(Note: OLPM sections on this page may be cited following the format of, for example, "KSC.III.A.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

1. Definition
   1. For the purpose of this policy "Intellectual Property" includes materials, which may be copyrighted, patented and/or trademarked.
2. Applicability
   1. This policy applies to all Keene State College faculty (including adjunct faculty) or staff (including ancillary staff), to students employed by the College, and to non-employees of the College hired on a contracted basis.
3. Materials Which May be Copyrighted
   1. Materials which may be copyrighted include, but are not limited to, the following examples:
      1. Books, journal articles, reports, texts, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests and proposals;
      2. Lectures, musical or dramatic compositions, and unpublished scripts;
      3. Photographs, films, film strips, charts, transparencies, and other visual aids;
      4. Video and audio tapes and cassettes;
      5. Live video and audio broadcasts;
      6. Programmed instructional materials (including Web-based courses or materials);
      7. Computer programs (software);
      8. Choreographic work and pantomimes;
      9. Graphic and sculpture works; works of art;
      10. Drawings and plastic works of a scientific or technical character;
      11. Architectural plans and structures;
      12. Dress and fabric designs;
      13. Computer-generated and transmitted materials;
      14. World Wide Web pages and/or sections of those pages
      15. Databases (in some cases);
      16. Digital representation of the above items
   2. Examples of intellectual property eligible for trademark or patent are not provided in this document at this time. Nonetheless, inventions eligible for patents and items eligible for trademark registration and protection are also included in this policy.
4. Categories of Intellectual Property
   1. For purpose of this policy intellectual property (eligible for patent, trademark and/or copyright) falls into the following four categories depending upon the status of the inventor:
      1. Works made for hire by non-faculty employees (including ancillary staff), by students employed by the College, or by non-employees hired on a contractual basis
      2. Individual efforts by faculty (including adjunct faculty)
      3. College-sponsored efforts by faculty (including adjunct faculty)
      4. Externally sponsored efforts
   2. Statutory Definition: "Works made for hire" (under Section 101 of the 1976 Copyright Act) are defined as: a) a work prepared by an employee within the scope of his or her employment; or b) a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer materials for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire.
   3. In the event the definition of "Works made for hire" changes in future copyright laws, the then current law will govern.
   4. Patents and Trademarks are more complicated than copyrights and are each subject to separate laws than item 4.2 above. While generally the same, the appropriate and current US statutes for each class of property shall govern with respect to this policy.
5. Ownership of Intellectual Property
   The ownership of intellectual property depends upon the category of the inventor as described in section 4. The following sections correspond to those categories:
   1. Works made for hire: Intellectual property produced as a work made for hire by non-faculty employees (including ancillary staff), by students employed by the College, or by non-employees hired on a contractual basis is the exclusive property, including copyright, of the College.
   2. Individual efforts by faculty:
      1. Definitions: (a) Individual faculty includes all full-time faculty (tenure track and other), adjunct faculty, part-time faculty, Faculty in Residence (FIR), exchange faculty, faculty fellows, faculty emeritus, retired faculty and administrative employees while they are serving in a faculty role; (b) Significant college sponsorship is defined to mean use of College resources beyond:
         1. Payment of contractual salary or stipends
         2. Payment of authorized supplemental pay or College of Continuing Education pay if such pay is not expressly for the development of the intellectual property in question.
         3. Provision of office and/or laboratory space including general media laboratory space and general administrative support.
         4. Use of library and interlibrary resources
         5. The support of internal grant or seed money programs including but not limited to TALENT grants, alumni grants, or matching research grant funds
         6. Works performed while on sabbatical or other KSCEA contract benefits such as coordinator release time (such as family release time, sick leave, etc.)
         7. Works performed as professional activity while on "teaching release time" specifically granted for that purpose (unless other mutually acceptable arrangements are made in advance and in writing)
         8. The use of computer and network hardware facility (including mail addresses, ISPs and domains) and/or software shall not constitute college sponsorship
         9. Works performed in unrelated college activities, other contracts or employment, off-campus and on non-college time.
         10. The use of College facilities or equipment normally available to faculty members at large, in their specific division or discipline, not included in 5.2.1.2, 5.2.1.3, and 5.2.1.7 above, including, but not limited to workshops, tools, video cameras, recording devices, instruments, measuring devices, copiers, telephones, fax machines and so forth.
         11. Use of college name, job title, stationery and letterhead assuming such use is otherwise authorized (e.g. when making a survey for inclusion in a publication)
         12. Notwithstanding any of the foregoing, the parties can mutually agree in writing to the existence or non-existence of significant College sponsorship
         13. Ownership
             1. All rights and ownership of inventions and/or intellectual property developed by individual faculty without Significant College Sponsorship will remain the sole property of the Individual Faculty Member unless the parties have agreed in writing to some other outcome.
             2. Where intellectual property is invented, developed and/or conceived jointly by two or more creators or inventors, then each of the co-creators/inventors shall share ownership rights in such proportions as the joint creators/inventors and the Vice President for Academic Affairs agree reflect their respective contributions. If agreement cannot be reached by all parties, and absent other written agreement, ownership will be shared equally and jointly.
             3. Such a collaboration or team effort will be considered as an individual effort for purposes of this policy with respect to the College. If other sharing rules are contained in US or state law, those rules shall govern for distribution of ownership rights outside this policy.
             4. The individual faculty member shall bear the costs of copyright, trademark and/or patents if he/she chooses to pursue such protections.
      2. College-sponsored Efforts of Faculty: Inventions and rights to intellectual property (including software and World Wide Web based courses or materials) produced through significant College sponsorship (as defined above) shall be owned by the College. For this case the College shall bear the costs (if any) of the copyright or patent if it so chooses.
      3. Externally Sponsored Efforts: Rights to intellectual property developed by faculty as a result of work supported partly or wholly by an external agency under a grant or contract shall be determined in accordance with the terms of the contract or agreement. In the absence of such agreement, ownership shall:
         1. In the case of non-faculty, become the property of the College
         2. In the case of faculty without significant College sponsorship, become the property of the faculty member(s)
         3. In the case of faculty with significant College sponsorship (as defined in paragraph 5.2.1.2 above), become the property of the College
6. Income from Intellectual Property
   1. Intellectual property royalties related to individual efforts by faculty are the sole responsibility and property of the creator(s)/inventor(s).
   2. Net income received by the College through the sale, licensing, leasing or use of intellectual property produced through significant College sponsorship will be shared with the faculty creator(s)/inventor(s) as described in this section. Net income is to be interpreted as that amount of money cumulatively received after deduction of expenses connected with developing the product, and securing and maintaining the copyright, patent, or license. Expenses connected with developing the product could include additional faculty salary for the project-related work, grant match funds, student salaries and facility improvements necessary for the project.
   3. The College will distribute net income (described above) according to the following schedule:
      1. 50% of net income to the creator(s)/inventor(s)
      2. 20% of the net income to the creator's/inventor's discipline to be administered by the appropriate Dean
      3. 30% of the net income to a College-wide Research and Development Fund to be administered by the Vice President for Academic Affairs
   4. Where copyright materials are conceived jointly by two or more creators or inventors, then each of the co-creators/inventors shall share in the gross sums of money referred to above in such proportions as the joint creators/inventors and the Vice President for Academic Affairs agree reflect their respective contributions. If no agreement can be reached, the Vice President for Academic Affairs shall decide the distributions.
7. Administrative Procedures/Right of Appeal
   1. The administration of the principles and policies set forth herein shall be the responsibility of the Vice President for Academic Affairs. In cases where rights and/or equities are in dispute regarding intellectual property rights of a member of the KSCEA bargaining unit, the dispute shall be resolved according to the College Bargaining Agreement Grievance and Arbitration Article. In cases where rights and/or equities are in dispute regarding an individual not covered by the KSCEA Collective Bargaining Agreement, the Vice President for Academic Affairs shall appoint an ad hoc review committee consisting of three persons. One person shall be selected by the individual(s) to be represented, one by the Vice President for Academic Affairs, and one by the College Senate. This committee shall recommend an agreement that shall take effect unless a further appeal is made by the individual(s) involved or by the Vice President for Academic Affairs. In this event the Review Committee will present the case to the President whose decision shall be final and binding upon all parties.

(Note: OLPM sections on this page may be cited following the format of, for example, "KSC.V.D.12.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)

1. Complaint and Grievance Resolution
   1. Preamble
      1. The Complaint and Grievance Resolution procedures represent two distinct but related processes established for the purpose of resolving work place problems and/or misunderstandings. The policy describes the complaint procedure, and section KSC V.D.12.4 describes the grievance procedure. Except where noted, KSC faculty and staff may use either procedure solely and separately, or may use the complaint procedure as the first step of the grievance procedure.
   2. Complaint Resolution -- General
      1. Purpose. The KSC complaint procedure is intended to resolve complaints and problems arising out of the interpretation and/or implementation of the Board of Trustees, University System or Keene State College personnel policy, procedure and practice. It may serve as an informal step to the KSC grievance procedure.
      2. Definition. A complaint is an issue of concern related to a workplace situation or working conditions. Complaints related to evaluations of work performance (except for policy violations), and final classification determinations are not appropriate for either the complaint procedure or the grievance procedure. Termination may be addressed only through the grievance procedure.
      3. Conditions
         1. The complaint resolution mechanism does not provide employees any right other than the right to have a complaint heard and considered. It does not bind KSC to a particular outcome or course of action, or in any other way limit the institution's discretion to determine an appropriate outcome or course of action.
         2. Complaints may be brought to Human Resources at any time. In order to continue complaints in the grievance procedure, complaints must be filed within 10 days of knowledge of the complaint.
         3. The complainant may have a status KSC employee (except an attorney) act as an advocate.
         4. Confidentiality shall be required of all participants in the complaint resolution. All information revealed and all discussions held shall be confidential as reasonable within legal requirements and organizational responsibilities.
         5. The filing of a complaint shall not affect the rights of an employee to seek any remedy which may be available in an external forum. However, the filing of a complaint does not postpone any deadlines for pursuing such remedies.
      4. Remedies. Remedies pursued under the complaint procedure may include any remedy which conforms to the spirit of the policy. The KSC Human Resources Office shall serve as a resource for understanding the process, possible remedies, and providing options for alternative resolutions and processes, if appropriate.
   3. Complaint Resolution Process
      1. A KSC staff member may register a complaint by notifying the Human Resources Office in writing of the complaint and indicating a desire to pursue a solution. If the complaint meets the criteria for a grievance, the staff member may use the complaint process as the informal step in the grievance process.
      2. After considering the nature of the complaint, the Human Resources Office will investigate the facts and initiate a discussion/resolution. Options to pursue resolution will include, but not be limited to, discussions with the supervisor, investigation of facts, and/or use of a third party to help mediate between the decision maker and the complainant. A mediator will be selected based on experience or expertise in an area appropriate to the complaint. If the mediator selected by Human Resources is not acceptable to either one of the parties, an alternate will be offered. During this stage, Human Resources may, as appropriate, require any of the following:
                         • A report from the mediator about the potential solutions
                         • A report from the supervisor about the reasons no settlement or resolution was reached
      3. The Human Resources Office will establish the appropriate time frame for any report or follow-up on reports required.
      4. If a resolution is reached, it will be communicated in writing to all involved parties.
      5. If there is no resolution through the complaint process, and the complaint qualifies as a grievance under the definition below (12.4.2), a staff member may file a written grievance within 10 days of the closure of the complaint process. If a complaint moves to a grievance, all documents shall be provided for review at the conciliation meeting.
      6. If the complaint is not grievable or pursued as a grievance, the process ends at this point.
   4. Grievance Resolution
      1. Purpose. The KSC grievance procedure is intended to provide staff a mechanism to resolve alleged violations of Trustee, University System or Keene State College policy.
      2. Definition. A grievance is an alleged violation of Trustee, University System or Keene State College policy (see 12.5.1). The use of the grievance procedure shall not be permitted for reviewing classification decisions or judgments of merit. A grievance may be filed by: (a) any status faculty or staff member except those status faculty or staff members covered by collective bargaining, or the Wheelock School handbook; or (b) principal administrators.
      3. Conditions
         1. The deadline for filing a grievance shall be ten (10) working days from the unsuccessful attempt at complaint resolution, or from the day on which the aggrieved faculty or staff member becomes aware of the action which is alleged to violate policy. In no event may a grievance be filed more than one year after the occurrence of the alleged policy violation.
         2. The complainant may have a status KSC employee (except an attorney) act as an advocate.
         3. Two or more staff members similarly aggrieved by the same alleged violation of policy may file a joint grievance.
         4. Confidentiality shall be required of all participants in the grievance resolution process. All information revealed and all discussions held shall be confidential as reasonable within legal requirements and organizational responsibilities.
         5. The filing of a grievance shall not affect the rights of an employee to seek any remedy which may be available in an external forum and does not postpone any deadlines for pursuing such remedies.
         6. An employee who is grieving a termination may be placed on leave of absence without pay during the time involved in the processing of a grievance. See policy USY V.D.12.3.3.
      4. Remedies. Remedies available under this grievance procedure shall be limited to those necessary to bring the grieved action into conformance with the policy which was violated.
      5. Coordination. The KSC Human Resources Office shall serve as a resource for understanding the process and possible remedies and providing options for alternative resolutions and processes if appropriate.
   5. Grievance Resolution Process
      1. A written statement of the grievance is filed by the grievant with the KSC Human Resources Office. The statement will include the specific policy or policies alleged to be violated, a sequence of related events and the roles of the aggrieved party and grievant. A suggested remedy may be included in the statement.
      2. Step One
         1. The KSC Human Resources Office will arrange a conciliation meeting to take place within twenty (20) working days of receipt of a filed grievance. In cases where the complaint resolution was used, the grievance moves to Step Two within twenty (20) working days of the failure of that process (as determined by the KSC Human Resources Office). The meeting will include the grievant, the grievant's advocate, a representative of the KSC Human Resources Office, the person whose actions are being grieved and any other administrators appropriate to resolution of the grievance.
         2. The grievant and KSC each have the responsibility to provide the conciliation group with documents which can reasonably be expected to contain evidence bearing on the case. This process of "discovery" may include an effort to investigate the facts and ask questions of the participants prior to the conciliation meeting in an effort to seek out evidence relevant to the grievance.
         3. The KSC Director of Human Resources shall coordinate the collection of the documents. The documents shall be made available to all parties involved in the conciliation meeting. The Director shall have the authority to determine what materials and records shall be available as copies to participants at Step One.
         4. The conciliation group will meet to review the grievance and fashion a mutually acceptable resolution. The meetings shall be non-adversarial, and each party is expected to extend serious consideration to the views of the other parties.
         5. If the parties are able to reach a consensus for the resolution of the grievance, the terms, steps and time frame of the resolution will be recorded, implemented and monitored by Human Resources. The resolution shall not be precedent setting.
         6. If the parties are unable to reach a solution, the grievant shall have the option of filing a written request to proceed to Step Two. This request will be made to the KSC Human Resources Office no later than five (5) working days after the end of Step One. All documents submitted for Step One will be provided by the Human Resources Office for review with Step Two.
      3. Step Two. The grievant shall have the option to have a Step Two grievance heard directly by the President or by a hearing panel which makes a recommendation to the President.
         1. The hearing panel shall consist of three (3) USNH status employees, at least one of which must be the same occupation type as the grievant, and at least one which must be the same occupational type as the person whose actions are being grieved. If the person whose actions are being grieved is a principal administrator, the panel member need only have a supervisory responsibility.
         2. Each party shall generate names of possible panel members with Human Resources having the final responsibility for panel selection. Human Resources will coordinate training for hearing panel members regarding their role in the grievance process.
         3. After selection of the hearing panel, the panel shall determine the hearing procedures, including, but not limited to, reasonable time limitations if any, method of hearing witnesses, and overall format. The panel shall have the authority to determine what materials and records shall be available to participants.
         4. The panel will determine whether a policy violation has occurred, and if so, what shall be the appropriate remedy. The decision will be a majority decision. Findings and remedies shall be limited to the policies involved in the grievance.
         5. If a panel was selected, the panel will, within five (5) working days of the final hearing, make a recommendation to the President of Keene State College, which will include a determination of which, if any, policies have been violated, and a proposed remedy and suggested time frame if appropriate. The decision will be by majority vote.
      4. Conclusion. The President's decision is the final on-campus step. In limited circumstances, a grievant who remains aggrieved is entitled to pursue a further review by the USNH Chancellor, according to System grievance policy, USY V.D.12.4.1.7.1.
   6. Record keeping. Complaint and grievance information shall be kept in a confidential file in Human Resources and will be accessible only to those individuals engaged in the complaint process and appropriate administrators with an official need to know.
      1. All materials generated in a grievance proceeding, including tape recordings, exhibits, minutes, and affidavits shall be the property of Keene State College.
      2. At the conclusion of the grievance all materials shall be held in a confidential file in the KSC Human Resources Office.
      3. The KSC Director of Human Resources shall make an annual report to the KSC President and the USNH Human Resources Office of the total number of grievances filed.