Purchasing and Business Services Manual (PUR)

Interim Posting

Note: At the request of the provost, a vice provost, or a vice president, this policy has been posted in the interim between scheduled posting dates by University Policy Manuals Group because it has significant and urgent importance for the university community. This policy will be included in the publication process by the next feasible posting for online policies and procedures.


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Effective: 2/1/1991

Revised: 11/12/2014

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PUR 701: Trademark Licensing

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Purpose

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To prevent the loss of trademark rights that can result from inadequate control or dilution of the university’s marks and symbols; to support the university’s formal and official graphic identity; and to advise ASU licensees and their contractors of the university’s “Code of Conduct for Trademark Licensees”

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Sources

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Trademark Counterfeiting Act of 1984
Arizona Revised Statutes §§ 44–1406 to –1413
University president
ASU Communications Guide

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Applicability

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University community members who produce, requisition, procure, or receive items bearing ASU marks and logos, and persons and entities outside the university community that wish to produce, distribute, or sell products bearing ASU marks and logos

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Background

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Trademark Protection

The ASU trademarks are the exclusive property of the Arizona Board of Regents. By authority of the regents, Arizona State University maintains ownership of any trademarks, service marks, marks, logos, insignias, seals, designs, or other symbols or devices associated with or referring to ASU. Besides common law rights, “Arizona State University,” “ASU,” “ASU West,” “ASU Polytechnic,” “Sun Devils,” and “Sparky” (the ASU mascot) (see these marks on the ASU Communications Guide Web site) are protected by trademark registrations with the State of Arizona and the U.S. Patent and Trademark Office in the Department of Commerce.

Regulation of all uses of ASU marks is essential to protect the university’s trademark rights and image from liability and to protect against dilution of the marks. ASU approval is required for all noncommercial and commercial uses of ASU marks. Unauthorized (noncommercial or commercial) use of a mark could effectively prevent ASU from retaining and enforcing its rights in legal and commercial contexts.


The ASU Communications Guide

All formal and official graphic representations must adhere to the guidelines and specifications delineated in the ASU Communications Guide.


Trademark Management Office

The Trademark Management Office actively polices the market and the Internet to protect against unauthorized or unlicensed use of the ASU marks, names, and symbols and to protect licensees from unfair competition. The service mission of the Trademark Management Office is to assist licensees, suppliers, manufacturers, students, staff, and any other persons regarding licensing issues and uses of ASU marks on apparel and products.


Benefits of Licensing

Benefits to the Manufacturer

The ASU Trademark Licensing Program works closely with licensees, stores, Internet sellers, and the campus community and develops cooperative relationships with them to develop a stronger market for their products displaying the ASU name and trademarks. In addition, ASU seeks opportunities to promote sales through marketing efforts.

The Trademark Management Office offers rights to use ASU marks to those persons or organizations who meet licensing requirements and who offer products or services deemed by ASU to be appropriate for sale or distribution.

Benefits to the Retailer

The ASU Trademark Licensing Program works with retailers carrying licensed merchandise to increase sales and keep unlicensed merchandise off the shelves of competing retailers. It also maintains lists of retailers to direct customers to their outlets. The program also works with Sun Devil Athletics and licensing agencies to market promotional opportunities and merchandise in conjunction with ASU events.

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Policy

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Formal and Official Use

The ASU Communications Guide provides a system of graphic identity to be used for all formal and official representations of the university. Any exceptions to the formal and official use must be approved by the university president.


Need to License

All uses of the ASU name and marks must be licensed or approved.

Any person or organization manufacturing a product or providing a service bearing or containing any of the marks belonging to ASU must, prior to such use of the mark, enter into a licensing agreement with an authorized agent of the university. No use of any mark belonging to ASU shall be authorized without such a licensing agreement or a written exception.

Each licensing agreement shall provide for either a reasonable royalty to be paid to the university or other consideration deemed appropriate by ASU in exchange for permission to use the mark. All exemptions for licensing or royalties must be in writing.


Use of Royalty Income

Royalty income should be used for support of the mission of the university. Its uses will be determined by the president.


Noncommercial Use of Logos by Campus Organizations, Faculty, Staff, and Students

Campus organizations making items for their internal use are to use an ASU license. All uses of ASU marks and identifiers must be approved in writing by the ASU Branding Committee, comprising the responsible administrator in the Office of Public Affairs, Trademark Management, or Sun Devil Athletics. University departments and official organizations may use “ASU” in their official operations and may also use “ASU” on products that are part of their normal operations. All manufacturers of ASU goods must be licensed.

University employees and students are not authorized to modify, change, or alter ASU marks protected by trademark. In addition, they are not authorized to employ ASU marks that are unprotected by trademark. Employees and students may not authorize any use of ASU marks without the prior approval of the Office of Public Affairs.

Campus departments and student organizations producing items, having items produced for internal use, or buying goods for resale must purchase the items from a licensed manufacturer, unless a written exception is granted. Student faculty and staff must purchase their goods from manufacturers awarded contracts by ASU Purchasing for all screen printing and embroidery.

The University Seal

The official seal of ASU (see the seal on the ASU Communications Guide Web site) is the official seal of the state of Arizona with the words “Arizona State University 1885” encircling it. Use of the seal is reserved for formal and official documents, such as diplomas; legal and official records; transcripts; programs for formal academic ceremonies; and any legal agreements binding the university. Use of the seal requires prior authorization from the Office of the President or the Office of Public Affairs. It may be used for appropriate licensed products for resale.

The Athletic Mascot

The official athletic mascot, Sparky the Sun Devil (see Sparky on the ASU Communications Guide Web site), was developed in 1945 to reflect the energy and enthusiasm of athletics at ASU. The official mascot is to be used primarily in association with campus programs and events. Student organizations are allowed to use the mascot with permission from the ASU Trademark Management Office.

The mascot is a copyright and trademark of ASU. The mascot must not be redrawn or modified in any way without prior authorization from the Office of the President or the Office of Public Affairs. It must be reproduced from authorized digital files or reproduction masters. The president has delegated modification approval for retail goods to the ASU Trademark Management Office.


Resale or Promotional Distribution of Items Displaying Logos

Organizations or persons intending to make items bearing the ASU name or logo for general distribution or resale, as opposed to limited campus use, must become licensed or buy merchandise from a licensed business.

Organizations or persons wishing to purchase a product bearing the ASU name or logo for general distribution or resale, as opposed to limited campus use, must also obtain the product from a licensed manufacturer.

No organization, faculty member, staff member, or student may authorize any third party to produce merchandise bearing the ASU names or trademarks, or authorize or produce items that combine the ASU name with any third party name or logo unless approved by the Trademark Management Office.

ASU marks may not be used with anyone else’s marks unless written approval of the owners of all marks has been secured.


Authority for Program Administration

The Trademark Management Office is responsible for the implementation and interpretation of the day-to-day operations, noncontroversial design approvals, appropriate modifications for retail, and control of the university’s identifying marks for negotiating licensing agreements. No other office, department, or agency is authorized to perform trademark licensing program administration. Controversial product designs and sensitive issues will be reviewed at appropriate administrative levels.


Product Approval

Manufacturers or members of the university community wanting to expand the types of items bearing ASU marks must have each product approved by the Trademark Management Office or its legal agent. Prospective licensees shall furnish, free of cost to ASU, a representative sample of each item to be approved for licensing. If there are many products, a representative sample and product catalog will suffice. All designs to be used on any product must be approved prior to sale and indicated clearly in the license agreement.

Note: If a finished product bearing ASU marks is not available, then a sample must be submitted. A drawing may be required showing where and how the ASU marks are to be used.

All product approvals by the Trademark Management Office and its agent must be in writing. No verbal approval will be valid.


Logo Modifications

ASU recognizes that some creative designs may alter the traditional usage of marks. Variations of these designs and product samples must be submitted to the Trademark Management Office for approval prior to their public release. This includes product packaging, point of purchase displays, commercial Internet uses, and all forms of product promotional materials. ASU reserves the right to require correction or alteration of any use of its marks deemed inappropriate by the university.

University employees and students are not authorized to modify official ASU marks protected by trademark. University applications are governed by the ASU Communications Guide. For more information on ASU graphic standards, see PUR 402–05, “ASU Graphic Standards.” Commercial uses must be specifically identified and delineated in contracts rather than be broad and implied.


Prohibited Products

ASU will not license products that defame the university, or are medical, dangerous, harmful, shoddy, obscene, firearms, or otherwise deemed inappropriate for reasons of the item characteristics or manufacture.


Infringement

ASU actively protects its identifying marks and enforces its trademark rights. The ASU Trademark Management Office takes an active role in preventing trademark infringement by educating the ASU community and searching the internal and external market for infringers. If a trademark infringement occurs, ASU may proceed to take legal action as the situation warrants.


ASU Trademark Management’s Fair Labor Philosophy and Code of Conduct for Trademark Licensees

Arizona State University exhorts all licensees of ASU and their contractors to maintain a fair, safe, and nonexploitive working condition for all of their employees. The university has the right to terminate licenses immediately for failure to comply with these expectations.

I.   Introduction

ASU is committed to conducting its business in an ethical and socially responsible manner consistent with its educational mission. As a condition of being permitted to produce or sell licensed products bearing the name, trademarks, or images of ASU, each licensee must comply with this Code and ensure that its contractors comply with this Code. “Licensee” includes all persons or entities that have entered a written Licensing Agreement with ASU through its trademark licensing agent to manufacture products bearing the name, trademarks, or images of ASU. “Contractor” includes each contractor, subcontractor, supplier, or manufacturer engaged in a manufacturing process that results in a finished product for the consumer. “Manufacturing process” includes assembly and packaging. ASU may modify this Code to reflect changes in manufacturing conditions or developments relating to monitoring.

II.   Standards

  1. Legal Compliance. ASU licensees and their contractors must comply with all applicable legal requirements in conducting business related to the production or sale of products bearing the name, trademarks, or images of ASU. If this Code conflicts with the applicable laws of the country of manufacture, the licensee must meet the higher standard.
  2. Ethical Principles. Licensees agree to adopt ethical standards to guide the operation of their business practices. These standards must include honesty, integrity, trustworthiness, and respect for the unique intrinsic value of each human being.
  3. Environmental Responsibility. Licensees agree to make environmentally responsible business decisions. Such decisions reflect a commitment to protect and preserve the global environment and the world’s finite resources. ASU requires its licensees to ensure “do no harm” manufacture of all products bearing ASU indicia. For example, ASU requires that manufacturers not pose risks to human health through increasing exposure to negative environmental factors; not increase human vulnerability to environmental risks and natural disasters; and not damage the livelihood of the poor who depend on natural resources. ASU encourages ecological soundness and sustainability policies that mitigate potential adverse effects to the environment and vulnerable populations.
  4. Employment Standards. ASU will do business only with licensees whose workers are present at work voluntarily, compensated fairly, not at undue risk of physical harm, and not exploited. In addition, licensees and their contractors must meet the following employment standards.
    1. Nondiscrimination. Licensees must employ individuals solely on the basis of their ability to perform the job. No person shall be subject to any discrimination in employment, including hiring, salary, benefits, advancement, discipline, termination or retirement, on the basis of gender, marital status, reproductive status, race, religion, age, disability, sexual orientation, nationality, political opinion, or social or ethnic origin.
    2. Health and Safety. Licensees must provide workers with a safe and healthy work environment. Any residential facilities provided to workers must be safe and healthy.
    3. Harassment or Abuse. Every employee shall be treated with dignity and respect. No employee shall be subject to any physical, sexual, psychological or verbal harassment or abuse. Licensees will not use or tolerate any form of corporal punishment.
    4. Freedom of Association. Licensees must recognize and respect the right of employees to freedom of association and collective bargaining.
    5. Forced Labor. No licensee or contractor may use forced labor, indentured labor, or bonded labor.
    6. Labor Standards Environment. In countries where law or practice conflicts with these labor standards, licensees agree to work with governmental, human rights, labor and business organizations to meet these standards. Licensees also agree to refrain from any actions that would diminish the protections of these standards. In addition to all other rights under the Licensing Agreement, ASU may refuse to renew any Licensing Agreement for goods made in countries in which: (a) progress toward implementation of this Code is no longer being made; and (b) compliance with this Code is deemed impossible. ASU will make this determination based upon examination of reports from governmental, human rights, labor and business organizations and after consultation with the relevant licensee.
    7. Wages and Benefits. Licensees and their contractors shall pay wages which are the highest of (a) the legal minimum wage in the country(ies) of manufacture, (b) the prevailing wage in that industry in the country(ies) of manufacture, or (c) a wage that meets the basic human needs for the average family size of employees in that industry in the country(ies) of manufacture. Basic human needs shall mean wages and benefits sufficient (when taking into account any governmental programs) to meet needs for nutrition, clothing, shelter, health care, transportation, children’s education, and energy.
    8. Working Hours. Except in extraordinary circumstances, employees must not be required to work more than the lesser of: (a) 48 hours per week and 12 hours overtime, or (b) the limits on regular and overtime hours allowed by the law of the country of manufacture. Employees must be entitled to at least one day off in every seven-day period.
    9. Overtime Compensation. In addition to compensation for regular hours of work, employees must be compensated for overtime hours at the premium rate legally required in that country, but not less than at a rate equal to their regular hourly compensation rate.
    10. Women’s Rights. Female workers shall have the same work opportunities as men, without restriction on the types of jobs or special limits on hours of work. Licensees shall not use criteria related to marital or reproductive status (for example, pregnancy tests, the use of contraception, fertility status) as conditions of employment. New mothers shall be entitled to leaves of absence (with the right to return to work) for childbirth and recovery from childbirth. Workers who take maternity leave will not face dismissal, threat of dismissal, loss of seniority, or deduction of wages.
    11. Child Labor. No one may be employed at an age younger than 15 (or 14, as consistent with International Labor Organization practices for developing countries, if the law of the country of manufacture allows this exception). If the age for completing compulsory education is higher than the standard for the minimum age of employment stated above, the higher age for completing compulsory education applies to this section. Licensees agree to work with governmental, human rights, and non-governmental organizations, as determined by ASU and licensee, to minimize the negative impact on any child released from employment as a result of the enforcement of this Code.

III.   Remediation

If ASU determines that a licensee or contractor has failed to remedy a violation of this Code, then ASU will consult with the licensee to determine the appropriate measures to be taken. At a minimum, the remedy will include taking all steps necessary to correct the violation, including paying any portion of back wages found due to workers who manufactured the licensed articles. If these measures fail to resolve the violations within a specified time period, then licensee will implement a corrective action plan on terms acceptable to ASU. ASU reserves the right to terminate its relationship with any licensee that continues to conduct its business in violation of the corrective action plan. ASU will provide the licensee 90 days prior written notice of termination.

IV.   Compliance and Disclosure

Licensees will provide the following information to ASU or its trademark licensing agent at least 60 days prior to the date of the annual license renewal: (a) the company names, owners and officers, addresses, phone numbers, e-mail addresses and nature of the business association for all of the licensees’ contractors and manufacturing plants that are involved in the manufacturing process of items which bear, or will bear, the name, trademarks or images of ASU; (b) written assurances that it and its contractors adhere to this Code (except that in the initial phase-in of the Code, licensee must also provide written assurances within six months of receipt of this Code); and (c) a summary of the steps taken or difficulties encountered during the preceding year in implementing and enforcing this Code at each site.

Licensee must immediately report to ASU if changes occur, such as the selection of a new factory, that materially affect the application of these labor standards.

V.   Verification

Each ASU licensee must ensure compliance with this Code and verify that its contractors are in compliance with this Code.

VI.   Internal and External Monitoring

ASU and licensee have not yet defined methods of internal monitoring, training, and independent external monitoring. ASU and licensee agree to undertake efforts to define the obligations associated with training and monitoring and a reasonable time frame within which compliance measures, including internal monitoring and independent external monitoring, will begin.

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Procedures

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To Request a Trademark License

Contact the Trademark Management Office (480/965–5499 and Fax: 480/727–9800) or the ASU licensing agent:

Collegiate Licensing Company, an IMG Company
1075 Peachtree Street
Suite 3300
Atlanta, GA 30309
Phone: 503/675-5028
Fax: 404/642-4691
Web site: www.clc.com

To Request Approval for a Specific Product

Send or deliver the product to the Trademark Management Office in the University Services Building or to the Collegiate Licensing Company address above.

Trademark Management
Arizona State University
University Center
1130 E. University Drive
Suite 120
Box 872704
Tempe, AZ 85287-2704
Phone: 480/727-7848
Note: Specifications of product composition and contents may be required.

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