Policies and Procedures

Traditional scientific research usually requires project progress be documented in a record log, journal, diary, or progress notebook. These records keep track of project dates, events, and travel. These records also outline research directions, detours, and dead ends of the project, as well as aid the PI in writing the required reports specified in the award. The 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 observances, events, or notations. These records should be kept current and in a secure location. Duplicate records, such as a photocopy of the records, should also be kept in a separate, secure location.

The OR and UCF’s Research Foundation (RF) are the official liaisons between UCF researchers and funding agencies. UCF’s Office of Technology Transfer (OTT) is responsible for managing the university’s intellectual property (IP) assets and for bringing discoveries to the marketplace through IP protection, marketing, and licensing. Our teams are committed to fostering growth of the research enterprise through sponsored research and facilitating commercialization of innovative research results. OR, RF and OTT work collaboratively to negotiate optimal IP terms in sponsored research contracts to ensure protection of university’s innovations and to safeguard the university’s rights to continue to use, disseminate, and build on its knowledge base and research capabilities, while providing to private industry sponsors opportunities to secure rights to bring university technologies to market.

UCF’s standard position on intellectual property (IP) in sponsored research contracts with industry:

UCF’s standard IP terms are consistent with the best practices followed by many other research-intensive universities across the nation and are briefly summarized below.

• Each party to an agreement retains rights in its IP existing before a project or generated outside of the scope of a project (“Background IP”).
• IP generated in the performance of the scope of a project (“Foreground IP”) solely developed by each party to an agreement is owned by that party.
• Foreground IP developed jointly is owned jointly by the inventing parties. Inventorship is determined in accordance with United States patent laws.
• An industry sponsor is provided a time limited first option to negotiate a commercial license. An industry sponsor may also be provided a nonexclusive license for internal research purposes.

Special Industry Partnering Program:

To support our research ecosystem and provide a pathway for more efficient contracting, UCF also offers interested industry partners certain selectable pre-negotiated choices for grant of 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 $15K, whichever is greater; or
• Transfer of ownership with an upfront payment of 20% of the sponsored research contract or $30K, whichever is greater.

Researcher Responsibilities

TUCF employees are bound by the Collective Bargaining Agreement and/or by UCF Regulations 2.029 (Patents, Trademarks and Trade Secrets) and 2.033 (Copyrights and Works) to disclose to OTT the Inventions and Works described below. All capitalized words are defined in the aforementioned UCF regulations.:

• All Inventions made in the field or discipline in which the Inventor is employed by the university or for which there has been University Support and all Works developed by Creators using University Support ;
• All Inventions and Works made during the course of funded research;
• All Inventions resulting from Outside Activity within the field or discipline of the inventing employee.

OR and OTT will report to the sponsor all Inventions and Works developed under the sponsored project in accordance with the agreed-upon terms. OTT will lead licensing discussions with the sponsor.

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

If a project requires cost share, a separate account(s) will be established to document all cost share expenditures. OR will send the PI a separate cost share memo detailing how to utilize the account(s). Read and follow the directions included in the cost share memo.

It is essential that the cost share account(s) be used to document the fulfillment of your cost share commitments. Failure to properly document cost share may result in an audit finding, the requirement to return agency funds, and could negatively impact future sponsorships.

Cost share/matching sources can originate from:

• OR Match Commitment Policy for Proposals to Federal Agencies.
• A University department
• A University College
• Other sources from within or outside the University.

Implementation

1. A match (cost sharing) account will be established for each sponsored grant incorporating cost sharing/matching provisions. This includes grants covered by agency standing policy (National Science Foundation (NSF)), and by other required cost sharing arrangements.
2. The source of funds may be any E&G fund account of the university, and in some instances other non-federal C&G funded accounts (funding from a foundation could serve as cost share to a federally funded project). It could also be an F&A return account (indirect/overhead).
3. All costs shared, including those that exceed the contractual requirement, must be budgeted, and recorded in the match grant except for F&A (indirect) costs allocable to the match grant. F&A will recognize both costs in their financial reporting.
4. Upon receipt of an award OR will establish a sponsored C&G award and assign a grant number; budget as awarded; determine the required cost sharing/matching from the proposal and/or award; establish a match grant and assign a number. This information will be provided to the department responsible for administering the grant.
5. For E&G accounts, the PI will coordinate with department/college personnel in the preparation and submission of a budget transfer form to fund the match account.
6. Charges will be recorded against the two accounts as directed by the PI on payroll vouchers, purchase, and check requests, etc.
7. Cost share should be limited to the amount specifically required by the funding agency. All committed cost share must either be specifically identified in the proposal or by a separate form accompanying the proposal during internal routing and approvals, documented on the Proposal Transmittal Form (PTF) and signed by the responsible party for the cost share commitment (e.g., chair, dean, etc.). Subsequent funding of the proposal requires that all proposed cost sharing be budgeted, recorded, and documented in accordance with this policy.
8. Responsibility for substantiating cost sharing/matching is the PI’s and the department heads.

UCF’s Guidance and Directive on Cost Share (Matching) Requirements