ASTeCC POLICY GUIDE
(Revised June 27, 2000)
The Advanced Science and Technology Commercialization Center exists to advance the strategic plan of the University and to facilitate the work of the occupants. We strive to keep it a safe and secure environment that is well run to achieve those goals.
It is hoped that the following information will be of assistance to you and that this information will help us maintain a uniform policy for the operation of the units in ASTeCC.
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C. Intellectual Property Considerations
A. General Information
Because non-University visitors will frequently visit ASTeCC and because independent for-profit entities are operating in ASTeCC, it is important to maintain a professional coordinated appearance for office and laboratory furnishings. No furniture or furnishings (including photographs and posters) will be allowed that detract from the appearance of the building. No photographs or other items may be placed on the walls in common areas without approval of the Director.
Bulletin boards are provided for display of information about activities in the various units as well as recent publications. Occupants are encouraged to use this means of communicating their interests and areas of research to others.
All offices and laboratories must be kept free of clutter at all times. Trash, boxes, etc, cannot block hallways or doorways. Trash that is not removed by the custodial staff within 24 hours should be reported to the Director's assistant. No animals (other than authorized research subjects), bicycles or other vehicles shall be allowed in the halls, corridors, elevators, or elsewhere in the building.
No modifications or changes of any kind that affect the appearance of offices and laboratories may be made except with the approval of the Director.
Faculty members should immediately notify the business manager in their respective departments of any equipment that is being moved into the ASTeCC Building and ask the business manager to update the equipment inventory list. This will assure that insurance coverage will be maintained in the event of any damage and/or theft. Private businesses will be responsible for their own insurance coverage.
Two phones will be issued to each occupant (one for an office and one for a laboratory). The faculty or business occupant will be billed for all long distance calls made and a monthly user fee (this fee will fluctuate depending on the number of phones in use in the building). Arrangements for additional phones can be made with Communication Services. Occupants will be responsible for all charges for any additional phones.
Each faculty or business occupant will be assigned an account number for the copy machine and the fax machine upon request. Both machines are located in A153. Mailboxes are located in Room A153A. Outgoing mail may also be left in Room A153A for pickup by the University Post Office. Mail is usually picked by 10:00 AM each day and goes into circulation that day. In addition, mail will be taken to the UK Post Office each day around 2:30 PM. All off-campus mail must have an appropriate postal meter card attached or the correct postage affixed.
A seminar room that accommodates approximately 40 (or can be divided for smaller groups) and a conference room are available for use. Please make reservations for either of the rooms with the Director's assistant in Room A152.
The Director's assistant (Room A152) will approve requests for keys/access codes. Each faculty member must complete an information sheet for each student or staff member who will be associated with a laboratory in ASTeCC before keys/access codes will be issued. Any lost keys must be reported to the Director's assistant immediately.
It is required that each PI makes sure that a check-out sheet is completed by each individual when they are no longer associated with his/her group. The completed form should be turned in to the Director's Assistant (Room A152).
All offices and laboratories must be kept locked when not occupied.
We do not grant access to offices in ASTeCC to anyone unless we have approval from the occupant. If you want to authorize access to your office by others please notify the Director's assistant by email or voice message.
The water closets, wash basins, sinks, and other apparatus shall not be used for any purpose other than those for which they are constructed. And no sweepings, rubbish, or other substance shall not be thrown therein nor shall anything be thrown out of the windows, doors, or other openings.
The floors, skylights, and windows that reflect or admit light into the corridors or passageways or to any place in said building shall not be covered or obstructed.
B. Safety-Related Issues
All occupants are expected to familiarize themselves with the University's laboratory safety procedures and chemical hygiene plan. Everyone working in an ASTeCC laboratory must complete the UK laboratory safety training.
All unusual incidents such as personal or University-owned items missing, doors left unlocked, water spills (note: a water vacuuming device is available for ASTeCC occupants), fires (even if minor), injuries requiring a doctor's attention, apparent damage, or unauthorized individuals in labs and/or offices must be reported immediately to the Director's assistant. After business hours, please contact the Director directly (266-8551).
Strict record keeping and OSHA compliance will be required for all chemicals in ASTeCC.
A chemical storage area is available in the loading platform area. Please see the Senior Storekeeper in Room A033C if your laboratory needs space in this area. In addition, there is a small chemical storage cabinet in the shared use laboratory, A061, for storage of small items.
Smoking is not allowed in any part of the building or immediately outside any entrance to the building.
No additional locks, hooks, or attachments shall be placed on any door or window of the building.
C. Intellectual Property Considerations
We are engaged in the exciting prospect of transferring technology from the University to the private sector, and it is appropriate to set forth the conditions that the faculty or for-profit employees need to observe in the operation of both these for-profit businesses and their University research offices/laboratories.
The University has promulgated an Administrative Regulation governing Intellectual Property (AR 11-1.1-3). Faculty and staff are expected to read, understand, and abide by the conditions of this document, which is available on the UK web page. At the heart of this policy is the notion that the faculty and staff will, as a condition of their employment, not only assign their interest in intellectual property to the University but will also act to protect the University's intellectual property rights. This expectation suggests that the faculty who have a business operating in ASTeCC as well as an office and/or research laboratory elsewhere on campus will abide by the following understandings. These understandings are consistent with the goal of protecting the University's intellectual property rights and represents rules to which all lessees in ASTeCC must subscribe.
- Neither the lessee nor a faculty member is authorized to sublease space in ASTeCC without express written approval of the Director and KTI.
- Work performed in for-profit businesses in ASTeCC shall be consistent with and limited to the business plan filed when seeking a lease.
- In order to protect the University's intellectual property, there must be a strict separation of the work or research activities of employees in the for-profit businesses and the work or research activities of employees and students of the University.
- Employees of the for-profit businesses in ASTeCC can also be "University personnel." The phrase "University personnel" includes individuals who are undergraduate students, graduate students, University-employed postdoctoral fellows, visiting scholars, research associates, technicians, and anyone in a comparable University position. However, the following conditions must be met:
- undergraduate or graduate student employees cannot be enrolled in a course taught by a faculty member who is an owner or plays a significant role in the for-profit ASTeCC business or in a degree program where the faculty member would have the possibility of influencing degree completion.
- graduate student employees cannot exceed the 20-hour limit or maximum necessary to maintain student status (i.e., hours worked in ASTeCC and elsewhere at the University will count as part of the 20-hour total);
- postdoctoral scholars, whose goal it is to stimulate their academic careers by conducting publishable research, must not work on non-publishable proprietary research;
- "University personnel" should not exceed full-time employment; and
- "University personnel" cannot work on program/project/product at the for-profit business that is directly related to their work at the University.
- Employees of the for-profit businesses in ASTeCC cannot perform any work in University space unless there is a written agreement covering this work and payment for the University services is made.
- Employees of the for-profit businesses in ASTeCC cannot perform any work on any University projects, contracts, or grants in leased space in ASTeCC without express written approval.
- Faculty must be paid in accordance with the time and effort invested in their University position and their position with a for-profit business in ASTeCC.
- Ideas, inventions, and discoveries made in the University setting by the faculty member or any of his/her University associates or employees shall be disclosed, according to University regulations, to the Intellectual Properties Committee and cannot under any circumstances be transmitted directly from the University to a for-profit business in ASTeCC.
- University equipment cannot be moved into space leased to for-profit businesses. Equipment owned by the for-profit businesses in ASTeCC cannot be housed or operated in University space.
University personnel should also be certain they have reviewed and are thoroughly familiar with the University's policy on conflict of interest/financial disclosure found in AR II-4.0-4 as well as the policy on consulting and other overload employment, found in AR II-1.1-1. University personnel working with a for-profit business in ASTeCC must provide to the Director a copy of the approved consulting/overload agreement covering their work with the ASTeCC-based firm As well as a copy of the conflict of interest/financial disclosure form prior to building occupancy by the firm or prior to commencing work with the firm, whichever is earlier.
Businesses in the ASTeCC Building may not use the name of the University, other than in their mailing address, nor use the UK logo in any way associated with their activities.
ASTeCC
ASTeCC Faculty Research Programs
Shared Research & Support Resources
contact us
ASTeCC Leasing & Operations
Tanya Floyd
859.218.6563
A152 ASTeCC Building
University of Kentucky
Lexington, KY 40506-0286
Business Development
Dean Harvey
859.257.1930