT and the Inventor fail to agree on a mutually acceptable commercialization plan, the matter shall, at the Inventor's choice be resolved through the dispute resolution and appeals processes, pursuant to sections 10 and 11, or be resolved through the assignment of the Invention or Software to the Inventor pursuant to section 8.4(e).

In cases where the University and the Inventor have divergent ethical concerns in relation to the use of the Invention or Software by third parties, the matter will be resolved in accordance with the mechanisms and procedures outlined in sections 10 and 11 of this policy.

Except for cases where the rights have been assigned to the Inventor under section 8 of this Policy, and except in respect of a Founder, OTT shall be responsible for the implementation of the commercialization plan, including, without limiting the generality of the foregoing, the negotiation of any and all agreements with third parties.

The Inventor shall execute any document reasonably required for the purpose of protecting the Invention or Software and furthering its commercial development.

The University may seek patent protection or copyright registration of the intellectual property underlying the Invention or Software as appropriate. It does not seek protection for Inventions or Software that, in its judgment, do not have significant commercial potential. The University ceases to pursue protection of intellectual property where successful commercial development seems unlikely. Except as otherwise provided in this Policy, the cost incurred in the protection of intellectual property is borne by the University.

Whenever appropriate, and provided they do not represent undue risk or generate unreasonable expenses for the University, OTT will consider proposals from the Inventor(s) aimed at lawfully minimizing the impact of income tax legislation for the Inventor(s).

In circumstances where the rights to the Invention or Software are assigned to an Inventor under section 8.4(c) or 8.4(e), all costs incurred by OTT in the protection of the intellectual property shall be borne by such Inventor, and reimbursed to OTT within a reasonable period of time.

OTT shall consult the Vice-Principal (Information Systems and Technology) in cases involving Learnware.

Tangible Research Material ("TRM"), may be distributed for academic purposes under agreements forbidding transfer to third parties. Where TRM is distributed for academic purposes, OTT charges recipients only costs related to reproduction, shipping, and handling. Where commercial development is envisaged, or where TRM is received from, or transferred to, a commercial entity, contracts concerning distribution or receipt of TRM are made through OTT.

Electronic Research Material ("ERM") may be distributed for academic purposes under agreements forbidding transfer to third parties. Where ERM is distributed for academic purposes, OTT charges recipients only costs related to the reproduction, shipping, and handling. Where commercial development is envisaged, or where ERM is received from, or transferred to, a commercial entity, contracts concerning distribution or receipt of ERM, including but not limited to, physical transfer on a storage medium, and electronic transfer via fax, telephone or Internet, is made through OTT.

Except in cases where the rights of the University are assigned to the Inventor(s) under section 8.4, all rights to Inventions or Software that an Inventor wishes to develop for commercial purposes shall be assigned by the Inventor(s) to the University within 30 days of completion of the commercialization plan, at the latest. Except for moral rights where they exist, which shall remain with the Inventor, the University shall then become the sole owner of all rights to the Invention or Software.

After an Invention or Software is disclosed to the University, OTT shall decide whether it will pursue commercialization of such and shall inform the Inventor of its decision within 90 days of receipt of the Report of Invention. Should the Inventor disagree with that decision, he or she may, in writing, refer the matter to the Vice-Principal (Research), who will accept or reject the OTT recommendation and promptly communicate his or her decision to the Inventor(s).

Once commercial development of an Invention or Software has been initiated, OTT may at some point in time decide to cease efforts toward commercial development. Should the Inventor disagree with that decision, he or she may, in writing, refer the matter to the Vice-Principal (Research), who will accept or reject the OTT recommendation and promptly communicate his or her decision to the Inventor(s).

Notwithstanding section 6.5, a decision made by the Vice-Principal (Research) not to initiate commercial development under section 8.1, or to stop on-going commercial development under section 8.2, shall be final and shall not be subject to Appeal under section 10 of this policy.

The University shall assign its share of the rights to Inventions or Software to the Inventor(s) in the following cases. In such cases the Inventor(s) shall then become the sole owner of the rights to the Invention or the Software.

c) The University and the Inventor(s) agree that the Inventor(s) can successfully commercialize the Invention or Software independently of the University. In such a case, the Inventor(s) shall use best efforts to ensure benefits to Quebec and to Canada. Written approval of the Vice-Principal (Research) shall be obtained by the Inventor(s) before he or she enters into any commercialization agreement, including, without being limited to, a license agreement, a shareholders agreement and an option agreement, that place the Inventor(s) in a situation of potential conflict of interest, in particular in the case of an agreement with an enterprise in which the Inventor has a substantial interest;

d) The Inventor(s) wish to develop Software for the purpose of licensing or distributing it without profit, or for the purpose of putting it in the public domain so that it is easily accessible, and his or her plan to develop such Software is in accordance with guidelines developed and from time to time updated by the Senate Committee on Technology Transfer for that purpose;

e) OTT and the Inventor(s) have failed to agree on a mutually acceptable commercialization plan, and the Inventor(s) has chosen not to take advantage of the dispute resolution mechanisms contained at sections 10 and 11. In such a case, the Inventor shall use best efforts to ensure benefits to Quebec and to Canada. Written approval of the Vice-Principal (Research) shall be obtained by the Inventor(s) before he or she enters into any commercialization agreement, including, without being limited to, a license agreement, a shareholder agreement and an option agreement, that places him or her in a situation of potential conflict of interest, in particular in the case of an agreement with an enterprise in which the Inventor has a substantial interest.

Whenever rights are assigned to the Inventor under section 8.4, the University shall execute any document reasonably required for the purpose of protecting the Invention or Software and furthering its commercial development.

Where an Invention or Software is developed by an Inventor who is receiving a salary from a private-sector enterprise for the purpose of working at the University, the University will consider licensing the private-sector enterprise to use such Invention or Software on terms that will take into account the University's relative contribution.

Net Income derived from the commercialization of Inventions or Software shall be shared between the Inventor(s) and the University on the following basis:

In the case where the University is responsible for the commercial development of the Invention or Software, the first $10,000 of Net Royalties shall accrue to the Inventor. Of the balance of Net Income, 60% shall go to the Inventor(s) and 40% shall go to the University.

In the case where the University assigns the rights to the Inventor(s) under section 8.4, and the Inventor(s) is responsible for the commercial development of the Invention or Software, Net Total Income shall be apportioned as described below:

a) Royalties: Of the first $100,000 of Net Royalties, 80% shall go to the Inventor(s) and 20% shall go to the University. Of any Net Royalties above $100,000, 70% shall go to the Inventor(s) and 30% shall go to the University.

In cases covered by section 9.1.2, and where it is required by the conditions of the market specific to the transaction being contemplated, the University will consider reasonable proposals aimed at agreeing on an equitable sharing of Net Total Income different from that provided in said section.

In respect of royalties, the University's share of income shall be apportioned as follows: 25% to central administration, 25% to the faculties of the Inventors, 25% to OTT, and 25% to graduate fellowships. In respect of equity in the share capital of a company, the University's share of income shall be divided among central administration, the faculty(ies) of the Inventor(s), OTT, and research and fellowships on the basis of the following formula. In respect of equity, the share of central administration shall be earmarked for special projects that are not covered by the general budget of the University.

In cases where there is more than one Inventor, the Lead Inventor shall provide OTT with an agreement, signed by all Inventors, covering the distribution of each Inventor's share of the Net Income. The Lead Inventor is responsible for the identification of all Inventors, including students.

A Founder of a spin-off company may receive equity (shares or options) over and above his or her share of Net Revenues as an Inventor under this policy.

Where an Invention or Software is developed wholly or in part by an Inventor during a temporary stay at another academic institution, or by an individual from another academic institution on a temporary stay at the University, or jointly by an Inventor working at the University and a member of another academic institution working at the other institution, rights to such Invention or Software and Net Income shall be shared between the University and the other academic institution, taking into account the policies of both institutions. The sharing of Net Income will normally take into account the relative contributions of the individuals and their institutions. If the other academic institution is a research institute affiliated with a McGill teaching hospital, the sharing of ownership and Net Income shall be governed by agreements in place between the University and its teaching hospitals.

Inventions or Software resulting from activities carried out by an Inventor who is a member of administrative and support staff under a Contract of Employment are excluded from this section, unless there is a written agreement to the contrary between such Inventor and the University.

Any dispute with respect to the application of this policy shall be referred to the Vice-Principal (Research) under this section. All material relevant to the dispute shall be provided to the Vice-Principal by all parties to the dispute, within 10 working days of the day on which the matter is referred to him or her. The Vice-Principal shall invite comments by interested parties and shall be free to consult with experts, if required. All information provided to experts by the Vice-Principal shall be treated as confidential by such experts. The Vice-Principal shall share the opinion of the expert with all interested parties and shall invite them to comment within a fixed delay. The Vice-Principal shall promptly advise the parties in writing of his or her decision in the matter.

There shall be an Intellectual Property Appeals Committee that shall hear appeals from decisions of the Vice-Principal (Research) or his delegate. The Intellectual Property Appeals Committee shall consist of 6 members appointed for three-year terms commencing September 1st, staggered, and 1 student member, appointed for a term of one year.

	$1 to $1M	$1M to $3M	over $3M
Central Administration	33 1/3%	47%	65%
Faculty(ies)	33 1/3 %	20%	10%
OTT	16%	14%	0
Research & Fellowships	17 1/3%	19%	25%

11.2.1 Prior to the 1st day of April each year, the President of the McGill Association of University Teachers or the President's designate and the Principal or the Principal's designate shall submit to the Senate Nominating Committee a jointly approved slate of names of academics and members of administrative and support staff of the University and/or Board members. This slate shall include at least one and a half times as many names as there are vacancies on the Intellectual Property Appeals Committee to be filled that year.

11.2.2 Prior to the 1st day of April of each year, the Executive Chairperson of the Post-Graduate Students' Society of McGill University, and the Principal or the Principal's designate, shall submit to the Senate Nominating Committee a jointly approved list of two names of graduate students, and the name of one undergraduate student.

11.2.3 From the slate proposed under section 11.2.1, and except in respect of the vacancy created by the end of the term of the student member, the Senate Nominating Committee shall strike a panel of nominees equal to the number of vacancies to be filled and shall also designate the chair and vice-chair of the Intellectual Property Appeals Committee. The Intellectual Property Appeals Committee shall include academics involved in teaching or research in a suitably broad range of those disciplines generally generating commercialization projects. The Senate Nominating Committee shall also recommend the appointment of one student member from the slate proposed under section 11.2.2.

11.2.4 The chair and vice-chair shall be persons qualified by education and experience to make decisions on matters that may be submitted to the Intellectual Property Appeals Committee.

11.3.1 The Hearing Subcommittee shall be composed entirely of members of the Intellectual Property Appeals Committee and shall include: i) the chair or vice-chair; ii) one member selected by the Vice-Principal (Research); and iii) one member selected by the party who has brought an appeal before the Intellectual Property Appeals Committee.

11.3.2 If the Vice-Principal (Research) and the party who brought the appeal submit the same name, the chair shall choose that person and one other member of the Intellectual Property Appeals Committee to form the Hearing Subcommittee.

11.3.3 In the event that a vacancy occurs in the Hearing Subcommittee, the party who nominated the member in respect of whom such vacancy occurred shall forthwith nominate a replacement. In the event that the vacancy occurs in respect of the chair or vice-chair, the one shall replace the other, if available; if not available, the replacement shall be chosen by lot from the remaining members of the Intellectual Property Appeals Committee.

No member of the subcommittee shall sit in a particular instance if that person: a) is a member of the same department (or, in a faculty without departments, of the same faculty) as the party who is bringing an appeal; or b) is in a position of conflict of interest.

Subject to section 8.3, a party to a dispute may appeal the decision of the Vice-Principal (Research) or his or her delegate within 5 working days of receipt of such a decision, by filing a written notice of appeal with the Office of the Secretary-General. Within 10 working days of filing of the notice to appeal, the appellant shall file all relevant documentation and representations with the Office of the Secretary-General. The appellant shall notify the Vice-Principal (Research) and all other parties having an interest in the outcome of the dispute of his request to appoint a Hearing Subcommittee, and shall promptly provide them with a copy of the notice to appeal and all documentation and representations filed with the Office of the Secretary-General.

Where the dispute submitted to the Hearing Subcommittee concerns the commercialization plan, the parties shall file with the Hearing Subcommittee the plans they are proposing. The Hearing Subcommittee shall have jurisdiction to decide which of the commercialization plans should be implemented. The Hearing Subcommittee shall also have the power to propose an alternative commercialization plan, in which case it shall indicate which of the parties shall be responsible for its implementation.

The Office of the Secretary-General shall provide a secretary for the Intellectual Property Appeals Committee.

The Hearing Subcommittee shall conduct the appeal in a manner consistent with principles of natural justice and shall ensure that all parties having an interest in the outcome of the decision have an opportunity to make representations and shall render a decision within 15 working days of its constitution, unless the parties consent in writing to a longer delay.

A party to the appeal has the right to be assisted by a member of the University community who has agreed to act in an advisory capacity to that party. The advisor shall receive no remuneration for acting as an advisor.

The Intellectual Property Appeals Committee shall report annually to Senate on the administration of the procedures described here.

Acceptance of this policy is a condition of employment by the University, or engagement as a visitor in any University program. Students registered at McGill are also bound by this policy. This policy also applies to academic staff or administrative and support staff on sabbatical leave or leave of absence unless the host institution or company has rules which preclude the application of this policy and the University agrees in writing to other arrangements.

The University, Inventors and Authors shall execute all documents, forms, and agreements reasonably required to give full effect to this policy.

The policy shall apply to any and all Work, Invention, and Software disclosed after the date fixed for implementation of this policy.

Every year, OTT shall report to the Senate Committee on Technology Transfer on the application of this policy. The Senate Committee on Technology Transfer shall review the report presented by OTT and make any recommendation it deems appropriate to Senate for possible forwarding to the Board of Governors.

The Senate Committee on Technology Transfer shall also review this policy at intervals of no more than two years commencing from the date of its implementation and report to Senate on the results of its review.

The present regulations shall apply to all members of the University including academic, administrative and support staff and, where appropriate, students (hereinafter collectively referred to as "members"), and shall constitute part of the formal relationship between the member and the University.

A member shall fully disclose his/her interest, the extent of his/her time commitment, and the nature and scope of his/her activity in relation to any direct or indirect economic interest the member or his/her family may have or acquire in any enterprise to develop the research findings. Disclosure shall include but not be limited to any beneficial interest in the enterprise, be it a sole proprietorship, joint venture, partnership or corporation or being where the member acts as officer or director of a corporation, consultant, or member of a scientific advisory board. Such disclosure shall be made in writing to the member's Department Chair or Director of School, Institute or Research Centre (who shall make it available to interested departmental colleagues); to the Dean of his/her Faculty; and to the Vice-Principals (Academic) and (Research) prior to the commencement of the activity and annually thereafter.

If the member has any interest which could lead to a conflict of interest and if the member is a University administrator having control over positions and funds, the member shall resign the administrative post unless written permission to continue is obtained from the Vice-Principals (Academic) and (Research). No member may alone approve payment from University or University-administered research funds for any services or materials directly related to the proprietary research or enterprise in which he/she has a direct or indirect economic interest.

For the purposes of the present paragraph, a University administrator is defined as a Departmental Chair; a Director of a School, Institute or Centre or other academic unit; a Dean; a Vice-Principal; or the Principal.

If the commitment and activity to be given in relation to the enterprise are likely to interfere with academic duties, the member shall consult the relevant department Chair and Dean regarding the advisability of taking a leave of absence or converting to a part-time appointment at the University. Discussions to this end may be initiated by any of the interested parties.

When a member wishes to develop an invention or discovery or to become involved directly in the commercial application of research findings, he/she shall follow the University Inventions and Patents Policy and thereafter will maintain a clear distinction between University activities and participation in the promotion and commercial development of that invention or patent.

If the University intends to lease space within a Department, School, Institute, Centre or other academic unit to an enterprise (including one in which a member has an economic interest), the conditions of such lease arrangements shall be made known by the Chair, Director or Dean to the Faculty members in the Department, School, Institute, Centre or other academic unit before the lease is signed. Such leases shall be concluded in accordance with existing University by-laws on property leases. Lease arrangements shall be made in the best interests of teaching and research as determined by the Chair or Director and the Dean.

When a member uses his/her research for a commercial enterprise on or off-campus, University administrators, academic staff and support staff may not be employed in the service of such enterprise during University working hours as established by the relevant faculty or department nor allow interference with their University duties.

Use of University equipment by the staff of the commercial enterprise shall be limited to such use as is justified by the specialized nature of the equipment and shall be clearly defined in an agreement with the University, approved by the Chair of the relevant department, the Dean, and the appropriate officer in the Vice-Principal (Research) office. The use of equipment originally purchased from grants of external funding agencies will be regulated both by the policies of such agencies and appropriate University regulations.

The enterprise in which a member has an economic interest may not employ University students. However, such an enterprise may enter into contractual agreements to this effect with the University or be a partner with the University within a program of one of the granting agencies.

Members intending to acquire an economic interest in an enterprise shall inform all students who may be affected by their actions at the earliest possible date. Students shall immediately be free to seek the advice of the Departmental Chair, the Dean of the Faculty, or the Dean of Graduate and Postdoctoral Studies.

Where students are employed by such enterprise, the member having an interest therein shall ensure that students who have already done substantial work under their academic supervisor shall be able to continue in their chosen area of research. Where it is possible to differentiate between the project of the thesis student and that of the enterprise in such a way that the student may continue the thesis project unhampered, the Dean of Graduate and Postdoctoral Studies shall arrange for the appointment of a co-supervisor unconnected with the enterprise.

No attribute of or reference to the University or any of its officials, affiliated colleagues, associations or organizations, including the name or insignia shall be used to promote the enterprises of members, except where required by law.

Where members acquire an interest in enterprises set up by their colleagues, they do so as private individuals, and may not permit their official University positions to be used for publicity, endorsement or advertising purposes except where required by law.

This policy has been established in light of the fact that research and teaching activities performed outside of the University's geographical boundaries may involve particular risks to the participants. It must be recognized that the risks associated with the work performed, the availability of University support services, the level of supervision, accessibility to emergency services, and local government legal requirements may differ significantly from activities carried out on University premises. Reasonable efforts must be made to ensure that all policies pertaining to the safety of University staff and students be used as minimum standards for field work.

The responsibility for ensuring these standards are considered rests on all persons who participate in the teaching and research activities in the field. The University expects those persons who directly supervise and carry out teaching and research in the field to inform the participants of these standards.

Insurance Considerations for Field Work

The following is a brief outline of the types of insurance which should be considered when undertaking field activities. Included is a description of the various policies which the University maintains, as well as additional coverages which are available through separate placement as necessary. For practical reasons, these descriptions are necessarily general, and any specific questions should be directed to the Risk Management and Insurance Department (398-6251).

Direct physical loss or damage to University-owned equipment and materials are insured under a master policy which covers most situations of fortuitous property loss while located on University property. Coverage for the equipment when removed from University premises is available by contacting the Insurance Office. This coverage can extend to non-owned equipment as well.

Personal property of staff or students is not insured by the University. If desired, individuals should make separate arrangements in order to cover against loss.

The purpose of liability insurance is to protect against lawsuits arising from accidental or unintended occurrences to someone else's person or property. The University's Comprehensive General Liability Policy covers all faculty, staff and students while they are performing any activity pertaining to their academic and/or employment duties, including field activities. This policy will defend and indemnify against losses which arise by reason of liability imposed by law.

This policy applied on a worldwide basis and insures specifically against bodily injury, personal injury, death or damage to the property of others. It includes the personal liability of an individual insofar as the conduct which caused the loss was part of the individual's employment or academic duties.

When using automobiles or similar vehicles for field work purposes, special care must be taken to comply with local laws and regulations. The University is unable to provide insurance for vehicles outside Canada and the United States, even though rented or purchased in the University's name. As a result, insurance coverage must be arranged locally to comply with jurisdictional requirements.

When renting vehicles or a short-term/worldwide basis, it is recommended that the Collision Damage Waiver (CDW) be declined in all cases where the corporate American Express card is used as payment. However, third party liability insurance is not considered optional coverage and should form part of the general rental costs. It would be prudent to confirm this fact.

The University can provide limited Accidental Death and Dismemberment Insurance, including emergency medical coverage, not only for visitors to Canada, but also for students travelling outside Canada. Specific arrangements should be made by contacting the Risk Management and Insurance Department.

Certain research situations require special insurance arrangements. The following is a listing of some of the special cases:

The Board of Governors has approved operational by-laws on International Research and Cooperation Contracts.

The Risk Management and Insurance Department should be contacted during the development stage of the project, and prior to the signature of the contract for the following reasons:

2. To review and establish what forms of local (foreign) insurance are necessary where representatives of the University are established on a long-term or permanent basis in a host country.

In closing, although it is important to include insurance protection for all field situations, common sense and practical considerations for eliminating or reducing risks should always take precedence. While this document provides some general guidelines, please be aware that there are restrictions and exclusions in all insurance policies which may affect coverage. It is strongly recommended that all research supervisors refer specifically to the Risk Management and Insurance Department for clarification of University insurance coverage, and any assistance in arranging whatever special additional coverage may be required.

When a member of the University staff wishes to undertake research involving the use of the University's facilities, or when the funds are to be used to support activities in which students or Postdocs are to be engaged as part of their educational experience, the University considers the activity to be part of its pattern of research. They should refer to guidelines on "Procedures Concerning Research Support - Part II" of the Guide to Sponsored Research at McGill University available on the Web at www.mcgill. ca/research-policies/sponsored or contact the Office of the Vice-Principal (Research) at (514) 398-3991.

The Research Grants Office is a centralized office that acts as liaison between McGill researchers and the external granting agencies/sponsors. RGO is responsible for making information on sources of funding available to the research community at large; assisting principal investigators in identifying research funding opportunities; maintaining and expanding the GENIUS database of research expertise at McGill and its affiliated hospitals; assisting faculty in the preparation and transmittal of applications; assuring compliance by the University with sponsors' policies and requirements; interpreting for faculty the regulations of the granting agencies; clarifying University policies and procedures for faculty and sponsors; and negotiating the terms and conditions of awards, whenever required.

The Research Grants Office authorizes the Research and Restricted Funds Office to open, renew and revise all internal and external research grant accounts, after verification that all required information is on file and complies with the University and Agency policies, regulations and procedures. RGO is also responsible for preparing the annual SIRU report on research funding on campus and at the affiliated hospitals for reimbursement of indirect costs from the Quebec Government. The Office is also responsible for producing annual research statistics for the University, granting agencies, government officials, etc.

It also administers all Internal Research Grants Programs of the Office of the Vice-Principal (Research).

The Office of Technology Transfer provides liaison and administrative services to researchers at McGill University and its affiliated hospitals, OTT is charged with the administration and management of research contracts and Intellectual Property, including its early-stage protection and commercialization. OTT actively promotes and supports mutually advantageous commercial and research relations between McGill researchers and industry, government, and other organizations, both nationally and internationally. The Technology Transfer Officers at OTT are highly-educated professionals who are ready to assist McGill researchers with all aspects of technology transfer. Many are Ph.D.'s with extensive backgrounds in both research and the world of business. OTT's services are focused in three major areas.

OTT assists in negotiation and monitoring of contractual arrangements with government, private industry, and non-profit organizations. It assures that existing guidelines, principles, and policies (established by contracting agencies, and the McGill Senate and Board of Governors) are followed. Researchers should contact OTT while drafting their research proposals to ensure that budgetary requests include all legitimate cost items and are consistent with existing overhead rates. Consult the OTT website, particularly "FAQS", "Services", and "University policies".

According to McGill's policy, researchers should promptly disclose any invention where commercial potential is contemplated. When a Report of Invention is disclosed to OTT, it conducts an assessment of the invention's commercial value. In consultation with the researcher, OTT decides whether protection through patent or copyright is warranted. OTT develops a commercializtion plan in collaboration with the researcher, indicating all steps involved in the protection process.

OTT promotes technology transfer and the commercialization of innovations and inventions that have promising potential. It also assists entrepreneurial researchers through licensing and contract arrangements with industry. In carrying out its mandate, OTT follows the procedures outlined in the McGill Intellectual Property Policy.

OTT services are available to researchers (academic, non-academic, and students) in all areas of the University and its affiliated hospitals. The main office is located at 3550 University Street. In addition, field offices are located in the affiliated hospitals and on both campuses.

McGill has a strong commitment to international activities. The Office of International Research (OIR) facilitates and coordinates international programs and projects. It works with faculty members to promote and enhance their international research ventures, assisting them in accessing funding, as well as reviewing proposals, negotiating contracts, and assuring proper implementation. It coordinates research collaboration agreements involving movement of researchers between McGill and institutions abroad. It also promotes McGill as a centre of research and teaching excellence to domestic and foreign partners and is a contact point for academic institutions and international scholars.

OIR seeks and disseminates information on funding opportunities available to McGill researchers for international activities and collaboration. It maintains links with agencies and organizations with an international mandate that may provide funds and/or links for international projects.

The Office assists researchers in the preparation of proposals for international activities by ensuring that priorities and objectives of the funding program are taken into account, preparing budget structure, advising on an appropriate management structure for a project and helping to set up procedures for evaluation of project results.

OIR approves the submission of grant applications to international funding bodies. In the case of contracts and research agreements, it will ensure the project meets University requirements and regulations and will obtain the necessary signatures. Once an award has been granted and successfully negotiated, OIR will open an account for the project, monitor reporting requirements, and liaise with the funding agency.

A Research Associate is a senior career researcher who usually works independently, in most cases has a Ph.D. or equivalent, and is often supported directly by outside granting agencies.

Academic Trainees are persons working, for or without remuneration, to perfect their skills.

Academic Trainees are invited by the University to conduct their activities on campus under academic supervision, and are typically from industry or on an exchange.

"Academic Trainee" is not a work or employee classification; rather it is closer to "stagiaire" in French, a person who is carrying out a "practicum". Academic Trainees are not registered as students, postdocs or graduate students at McGill or elsewhere, but are pursuing further training in their field of expertise. They may not be given other duties/positions at McGill during this period.Academic Trainees must normally provide proof of an existing affiliation and written confirmation that a further training period is required. The nature and duration of the training period must also be specified. The training period is of short duration.

- Graduate Students: any person registered at another institution in a graduate degree program (whether or not he/she is carrying out research at McGill as part of that graduate program) must register as a Visiting Research Student.