Research Administration Office

University of California

Memo Operating Guidance

No. 92-20

August 20, 1992

Subject: Council on Library Resources General Conditions of Grant: Intellectual Property

The Council on Library Resources General Conditions of Grant contains language in paragraph 5 on intellectual property which could be in conflict with University policy. (See Attachment 1.) Specifically, the clause requires "substantive reports" to be made available to the public "on request", without exemption for any copyrighted materials and the grantee is to repay the grant out of any royalty income earned from the work funded.

The Los Angeles campus has, for several years, replaced paragraph 5 with a substitute clause acceptable to both the campus and the sponsor. (See Attachment 2.) The clause provides the Council with unlimited use for non-commercial purposes "for any copyrightable works which are identified as named deliverables" in the grant. The grantee shall dispose of rights and income related to copyrights or patents in accordance with the grantee's policies.

We are providing a copy of this acceptable alternative for use by other campuses in grants with the Council on Library Resources.

Refer: Samuela A. Evans (510) 987-9849

Subject Index: 11

Organization Index: P-030

David F. Mears

Director, Research

Administration Office

Attachments


JUL 14 '92

General Conditions of Grant

Grants made by the Council on Library Resources, Inc., are subject to the following general conditions and to any specific requirements included in the letter of grant notification. Copies of both the general conditions and, when requested, the grant letter itself shall be signed by an authorized individual and returned to the Council before any payments are made.

1. All grants are made with the expectation that funded work will be carried out as proposed. Any modification of conditions affecting performance, timetable, or individual budget items that differ significantly from the proposal shall be brought promptly to the Council's attention for review and approval. The Council funds shall be used only for the purposes specified in the award letter, and the grantee agrees to repay any portion of the amount awarded and paid that is not so used. Funds shall not be used for Institutional indirect costs. Unused funds, if any, shall be returned to the Council with final financial reports.

2. The grantee shall not use any of the funds:

(a) to carry on propaganda, or otherwise to attempt to influence legislation (within the meaning of Section 4945(d)(1) of the Internal Revenue Code),

(b) to influence the outcome of any specific public election, or to carry on, directly or indirectly, any voter registration drive (within the meaning of Section 4945(d)(2)),

(c) for any program or any grant that does not comply with the requirements of Section 4945(d)(3) Or (4), Or

(d) to undertake any activity for any purpose other than one specified in Section 170(c)(2)(B).

3. The grantee shall maintain its books and records in a manner consistent with applicable Internal Revenue Service regulations governing grantee's accounting and record-keeping procedures. Although the grant funds need not be physically segregated, the receipt and expenditure of such funds shall be shown separately in the grantee's accounting records. The records of expenditures and copies of the reports submitted to the Council shall be kept for at least four years after completion of the use of the grant funds. The grantee shall make its books and records available for inspection by Council representatives at reasonable times, or furnish the Council with copies of such documents if requested, at the expense of the Council.

4. The grantee shall make detailed and complete substantive reports of work accomplished and full financial reports annually and at the end of the grant period. Interim financial and substantive reports, when called for in the letter of grant, shall be provided for review and acceptance as a condition for making subsequent scheduled payments.

5. The products of work supported by CLR grants shall be the property of the grantee, with the understanding that required substantive reports submitted by the grantee to the Council shall be available to the public on request. The Council urges thorough and prompt publication of its of grant-funded activity, In situations where work in whole or in part) by the Council results in royalty income to the grantee (for example, from publications or software) or in income from patents, the letter of grant will establish a schedule for the return of funds to the Council, up to the full amount of the grant.*

6. Periodically the Council publishes a brief notice of grants made and the grantee may give similar notice. The Council shall have the right to review any extensive press releases or other publicity prior to publication.

7. The support of the Council shall be acknowledged in any publication based on grant-funded work and it shall be noted that statements made and views expressed are the responsibility of the author. Two copies of any such publication shall be sent to the Council for its grant files and archives.

Name and address of grantee:

The Regents of the University of California

405 Hilgard Avenue

Los Angeles, California 90024

Sherry Miranda

Contract and Grant Officer

(Date)

7/B5

Footnote:

*For any copyrightable works which are identified as deliverables under Grant, Council should have unlimited use thereof for non-commercial purposes. Grantee shall own copyright in any such copyrightable works and without effect upon the rights granted to Council hereunder, shall be able to dispose of rights and all of the income thereto pertaining in accordance with Grantee's established policies.

Title to any inventions conceived or reduced to practice in the performance of this research will remain with Grantee, and Grantee shall be able to dispose of rights and royalty income thereto pertaining in accordance with Grantee's established policies.