Doc. T96-040, as amended, Passed by the Board of Trustees on April 11, 1996 Latest revision: February 4, 2004 The prompt and open dissemination of the results of research and creative work among scholars and, eventually, to the public at large is essential to the University's mission of education and research. The commercial development and distribution of the results of research and creative work to benefit the inventor…, I. Definitions, As used in this Policy, the following words shall have the following meanings:, Confidential Information, – Information that is received by a Covered Individual from a third party under an express or implied obligation of confidence., Covered Individuals, – All staff, faculty members, students, adjunct professors in residence, and any other individuals associated with the University., Copyrightable Work, – A creative work that is protectable under the copyright laws of the United States or other countries. Copyright protection is available for most literary, musical, dramatic, and other types of creative works, including, for example, computer software, teaching materials, multimedia works, proposals, and research reports., CVIP, – The University Office of Commercial Ventures and Intellectual Property, which has primary responsibility for administering the development and commercialization of Intellectual Property through licensing or other arrangements. CVIP may also be referred to as the Office of Technology Management or OTM., Director, – The Executive Director of the CVIP., Evaluation Committee or Committee, – One of several University committees, each with a particular area of technical expertise, that advises the CVIP and Vice Chancellor for Research in evaluating Inventions, Tangible Research Materials, and Copyrightable Works., Exempted Scholarly Work, – A Scholarly Work that falls within certain categories of Copyrightable Works that have been formally recognized by the University as being Scholarly Works. The University currently recognizes the following categories of Exempted Scholarly Works: textbooks, class notes, research articles, research monographs, student theses and dissertations, paintings, drawings, sculpture, musical compositions…, Intellectual Property, – Inventions, Copyrightable Works, and Tangible Research Materials., Invention, – A discovery or development that is protectable under the patent laws of the United States or other countries., Outside Researcher, – An individual who performs or directs research for an organization other than the University., President, – The President of the University or his or her designee., Public Disclosure or Publicly Disclosed, – Any written or oral disclosure of an Invention or Copyrightable Work to any person not under a contractual or fiduciary obligation of confidentiality to the University., Scholarly Work, – A Copyrightable Work that has the primary goal of disseminating academic or scholarly knowledge, or is a work of art or literature. As described below, whether a Copyrightable Work is a Scholarly Work will be determined by the Director and Vice Chancellor for Research on a case-by-case basis (except that Exempted Scholarly Works are automatically considered Scholarly Works), and under most…, Tangible Research Materials or Materials, – Tangible biological, chemical, and physical materials or equipment. Examples include cell lines, antibodies, DNA or RNA, chemical samples, plasmids, and prototypes., Vice Chancellor for Research, – The Vice Chancellor for Research at each campus, or where no such person exists, the Provost (or their designees)., II. Scope, A. Persons Subject to the Policy, All Covered Individuals are subject to this Policy., B. Types of Intellectual Property Covered by the Policy, This Policy addresses the three categories of Intellectual Property (Inventions, Copyrightable Works, and Tangible Research Materials) as well as Confidential Information. The President shall have authority to designate additional types of Intellectual Property under this Policy., III. Policy, A. Participation Agreement, The University has adopted a Participation Agreement, attached as Exhibit A, that confirms acceptance of this Policy by Covered Individuals and assigns to the University all rights in any Intellectual Property in which the University asserts ownership (as described below). Students – Students must sign the Participation Agreement prior to employment by the University in any research-related…, B. Ownership of Intellectual Property, Any Covered Individual who invents, creates, or discovers any Intellectual Property will own all rights to such Intellectual Property except as follows: Use of University Resources – The University will own any Intellectual Property (other than Exempted Scholarly Works) that is made, discovered, or created by any Covered Individual who makes significant use of University resources (including…, C. Administrative Procedures – Inventions and Copyrightable Works, A primary goal of the University is the discovery and free dissemination of knowledge for the benefit of the public. The University recognizes, however, that in certain instances the public will only benefit from knowledge that is protected under the patent or copyright laws, which provide an incentive for economic development of that knowledge. The University therefore requests that all Covered…, D. Administrative Procedures – Tangible Research Materials, While potential commercial value should not inhibit the free exchange of University-owned Tangible Research Materials for research purposes, the University nonetheless recognizes that such Materials may have significant commercial value. In addition, Tangible Research Materials received by Covered Individuals may be subject to contractual restrictions that severely limit the use and transfer of…, E. Administrative Procedures – Confidential Treatment of Information, While the academic tradition of free dissemination of knowledge for the public benefit is recognized by the University to be of paramount importance, it may be necessary or desirable, under some circumstances, to restrict disclosure of Confidential Information received from a sponsor company or to delay Public Disclosure of an Invention. The University has developed the following procedures to…, F. Administrative Procedures – Sponsored Research with Commercial Organizations, The Vice Chancellor for Research in consultation with the CVIP shall have responsibility for negotiating, executing, and administering funded research agreements between the University and commercial organizations, in accordance with the University policies on sponsored research. The Vice Chancellor for Research may delegate all or some of these responsibilities to the CVIP. CVIP approval is…, G. Commercialization of University-Owned Intellectual Property, The CVIP in consultation with the Vice Chancellor for Research shall have responsibility for commercial development and administration of all University-owned Intellectual Property. This commercial development will ordinarily occur through licensing of Inventions, Copyrightable Works, or Materials to a company. If the CVIP is successful in its commercialization efforts, the inventor or creator…, H. Enforcement, The Director, the Vice Chancellor for Research, or the President may refer any matter to the appropriate University official for disciplinary or other appropriate action., I. Appeals; Interpretation of Policy; Exceptions, The Director shall administer this Policy in regular consultation with the Vice Chancellors for Research and the President. The President, upon recommendation of the Vice President for Economic Development and in consultation with the General Counsel, may grant exceptions to the Policy in appropriate cases. The President shall have authority to overrule any decision of a Vice Chancellor or the…, Doc. T96-040, as amended | Intellectual Property Policy, Worcester, Passed by the Board of Trustees on April 11, 1996 Revised: May 5, 1999 February 4, 2004
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Doc. T93-122, as amended, Passed by the Board of Trustees on December 1, 1993 Latest revision: December 13, 2018, Purpose, This Capital Policy provides specific criteria relating to capital planning, land and facilities use and other related topics such as ongoing maintenance, the leasing and use of land and/or facilities, and the acquisition or disposition of real estate by the University of Massachusetts (University or the System).
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Capital planning is an integral part of the University’s long-range and strategic planning processes, as it affects all aspects of the University’s programs and operations. The President’s Office facilitates the implementation of this policy and manages the processes set forth in the associated administrative standards. Any work done by the University of Massachusetts Building Authority (UMBA)…
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A. Campus Land and Facilities Use Master Plans, Capital Planning, Project Review and Approval, Each campus shall prepare and maintain a land and facilities use master plan (campus master plan). The campus master plan is for the purpose of establishing a framework for orderly growth and development of capital improvements that is responsive to a campus’ current and projected needs and sufficiently flexible to accommodate changes that can be expected to occur in a dynamic environment. The…, B. Funding Deferred Maintenance: "Keep Up" and "Catch Up" Targets and Maintenance of Facilities, The University President shall define “Keep up” and “Catch up” targets and promulgate standards to ensure that campuses are making progress toward meeting the deferred maintenance needs of University facilities. , C. Disposition & Acquisition of University Real Estate, Real estate, which include, but may not be limited to land, buildings, air rights, water rights and mineral rights owned by the University is the property of the Commonwealth of Massachusetts which has been entrusted to the University for stewardship. The University’s role as steward of this property is crucial, since the prudent use of our limited resources is key to our ability to provide for…, D. Agreements for the Use of Real Estate, The execution of any agreement for the use of real estate from entities or to entities must support the University’s educational research, and/or community outreach mission and must have received all applicable internal approvals in writing prior to any documentation being signed., E. Private Use, Any facilities of the campuses that are purchased, constructed, renovated, rehabilitated, improved or otherwise funded from a tax-exempt bond issue are subject to private business use limitations as described in the federal tax law. When proposing a substantive change in the existing use of a facility financed with tax-exempt debt, campuses should consider the private use implications of such a…, F. Delegation, The University President and Chancellors may delegate all or any part of their authority set forth in this Policy, in accordance with the University’s delegation policy., G. Standards, The University President, in consultation with the Vice President(s) and Chancellors, will issue administrative standards to implement this policy which may be revised from time-to-time.
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(Doc. T93-122, as amended), I. Introduction, These Administrative Standards (“Standards”) are intended to assist in the implementation of the University of Massachusetts’ (“University”) Capital Planning, Land, and Facilities Use Policy (T93-122) (“Policy”). The Policy provides a framework within which the University develops and reviews Campus master plans, the University’s five-year capital plan, and the review and approval of capital…, II. Definitions, Alternative Financing and Delivery – A contractual arrangement between a public entity and a private sector developer whereby a range of project risks and responsibilities can be transferred to the private sector developer. Approved Capital Project List – A list of capital projects, as defined below, which is reviewed quarterly and approved by the University President or the Board of Trustees.…, III. Standards Statement, A. Campus Land and Facilities Use Master Plans; Capital Planning and Project Review and Approval, Development of the Land and Facilities Use Master Plan – Each Campus shall prepare and maintain a land and facilities use master plan(s) (“Campus Master Plan”), which shall include, at a minimum: Information about the Campus’ mission and goals. An inventory and description of existing land and facilities, including a description of the possible new or revised use of existing land and facilities.…, B. Funding Deferred Maintenance: "Keep Up" and "Catch Up" Maintenance of Facilities, Establishing Spending Targets Annually, the President’s Office will issue instructions as part of the annual budget and 5-year forecast exercises detailing the annual “Keep Up” target for each Campus. Targets should be based on the capital investments necessary to meet the facility lifecycle cost analysis, which shall be performed annually by a third party. Annual investments should grow in…, C. Disposition & Acquisition of University Real Estate, These Standards are intended to implement those portions of the Policy concerning the disposition and acquisition of University Real Estate. These Standards also are intended to govern Campus requests for the acquisition and disposition of UMBA Real Estate utilized by a campus. The University is responsible for the management and maintenance of all University Real Estate and, pursuant to the…, D. Agreements on the Use of Real Estate, These Standards are intended to implement those portions of the Policy concerning the use of real estate by the University. These Standards shall apply to the negotiation and execution of leases, licenses, and other agreements regarding the use of University Real Estate and the University’s use of real estate owned by other parties. Capital Projects. Any Capital Project that requires the…, E. Other Undefined Projects, Projects not defined in these Standards or which otherwise are not clearly categorized into one of the sections above should be submitted for consideration to the Senior Vice President of A&F and Treasurer by the requesting Campus. The Senior Vice President of A&F and Treasurer will consult with UMBA and Office of the General Counsel to determine the approval process for the project.…, F. Review by Office of the General Counsel, Any interpretation or questions related to Sections C-E herein shall be submitted for legal review to the Office of the General Counsel. Transaction documents contemplated under Sections C-E shall constitute Real Property Agreements, as defined in the Procurement Policy and associated Administrative Standards for the Procurement Policy (Doc. T92-031) (“Procurement Policy and Standards”). The…, G. Private Business Use, Any facilities of the Campuses that are purchased, constructed, renovated, rehabilitated, improved or otherwise funded by use of funds from a tax-exempt bond issue are subject to limitations on “Private Business Use”, as defined below, and as further described in the federal tax law. Excessive Private Business Use of facilities financed with tax-exempt bonds may cause the interest on the tax-…, IV. Financial Ratios & Benchmarks, Operating Margin, – indicates whether total operating activities resulted in either a surplus or deficit as a percentage of the budget. Calculation: Begin fraction, begin numerator, open paranthesis, total: Operating Revenue plus Government Appropriations plus Gifts plus Endowment Income plus NonOperating Federal Grants plus Investment Income Net of Unrealized Gains and Losses, close parenthesis, end numerator,…, Debt Burden Ratio, – compares the relative cost of borrowing to overall expenditures. Calculation: Begin fraction, begin numerator, Debt Service (P&I), end numerator, begin denominator, open paranthesis, total: Operating Expenses plus Interest Expenses, close paranthesis, end denominator, end fraction., Debt Coverage Ratio, – measures the ability to make debt service payments from annual operations. Calculation*: Begin fraction, begin numerator, total: open paranthesis, total revenues minus total expenses, close paranthesis, plus Depreciation, plus Interest, plus Large Noncash Expenses, end numerator, begin denominator, Debt Service (P&I), end denominator, end fraction. *Noncash expenses include pension…, V. Related Policies and Processes, The Policy and these Standards should be reviewed in consultation with: Debt Policy (T09-050) University Reserve Policy (T18-026) Procurement Policy (T92-031, Appendix A) Annual 5-year Financial Forecast Annual Operating Budget UMBA Policy and Procedures for the Purchase and Sale of Real Estate and all other relevant policies and procedures.
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Project Name, Purpose, The purpose of the Capital Project Review process is to: (1) provide guidance to the University’s Campuses on Traditional Project Vote 2 approvals from the President or the Board of Trustees; and (2) provide a uniform method for documenting the full capital spending requirements so that capital activity can be effectively communicated and monitored. The UMass President’s Office requires all…, I. General Information, Campus:, Project Name:, UMBA Project Number (if applicable):, Project Delivery Method:, c.30, c.149, (or) c.149A, Identify Enabling Projects and Critical Timing Implications:, Gross Square Footage:, State the estimated gross square footage of the total project. Explain this projects impact on the Campus’ overall space inventory including any plans to reprogram, abandon or demolish existing space., Project Description:, Briefly describe the project and its general use. If the project includes a mixture of new construction and renovation work, describe the amounts in each portion of the project. State any unique design objectives for the project that may affect project costs in the areas of appearance, use, or construction methods. Indicate if the project is expected to be less expensive, of average cost, or more…, II. Project Justification, Justification:, Briefly justify the need for this project. Reference the Campus strategic plan and/or Campus master plan as appropriate. Discuss the alternatives considered and why they were rejected. Provide a statement on the Campus’s realistic expectations for funding. Explain the consequences if the project is not approved., Facility Purpose/Use:, Briefly describe how this facility will be used once it is complete., Site Description:, Provide a general street address or basic description of location. If appropriate, describe any external factors influencing the cost of construction on the site such as existing streets and roads, parking areas, vehicular access, adjacent construction, drainage, above and below ground utilities, easements, etc., III. Project Schedule, Site Mobilization & Early Construction Packages: Month, 20XX Final Design Package: Month: 20XX Commence Main Package Construction: Month, 20XX Substantial Completion: Month XX, 20XX Certificate of Occupancy (Operational occupancy): Month XX, 20XX Project Completion: Month, 20XX, IV. Financial Planning, Sources of Project Funding, Local Funding - Reserves: $ Local Funding - Operating: $ External Fund Raising: $ Borrowed Funding: $ State Funding: $ Other: $ Total: $, Income Projection:, For projects with an associated revenue stream, provide a five-year forecast of the project's operating revenues and expenditures from the date of completion of the project. All assumptions should be specified in the forecast., V. Estimated Total Project Cost (TPC), Vote 1 Approval - Preliminary Cost: $ Proposed Cost (TPC) for Vote 2 Approval: $, Total Project Cost (TPC) Breakdown, Hard Costs (ECC) Construction (incl. Pre-Con, Exploratory, Escalation, GMP Contingency): $ Soft Costs Professional Services Fees (OPM, Designer, Cx, Testing): $ Administrative Costs (Legal, Insurance, LEED, Printing/Advertising): $ Furniture & Equipment: $ Technology / IT / Security: $ Audio Visual: $ Other misc. costs (Signage/Branding, Moving, Events): $ Project Contingencies…, VI. Campus Approvals, Campus Facilities Approval: Campus Facilities Approval Date: Campus Admin. & Finance Approval: Campus Admin. & Finance Approval Date:, VII. Attachments, Executive Committee Presentation dated Month XX, 20XX Project Budget dated Month XX, 20XX Reconciled Schematic Design Cost Estimate dated Month XX, 20XX Project Schedule dated Month XX, 20XX Schematic Design dated Month XX, 20XX
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A. Purpose and Objective, The Administrative Standards for the Capital Planning, Land, and Facilities Use Policy (Doc. T93-122), as amended on July 19, 2023, includes a capital investment screening process for all new capital projects or major renovations. The objective of the screening process is to determine the potential suitability of alternative delivery and procurement for capital projects being put forth for…, B. Process Overview, The screening checklist should be completed by the proposing Campus and approved by the Vice Chancellor for each capital project that is being proposed for capital project approval, with guidance issued by UMPO. The Campus may work in collaboration with the UMPO in completing the checklist, but in all cases must submit the checklist to the UMPO for review in preparation for the Board of Trustees…, C. Scoring Overview, The screening checklist is comprised of the following sections: Section 1: Campus Narrative/Project Need Statement; Section 2: five (5) Technical Considerations; and Section 3: two (2) Commercial/Financial/Legal considerations. The Campus is responsible for completing the Campus Narrative section and indicating, by use of an “X,” whether “Low/Medium/High” applies across each of the seven (7)…, D. Scoring Guidance, The following guidance can be referenced when evaluating each of the seven (7) checklist considerations. Category Consideration Guidance Complexity The expected complexity of the project design and construction. High complexity could be the development of multiple assets and/or programmatic use types that drive a need for multiple architectural, engineering, and/or construction firms with…, Alternative Delivery Screening Checklist, Section 1: Project Overview and Campus Narrative, If the project is not approved as part of the Capital Plan, the Campus should explain why it would like the project to be considered in the first instance and for alternative delivery. Question Yes No Is the Project currently envisioned as part of the Campus master plan? Is the Project currently approved as part of the five-year capital plan? Does the proposed capital investment address…, Business Case:, Provide an overview of the business case for the project, including, but not limited to, the following information: project description, summary program, estimated budget, anticipated funding source(s), and anticipated project completion date., Campus Narrative:, Relationship to Academic Goals: How does the capital investment assist the Campus with meeting its academic goals and objectives? Will the capital investment impact the Campus annual indicators in the areas of academic quality, access and affordability, student success and satisfaction, service to the Commonwealth, and/or financial health?, Campus Narrative: , Preferred Delivery Approach: Has the Campus determined a preferred project delivery approach (i.e., traditional or alternative procurement?) Why does the Campus wish to utilize this preferred approach? If no preferred project delivery approach has been determined, please indicate what further analysis will be necessary in collaboration with the Office of the President and UMBA., Campus Narrative:, Section 2: Technical Score, Insert an “X” in either the “Low/Medium/High” boxes for each statement. The Score column is to be completed by the President’s Office. Question No. Considerations – Technical Low Medium High Score 1 The expected complexity of the project design and construction. [X] 2 The University’s desire to leverage private sector innovation and provide flexibility with respect to the program, design,…, Section 3: Financial, Insert an “X” in either the “Yes” or “No” box for each question. Question No. Considerations – Commercial/Financial/Legal No Yes Score 6 Is the project capital cost expected to be at least $50 million? [X] 7 Is there a significant non-governmental funding source for the project, i.e. student fees, rates and charges? [X] , Total Commercial/Financial/Legal Score: , Section 4: Recommendation, To be completed by the President’s Office, Recommend for Alternative Delivery Options Analysis?, (Yes/No)
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If it is determined that alternative delivery is a feasible delivery option, an options analysis (“Options Analysis”) of one or more alternative delivery approaches as compared to the traditional delivery approach would be conducted, focusing on qualitative considerations and quantitative results. The timeline for completion is +/- 2 months. The Options Analysis allows for the evaluation of…, Doc. T93-122, as amended | Capital Planning, Land and Facilities Use Policy, Passed by the Board of Trustees on December 1, 1993 Revised: August 7, 2002 November 16, 2005 June 10, 2009 June 18, 2014 December 13, 2018
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Doc. T94-023, as amended, Passed by the Board of Trustees on April 6, 1994 Latest revision: December 12, 2023 This policy amends the “Personnel Policy for Non-Unit Staff (T94-023), it rescinds the “Reduction in Force Policy, Non-Unit Staff: Amherst, Boston, Dartmouth, Lowell and the President’s Office”.
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The following Policy shall apply to members of the non-unit professional and classified staff who are employed part-time or full-time in regular positions, whether funded from state appropriations or continuing trust funds (i.e., trust funds without a terminal date), excluding the President, the Chancellors, and certain Athletic Coaches. The President shall have authority to implement and…, A. Compliance with Law and Regulations and University Policies, The University and its employees will comply with all applicable federal and state employment laws and regulations, including, without limitation, M.G.L Chapter 268A and 268B, and including any related post-employment reporting obligations, as well as all additional disclosure requirements set out in any Administrative Standards promulgated by the President pursuant to this Policy as well as any…, B. Employment Status, Non-unit University employees serve at the pleasure of the Board of Trustees, acting by and through the President or Chancellor, and are, therefore, employees “at will”: the University or the employee may terminate the employment relationship at any time, with or without cause, and with or without notice, subject to the provisions contained in ¶¶ I(C), (D), and (E) below., C. Employment Contracts, Notwithstanding ¶ I(B), above, with the approval of the President, non-unit University employees may be appointed pursuant to a contract of employment, not to exceed 3 years; provided that any such contract of employment is expressly conditioned upon continued satisfactory performance, adherence to applicable state and federal laws and regulations and University policies, the availability of…, D. Termination from University Employment for Reasons Other than Cause, Except for terminations for cause and termination of non-unit University employees funded through external funds, the University will provide notice of termination from University employment, or, at the discretion of the University, payment in lieu of notice, in accordance with the Administrative Standards that are issued to implement this Policy., E. Termination for Cause, Prior to terminating an non-unit employee for cause, the University will give the employee notice and an opportunity to respond to the basis for the termination.
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