Appendix A - Definitions

1. An "ASSOCIATED ENTITY" means any trust, foundation, partnership or other privately held entity in which a person, alone or together with one or more members of the person's FAMILY, holds any interest in income or assets.

2. "BUSINESS" means any corporation, firm or other legal entity organized forprofit or charitable purposes, excluding Georgetown University.

3. For the purposes of this Policy only, "University Services" means any component of the University not under the administrative jurisdiction of one of the three campus Executive Vice Presidents. Authority granted in the Policy to the Director of a University Services area is not in addition to that of a relevant Vice President, but rather shall only exist when the University Services area does not report to a Vice President.

4. "CONSULTING RELATIONSHIP" means any arrangement by which a person provides services for more than $10,000 in compensation of any kind in any given year as an independent contractor or employee to any entity other than Georgetown University. For the purposes of this Policy it also means publication agreements for which an individual receives more than $10,000 in compensation of any kind. In addition, an INVESTIGATOR has a CONSULTING RELATIONSHIP with a BUSINESS if the INVESTIGATOR provides services for and has a SIGNIFICANT FINANCIAL INTEREST in the BUSINESS.

5. An "EXECUTIVE POSITION" means a position as director, officer, partner, trustee or other position of management in a BUSINESS. This term does not include a position on a scientific advisory board.

6. The term "FACULTY" as used in the Policy includes all full-time faculty members, part-time faculty members, and visiting faculty members. Although the term does not include volunteer faculty members, a department chairperson may, under appropriate circumstances and with notice to the person affected, designate a volunteer faculty member in his or her department as "faculty" for the purposes of the Policy. In addition, the Executive Vice President for each of the three campuses may at his or her discretion in writing exempt as a class part-time and/or visiting faculty from this definition and from all or a portion of the Policy, provided exempted individuals are not engaged in research or educational activities funded by the Federal government.

7. The "FAMILY" of a person includes that person's spouse and dependent children.

8. "INVESTIGATOR" means the principal investigator, co-principal investigator(s), co-investigator(s), project director and any other person, regardless of title or position, who is responsible for the design, conduct or reporting of research or educational activities funded by a federal government agency or other external sponsor, or proposed for such funding.

9. "PHS AWARDING COMPONENT" means the organizational unit of the PHS that funds the research.

10. "PUBLISHER" refers to the publisher of a book, journal, or other scholarly work in which a FACULTY or STAFF member publishes the results of activities conducted at Georgetown University, using Georgetown University resources, or under Georgetown University's auspices; the sponsor of a seminar, conference or academic gathering at which such research is discussed; and the editorial staff of any publication in which the results of such research appear. "Publishing" includes what is ordinarily considered as publishing in any written or electronic medium, as well as speeches, public communications and other formal presentations.

11. A "SIGNIFICANT FINANCIAL INTEREST" means any of the following when aggregated for a person and members of his or her FAMILY:

a. an equity interest in a BUSINESS, such as stock, stock options, or warrants, if the value of such ownership is more than $10,000, or if the ownership interest represents more than 5% of ownership interests in that BUSINESS, or any other ownership interest with a value of more than $10,000. This definition does not include any interest owned solely by reason of investment in a BUSINESS by a mutual fund, pension fund, or other institutional investment fund over which the person or FAMILY member exercises no control;

b. an interest in intellectual property (such as a patent or copyright), or any royalty or other payment or entitlement related to the intellectual property interest, expected to exceed $10,000 over the next twelve months;

c. the right to receive from a BUSINESS compensation, such as salary, consulting fees, honorarium, or any other form of payment for services (including the value of goods and services) in an annual amount of more than $10,000; and

d. a loan from, or other indebtedness to, a BUSINESS, regardless of the amount.

For INVESTIGATORs, SIGNIFICANT FINANCIAL INTEREST includes, in addition to the interests described in section 11(a)-(d) above, the interests described in Appendix B and Appendix C, each as applicable.

12. The term "SPONSORED PROGRAM" as used in the Policy is a research or other activity supported or paid for in whole or in part, directly or indirectly, from external sources. "Sponsored program support" means the funds or other things of value given to enable a sponsored program to be performed.

a. An external source can include a government department or agency (foreign, federal, state, or local); a not-for-profit foundation, corporation or organization; a for-profit corporation or BUSINESS entity; and any natural person who supports research or other activities through the donation or commitment of funds other than University funds.

b. Programs or research qualify as sponsored programs even if the sponsored program support comes from University funds. Programs or research also qualify if the sponsored program support comes from a University-administered fund and the research or program and INVESTIGATORs are selected by University personnel, so long as the sponsored program support comes from an extramural source and the extramural source is aware that some or all of its funding has been placed in a University-administered research or program fund. 

13. The term "STAFF" as used in the Policy includes all those University employees who are not "FACULTY" as defined above, including non-teaching academic staff.

14. The term "TECHNOLOGY" is used inclusively in this Policy to mean any instrument, machine, device, process, software, compound, drug, or diagnostic, medical or surgical procedure.

15. The term "UNIVERSITY RESPONSIBILITIES," as used in Appendix B and Appendix C of this Policy, includes professional responsibilities on behalf of the University, including, but not limited to, teaching, research, research consultation, professional practice, institutional committee membership, and service on panels such as Institutional Review Boards or Data and Safety Monitoring Boards. [This definition applies only to INVESTIGATORS under the Policy.