Office of Research and Grants (ORG)

Legal Entity Name: Lipscomb University

IRS Entity Type: Non-Profit 501(c)(3)

Organization Type: Private Institution of Higher Education

Incorporation: February 2, 1901, State of Tennessee

Associate Provost of Research and Graduate Studies: Trace Hebert

Director, Office of Research & Grants: Robyn Saakian

Chief Financial Officer: Jeffrey Baughn

Chief Academic Officer: Jennifer Shewmaker

Academic Finance Director: Rebecca Johns

Research Integrity Officer: Danielle Duke

Responsible Conduct of Research Coordinator: Susan Lloyd

Unique Entity Identifier (UEI): LUENG479WQW1

Commercial And Gov’t Entity Code: CAGE Code - 0MZ75

Employer Identification Number: 62-0485733

Dun & Bradstreet Number (D&B): 075381186

FICE Institutional Code: 003486

Human Subjects Assurance (FWA): FWA00027444

Integrated Postsecondary Ed ID: 219976

Standard Industrial Classification: 8211- College and Universities

State Representative District: District 56

State Senate District: District 21

U.S. Congressional District: Tennessee 05 (TN-005)

Misconduct in Research Filing Date: March 2022

NICRA Cognizant Federal Agency: U.S. Department of Health and Human Services

NICRA Approved Rates: 36.20% On-Campus, 27.60% Off-Campus

NICRA Rate Term: 06/01/2023 to 05/31/2027 (all programs) 

NSF Awardee/Performing Code: 0034868000

ORG utilizes and recommends Grant Forward (Lipscomb subscription-based) to find grants and research funding entities. Notify us if you have difficulty accessing this resource or have questions about conducting a grant search.

The Office of Research and Grants requires that all externally supported proposals (e.g., federal, state, corporate, or foundation funding source) be approved for submission through a process in which an institutional Routing Form is completed and signed. DocuSign® is how ORG streamlines the grant application approval workflow. The signature process is initiated by our office, and the Routing Form is distributed via email to appropriate signatories. 

Please contact us at researchandgrants [at] lipscomb.edu (researchandgrants[at]lipscomb[dot]edu )if you intend to apply for external funding in order to start the routing process at least two weeks before the application deadline. Please see the Routing Form to be prepared ahead of time regarding the questions that the Principal Investigator/Project Director will need to complete via DocuSign®. The Routing Form below is used as an example. 

Institutional Routing Forms are required to be filed:

• Prior to submission for all externally supported proposals (e.g., federal, state, corporate, or foundation funding source)
• Prior to award acceptance in cases where an award is received for which no proposal was developed and/or submitted
• For all research and programmatic grants, externally funded contracts, cooperative agreements, and subcontracts
• Prior to submission when a Letter of Intent requires a signature from an Authorized Organizational Representative (AOR) or other authorized institutional representative

When an award (general term for external funding) is received, it goes through a negotiation process through which the contract is reviewed and can be amended before signing. Usually, negotiations are only required if there are issues of non-conformance.

Once terms are reached, the award acceptance is signed by the sponsor of the award and a university official within the ORG. No faculty or staff member has the authorization to negotiate and sign. The document would be non-binding.

After the award is accepted, it is entered into our system to track and report expenses. The ORG then oversees these metrics, as well as the Principal Investigator/Project Director's management, upon which an award is contingent. 

Policy Statement

Lipscomb University (“Lipscomb”) personnel must submit all documentation for externally funded research and sponsored programs for internal approval, which is only authorized for submission upon approval by the Office of Research and Grants.

Purpose

The purpose of this policy is to establish guidelines for the preparation and approval of externally funded programs to be ultimately submitted by the Office of Research and Grants (which provides an authorized signatory agent for proposals).

Applicability

This policy is applicable to any Lipscomb full-time, exempt employee participating in an externally funded research or sponsored program administered by the Office of Research and Grants, unless an exception has been granted by the executive administration.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

• Principal Investigator (PI) and Project Director (PD). Lipscomb considers a PI and PD to be the individual who bears the responsibility for the overall operation and performance of the award, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. The term PI may be commonly seen in research grants, whereby PD is commonly used for awards which are more programmatic in nature without a dedicated research component. The term principal investigator is intended to include, by reference throughout this policy, the role of co-principal investigator.

Procedures

Routing Form. All proposals for external funding must be approved by the PI/PD’s supervisor(s) on the institution’s Routing Form prior to any review or subsequent approval by the Office of Research and Grants. No proposal may be submitted without completing the Routing Form without pre-approval by the Office of Research and Grants.

Authorization to Submit. Proposals on behalf of Lipscomb are only authorized to be submitted by the Office of Research and Grants, unless otherwise delegated.

Timeline for Submission. PI/PDs are encouraged to submit all proposal documents and the Routing Form in ample time to enable all approvers and the Office of Research and Grants to review all documentation for compliance. As a general practice, PI/PDs are encouraged to submit to the Office of Research and Grants any and all materials two (2) weeks prior to the proposal due date.  

Limited Submissions. Certain solicitations limit the number of proposals that Lipscomb may submit. Such proposals shall be coordinated through the Office of Research and Grants, whose determination shall be final.

Forms

• Proposal Routing Form (to be located electronically on the website of the Office of Research and Grants).

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants, which can be reached at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022. This policy should be reviewed, and any appropriate changes made and duly approved, on an annual basis to ensure compliance with applicable law.

Policy Statement

Lipscomb University (“Lipscomb”) provides a consistent process to establish who is eligible to participate in externally funded research and sponsored programs in the role of the Principal Investigator or Project Director (PI/PD).

Purpose

The purpose of this policy is to set forth the eligibility requirements of a PI/PD on an extramurally funded research and sponsored program at Lipscomb.

Applicability

This policy applies to all externally funded research and sponsored program.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

• Principal Investigator (PI) and Project Director (PD): Lipscomb considers a PI and PD to be the individual who bears the responsibility for the overall operation and performance of the award, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. The term PI may be commonly seen in research grants, whereby PD is commonly used for awards which are more programmatic in nature without a dedicated research component. The term principal investigator is intended to include, by reference throughout this policy, the role of co-principal investigator.

Policy

Eligibility to Serve as PI/PD
Only eligible Lipscomb faculty, staff, and appointees (when appropriate) may serve as a PI/PD on extramurally funded research and sponsored program. Eligibility includes full-time faculty, staff, and administrative members. Part time/adjunct faculty, part-time staff, visiting faculty, other part-time personnel, and affiliates (including but not limited to emeritus faculty), may only serve upon prior written approval of the Chief Research Officer.

Students, Fellows, and Trainees:
Postdoctoral fellows and trainees (postdoctoral fellows and graduate students) may be eligible to be principal investigators on fellowship and training programs when such a designation is required by the funding agency and a PI-eligible faculty or staff personnel is identified as their sponsor/mentor. Undergraduate students are not eligible to serve as a PI, but may serve as co-PI under the condition that the PI is duly eligible to serve in that capacity.

Awards to the Institution:
All extramurally funded research and sponsored programs administered on behalf of Lipscomb shall be assigned a PI/PD.

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants, which can be reached at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022. This policy should be reviewed, and any appropriate changes made and duly approved, on an annual basis to ensure compliance with applicable law.

Policy Statement

This policy provides a consistent and compliant process for the approval of participation of any person or entity in externally funded research and sponsored programs of Lipscomb University (“Lipscomb”).

Purpose

The purpose of this policy is to outline the procedure for ensuring that all participants, entities, and subawards are eligible for participation in externally funded research and sponsored programs. The procedures set forth in this policy help ensure that externally funded research and sponsored programs adhere to and comply with the highest standards, are in continual compliance with Federal rules and regulations, and are conducted consistently across all contracts and awards held or submitted by Lipscomb.

Applicability

This policy is applicable to any Lipscomb employee or student participating in an externally funded research or sponsored program, including, without limitation, participation in any grant, contract, subaward, or other externally funded contractual obligation.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

• CFR means the Code of Federal Regulations.
• Federal Agency or Agency, as defined in 5 U.S.C. § 551(1), generally means each authority of the Government of the United States, whether or not it is within or subject to review by another agency.
• FR means the Federal Register.

Authority

This policy is aligned with applicable Federal rules and regulations, including, without limitation, the following:

• (a) Executive Order 12549, which establishes federal regulations “… in order to curb fraud, waste, and abuse in Federal programs, increase agency accountability, and ensure consistency among agency regulations concerning debarment and suspension of participants in Federal programs.”
• (b) Executive Order 12689, which indicates that “[n]o agency shall allow a party to participate in any procurement or nonprocurement activity if any agency has debarred, suspended, or otherwise excluded (to the extent specified in the exclusion agreement) that party from participation in a procurement or nonprocurement activity.”
• (c) 2 CFR § 200.214, which states that “[n]on-federal entities and contractors are subject to the non-procurement debarment and suspension regulations implementing Executive Orders 12549 and 12689 … . [These regulations] restrict awards, subawards, and contracts with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in Federal assistance programs or activities.”
• (d) Section (H) of 2 CFR Appendix II to Part 200, which states that “[a] contract award (see 2 CFR 180.220) must not be made to parties listed on the governmentwide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), ‘Debarment and Suspension.’ SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.”

Procedures

Debarment and Suspension Search

Any externally funded contract award, including any subaward received from a partnering entity, issued to Lipscomb may not include or involve any person or entity engaged in the management or operation of the research or sponsored program who is federally debarred or suspended from such participation. To ensure compliance with applicable federal rules and regulations, Lipscomb will conduct a search of all such persons and entities prior to the acceptance of any such award using the publicly accessible System for Award Management (SAM) website, located at www.sam.gov.

To ensure that a consistent process is established to govern the flow of all contract mechanisms, Lipscomb’s Office of Research and Grants may also conduct debarment and suspension searches of any person or entity participating in activities funded by non-federal grants.

Confidentiality

Lipscomb’s Office of Research and Grants shall maintain the confidentiality of any results produced from a debarment and suspension search conducted through www.sam.gov. Notwithstanding the foregoing, the Office of Research and Grants may notify any entity of any federal debarment or suspensions identified in the public record and, at its discretion, may decline the related award or substitute the participation of other persons or entities that are not debarred or suspended from participating in such research or sponsored program.

Ineligibility Received During Participation

Any person or entity administering or participating in a contract award issued to Lipscomb that receives notification from a federal agency that such person or entity is considered ineligible (through debarment or suspension) while participating in such a contract award shall immediately notify Lipscomb’s Office of Research and Grants regarding their eligibility status. Such notifications shall be in writing and contain appropriate documentation from the federal agency of such status.

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants by researchandgrants [at] lipscomb.edu (email) or by phone at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022.

Policy Statement

Lipscomb University (“Lipscomb”) monitors and documents the time and effort of faculty, staff, students, and other personnel expended on externally funded research and sponsored programs in compliance with 2 CFR § 200.430 and other regulations. Time and effort shall be documented and reported consistently in all externally funded research and sponsored programs managed through the Office of Research and Grants.

Purpose

The purpose of this policy is to promote consistency in reporting time and effort devoted to externally funded research and sponsored programs. This policy ensures that Lipscomb:

• Documents allowable salaries and benefits;
• Maximizes indirect cost recovery;
• Is positioned to meet committed matching requirements;
• Remains federally compliant and auditable;
• Upholds its reputation for being a responsible steward of funding; and
• Maintains documentation sufficient to serve as a subcontractor on federal flow-through awards issued to Lipscomb by partnering institutions.

Applicability

This policy is applicable to any Lipscomb employee or student participating in an externally funded research or sponsored program managed through the Office of Research and Grants.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

Budget, as defined in 2 CFR §200.1, means the financial plan for the Federal Award that the Federal Awarding Agency or pass-through entity approves during the Federal Award process or in subsequent amendments to the Federal Award. It may include the Federal and non-Federal share or only the Federal share, as determined by the Federal Awarding Agency or pass-through entity.

CFR means the Code of Federal Regulations.

Federal Agency or Agency, as defined in 5 U.S.C. § 551(1), generally means each authority of the Government of the United States, whether or not it is within or subject to review by another agency.

Federal Award, as defined in 2 CFR §200.1, has the following meaning, depending on the context:

• (i) The Federal financial assistance that Lipscomb receives directly from a Federal Awarding Agency or indirectly from a pass-through entity, as described in 2 CFR §200.101; or (ii) the cost-reimbursement contract under the Federal Acquisition Regulations that a non-Federal entity receives directly from a Federal
• The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (2) of the definition of Federal financial assistance in 2 CFR §200.1, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations (48 CFR §52.204-17). Federal Award does not include other contracts that a Federal Agency uses to buy goods or services from a contractor or a contract to operate Federal Government owned, contractor operated facilities. See also the definitions of Federal financial assistance, grant agreement, and cooperative agreement in 2 CFR §200.1.

Federal Awarding Agency, as defined in 2 CFR §200.1, means the Federal Agency that provides a Federal Award directly to a non-Federal entity.

Principal Investigator, or PI, and Project Director, or PD, mean the individuals who bear the responsibility for the overall operation and performance of the externally funded research or sponsored program, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. PI is commonly used in research grants, whereas PD is commonly used for awards that are more programmatic in nature without a dedicated research component. As used in this policy, Principal Investigator includes the role of co-Principal Investigator.

U.S.C. means the United States Code.

Procedures

Authorizing Individuals: The PI or PD shall serve as the individual authorized to certify the time and effort of all individuals working on any externally funded research or sponsored program, including themselves, regardless of whether such individuals receive compensation for such time and effort. In all cases, the PI or PD certifying time and effort reporting must have first-hand knowledge of the participation of all individuals for whom the PI or PD is certifying. All completed Time and Effort Reporting Forms must be forwarded to the Director of the Office of Research and Grants to ensure compliance with federal and other requirements.

Frequency: All Lipscomb time and effort reporting is completed on an after-the-fact basis, including the completion or compilation of any and all appropriate supporting documentation for all externally funded research or sponsored programs at least on a quarterly basis (as aligned with applicable funding requirements).

Delegation Approval: The PI or PD may temporarily delegate, with approval of the Office of Research and Grants through consultation of the applicable department, the authority to certify the time and effort of all individuals working on an externally funded research or sponsored program to another individual who has sufficient knowledge of the project activities and a reliable means of verifying work performed. Delegation of such certification may be approved on a case-by-case basis, such as extended absence of the PI or PD because of lengthy travel, sabbatical, or other circumstances where the PI or PD has limited access to verify accuracy, or severe illness. The duration of the delegated authority shall be determined and approved by the Office of Research and Grants to ensure compliance with 2 CFR § 200.308, which requires prior approval from a Federal Awarding Agency for a Budget or program revision in the event that the PI or PD should, for any
reason, become disengaged from the project for more than three (3) months or a 25 percent reduction in time devoted to the project.

Archival: The PI or PD shall forward all verified and certified Time and Effort Reporting Forms to the Office of Research and Grants, who shall in turn ensure that documentation is retained appropriately and provided to authorized individuals and auditors.

Conflict: This policy is subject to applicable law. In the event of a conflict between the provisions of this policy and applicable law, including, without limitation, 2 CFR §200, the provisions of applicable law shall control.

Form(s)

Time and Effort Reporting Form

This document is aligned with 2 CFR 200.430(i) and is to be completed on an after-the-fact basis for all funding sources and for all externally funded projects administered by the Office of Research and Grants (ORG). This form must be submitted to ORG at least on a quarterly basis, or as otherwise directed by ORG and signed by the individual or delegate with first-hand knowledge of the performance and distribution of effort presented. Please complete the below fields and researchandgrants [at] lipscomb.edu (email) this form, with appropriate supporting documentation. Charges for salaries and wages (including those authorized for cost sharing) must reasonably reflect all activities for which the employee is compensated by Lipscomb University, not exceeding 100% of compensated activities. In accordance with FLSA requirements (29 CFR part 516), charges for nonexempt employees must include the total number of hours worked daily.

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants by researchandgrants [at] lipscomb.edu (email )or by phone at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022.

Policy Statement

This policy outlines the conditions and limitations in which certain personnel of Lipscomb University (“Lipscomb”) may receive Extra Compensation as a result of participation in externally funded research or sponsored programs at Lipscomb.

Purpose

The purpose of this policy is to apply federal regulations governing the issuance of any Extra Compensation to Lipscomb personnel in the performance of externally funded research and sponsored programs, recognizing that service above and beyond the normal scope of an employee’s assigned duties and job functions may be required.

Applicability

This policy is applicable to any Lipscomb employee participating in an externally funded research or sponsored program administered by the Office of Research and Grants, unless an exception has been granted by the executive administration.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

CFR means the Code of Federal Regulations.

Extra Compensation means any compensation or extra service payment issued by Lipscomb that is in addition to the recipient’s IBS for services performed outside of the recipient’s principal
appointment (including services for research or programmatic projects). Extra Compensation shall not include compensation or reimbursement received for jury duty or court attendance pursuant to a subpoena, nor is it inclusive of any compensation received for any non-Lipscomb affiliated arrangement. Compensation included within an individual’s IBS may include, without limitation, appointments to roles such as director or department chair, if such a role is defined within an appointment letter or employment contract.

Institutional Base Salary or IBS, as defined in 2 CFR § 200.430(h)(2), means the annual compensation paid by Lipscomb for an individual’s appointment, whether that individual’s time is spent on research, instruction, administration, or other activities. IBS excludes any income that an individual earns outside of duties performed for Lipscomb.

Principal Investigator, or PI, and Project Director, or PD, mean the individuals who bear the responsibility for the overall operation and performance of the externally funded research or sponsored program, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. PI is commonly used in research grants, whereas PD is commonly used for awards that are more programmatic in nature without a dedicated research component. As used in this policy, Principal Investigator includes the role of co-Principal Investigator.

Procedures

Method of Compensation 

The preferred method of compensating any Lipscomb personnel who provide services for an externally funded research or sponsored program is through release time or course buy-out. If release time is not available or not favorable for a particular award, and personnel are eligible to receive Extra Compensation as set forth in this policy and applicable federal regulations (including, but not limited to, 2 CFR §200.430(h)), Extra Compensation may generally be approved under the following conditions:

• Extra Compensation is clearly indicated in the awarded budget, or Lipscomb has received prior written approval by the awarding agency; and
• Extra Compensation is approved by the employee’s supervisor and the Office of Research and Grants.

Extra Compensation

To ensure consistency across all awards, the Office of Research and Grants shall apply the appropriate federal regulations, including, but not limited to, 2 CFR §200.430(h), with respect to the issuance of Extra Compensation to eligible exempt faculty and staff.

Exempt faculty and staff may not earn or receive any Extra Compensation exceeding 25% of their IBS as remuneration for effort expended in connection with an externally funded research or
sponsored program, unless an exception has been approved by the Provost of Lipscomb, in consultation with the Office of Research and Grants.

Non-exempt employees may generally not receive Extra Compensation. Written requests for Extra Compensation for Lipscomb non-exempt employees must be approved in advance by the Office of Research and Grants, the Office of Human Resources, the employee’s supervisor, and the funding agency or organization. Any approved Extra Compensation for non-exempt employees must comply with the applicable requirements of the Fair Labor Standards Act.

Conflict

This policy is subject to applicable law. In the event of a conflict between the provisions of this policy and applicable law, including, without limitation, 2 CFR § 200.430, the provisions of applicable law shall control.

Forms

• Proposal Routing Form (available at the Office of Research and Grants)

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants by researchandgrants [at] lipscomb.edu (email) or by phone at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022. This policy should be reviewed, and any appropriate changes made and duly approved, on an annual basis to ensure compliance with applicable law.

Policy Statement

This policy outlines the conditions and limitations for cost sharing in externally funded research or sponsored programs at Lipscomb University (“Lipscomb”).

Purpose

The purpose of this policy is to establish consistent guidelines for cost sharing in externally funded research or sponsored programs of Lipscomb.

Applicability

This policy is applicable to any Lipscomb employee or student participating in any externally funded research or sponsored program of Lipscomb.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

CFR means the Code of Federal Regulations.

Cost Sharing or Matching, as defined in 2 CFR § 200.1, means the portion of Project Costs not paid by Federal funds or contributions (unless otherwise authorized by Federal statute).

Project Cost, as defined in 2 CFR § 200.1, means total allowable costs incurred under a Federal award and all required cost sharing and Voluntary Committed Cost Sharing, including third-party contributions.

Unrecovered Indirect Costs, as defined in 2 CFR § 200.306(c), means the difference between the amount charged to the Federal award and the amount which could have been charged to the Federal award under the non-Federal entity’s approved negotiated indirect cost rate.

U.S.C. means the United States Code.

Voluntary Committed Cost Sharing, as defined in 2 CFR § 200.1, means cost sharing specifically pledged on a voluntary basis in the proposal’s budget on the part of the non-Federal entity and that becomes a binding requirement of Federal award.

Procedures

Voluntary Cost Sharing: Lipscomb does not encourage voluntary Cost Sharing or Matching contributions committed toward any externally funded research or sponsored program on behalf of Lipscomb, regardless of whether the cost is committed by Lipscomb or a third party. Voluntary commitments made toward such a program may have the effect of:

• Reducing Lipscomb’s capacity to provide such commitments at a later time or when required by another federally funded program;
• Negatively impacting Lipscomb’s indirect cost rate calculation;
• Requiring additional human capital to maintain financial data to support audits;
• Requiring fair market value valuations, institutional base salary calculations, and other rates, as required; and/or
• Being non-compliant with the regulations of the funding entity, especially for those organizations that generally prohibit Cost Sharing or Matching.

Mandatory (or Statutory) Cost Sharing: Mandatory Cost Sharing or Matching are those commitments that are required by the funding agency as a condition of receiving an award, and are generally subject to audit. Such commitments are documented by the Office of Research and Grants to support future audits, and such commitments must be approved in advance in writing (through the applicable Routing Form) by the applicable department chair and academic dean.

Recovered Indirect Costs: Indirect costs may not be voluntarily committed as a Cost Sharing or Matching without prior approval from the Office of Research and Grants. Indirect cost calculations are based on a percentage of actual expenditures, which involves both variability and risk in commitment level. In addition, indirect costs are applied by Lipscomb to support the research enterprise and may not be committed on behalf of Lipscomb by a principal investigator or project director for a specific cause or purpose.

Unrecovered Indirect Costs: Unrecovered indirect costs may only be committed at the discretion of the Office of Research and Grants, as prior approval of the funding agency is required in accordance with 2 CFR § 200.306(c)). Should a funding agency (federal, state or private) approve the utilization of unrecovered indirect costs toward a statutory matching requirement, the Office of Research and Grants will retain a written copy of the funding agency’s approval for any future audit.

Conflict: This policy is subject to applicable law. In the event of a conflict between the provisions of this policy and applicable law, including, without limitation, 2 CFR § 200, the provisions of applicable law shall control.

Forms

• Routing Form (available at the Office of Research and Grants)

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants by researchandgrants [at] lipscomb.edu (email) or by phone at 615.966.5907.

Effective Date

This policy was approved by the Office of the Provost on November 3, 2022.

Policy Statement

This policy establishes the methodology for applying Indirect Costs with respect to externally funded research or sponsored programs at Lipscomb University (“Lipscomb”).

Purpose

The purpose of this policy is to:

• Establish guidelines and procedures governing the inclusion of Indirect Costs, using Lipscomb’s Negotiated Indirect Cost Rate Agreement (as allowable), within proposals and contracts related to externally funded research or sponsored programs; and
• Establish Lipscomb’s incentive policy for the distribution of recovered Indirect Costs.

Applicability

This policy is applicable to any Lipscomb full-time employee participating in an externally funded research or sponsored program administered by the Office of Research and Grants.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

Budget, as defined in 2 CFR §200.1, means the financial plan for the Federal Award that the Federal Awarding Agency or pass-through entity approves during the Federal Award process or in subsequent amendments to the Federal Award. It may include the Federal and non-Federal share or only the Federal share, as determined by the Federal Awarding Agency or pass-through entity.

CFR means the Code of Federal Regulations.

Cognizant Agency for Indirect Costs, as defined in 2 CFR § 200.1, means the Federal Agency responsible for reviewing, negotiating, and approving cost allocation plans or Indirect Cost proposals on behalf of all Federal Agencies. The Cognizant Agency for Indirect Costs is not necessarily the same as the cognizant agency for audit, as defined in 2 CFR § 200.1. For assignments of cognizant agencies for institutions of higher education, see Section C.11 of Appendix III to 2 CFR Part 200.

Cost Sharing or Matching, as defined in 2 CFR § 200.1, means the portion of Project Costs not paid by Federal funds or contributions (unless otherwise authorized by Federal statute).

Federal Agency or Agency, as defined in 5 U.S.C. § 551(1), generally means each authority of the Government of the United States, whether or not it is within or subject to review by another agency.

Federal Award, as defined in 2 CFR §200.1, has the following meaning, depending on the context:
            (1)(i) The Federal financial assistance that Lipscomb receives directly from a Federal Awarding Agency or indirectly from a pass-through entity, as described in 2 CFR §200.101; or (ii) the cost-reimbursement contract under the Federal Acquisition Regulations that a non-Federal entity receives directly from a Federal Awarding Agency or indirectly from a pass-through entity, as described in 2 CFR §200.101.
            (2) The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (2) of the definition of Federal financial assistance in 2 CFR §200.1, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations (48 CFR §52.204-17). Federal Award does not include other contracts that a Federal Agency uses to buy goods or services from a contractor or a contract to operate Federal Government owned, contractor operated facilities. See also the definitions of Federal financial assistance, grant agreement, and cooperative agreement in 2 CFR §200.1.

Federal Awarding Agency, as defined in 2 CFR §200.1, means the Federal Agency that provides a Federal Award directly to a non-Federal entity.

Indirect Costs, as defined in 2 CFR § 200.1, means those costs incurred for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically benefited, without effort disproportionate to the results achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to establish a number of pools of indirect (facilities & administrative) costs. Indirect (facilities & administrative) cost pools must be distributed to benefitted cost objectives on bases that will produce an equitable result in consideration of relative benefits derived. Indirect Costs are further identified in 2 CFR § 200.414.

Principal Investigator means the individual who bears the responsibility for the overall operation and performance of the externally funded research or sponsored program, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. As used in this policy, Principal Investigator includes the role of co-Principal Investigator.

Project Cost, as defined in 2 CFR § 200.1, means total allowable costs incurred under a Federal Award and all required cost sharing and Voluntary Committed Cost Sharing, including third-party contributions.

Unrecovered Indirect Cost, as defined in 2 CFR § 200.306(c), means the difference between the amount charged to the Federal Award and the amount which could have been charged to the Federal Award under the non-Federal entity’s approved negotiated Indirect Cost rate.

Voluntary Committed Cost Sharing, as defined in 2 CFR § 200.1, means Cost Sharing specifically pledged on a voluntary basis in the proposal’s Budget on the part of the non-Federal entity and that becomes a binding requirement of Federal Award.

Procedures

Inclusion of Indirect Costs within Grant and Contract Budgets: The Indirect Cost rate (as identified in Lipscomb’s Rate Agreement from the U.S. Department of Health and Human Services, the Cognizant Agency for Indirect Costs) shall be consistently applied across all externally funded research and sponsored programs at Lipscomb, unless such a rate is unallowable or must otherwise be reduced by the funding Agency with a modification approved by the Office of Research and Grants.

Grants or contracts for any externally funded research or sponsored program at Lipscomb may not be subject to more than one Indirect Cost rate. Lipscomb has been assigned separate Indirect Cost rates for projects performed on- or off-campus. The off-campus rate shall be used only for those activities performed in facilities not owned by Lipscomb and for which rent is directly allocated to the project(s). If more than 50% of the time and effort of all individuals working on any externally funded research or sponsored program is performed off-campus, the off-campus rate will apply to the entire project. Working remotely from home shall not be considered off-campus activities. The final Indirect Cost rate applied by the Office of Research and Grants shall constitute the rate used for both submission and award management of all externally funded research or sponsored programs.

Indirect Costs shall not be voluntarily applied as a Cost Sharing or Matching unless required by the funding Agency, is in the best interest of Lipscomb, applies unrecoverable Indirect Costs prior to any other commitments (as allowable), and is pre-approved for use by the Office of Research and Grants under the administration of the Chief Research Officer.

Incentive Policy for the Distribution of Recovered Indirect Costs: Indirect Costs will be recovered according to the regulations set forth in 2 CFR Part 200 or the written policies or procedures of the funding Agency. The federal government does not provide directives to institutions of higher education regarding how recovered Indirect Costs must be disbursed, spent, or otherwise applied. Therefore, after all other costs or expenses related to any externally funded research or sponsored program at Lipscomb have been paid, Lipscomb will distribute recovered Indirect Costs as follows, unless the Office of Research and Grants directs otherwise:

• 75% to the Office of Research and Grants, which may be used at the discretion of the Office of Research and Grants to support salaries, ongoing research administration, incentives, or other costs as deemed appropriate. Any such amount distributed to the Office of Research that exceeds the annual budget of the Office of Research and Grants shall be used at the discretion of the Provost;
• 12.5% to the Principal Investigator, which will be placed into a dedicated institutional account for use in future research and related activities. Funds in these accounts may roll over from one fiscal year to the next and may accumulate. Principal Investigators may choose to use these funds for activities that may include, without limitation, traveling to a conference, hiring a graduate research assistant, and/or purchasing a subscription to an academic software solution or journal. In situations where any externally funded research or sponsored program was managed by one or more co-Principal Investigators, a distribution, agreed upon in writing by all such investigators in accordance with the level of contribution provided to the project, shall determine the allocation to each investigator. While utilizing these funds, Principal Investigators must comply with all applicable policies and procedures of Lipscomb, including without limitation, the Travel, Entertainment, and Expense Reporting Policy. If all Principal Investigators for an externally funded research or sponsored program cease to be employed by Lipscomb for any reason, any funds remaining in the corresponding dedicated institutional account will be placed in a dedicated institutional account to support the appropriate academic college(s), as determined by the Office of Research and Grants; and
• 12.5% to the academic college, which will be placed into a dedicated institutional account to be used at the discretion of the dean to support ongoing college, institute, department, or unit level research activities. Funds in these accounts may roll from one fiscal year to the next and may accumulate. Appropriate expenditures may include, without limitation, upgrading computer or research equipment, providing compensation to personnel to support proposal development, matching future grant proposals (when and if allowable by the funding Agency), and/or supporting faculty or staff whose compensation is not currently funded by any externally funded research or sponsored program to engage in research activities or collaborative efforts that could create opportunities to obtain future funding.

This incentive program is limited to the distribution of applicable recovered Indirect Costs not previously approved as Cost Sharing or Matching within awarded proposals or grants. Unrecovered Indirect Costs shall not be included in any distribution pursuant to this incentive policy.

Institutional Responsibilities: Post-award grant accounting personnel will be responsible for (i) approving the awarded budget (to ensure that charges were properly calculated with institutional rates), and (ii) preparing the distribution report at the end of each fiscal year (or other applicable period, as may be required), after affected Indirect Costs have been recovered (generally up to 45 days). The report shall be provided to the Office of Research and Grants and the Provost for pre-approval of disbursement. The Office of Research and Grants shall approve the disbursements, which shall be administered by the post-award grant accounting personnel.

Conflict:This policy is subject to applicable law. In the event of a conflict between the provisions of this policy and applicable law, including, without limitation, 2 CFR § 200, the provisions of applicable law shall control.

Related Documents/Policies

• Travel, Entertainment, and Expense Reporting Policy, available on myLipscomb

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants byresearchandgrants [at] lipscomb.edu ( email) or by phone at 615-966-5907.

Effective Date

This policy was approved by the Office of the Provost on April 5, 2023.

Policy Statement

Lipscomb University (“Lipscomb”) requires that all faculty, students, postdoctoral fellows, and investigators participating in any externally funded research or sponsored program successfully complete responsible conduct of research (“RCR”) training if the Federal Awarding Agency makes RCR training a term or condition of the award. In addition, Lipscomb’s Office of Research and Grants (“ORG”) or Lipscomb’s Institutional Review Board (“IRB”) may direct any other individuals participating in any externally funded research or sponsor program to complete RCR training. Lipscomb encourages and welcomes all members of the Lipscomb research community to participate in RCR training.

Purpose

The purpose of this policy is to promote research ethics and integrity at Lipscomb through RCR training.

Applicability

This policy is applicable to any Lipscomb employee or student participating in an externally funded research or sponsored program administered by the Office of Research and Grants.

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

• CFR means the Code of Federal Regulations.
• Collaborative Institutional Training Initiative (CITI or CITI Program) is the virtual training provider currently utilized by Lipscomb to provide training in research, research conduct, and compliance.
• Federal Agency or Agency, as defined in 5 U.S.C. §551(1) and further clarified in 5 U.S.C. §552(f), generally means each authority of the Government of the United States, whether or not it is within or subject to review by another agency.
• Federal Award, as defined in 2 CFR §200.1, has the following meaning, depending on the context:
  • (1)(i) The Federal financial assistance that Lipscomb receives directly from a Federal Awarding Agency or indirectly from a pass-through entity, as described in 2 CFR §200.101; or (ii) the cost-reimbursement contract under the Federal Acquisition Regulations that a non-Federal entity receives directly from a Federal Awarding Agency or indirectly from a pass-through entity, as described in 2 CFR §200.101.
  • (2) The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (2) of the definition of Federal financial assistance in 2 CFR §200.1, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations (48 CFR §52.204-17). Federal Award does not include other contracts that a Federal Agency uses to buy goods or services from a contractor or a contract to operate Federal Government owned, contractor operated facilities. See also the definitions of Federal financial assistance, grant agreement, and cooperative agreement
    in 2 CFR §200.1.
• Federal Awarding Agency, as defined in 2 CFR §200.1, means the Federal Agency that provides a Federal Award directly to a non-Federal entity.
• Institutional RCR Coordinator means the individual appointed by Lipscomb to provide or coordinate compliant RCR and ethics training opportunities that support the research enterprise.
• Principal Investigator, or PI, and Project Director, or PD, mean the individuals who bear the responsibility for the overall operation and performance of the externally funded research or sponsored program, including management, reporting, subrecipient monitoring, record retention, compliance, effort certification, and other activities supporting program delivery and management. PI is commonly used in research grants, whereas PD is commonly used for awards that are more programmatic in nature without a dedicated research component. As used in this policy, Principal Investigator includes the role of co-Principal Investigator. As used in this policy, Principal Investigator includes the role of co-Principal Investigator.
• Responsible Conduct of Research (“RCR”), as used by the National Institutes of Health (“NIH”), promotes the aims of scientific inquiry, fosters a research environment that enables scientists to work together toward common goals, and promotes public confidence in scientific knowledge and progress for the public good.

Procedures

Lipscomb requires that all faculty, students, postdoctoral fellows, and investigators participating in any externally funded research or sponsored program successfully complete RCR training if the Federal Awarding Agency makes RCR training a term or condition of the award. In addition, the ORG or IRB may direct any other individuals participating in any externally funded research or sponsor program to complete RCR training. Lipscomb encourages and welcomes all members of the Lipscomb research community to participate in RCR training.

COMPLIANCE
Federal Awarding Agencies have statutory requirements as to which individuals participating in externally funded research or sponsored programs need to complete RCR training. Lipscomb’s compliance with this training requirement is tracked by the ORG and IRB. Federal Awarding Agencies requiring completion of virtual or face-to-face RCR training include, but are not limited to, the NIH, the National Science Foundation (“NSF”), and the U.S. Department of Agriculture’s National Institute of Food and Agriculture (“NIFA”). Compliance is also required for direct federal flow-through awards as well as subawards received by partnering institutions and organizations.

NON-COMPLIANCE
Non-compliance with RCR training requirements may result in any of a number of consequences, including, but not limited to, disallowance of salary and any associated expenses charged to the externally funded research or sponsored project, removal of the PI from the project, the appointment of a replacement PI, removal from research support roles for a sponsored project, loss of eligibility to apply for future grants, termination of assistantships, or referral for academic disciplinary action.

VIRTUAL TRAINING
Lipscomb provides training courses through the CITI Program available at www.citiprogram.org. On the CITI Program website, click on “My Courses” and “Log In” if you already have an account, or “Register” an account in the system if you do not have an account. Select “Lipscomb University” as the Organization Affiliation. Enroll in the course entitled “Responsible Conduct of Research (RCR).”

IN-PERSON OR FACE-TO-FACE TRAINING
Lipscomb also provides a minimum of eight hours of in-person RCR training, which is required by the NIH for selected awards. The in-person RCR training must be completed within the first year of the appointment to the project or before the applicable person graduates or otherwise leaves Lipscomb, even if that imposes a shorter deadline. Upon completion of RCR training requirements, a certificate of completion will be issued by ORG to document that the requirements of the externally funded research or sponsored program have been met. It is the responsibility of the individual receiving the certification to provide appropriate copies to the IRB and/or the PI.

RESPONSIBILITIES
Lipscomb’s Institutional RCR Coordinator, who serves in the ORG, shall:

• Develop, deliver, and/or coordinate ORG-led, face-to-face, online/virtual, and hybrid trainings for the campus community in compliance with the applicable requirements of a Federal Awarding Agency (e.g., NIH, NSF, or NIFA);
• Take attendance and issue Certificates of Participation or Certificates of Completion to attendees;
• Retain appropriate documentation for all RCR training sessions in accordance with 2 CFR § 200.334, which may include slideshows, attendance, surveys, guest speakers, handouts, presentation dates/times/durations, and other relevant information; and
• Provide appropriate documentation to applicable Federal Awarding Agencies upon request, reporting, and/or audit purposes.

The ORG shall:

• Ensure that PIs of awards requiring RCR as a term or condition of the award are informed of the requirement and can communicate that requirement to appropriate senior personnel, faculty, staff, students, and others;
• Ensure that an annual RCR training calendar of in-person events is available to the campus community on Lipscomb’s website;
• Complete federal or sponsoring agency certifications, approved by the Authorized Organizational Representative, attesting that Lipscomb has or will provide an appropriate RCR training plan at the time of funding and will communicate all such requirements to the Institutional RCR Coordinator to ensure continuity of programming (if such an attestation is required at the time of submission or award acceptance);
• Provide RCR training plans to the Federal Awarding Agency (and auditors) upon request; and
• Retain all certificates for at least three years after completion, in compliance with 2 CFR § 200.334.

CONFLICT
This policy is subject to applicable law. In the event of any conflict between the provisions of this policy and applicable law, including, without limitation, Section 7009 of the America COMPETES Act, the provisions of applicable law shall control.

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants, which can be reached at 615-966-5907.

Effective Date

This policy was approved by the Office of the Provost on May 12, 2023.

Policy Statement

Lipscomb University (“Lipscomb”) requires that all faculty, staff, and students engaged in research involving Human Subjects successfully complete training appropriate to the type of research and activities being conducted.

Purpose

The purpose of this policy is to ensure that all researchers, whether or not such research is externally funded, have obtained appropriate regulatory and ethical training prior to the conduct of research or the performance of any research activities involving Human Subjects.

Applicability

This policy applies to any Lipscomb employee or student engaged in Human Subjects Research, whether or not the research or activities are performed on- or off-campus (including virtually).

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

• CFR means the Code of Federal Regulations.
• Collaborative Institutional Training Initiative (CITI or CITI Program) is the virtual training provider currently utilized by Lipscomb to provide training in research, research conduct, and compliance.
• Human Subject, as defined in 45 CFR § 46.102(e)(1), means a living individual about whom an investigator (whether professional or student) conducting research: (i) obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or (ii) obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens.
• IRB means the Lipscomb Institutional Review Board, which is the committee that performs ethical review of proposed research involving Human Subjects.
• Human Subjects Research involves a wide variety of research procedures, including, but not limited to, the collection of Human Subject data through survey mechanisms; direct or indirect observations; interventions; standardized tests from the fields of education, psychology or human performance; investigational drugs or devices; randomized clinical trials; research utilizing medical records; and/or research using existing pathological specimens, discarded tissue, or secretions.
• Research, as defined in 45 CFR § 46.102(l), means a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities. For purposes of this policy, the following activities are deemed not to be research:
  1. (1) Scholarly and journalistic activities (e.g., oral history, journalism, biography, literary criticism, legal research, and historical scholarship), including the collection and use of information, that focus directly on the specific individuals about whom the information is collected.
  2. (2) Public health surveillance activities, including the collection and testing of information or biospecimens, conducted, supported, requested, ordered, required, or authorized by a public health authority. Such activities are limited to those necessary to allow a public health authority to identify, monitor, assess, or investigate potential public health signals, onsets of disease outbreaks, or conditions of public health importance (including trends, signals, risk factors, patterns in diseases, or increases in injuries from using consumer products). Such activities include those associated with providing timely situational awareness and priority setting during the course of an event or crisis that threatens public health (including natural or man-made disasters).
  3. (3) Collection and analysis of information, biospecimens, or records by or for a criminal justice agency for activities authorized by law or court order solely for criminal justice or criminal investigative purposes.
  4. (4) Authorized operational activities (as determined by each agency) in support of iintelligence, homeland security, defense, or other national security missions.

Procedures

HUMAN SUBJECTS RESEARCH TRAINING
Human Subjects Research training courses are available at www.citiprogram.org. On the CITI Program website, click on “My Courses” and “Log In” if you already have an account, or “Register” an account in the system if you do not have an account. Select “Lipscomb University” as the Organization Affiliation.

Lipscomb provides the campus community with three CITI training courses in Human Subjects Research. Researchers (and faculty advisors, as appropriate) must earn a CITI Certificate of Completion in one course that is most closely aligned to the type of Research being conducted. The three available Human Subjects Research courses are as follows:

Option 1: Social-Behavioral-Education (“SBE”) Human Subjects Research
Researchers shall take this course if the proposed Research focuses only on social, behavioral, or educational subjects and DOES NOT involve Research of physical health, mental health, biomedical topics, blood draws, investigational drugs or devices; randomized clinical trials; Research on medical records; or Research using existing pathological specimens, discarded tissue, or secretions.

Option 2: Health Sciences, Biomedical, or Pharmaceutical Human Subjects Research
Researchers shall take this course if the Research involves physical health, mental health, biomedical topics, blood draws, investigational drugs or devices; randomized clinical trials; Research on medical records; or Research using existing pathological specimens, discarded tissue, or secretions.

Option 3: Interdisciplinary-SBE and Health Sciences+
Researchers shall take this course if the Research focuses upon a combination of social, behavioral, or education subjects and involves physical health, mental health, biomedical topics, blood draws, investigational drugs or devices; randomized clinical trials; Research on medical records; or Research using existing pathological specimens, discarded tissue, or secretions. The Interdisciplinary-SBE and Health Sciences+ course should be taken if there is doubt regarding the applicability of the other courses.

REQUIRED AND SUPPLEMENTAL MODULES
Each training course contains both required and supplemental training modules. All required modules must be successfully completed. Furthermore, researchers must take any and all supplemental modules directly related to the Research or activity(ies) being performed. Failing to take appropriate supplemental modules may cause significant delays to the IRB review process. Supplemental modules may include, but are not limited to:

• Prisoners (ID: 8 or ID: 506)
• Children (ID: 9 or ID: 507)
• Pregnant women, fetuses, and neonates (ID: 10)
• International research (ID: 14081 or ID: 509 or ID: 971)
• Public elementary and secondary schools (ID: 805)
• Internet research (ID: 510)
• Non-English speakers (ID: 17260)
• Gender and sexuality diversity (ID: 16556)
• Undocumented status (ID: 16656)
• Critically ill (ID: 16592)
• Decisionally impaired (ID: 16610)
• Older adults (ID: 16502)
• Socially or economically disadvantaged (ID: 16539)
• Physical disabilities and impairments (ID: 16657)
• Students in research (ID: 1321)
• Workers and employees (ID: 483)
• Public health (ID: 17637, 17638, 17639, 17640)

In addition, a CITI Certificate of Completion may be required for one or more of the following courses, as specified for the applicable type of Research:

Supplemental Course:
Information Privacy and Security
This course is required if a Research study includes data from medical records or other health-related information.z

Supplemental Course:
Good Clinical Practice Social/Behavioral Research Best Practices for Clinical Research
This course is required for any individual engaged in Research regulated by the U.S. Food and Drug Administration. This type of Research typically involves drug, device, or biologic agents or products. This course is recommended for any beginning researcher learning the steps involved in high-quality Research and participant safety, and may also be included in Research methodology courses.z

Supplemental Course:
Responsible Conduct of Research (“RCR”)
Completion of this course does not meet requirements for Human Subjects Research; however, completion of a Human Subjects Research course and RCR may be required in certain externally funded Research and sponsored programs. The Office of Research and Grants will notify all researchers if this course is required as a condition of any award.z

Supplemental Course and In-Person Training:
RCR plus Eight Hours of Face-to-Face Training
Virtual and face-to-face training is required for certain categories of Research funded by the National Institutes of Health, and potentially other funding agencies. The Office of Research and Grants will notify all researchers if this course is required as a condition of any award.

CONFLICT
This policy is subject to applicable law. In the event of a conflict between the provisions of this policy and applicable law, including, without limitation, 45 CFR § 46, the provisions of applicable law shall control.

Contact

For additional information or questions regarding this policy, contact the Office of Research and Grants, which can be reached at 615-966-5907.

Effective Date

This policy was approved by the Office of the Provost on May 12, 2023.

2026 NON-PHS Research Misconduct Policy

2026 PHS Research Misconduct Policy

Purpose

The purpose of this policy is to: 

• Encourage research, creation, and innovation;
• Promote the dissemination of protected Intellectual Property for commercial development;  Specify individual and institutional ownership and property rights of Intellectual Property;
• Provide for income distribution or other benefits that encourages ongoing innovation; and
• Ensure ongoing compliance with federal regulations and Externally Funded Research or Sponsored Program requirements. 

Applicability

This policy is applicable to the following individuals (each, a “Covered Person”):

• Any employee of Lipscomb University (“Lipscomb”), including any full- or part-time faculty,  staff, or student-worker of Lipscomb;
• Any individual or entity who provides services to Lipscomb pursuant to a work-for-hire,  independent contractor, or other similar agreement or arrangement with Lipscomb;
• Any student enrolled in any full- or part-time program of study at Lipscomb, regardless of employment status with Lipscomb while enrolled; and
• Any individual who is not employed by or affiliated with Lipscomb but utilizes Lipscomb facilities, equipment, and/or other resources, including, without limitation, individuals conducting research on- or off-campus, except for individuals who provide services solely to external third parties who lease space on campus from Lipscomb.  

Definitions

Capitalized terms that are used but not otherwise defined in this policy have the following meanings:

CFR means the Code of Federal Regulations. 

Copyright means a protected work of authorship, such as writings, music, and works of art that have been tangibly expressed. The subject matter for Copyright protection is set forth in 17 U.S.C. § 102.  

Creator or Inventor is the Covered Person(s) who Invented, authored, or were otherwise responsible for the creation, Invention or discovery of Intellectual Property. 

CRO means Lipscomb’s Chief Research Officer. 

Derivative Work means a work based upon one or more preexisting works, such as a translation,  musical arrangement, dramatization, fictionalization, motion picture version, sound recording, art reproduction, abridgment, condensation, or any other form in which a work may be recast,  transformed, or adapted. A work consisting of editorial revisions, annotations, elaborations, or other modifications, which, as a whole, represent an original work of authorship, is a Derivative Work. 

Externally Funded Research or Sponsored Program means a grant or contract between Lipscomb and an external entity (such as a federal, state or local government, higher education institution, nonprofit organization, or for-profit entity) pursuant to which funding or other resources are provided to Lipscomb for the purpose of completing a specified project or program.  

Federal Agency, as defined in 5 U.S.C. § 551(1), generally means each authority of the Government of  the United States, whether or not it is within or subject to review by another agency. 

Federal Award, as defined in 2 CFR § 200.1, has the following meaning, depending on the context:

• The Federal financial assistance that Lipscomb receives directly from a Federal Awarding  Agency or indirectly from a pass-through entity, as described in 2 CFR § 200.101; or (ii) the  cost-reimbursement contract under the Federal Acquisition Regulations that a non-Federal entity receives directly from a Federal Awarding Agency or indirectly from a pass-through  entity, as described in 2 CFR § 200.101.  
• The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (2)  of the definition of Federal financial assistance in 2 CFR § 200.1, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations (48 CFR § 52.204-17). 

Federal Award does not include other contracts that a Federal Agency uses to buy goods or services  from a contractor or a contract to operate Federal Government owned, contractor operated facilities. See also the definitions of Federal financial assistance, grant agreement, and cooperative agreement  in 2 CFR § 200.1. 

Federal Awarding Agency, as defined in 2 CFR § 200.1, means the Federal Agency that provides a  Federal Award directly to a non-Federal entity. 

Instructional Materials means the content, assessment, and structure of the course and materials  prepared in any form, including, without limitation, lectures, lecture notes, course syllabi, reading  lists, exams, supplemental materials, assignments, study guides, bibliographies, visual aids, images  (audio and/or visual), diagrams, slides, lab exercises, tools, simulations, multimedia presentations,  web pages, digital media, or any combination thereof. 

Intellectual Property means any Invention, discovery, improvement, Copyrightable work, Patent,  Trademark, Trade Secret, and licensable know-how and related rights. Intellectual Property includes, without limitation, individual or multimedia works of art or music, records of confidential information generated or maintained by the university, date, texts, instructional materials, tests,  bibliographies, research findings, organisms, cells, viruses, DNA sequences, other biological materials, probes, crystallographic coordinates, plant lines, chemical compounds, and theses. Intellectual Property may exist in a written or electronic (digital) form, may be raw or derived, and  may be in the form of text, multimedia, databases, graphics, digital images, video and audio  recordings, live video or audio broadcasts, performances, two- or three-dimensional works of art,  musical compositions, executions or processes, film, film strings, slides, charts, transparencies, or other visual/audio aids.

Invention, as defined in 35 U.S.C. § 101, is any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof. An Invention is Patentable or  may otherwise be protected under 35 U.S.C § 101 et seq., and may include any novel variety of plant which is or may be protectable under the Plant Variety Protection act (7 U.S.C. §2321 et seq.). 

Net Income means all gross revenue, including, without limitation, royalties, received by Lipscomb with respect to Intellectual Property rights less all expenses incurred or encumbered by Lipscomb for the protection, development, administration, or transfer of such Intellectual Property, including, without limitation, registration or licensing costs, legal expenses, and costs associated with any external management entities.  

ORG means Lipscomb’s Office of Research and Grants. 

Patent means a property right granted by the U.S. government to an Inventor to exclude others from making, using, offering for sale, or selling the invention throughout the United States or importing  the invention into the United States for a limited time in exchange for public disclosure of the  Invention when the Patent is granted. 

Scholarly Work Product means any Copyrightable work product that is an artistic creation of which constitutes, or is intended to disseminate the results of, academic research or scholarly study.  Scholarly Work Product may include, without limitation, books, Instructional Materials, theses and dissertations, articles, poems, musical works, dramatic works, pantomimes and choreographic works, pictorial, graphic, and sculptural works, or other works of artistic imagination. Software specifically needed to support a Scholarly Work Product or which is designed to disseminate the results of academic research and scholarly study is also considered a Scholarly Work Product. 

Significant Use of Institutional Resources means the utilization of Lipscomb resources or facilities,  which may include, without limitation, any of the following: the utilization of Lipscomb funding such  as start-up or seed funding; release/reassigned time provided to a Covered Person pursuant to the  terms of the Covered Person’s employment contract (unless the terms of such contract expressly  state that the Covered Person will own, together with any other applicable Creator(s), the Intellectual  Property that is created, Invented or discovered in connection with such release/reassigned time);  Externally Funded Research or Sponsored Program funding; Lipscomb facilities (including, without  limitation, classrooms, laboratories, athletic spaces, music spaces, theater spaces, offices, or other  physical space); Lipscomb educational or research equipment; and/or student workers; provided,  however, that Significant Use of Institutional Resources does not relate to the utilization of Lipscomb’s  library facilities. In general, Intellectual Property created, Invented or discovered within the scope of employment or with substantive utilization of Lipscomb resources or facilities is considered to be created, Invented, or discovered through the Significant Use of Institutional Resources, while Intellectual Property created, Invented or discovered outside of the scope of employment and with  no substantive utilization of Lipscomb resources or facilities is not considered to be created, Invented  or discovered through the Significant Use of Institutional Resources.  

Trade Secret means information that companies keep secret to give them an advantage over their competitors. 

Trademark means any word, phrase, symbol, design, or a combination thereof that identifies the  source of goods or services. Businesses and individuals use Trademarks with their goods or services  so that customers recognize them in the marketplace and distinguish them from competitors.

U.S.C. means the United States Code.  

USCO means the United States Copyright Office, a part of the Library of Congress. 

Work for Hire means any of the following: 

• A work prepared by an employee of Lipscomb within the scope of his or her employment;
• A work specially ordered or commissioned and which Lipscomb and the Creator(s) expressly  agree in a signed, written instrument shall be considered as such; or  
• Solely for Copyright purposes, 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 material 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. For purposes of the foregoing sentence, a “supplementary work” is a work prepared for publication as a secondary adjunct to a work by another author for the purpose of introducing, concluding,  illustrating, explaining, revising, commenting upon, or assisting in the use of the other work,  such as forewords, afterwards, pictorial illustrations, maps, charts, tables, editorial notes,  musical arrangements, answer material for tests, bibliographies, appendixes, and indexes,  and an “instructional text” is a literary, pictorial, or graphic work prepared for publication and with the purpose of use in systematic instructional activities. 

Procedures

Ownership of Intellectual Property 

Lipscomb Ownership of Intellectual Property 
General Rule. Subject to the exceptions set forth below, Lipscomb shall be the sole owner of all  Intellectual Property that is (i) created, Invented or discovered through the Significant Use of  Institutional Resources, (ii) supported directly or indirectly by funds administered by Lipscomb, (iii)  developed within the scope of employment by employees, (iv) agreed in writing to be a Work for  Hire, or (v) assigned in writing to Lipscomb. 
If applicable, the Provost, upon consultation with the CRO and General Counsel, will determine  whether or not Intellectual Property has been created, Invented or discovered through the Significant  Use of Institutional Resources based on information provided by the Creator(s) in the ORG  Intellectual Property Disclosure Form. 

Externally Funded Research or Sponsored Programs. Any Invention “conceived or first actually reduced to practice in performance” of a government-funded project is, in general, deemed to be owned by Lipscomb. See 37 CFR § 401.1. Any determinations regarding ownership of such  Inventions, including assigning an exclusive license for federal use, shall be made by the Provost,  upon consultation with the CRO and General Counsel. Inventions and creations under Federal  Awards, regardless of the amount of funding received, are required to be disclosed to the Federal government within a reasonable period of time pursuant to 37 CFR § 401 et seq. All disclosures to  Lipscomb must be reported on the ORG Intellectual Property Disclosure Form, and ORG will be available to assist in identifying the appropriate federal or agency-specific Intellectual Property disclosure form. If the Provost, upon consultation with the CRO and General Counsel, determines not to secure or protect Intellectual Property under the Federal Award, the Federal government may secure or protect the Intellectual Property; provided, however, if the Provost determines to secure or protect such Intellectual Property, the Federal government shall be granted perpetual nonexclusive license(s) of all Intellectual Property. Creators must comply with all contractual  requirements, terms and agreement clauses, and regulatory requirements of Externally Funded  Research or Sponsored Programs. 

Exceptions to Lipscomb Ownership of Intellectual Property 
Scholarly Work Product. Any Scholarly Work Product shall be owned by the Creator(s) and not  Lipscomb, and any revenue generated as a result of such ownership shall reside entirely with the  Creator(s), unless such Scholarly Work Product was (i) created, Invented or discovered through the  Significant Use of Institutional Resources, (ii) supported directly or indirectly by funds administered by Lipscomb, (iii) developed as part of an Externally Funded Research or Sponsored Program, (iv)  agreed in writing to be a Work for Hire, or (v) assigned in writing to Lipscomb.  

With respect to Scholarly Work Product (other than commercial textbooks) that is wholly owned by one or more Covered Persons and will be published, the Covered Persons shall use best efforts to secure a perpetual, royalty-free, nonexclusive, and nontransferable license from the publisher(s) for  Lipscomb to use the Scholarly Work Product for institutional and administrative purposes, provided that Lipscomb does not distribute the work to third parties other than Covered Persons. Any exceptions to this requirement must be approved by the Provost, upon consultation with the CRO  and General Counsel.  

Pre-Existing Rights. If Intellectual Property was wholly created, Invented or discovered by a  Creator(s) prior to the Creator’s(s’) employment or engagement by Lipscomb, or is otherwise a  Derivative Work of Intellectual Property that was wholly created, Invented or discovered prior to the  Creator’s employment or engagement by Lipscomb, ownership shall reside with the Creator(s). 

Course Requirement. Intellectual Property created, Invented or discovered by any student(s) solely in fulfillment of an academic requirement (whether classroom, laboratory, research, or clinical),  including student Scholarly Work Product, is owned by the student(s)-Creator(s). The student(s) will not have ownership of such Intellectual Property if it was co-created, co-Invented or co-discovered with a Lipscomb employee, involved the Significant Use of Institutional Resources, was a Work for  Hire, was developed as part of an Externally Funded Research or Sponsored Program, was governed under an existing legal agreement that specifies different Intellectual Property ownership rights, or  if the student(s) was employed by Lipscomb and the Intellectual Property was developed as a  function of the student’s employment.  

Unclear Determination. If the ownership of Intellectual Property is not clearly determinable under the terms of this policy, ownership shall be determined by the Provost, upon consultation with the  CRO and General Counsel, based upon available information, including, without limitation, any information provided on the ORG Intellectual Property Disclosure Form. 

Disclosure of Intellectual Property 
General Reporting Requirement. Any Intellectual Property that is created, Invented or discovered by  a Covered Person must be reported with a reasonable amount of detail to ORG on the ORG Intellectual  Property Disclosure Form within thirty (30) days of creation, Invention, or discovery, and in all cases,  prior to publishing the Intellectual Property publicly or disclosing the Intellectual Property to any individual or entity not affiliated with Lipscomb. The purpose of this reporting requirement is to enable Lipscomb to determine commercial potential, novelty, Copyright or Patent requirements,  ownership rights, and other related issues.  

Should there be any disagreement regarding the date that an Invention was created, Invented or discovered, the prevailing date shall be the date that is identified by the Creator(s) on the ORG  Intellectual Property Disclosure Form. For Copyrightable material, the effective date shall be recognized as the date that the Copyrightable material was completed.  

Disclosure to Third Parties. Covered Persons shall not disclose any unpublished, non-Patented or non Copyrighted Intellectual Property that is wholly or partially owned or controlled by Lipscomb to any external third party without prior approval of the Provost, upon consultation with the CRO and  General Counsel. If a Covered Person plans, desires or intends to discuss with or disclose to an external third party any such Intellectual Property, the Covered Person must first coordinate with the CRO and General Counsel to prepare a confidentiality agreement, which must be signed by the appropriate parties prior to the discussion or disclosure of such Intellectual Property. A Covered Person may disclose the need for such an agreement in the ORG Intellectual Property Disclosure  Form. If a Covered Person receives a proposed agreement from a third party that relates to Intellectual Property that is wholly or partially owned or controlled by Lipscomb, the Covered Person shall deliver the agreement to the CRO and General Counsel for review, approval, and consideration prior to execution. All agreements with third parties related to Lipscomb-owned Intellectual  Property must be prepared, processed and executed in accordance with Lipscomb policies and procedures, including, without limitation, Lipscomb’s Contract Approval Policy.  

Utilization of Artificial Intelligence. In all circumstances, Creators must disclose, through proper  completion and submission of the ORG Intellectual Property Disclosure Form, the level at which any  artificial intelligence was utilized in the creation, Invention or discovery of Intellectual Property,  including, without limitation, the use of text and image resources, and other similar resources,  whether subscription-based or open source. This disclosure requirement excludes the utilization of  common editing and writing tools, including, without limitation, auto-correct, spellcheck, and other  similar resources embedded within applicable software. (This requirement is aligned with the  Statement of Policy issued by USCO on March 16, 2023.) 

Public Domain. If a Creator(s) decides that all rights to any Intellectual Property that is created,  Invented or discovered by the Creator(s) should irrevocably be released to the public domain, the Creator(s) must first obtain approval of the Provost, upon consultation with the CRO and General  Counsel, to ensure that such release does not create a conflict with any of Lipscomb’s current or  pending agreements or arrangements, including with any third party who contributed toward  creation, invention or discovery of the Intellectual Property. 

Lipscomb Rights 
Use of Intellectual Property for Certain Purposes 
For Copyrightable works that are not owned by Lipscomb, in accordance with the section above entitled “Exceptions to Lipscomb Ownership of Intellectual Property,” Lipscomb retains a fully paid,  perpetual, non-exclusive, royalty-free license to use, re-use, distribute, reproduce, display, make  Derivative Works, and make all traditional, customary or reasonable academic use of all student assignments, papers, essays, theses, dissertations, and Instructional Materials for the educational and  research purposes of Lipscomb and Covered Persons. Such license includes the right to use content and structure of any course and to revise and update course material for the purpose of continuing to offer the course of instruction or to develop and offer derivative courses of instruction, in both conventional and non-conventional settings (including, without limitation, any online distance education class, course, project or program). The foregoing license does not include a royalty-free  license to use or to reproduce a published textbook for classroom or library use. Lipscomb will acknowledge the Creator(s) of these works unless the Creator(s) request otherwise. Lipscomb retains the right to use such course materials for its own educational and research purposes,  including archiving the materials. 

Brands 
Lipscomb’s Trademarks, Copyrights, service marks, brand, logos, and names are the property of  Lipscomb. No Intellectual Property that is wholly or partially owned or controlled by Lipscomb shall  include Lipscomb’s Trademarks, Copyrights, service marks, brand, logos, or names without the  express written permission of Lipscomb. Any requests for such use must be approved by the Provost,  upon consultation with the CRO and General Counsel.  

Common Law Rights 
Lipscomb’s ownership of Intellectual Property may exist at the time of the creation, Invention, or  discovery thereof. Covered Persons shall only utilize Copyright, Trademark, or other Intellectual  Property markings or symbols with respect to Intellectual Property that is wholly or partially owned  or controlled by Lipscomb when permitted under applicable law and upon approval by the Provost,  upon consultation with the CRO and General Counsel, whether or not Intellectual Property protection has been applied for or granted. 

Net Income from Intellectual Property 
Distribution of Net Income 
Unless otherwise agreed to in writing by Lipscomb and the Creator(s), in the event that Lipscomb  receives revenue from Intellectual Property that is derived from academic research or scholarly  study and is not a Work for Hire, the Net Income will be distributed as follows on an annual basis:

• 50% to the Creator(s), and their legally recognized heirs;
• 20% to ORG;
• 20% to Lipscomb; and
• 10% to the Creator’s college or academic unit, which shall be allocated pro rata among  colleges or academic units if one or more Creators are associated with different colleges or  academic units.  

The distribution of any Net Income to a Creator who is an employee of Lipscomb will be subject to  customary withholding tax, Social Security tax and other employment taxes as may be required by  the State of Tennessee and the United States 

Changes to Distribution 
The Net Income distribution set forth above shall be recognized and followed unless a different distribution is approved by the Provost, the Dean(s) of the Creator’s college(s), and the Senior Vice  President for Finance and Technology, or their equivalents, upon consultation with the CRO and  General Counsel. A different distribution might be approved for the following reasons, among others: 

• If the Intellectual Property was created, Invented, or discovered in connection with an  Externally Funded Research or Sponsored Program, and the awarding agency (including any  Federal Agency) has specified distribution rates or amounts with respect to such Intellectual  Property in the corresponding terms and conditions governing such award or such  distribution rates or amounts are specified by federal or state laws or regulations;
• A non-governmental third party (e.g., an institution of higher education, business, industry,  hospital, or other entity) has a shared right and interest in the Intellectual Property and is  entitled to receive a distribution pursuant to an enforceable, written agreement;
• A different distribution is required pursuant to federal or state laws or regulations; or
• Unforeseen circumstances create an exigent need for redistribution, such as the elimination or change of an academic unit that was previously entitled to receive a distribution. 

Net Income Sharing 
In the event that multiple Creators have contributed to the creation, Invention or discovery of Intellectual Property that is subject to distribution, as set forth above, the Creators must mutually agree upon the allocation of Net Income distributions among the Creators and notify the ORG in  writing of such allocation. 

Disputes 
Resolution 
Questions or disputes related to the treatment or characterization of Intellectual Property pursuant to this policy, including the ownership of Intellectual Property, should be submitted to and will be resolved by the Provost, upon consultation with the CRO and General Counsel.  

Appeals 
Any decisions and determinations made by the Provost with respect to this policy may be appealed  by providing a written statement with supporting documentation to the President within thirty (30)  days of the determination by the Provost. An appeal to the President does not include a hearing, nor  does it require the President to meet with the Covered Person(s) who submitted the appeal. The  President, or his or her designee(s), may, in the President’s sole discretion, consider any such written  statement and supporting documentation along with any other information provided by the Provost.  The President, or his or her designee(s), shall issue a determination, which shall be final and effective  immediately, or as otherwise indicated by the President.  

Research Misconduct 
Concerns regarding research misconduct or the misappropriation of resources in the creation,  Invention, discovery or reporting of Intellectual Property shall be reported to the CRO or Research  Integrity Officer, which will be addressed in accordance with Lipscomb policies and procedures. 

Roles and Responsibilities 
Provost 
In addition to the other responsibilities set forth in this policy, the Provost will, upon consultation  with the CRO and General Counsel: 

• Determine the necessity of securing any Intellectual Property protection, based upon  information provided in the ORG Intellectual Property Disclosure Form, the novelty of the  Intellectual Property, the potential for revenue generation (above the costs required for  Intellectual Property protection), and other relevant factors; and
• Identify the type of Intellectual Property protection sought on behalf of Lipscomb after full  disclosure has been received, or conversely, identify if Lipscomb will assign or release all  Intellectual Property rights to the Creator(s).

ORG 
ORG reports to the Office of the Provost and provides support for certain Intellectual Property  matters. In particular, ORG has the following responsibilities in connection with this policy: reviews  the submission of ORG Intellectual Property Disclosure Forms; provides support for reporting and  compliance requirements related to Externally Funded Research or Sponsored Programs; assists  with certain matters related to technology transfer and the protection of Intellectual Property; and  has other responsibilities set forth in this policy. ORG does not provide support or management of any Intellectual Property that is not owned, at least in part, by Lipscomb. The ORG will, upon  consultation with General Counsel:  

• Establish appropriate maintenance/management protocols for certain protected Intellectual  Property; and
• Provide guidance regarding the transfer of ownership, sale, or marketing/commercialization  of certain Intellectual Property that is wholly or partially owned or controlled by Lipscomb. 

Covered Persons 
In addition to the other responsibilities set forth in this policy, each Covered Person must:

• Timely disclose to ORG any conflict of interest, either real or perceived, related to the  creation, Invention or discovery of Intellectual Property, including any disclosures required  for the administration or reporting of Externally Funded Research or Sponsored Programs;
• Maintain and utilize Intellectual Property in accordance with local, state, and federal laws and  regulations, and ensure that all ongoing activities are compliant with Lipscomb policies and  procedures;
• If applicable, assign title to Intellectual Property to Lipscomb to enable Lipscomb to satisfy  the terms of any applicable funding or contractual arrangement;
• As necessary, cooperate with Lipscomb in securing and protecting any Intellectual Property that is wholly or partially owned or controlled by Lipscomb, including cooperation in  obtaining Patent, Copyright, or other suitable protection for such Intellectual Property and in  legal actions taken in response to alleged infringement;
• If the Covered Person engages in outside consulting work, ensure that no agreement or  arrangement with an external third party is ever in conflict with the terms of this policy,  including any arrangement that might result in the assignment of Intellectual Property rights  to a third party without approval of the Provost;
• If the Covered Person is entitled to receive distributions of Net Income in accordance with  the terms of this policy, ensure that ORG has current contact information upon the Covered  Person’s departure from Lipscomb so that Lipscomb may make appropriate payments and  properly submit IRS reports on Form 1099-MISC, as may be necessary; and
• Retain all data, information, schematics, artwork, files, and other materials related to Intellectual Property in a format that is reasonable accessible. Such materials should be  retained for the life cycle of the Intellectual Property that is wholly or partially owned or  controlled by Lipscomb, regardless of the Covered Person’s employment status. Upon  departure from Lipscomb, each Covered Person should retain copies of such materials,  ensuring that all original sources of such materials remain within the archives of ORG.  

For avoidance of doubt, Covered Persons do not have any authority to own, sell, or transfer  ownership of rights of Intellectual Property that is wholly or partially owned or controlled by  Lipscomb without prior approval of the Provost and Senior Vice President for Finance and  Technology, or its equivalent, upon consultation with the CRO and General Counsel. 

Conflict 
This policy is subject to applicable law. In the event of a conflict between the provisions of this policy  and applicable law, including, without limitation, 17 U.S.C. § 101 et seq. or 37 CFR, the provisions of  applicable law shall control.  

Forms

ORG Intellectual Property Disclosure Form. Download here.  

Contact  

For additional information or questions regarding this policy, contact the Office of Research and  Grants, which can be reached at 615.966.5907.
 

Download PDF

Protocols Statement

Any student, faculty or staff member of Lipscomb University or Lipscomb Academy (together, “Lipscomb”) proposing to conduct or participate in Externally Funded Research or Sponsored Program, or Transfer goods, data, materials, or information to any Foreign National or Foreign Person must follow the requirements set forth in these protocols.

Definitions

Capitalized terms that are used but not otherwise defined in these protocols have the following meanings:
 

CFR means Code of Federal Regulations.
 

Dual Use Research of Concern means life sciences research that, based on current understanding, can be reasonably anticipated to provide knowledge, information, products, or technologies that could be directly misapplied to pose a significant threat with broad potential consequences to public health and safety, agricultural crops and other plants, animals, the environment, materiel, or national security.
 

Entity of Particular Concern means the designation made by the U.S. Secretary of State of a nonstate actor engaging in particularly severe violations of religious freedom and may include, without limitation, Qa’ida affiliate Al-Shabaab, Boko Haram, Hayat Tahrir al-Sham, the Houthis, ISIS-Sahel (formerly known as ISIS-Greater Sahara), ISIS-West Africa, al Qa’ida affiliate Jamaat Nasr al-Islam wal Muslimin, and the Taliban.
 

Equipment means, without regard to total cost or requirement for procurement, a combination of parts, components, accessories, attachments, firmware, or software that operate together to perform a function of, as, or for an end-item or system. Equipment may be a subset of an end-item based on the characteristics of the equipment. Equipment that meets the definition of an end-item in 22 CFR § 120.40(b) is an end-item. Equipment that does not meet the definition of an end-item is a component, accessory, attachment, firmware, or software. For purposes of these protocols, Equipment does not imply the definition provided in 2 CFR § 200.1.
 

Export, except as set forth in 22 CFR §§ 120.54, 126.16 or 126.17, means:

• An actual shipment or transmission out of the United States, including the sending or taking of a defense article out of the United States in any manner;

• Releasing or otherwise transferring Technical Data to a Foreign Person in the United States (a deemed export); Export Controls Protocols Page 2

  • Transferring registration, control, or ownership of any aircraft, vessel, or satellite subject to this subchapter by a U.S. Person to a Foreign Person;

  • Releasing or otherwise transferring a defense article to an embassy or to any of its agencies or subdivisions, such as a diplomatic mission or consulate, in the United States;

  • Performing a defense service on behalf of, or for the benefit of, a Foreign Person, whether in the United States or abroad; or

  • The release of previously encrypted technical data as described in 22 CFR §§ 120.56(a)(3) and (4).

Pursuant to 22 CFR § 120.54, the following activities are not Exports, reexports, retransfers, or temporary imports:

• Launching a spacecraft, launch vehicle, payload, or other item into space;

• Transferring Technical data to a U.S. Person in the United States from a person in the United States;

• Transferring within the same Foreign Country Technical Data between or among only U.S. persons, so long as the Transfer does not result in a release to a Foreign Person or Transfer to a person prohibited from receiving the Technical Data;

• Shipping, moving, or Transferring defense articles between or among the United States as defined in 22 CFR § 120.60;

• Sending, taking, or storing Technical Data that is:

  • Unclassified;

  • Secured using end-to-end encryption;

  • Secured using cryptographic modules (hardware or software) compliant with the Federal Information Processing Standards Publication 140-2 (FIPS 140-2) or its successors, supplemented by software implementation, cryptographic key management and other procedures and controls that are in accordance with guidance provided in current U.S. National Institute for Standards and Technology publications, or by other cryptographic means that provide security strength that is at least comparable to the minimum 128 bits of security strength achieved by the Advanced Encryption Standard (AES-128);

  • Not intentionally sent to a person in or stored in a country proscribed in 2 CFR § 126.1 or the Russian Federation; and

  • Not sent from a country proscribed in 22 CFR § 126.1 or the Russian Federation.
     

Export Administration Regulations mean the regulations set forth in 15 CFR §§ 730 et seq.
 

Export License means an official approval or other authorization granted by an appropriate authorizing Federal Agency to travel, Transfer, or conduct other actions that may otherwise be a violation of federal law.
 

Externally Funded Research or Sponsored Program means a grant or contract between Lipscomb and an external entity (such as a federal, state or local government, higher education institution, nonprofit organization, or for-profit entity) pursuant to which funding or other resources are provided to Lipscomb for the purpose of completing a specified project or program.
 

Federal Agency, as defined in 5 U.S.C. § 551(1), generally means each authority of the Government of the United States, whether or not it is within or subject to review by another agency.
 

Foreign Country, as defined in 31 CFR § 500.301, also includes, without limitation:

• The state and the government of any such territory as well as any political subdivision, agency, or instrumentality thereof or any territory, dependency, colony, protectorate, mandate, dominion possession or place subject to the jurisdiction thereof;

• Any other government (including any political subdivision, agency, or instrumentality thereof) to the extent and only to the extent that such government exercises or claims to exercise control, authority, jurisdiction or sovereignty over territory which constituted such foreign country;

• Any person to the extent that such person is, or has been, or to the extent that there is reasonable cause to believe that such person is, or has been acting or purporting to act directly or indirectly for the benefit or on behalf of any of the foregoing, and

• Any territory which is controlled or occupied by the military, naval or police forces or other authority of such foreign country.

Foreign Country of Particular Concern, as defined in 15 CFR § 231.102, means:

• A country that is a covered nation (as defined in 10 U.S.C. 4872(d)); and

• Any country that the Secretary of Commerce, in consultation with the Secretary of Defense, the Secretary of State, and the Director of National Intelligence, determines to be engaged in conduct that is detrimental to the national security or foreign policy of the U.S.

These countries may include, without limitation, Burma, People’s Republic of China, Cuba, Eritrea, Iran, the Democratic People’s Republic of Korea, Nicaragua, Pakistan, Russia, Saudi Arabia, Tajikistan, and Turkmenistan.
 

Foreign Interest is any foreign government, agency of a foreign government, or representative of a foreign government; any form of business enterprise or legal entity organized, chartered or incorporated under the laws of any country other than the U.S. or its possessions and trust territories, and any person who is not a citizen or national of the United States.

Foreign National means any person who is not a citizen or national of the United States.
 

Foreign Person means any Foreign Interest, and any U.S. Person effectively controlled by a Foreign Interest.
 

Fundamental Research, as identified in National Security Decision Directive 189, means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. Research is not considered Fundamental Research when there are restrictions placed on the outcome of the research or restrictions on methods used during the research.
 

International Traffic in Arms Regulations mean the regulations set forth in 22 C.F.R. §§ 120 et seq.
 

Institutional Member, as defined in 42 CFR § 93.214, means a person who is employed by, is an agent of, or is affiliated by contract or agreement with Lipscomb. Institutional Members may include, but are not limited to, officials, tenured and untenured faculty, teaching and support staff, researchers, research coordinators, clinical technicians, postdoctoral and other fellows, students, volunteers, agents, and contractors, subcontractors, and subawardees, and their employees.
 

Research Export Officer has the meaning set forth in 22 CFR § 120.67 for an Empowered Official and shall be Lipscomb’s Chief Research Officer (or its equivalent).
 

Restricted Party Screening means any screening tool, including, without limitation, the U.S. Department of Commerce’s Consolidated Screening List and the exclusion records in SAM.gov, used to identify any party restricted from import or Export by the U.S. government.

Special Watch List Country means any country identified by the U.S. Department of State where the government engages in or tolerates severe violations of religious freedom. These countries may include, without limitation, Algeria, Azerbaijan, the Central African Republic, Comoros, and Vietnam.
 

Technical Data, as defined in 22 CFR § 120.33, means:

• Information, other than software as defined in 22 CFR § 120.40(g), which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions, or documentation;

• Classified information relating to defense articles and defense services on the U.S. Munitions List and 600-series items controlled by the Commerce Control List;

• Information covered by an invention secrecy order; or

• Software (see 22 CFR § 120.40(g)) directly related to defense articles.

Technical Data does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain as defined in 22 CFR § 120.34 or telemetry data as defined in note 3 to Category XV(f) of 22 CFR § 121.1. It also does not include basic marketing information on function or purpose or general system descriptions of defense articles.
 

Technology means information (whether in tangible or intangible form) necessary for the development, production, use, operation, installation, maintenance, repair, overhaul or refurbishing of an item controlled by the Export Administration Regulations.
 

Technology Control Plan means a written plan that describes the steps to be taken to control the access and dissemination of export-controlled items, information, materials, technology and/or data in accordance with federal export regulations. Elements of a Technology Control Plan include, without limitation, an identification of the item/technology to be protected, physical security, information security, project personnel requirements, accountability and record keeping.

Technology Transfer Control Plan means the procedures, controls, and processes an organization intends to implement to comply with Export License requirements. It helps prevent the unauthorized transfer of information that could be used by a Foreign Country to improve its missile or space launch capabilities.
 

Transfer, as defined in 31 CFR § 500.324, means any actual or purported act or transaction, whether or not evidenced by writing, and whether or not done or performed within the United States, the purpose, intent, or effect of which is to create, surrender, release, transfer, or alter, directly or indirectly, any right, remedy, power, privilege, or interest with respect to any property. Without limitation on the foregoing, Transfer shall include the making, execution, or delivery of any assignment, power, conveyance, check, declaration, deed, deed of trust, power of attorney, power of appointment, bill of sale, mortgage, receipt, agreement, contract, certificate, gift, sale, affidavit or statement; the appointment of any agent trustee, or other fiduciary; the creation or transfer of any lien; the issuance, docketing, filing, or the levy of or under any judgment, decree, attachment, execution, or other judicial or administrative process or order, or the service of any garnishment; the acquisition of any interest of any nature whatsoever by reason of a judgment or decree of any Foreign Country; the fulfillment of any condition, or the exercise of any power of appointment, power of attorney, or other power; or the acquisition, disposition, transportation, importation, exportation, or withdrawal of any security.

U.S.C. means the United States Code.
 

U.S. Person means a United States citizen, an alien known by the intelligence agency concerned to be a permanent resident alien, an unincorporated association substantially composed of United States citizens or permanent resident aliens, or a corporation incorporated in the United States, except for a corporation directed and controlled by a foreign government or governments.

Applicability of the Protocols

These protocols apply to any Lipscomb employee or student, whether full- or part-time, conducting or participating in Externally Funded Research or Sponsored Program, or Transferring goods, data, materials, or information to any Foreign National or Foreign Person. These protocols also apply to all subcontractors of Lipscomb with access to research, data, award, participant, or other program information.

Procedures

Compliance with Applicable Law

All Institutional Members engaged in research on behalf of Lipscomb must comply with applicable U.S. export control statutes and regulations, enforcement, and economic sanctions, including, without limitation, the Export Administration Regulations and other regulations administered by the U.S. Department of Commerce, the International Traffic in Arms Regulations and other regulations administered by the U.S. Department of State, and regulations administered by the U.S. Department of Treasury through the Office of Foreign Assets Control (“OFAC”).
 

To determine if research items, Equipment, Technology, data, or other commodities have or may have limitations on Export or Transfer, Institutional Members engaged in research on behalf of Lipscomb must utilize online databases and resources provided by the federal government. These sources may include, without limitation:

• Commerce Control List;

• OFAC’s Sanctioned Programs and Country Information;

• OFAC’s Specially Designated Nationals List; and

• United States Munitions List.

Fundamental Research Exceptions and Activities Not Considered Exports

Certain exceptions to Export restrictions exist, such as those regarding Fundamental Research set forth in National Security Decision Directive 189, for Institutional Members conducting basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community. Such research may include, without limitation, publication in open-access journals, public presentations, and online sites in a non-encrypted format with the intent of being in the public domain and without patent, trademark, or other intellectual property controls. In such circumstances, no Export License is typically required to share research results with U.S. Persons. However, exemptions may cease when, for example, research is proprietary, contains any Export-controlled data/information, may impact national security (or defense), involves dual-use technologies (which may also include Dual Use Research of Concern), may be under an award or subaward with restrictions, involves intellectual property, or involves the Transfer of material goods that would require an Export License. Other circumstances may apply and this list not exhaustive. Institutional Members engaged in research on behalf of Lipscomb are encouraged to consult with the Research Export Officer for questions about the Transfer of information intended to comply with the Fundamental Research exceptions.

Research Export Officer

The Research Export Officer will support Lipscomb’s Export Control activities for research activities, whether or not such activities are externally funded. The Research Export Officer is responsible for:

• Maintaining these protocols and any separate Technology Control Plan, and informing Lipscomb’s research community about the protocols and procedures;

• Receiving requests for research and research-related Export Licenses from members of Lipscomb’s research community;

• Approving or denying requests from Institutional Members for Export Licenses and, if approved, applying for such licenses; and

• Responding to issues, concerns, violations, and actions related to research Export control, whether such issues are related to travel or the Transfer of data/information.

The Research Export Officer engages competent third-party contractors and software solutions, supports decision-making, ensures compliance with appropriate regulations, requests Export Licenses, and performs other actions critical to Exports, subject to Lipscomb’s other applicable policies and procedures.
 

Import/Export of Goods, Services, and Information

The purchase or procurement of Equipment or services from any Foreign Person or Foreign National in support of Externally Funded Research or Sponsored Program requires advance approval from the Research Export Officer and, if applicable, the applicable funding entity or agency prior to Lipscomb’s request for an Export License. Any such purchase or procurement must comply with the terms of 2 CFR § 200.320 unless more strict guidance is provided by the funding agency, Lipscomb, or as otherwise directed by the Research Export Officer. No such purchase or procurement will be approved if Restricted Party Screening results indicate that the Foreign Person or Foreign National is excluded or a risk. For more information, see the section below entitled “Restricted Party Screening and Approval.” 

The purchase of goods, services, and information that are not federally restricted or not considered Dual Use Research of Concern and that are manufactured in Foreign Countries and acquired from Lipscomb-approved vendors, including, without limitation, Amazon and Staples, is generally allowable; however, it is the obligation of all Institutional Members engaged in research on behalf of Lipscomb to comply with applicable federal regulations, Lipscomb policies and procedures, and grantor terms and conditions prior to such purchase.

The import, purchase, or acquisition of selected Equipment and technological items, including, without limitation, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities), may be prohibited pursuant to the terms of 2 CFR §§ 200.216(b)(1)-(4). Institutional Members engaged in research on behalf of Lipscomb are encouraged to consult with the Office of Research and Grants prior to seeking the acquisition of such items.

Dual Use Research of Concern

The import or Export of items, in materiel or Transfer of knowledge by Institutional Members, that may constitute a Dual Use Research of Concern (utilized within a small subset of life sciences research) is prohibited without the written approval of the Research Export Officer.

Travel

All Institutional Members engaged in research on behalf of Lipscomb who undertake to travel must comply with applicable policies and procedures, including, without limitation, the Travel Policy.

Expenditures

Institutional Members engaged in research on behalf of Lipscomb and traveling to a Foreign Country must utilize the foreign per diem rates published by the Office of Allowances of the U.S. Department of State for the applicable location(s). These rates must be used to the greatest extent possible in connection with the incurrence or reimbursement of expenses related to lodging, meals, and other incidentals. In addition, such Institutional Members traveling to a Foreign Country must comply with the Travel, Entertainment, and Expense Reporting Policy.

Fly American

Pursuant to the Fly America Act, all Institutional Members traveling to a Foreign Country in connection with Externally Funded Research or Sponsored Program must utilize a U.S. flag air carrier for all federally funded air travel. A complete certified air carriers list is provided online by the U.S. Department of Transportation and typically includes major airlines such as American Airlines, Delta Airlines, JetBlue Airways, Southwest Airlines, United Airlines, and U.S. Airways. If the Externally Funded Research or Sponsored Program is funded by the U.S. Department of Defense, there shall be no exception to this requirement. If such research is funded by any other Federal Agency, exceptions to this requirement may be approved by the Research Export Officer only in the following circumstances:

• A U.S. air carrier is not available;

• A U.S. carrier service would extend the travel time by 24 hours or more;

• A U.S. carrier does not offer a nonstop or direct flight between the origin and destination, and using a U.S. carrier:

  • Increases the number of aircraft changes outside the United States by two or more;

  • Extends travel time by six hours or more; or

  • Requires a connecting time of four hours or more at an overseas interchange point;

• The flight time from origin to destination is less than three hours and using a U.S. flag carrier doubles the flight time; or

• There is an applicable Open Skies Agreement in effect between the U.S. government and the government of the Foreign Country that meets the requirements of the Fly America Act.

Effective Control

Any technology device, such as a laptop, tablet or other hardware, that is owned by Lipscomb, as well as personal computing devices with research data, should remain under the effective control of the applicable Institutional Member during any travel. Should any such device, data, or research be confiscated for any period of time during travel, including at an airport, the applicable Institutional Member should promptly disclose the adverse event to the Research Export Officer. Temporary Email Address and Use of VPN Depending on the location, duration, and risks of travel, Lipscomb’s Office of Information Technology might create a temporary email address for use during travel to a Foreign Country. All Institutional Members accessing Lipscomb resources during travel to a Foreign Country should utilize a Lipscomb-approved virtual private network (“VPN”) for protection, if use of a VPN is allowable in the Foreign Country. If VPN usage is not allowable in the Foreign Country, access to online Lipscomb resources and use of any Lipscomb hardware will require advance approval. Transfer of Data, Knowledge, Information, and/or Intellectual Property Export License Export of goods, data, knowledge, information, intellectual property, Technology, and other data (as governed by federal regulations) may only be conducted after Lipscomb and the applicable researcher(s) have obtained an Export License. Such goods, data, knowledge, information, intellectual property, Technology, and other data may be in tangible form (such as a model, prototype, blueprint, photograph, plan, instruction, or an operating manual), or may be intangible, such as a technical service, or oral, auditory, or visual descriptions. The applicable researcher(s) must submit a request to the Research Export Officer for pre-approval of an Export License, and the Research Export Officer shall, if approved, work with the researcher(s) to request a license through the appropriate Federal Agency. Requests for an Export License may require up to six months or more and require careful review of facts surrounding Export transactions.

Restrictions

No employee or student may travel to or Transfer data, including research data, to any entity, Foreign National, Foreign Person, or country which may be an Entity of Particular Concern, Special Watch List Country, or Foreign Country of Particular Concern. This includes travel and Transfer to persons or entities from such countries that may be temporarily located in the United States. Any exceptions to this requirement must be approved in advance by the Research Export Officer.
 

Labeling of Work Products

All printed and electronic/digital documents generated under an Export License that contain Export-controlled Technical Data shall be clearly marked with an Export control warning. Unless otherwise directed, the warning shall state as follows:

• EXPORT CONTROL WARNING: This document contains technical data the export of which is or may be restricted by the [INSERT AGENCY] under [INSERT REGULATIONS] and other U.S. export control regulations. This document is disseminated according to the policies, protocols, and procedures of Lipscomb University [and/or Lipscomb University’s Export License INSERT NUMBER]. Violations of U.S. export laws are subject to severe criminal penalties.

Restricted Party Screening and Approval

To ensure consistency and validity, the Research Export Officer will utilize the Consolidated Screening List Search Engine available on the trade.gov website, and the exclusion list within the sam.gov website to conduct Restricted Party Screenings of persons and entities prior to any Institutional Members engaging in research on behalf of Lipscomb undertaking travel, financial, research, or sponsored program relationships with such persons or entities. The Research Export Officer may also rely on information provided by the U.S. Bureau of Consular Affairs, travel advisories issued by the U.S. Department of State, information made available by other Federal Agencies or funding entities, or other public notices in its decision-making process. The determination of approval, conditional approval, or denial made by the Research Export Officer shall be final. An appeal of any such determination may be made based on updated Restricted Party Screening results or if a public notice is made by a Federal Agency responsible for Export regulations.

Responsibilities

Institutional Members engaged in research on behalf of Lipscomb must:

• Disclose to and request advance approval from the Research Export Officer for the procurement of goods or services from a Foreign Person or Foreign National, travel to a Foreign Country, or the Transfer of data, materials or information;

• Work collaboratively with the Research Export Officer in the request for any Export License necessary for the conduct of research;

• Disclose the occurrence of any adverse events during or after travel to a Foreign Country; and

• Ensure all students, participants, and others engaged in the research have the resources, policies, and training about Export restrictions to ensure ongoing compliance.

The Office of Research and Grants must:

• Conduct Restricted Party Screenings using appropriate screening tools;

• Assist principal investigators in developing data management plans, Technology Control Plans, Technology Transfer Control Plans, and other documents required in connection with Externally Funded Research or Sponsored Program;

• Notify the Research Export Officer at the pre-award stage of travel to a Foreign Country or Transfer that is identified in a proposal or budget;

• Notify the Research Export Officer, Business Office and Finance Department in the event that Restricted Party Screening results reflect a potential adverse impact on research or the Lipscomb community; and

• Retain all Export records for a minimum of five years after completion of the corresponding travel, Transfer, or other activity, or longer if required by the terms and conditions of Externally Funded Research or Sponsored Program. Such records may include, without limitation, evidence of Restricted Party Screenings, submission of requests for Export Licenses, granted Export Licenses, travel records, purchasing/procurement records, and correspondence from research funding agencies or entities.

Export Disclosure

Institutional Members engaged in research on behalf of Lipscomb must, without exception, notify the Research Export Officer regarding any proposed, intended, planned, or subsequent disclosure of any Export or deemed Export occurring in any Externally Funded Research or Sponsored Program. Such a disclosure shall include, without limitation:

• Goods and Services: The import, purchase, or acquisition of goods or services from any non-U.S. source, as well as the Export of goods or services from Lipscomb to any Foreign Person or Foreign National;

• Travel: Travel to and/or from any Foreign Country; and

• Transfer of Knowledge and Data Transfer: The exchange of data, in any form (including electronic means), which extends beyond the definition of Fundamental Research, whether or not the receiving Foreign Person or Foreign National is located in the United States.

Consequences for Non-Compliance

Consequences for non-compliance with the terms of these protocols may be severe and may impact the affected Institutional Member, grant award, Externally Funded Research or Sponsored Program, Office of Research and Grants, Lipscomb, and the national security or defense of the United States. Consequences may include, without limitation, denial of Export privileges, debarment or suspension (permanent or temporary) from government contracting, the assignment of independent monitors, the blocking of assets, costs for investigation and legal services, and other collateral penalties. Under the International Traffic in Arms Regulations and the Export Administration Regulations, criminal penalties for individuals may be up to $1 million for each violation and up to 20 years (under the Export Administration Regulations) or 10 years (under the International Traffic in Arms Regulations) in prison.

Reporting Violations

Any person who is aware of any violation of Export regulations, deemed Exports related to Lipscomb, or the terms of these protocols should notify the Research Export Officer.

Conflict

These protocols are subject to applicable law. In the event of a conflict between the provisions of these protocols and applicable law, including, without limitation, 15 CFR § 730 et seq. and 22 U.S.C 2778, the provisions of applicable law shall control.

Related Documents/Policies

Travel Policy

Travel, Entertainment, and Expense Reporting Policy

Contact

For additional information or questions regarding these protocols, contact the Office of Research and Grants, which can be reached at 615.966.5907 or researchandgrants [at] lipscomb.edu (researchandgrants[at]lipscomb[dot]edu).

Effective Date

These protocols were approved by the Associate Provost for Research and Graduate Studies and Provost on January 17, 2025.

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