Policies and Procedures

Labratory Project Record

Traditional scientific research usually requires project progress to be documented in a record log, journal, diary, or progress notebook. These records keep track of project dates, events, and travel. They also outline research directions, detours, and dead ends, and help the Principal Investigator (PI) write the required reports specified in the award. The Office of Research (OR) recommends that all UCF researchers maintain such documentation of their work.

It is advisable to keep record logs in a pre-bound notebook. Be sure to date each entry and have a witness read and sign important observations, events, or notations. These records should be kept current and stored in a secure location. Duplicate records, such as photocopies, should also be kept in a separate secure location.

Intellectual Property

The Office of Research (OR) and UCF’s Research Foundation (RF) serve as official liaisons between UCF researchers and funding agencies. UCF’s Office of Technology Transfer (OTT) manages the university’s intellectual property (IP) assets and facilitates bringing discoveries to market through IP protection, marketing, and licensing. Our teams are committed to fostering the growth of the research enterprise through sponsored research and supporting the commercialization of innovative research outcomes.

OR, RF, and OTT collaborate to negotiate optimal IP terms in sponsored research contracts to ensure the protection of the university’s innovations. They safeguard the university’s rights to continue using, disseminating, and building on its knowledge base and research capabilities, while also providing private industry sponsors opportunities to secure rights to bring university technologies to market.

UCF’s Standard Position on Intellectual Property in Sponsored Research Contracts with Industry

UCF’s standard IP terms align with best practices followed by many research-intensive universities nationwide and are summarized as follows:

• Each party retains rights to its pre-existing IP or IP generated outside the scope of the project (“Background IP”).

• IP generated solely by one party within the scope of the project (“Foreground IP”) is owned by that party.

• Foreground IP developed jointly is jointly owned by the inventing parties, with inventorship determined according to U.S. patent laws.

• Industry sponsors are granted a time-limited first option to negotiate a commercial license and may also receive a nonexclusive license for internal research use.

Special Industry Partnering Program

To support our research ecosystem and streamline contracting, UCF offers industry partners selectable, pre-negotiated options for commercial Foreground IP rights:

• Nonexclusive royalty-free (NERF) license with an upfront payment of 5% of the sponsored research contract;

• Exclusive license with an upfront payment of 10% of the sponsored research contract or $15,000, whichever is greater;

• Transfer of ownership with an upfront payment of 20% of the sponsored research contract or $30,000, whichever is greater.

Researcher Responsibilities

UCF employees are bound by the Collective Bargaining Agreement and UCF Regulations 2.029 (Patents, Trademarks, and Trade Secrets) and 2.033 (Copyrights and Works) to disclose inventions and works to OTT. Capitalized terms are defined in these regulations.

Researchers must disclose:

• All inventions made in their field or discipline of employment or supported by the university, and all works developed using university support;

• All inventions and works created during funded research;

• All inventions resulting from outside activity within their field or discipline.

OR and OTT will report all inventions and works developed under sponsored projects to the sponsor as agreed. OTT leads licensing discussions with sponsors.

Cost Share / Matching Requirements

Cost share and matching refer to commitments from sources other than the funding agency to cover certain project costs or provide in-kind services such as the use of space or equipment.

If a project requires cost share, a separate account(s) will be established to document all related expenditures. The Office of Research (OR) will send the Principal Investigator (PI) a cost share memo with instructions on how to use the account(s). It is important to carefully read and follow these directions.

Proper use of the cost share account(s) is essential to document fulfillment of your commitments. Failure to do so may result in audit findings, require returning agency funds, and negatively affect future sponsorship opportunities.

Sources of Cost Share / Matching

Cost share or matching funds may come from:

• OR Match Commitment Policy for proposals to federal agencies

• University departments

• University colleges

• Other internal or external sources

Implementation

• A cost share (match) account will be established for each sponsored grant requiring cost sharing or matching, including grants with agency standing policies (e.g., National Science Foundation) or other required arrangements.

• The source of cost share funds can be any university E&G fund account, some non-federal contracts and grants accounts, or indirect cost (F&A) return accounts.

• All shared costs, including amounts exceeding the contractual requirement, must be budgeted and recorded in the match grant—except F&A costs allocable to the match grant, which will be recognized separately.

• Upon award, OR will set up the sponsored C&G award with a grant number and budget, determine required cost share amounts, establish a matching account with its own number, and notify the department administering the grant.

• For E&G accounts, the PI will work with department or college personnel to prepare and submit budget transfer forms to fund the match account.

• Charges will be recorded against both the sponsored and cost share accounts as directed by the PI (payroll vouchers, purchase orders, check requests, etc.).

• Cost share should be limited to the amount required by the funding agency. All committed cost share must be identified in the proposal or a separate form during internal approvals, documented on the Proposal Transmittal Form (PTF), and signed by the responsible party (e.g., chair or dean).

• Subsequent funding requires all proposed cost sharing to be budgeted, recorded, and documented in accordance with this policy.

Responsibility

The PI and department heads are responsible for substantiating and documenting all cost share and matching commitments.