On January 13, the U.S. Department of Education (ED) released final regulations on open licensing requirements covering recipients of ED competitive grants. In short, the regulations require, subject to certain exceptions, that ED grantees awarded competitive grant funds openly license to the public copyrightable grant deliverables created with such grant funds. The regulations will shortly be published in the Federal Register and will be effective 60 days after the publication date. The final regulations revise the proposed regulations included in a Notice of Proposed Rulemaking (NPRM) issued by ED on November 3, 2015.

The purpose of this memorandum is to summarize the major provisions of the final regulations.

Background

Under existing regulations, title to intellectual property (including copyright) developed with ED competitive grant funds vests in the grantee. At the same time, ED reserves a royalty-free, nonexclusive and irrevocable right to reproduce, publish or otherwise use for Federal purposes any work subject to copyright that was developed, or for which ownership was acquired, under a grant award, and may also authorize others to do so. (This authorization, known as a “Federal purpose license,” gives ED the ability to authorize other entities to use work developed or obtained with ED competitive grant funds.)

As explained in the background section of the pending Federal Register notice, ED developed new regulations after determining that copyrightable works created under its competitive grant programs were not being accessed widely, notwithstanding the Federal purpose license and the dissemination efforts of both ED and individual grantees. According to the final notice, many education stakeholders and other members of the public are unaware of the resources created through ED competitive grant programs and, even when they are aware, these actors have been unsure how to access the resources, what usage rights or permissions are needed to access them, and how to obtain those rights or permissions.

Major Elements of the Regulations

Under the new regulations:

• A grantee or subgrantee must openly license to the public a worldwide, non-exclusive, royalty-free, perpetual and irrevocable license to: (1) access, reproduce, publicly perform, display and distribute any grant deliverable that constitutes copyrightable work and is developed wholly or in part with ED competitive grant funds; (2) prepare derivative works and reproduce, publicly perform, and publicly display those derivative works; and (3) otherwise use the copyrightable work, provided that in all such instances attribution is given to the copyright holder.

• When a grant deliverable consists of modifications to pre-existing work, the license described above must extend only to those modifications that can be separately identified and only to the extent that open licensing is permitted under the terms of any licenses or other legal restrictions on the use of the pre-existing work.
• Grantees and subgrantees may select any open licenses that comply with the regulatory requirements, including a license that limits use to noncommercial purposes, so long as they meet certain technical requirements.
• A grantee’s or subgrantee’s open license must not extend to any copyrightable work incorporated in the grant deliverable that is owned by a party other than the grantee or subgrantee, unless the grantee or subgrantee has acquired the right to provide such a license.
• The regulations apply to ED competitive grants but do not apply to:
  • Grants that provide funding for general operating expenses;
  • Grants that provide support for individuals (such as through scholarships or fellowships);
  • Grant deliverables that are jointly funded by ED and another Federal agency, if the other agency does not require open licensing under the relevant grant program;
  • Copyrightable works created by a grantee or subgrantee but not with ED grant funds;
  • Peer-reviewed scholarly publications that arise from scientific research funded fully or partially with ED grants;
  • Grantees and subgrantees under the Ready-to-Learn Television program;
  • A grantee or subgrantee that has received a specific exception from ED, for example in a situation where ED determines that a grantee’s dissemination plan would likely result in dissemination at least equal that likely to be achieved through an open license or that compliance would impede a grantee’s ability to form required partnerships under the grant; and,
  • Grantees and subgrantees for which compliance would conflict with or materially undermine the ability to protect or enforce other intellectual property rights or obligations.

Implementation of the Regulations

In the background section of the notice, ED estimates that, after application of the exceptions listed above, the regulations will apply to approximately 60 percent of its competitive grants. Further, in designing competitions that do not fall within the exceptions, ED will consider when to make an exception for a particular grant program and a particular competition. Toward that end, as explained in the background section, ED will consider whether an open licensing agreement would conflict with the statutory purpose of a program and whether the harm caused to the program by implementing the open licensing requirement would outweigh its benefit.

In making those determinations, again as spelled out in the background section, ED will consider such factors as: (1) possible negative effects on the statutory purpose of the program if an open-licensing agreement is applied; (2) possible barriers to the intended benefits of broad dissemination if an agreement is applied (for instance, if the broadest possible dissemination can be achieved only through exclusive private-entity partnerships); (3) the public need for, or benefit from, the opportunity to access or use a copyrightable grant deliverable given the context of a particular program; and (4) other economic considerations, such as an undue hardship on grantees implementing the requirements. In each Notice Inviting Applications for a competitive grant program, ED will specify whether the grants will be subject to or exempt from the regulations.

Finally, the background section of the notice explains that ED intends to take a phased approach to implementing the regulations for new competitive grants in fiscal year (FY) 2017 and then to fully implement them for all applicable programs in FY 2018. This schedule is intended to give ED the opportunity to take such steps as developing administrative procedures for considering requests for exemptions and providing relevant staff training.

In May, 2016, UFIT launched the Dropbox for Faculty service. The service is now available to all faculty and staff to share files for academic, administrative, and research purposes using the same interface and functionalities everyone is accustomed to using. Visit www.it.ufl.edu/gatorcloud and click on the link at the top of the left column to establish a free UF Dropbox for Education account.

The Dropbox for Education service is approved by the Information Security Office as a file-sharing tool. The Standard for working with Restricted and Sensitive data applies when using Dropbox for Education. Please check with your local IT manager if you have any questions about the appropriateness of using Dropbox with the file(s) you want to share. If no local IT manager is available then contact the UF Computing Help Desk before uploading a file that might contain data classified as Restricted or Sensitive.

At this time, there is no plan to sunset File-Express. More information about the Dropbox for Education service is available on the FAQ page. Anyone needing assistance in establishing their free Dropbox account may contact the Help Desk at 392-352-HELP/4357.

A Proposal Commitment Report is now available through Enterprise Reporting. The report is available via Enterprise Reporting>Access Reporting>Sponsored Program Information>UFIRST Proposals.

This report provides a list of all of the proposal commitments by Proposal Submitting Department or Personnel Home Department. Selections can be limited by personnel, proposal state, or proposal submission date, and is available in both PDF and Excel formats.

More standardized reports will be released as they become available.

Raw UFIRST data is also available via Query Studio and you are free to build queries and reports tailored to your local needs.

A quick how-to guide for Proposal and Award Reports is available online. http://hr.ufl.edu/learn-grow/just-in-time-training/myufl-toolkits/grants/

A full Data Dictionary is also available for assistance in understanding the data elements included in the raw data. http://hr.ufl.edu/learn-grow/just-in-time-training/myufl-toolkits/grants/

A general Cognos FAQ document with some helpful hints for running the reports and troubleshooting of some common issues is available upon request.

Guides for Enterprise Reporting Basics are available http://hr.ufl.edu/learn-grow/just-in-time-training/myufl-toolkits/enterprise-reporting-basics/ as is general information about Enterprise Reporting: http://www.it.ufl.edu/myufl/reporting/.

If you are having issues accessing the reports, please contact the UF Computing Help Desk (392-HELP). For questions about the data or future UFIRST reporting suggestions, please contact Lisa Stroud in the Office of Research.

ERIC has recently added several new fields to its database that will make it easier for researchers to find relevant studies: links to the Institute of Education Sciences (IES),  identifiers, and author identification numbers.

New Links to IES

The first fields that we introduced were designed to connect ERIC users with additional relevant information available on the IES website. Because ERIC sits on a separate website, we found many ERIC users never visited the IES website and did not take advantage of the high-quality content that is available. So, we added several fields to help connect you to places of interest on the IES website. First, we added links from the ERIC website to each publication page on the IES website. These links will help you find related videos and companion products for IES reports, if they are available. Second, for any work funded by an IES grant, we added a link to the grant abstract. This provides information about the overall body of work funded by the grant and any accompanying publications. Lastly, the What Works Clearinghouse has recently redesigned its website, and one aspect of the redesign is that there are now study pages that provide detailed information on specific studies that the Clearinghouse has reviewed. ERIC is linking to these pages so that our users can benefit from the in-depth, user-friendly information provided by the Clearinghouse.

New “Identifiers”

The second set of new fields was designed to clean up the previous “identifiers” field and make them more useful for searchers.

The identifiers field was a hodgepodge of proper nouns that mainly contained information on laws, tests and measures, and geographic locations. We separated this into three new fields—laws, measures, and location. We also standardized the language that we used to make these a controlled vocabulary that users could filter on. This change will enable you to find all work done in Alabama or any work that used the National Assessment of Educational Progress (for example).

New Author Identification Numbers

The third new field adds links to author’s biosketch pages. It can get confusing when several authors have the same name, and when the same author can publishes under different names. For example, the same individual could publish under “John Young,” “John P. Young,” “J.P. Young,” and “Jack Young.” ERIC does not have the ability to determine if these are all the same people, but we were able to add hyperlinks to those authors that have an Orchid ID or a SciENcv page set up. If these numbers are available when we are indexing the record, we will be able to link to authors’ pages so that users can see the other work they have published. IES is encouraging grantees to use SciencCV, so we expect to see a large increase in the use of these fields.

If you have any questions about the new fields, please contact the ERIC help desk.