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1<html><head><title>Vol 4, Part 5, Chapter 7</title>
2
3<meta http-equiv="Content-Type" content="text/html; charset=iso-8859-1"></head>
4<body bgcolor="#ffffff" link="#0000ff" vlink="#800080"><font font="" face="Arial, Helvetica, sans-serif" size="2"> 
5</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2"><b>Chapter 7</b></font></p>
6<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><b>PATENT, INVENTION, AND COPYRIGHT POLICY</b></font></p>
7<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor1"></a><b>Section 1. Patent and Invention Policy</b></font></p>
8
9<ol type="A"><font font="" face="Arial, Helvetica, sans-serif" size="2"> 
10<li>This policy covers both patented and nonpatented innovations, including computer
11  software with commercial value, and is applicable to all faculty, staff, and
12  students. The policy is intended to show the University's positive attitude
13  toward transfer of results of its research to the private sector.</li>
14</font><p></p>
15<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>The purpose of university research is to seek new knowledge for the general
16    benefit. Although university research is not directed intentionally toward
17    inventions, commercially valuable inventions do often result, and it is generally
18    in the best interests of the University and the public that patents be obtained
19    and/or licenses granted as described in this policy. Inventions shall be promptly
20    reported to the University's Office of Intellectual Property and Technology
21    Transfer and all concerned shall cooperate to assure prompt initiation of
22    appropriate technology transfer actions. The term "invention" means any invention
23    or discovery which is or may be patentable or otherwise protectable as to
24    ownership. An invention may be a process, machine, manufacture, composition
25    of matter or design, or any new or useful improvement thereof. An invention
26    is deemed to be "made" when it is conceived or first actually reduced to practice.
27  </li>
28</font><p></p>
29<li><font font="" face="Arial, Helvetica, sans-serif" size="2">University employees shall report all inventions and discoveries to the
30  University's Office of Intellectual Property and Technology Transfer. As a condition
31  of employment, and even if a specific patent agreement is not signed, University
32  employees agree to assign all inventions in which the University has an interest
33  to the University, to an invention management agency designated by the University,
34  or to the sponsor if required under agreements governing the research. Employees
35  shall execute documents of assignment and do everything reasonably required
36  to assist the assignee(s) in obtaining, protecting, and maintaining patent or
37  other proprietary rights. Students who are also employees, students working
38  on a sponsored project, and students who have used University resources (other
39  than for lecture-based coursework) shall also report all inventions and discoveries
40  to the University's Office of Intellectual Property and Technology Transfer
41  and shall assign all such inventions and discoveries in the same manner as University
42  employees. Inventions in which the University has an interest but which do not
43  meet University criteria for patenting shall be managed in accordance with policies
44  and procedures determined by the University Office of Intellectual Property
45  and Technology Transfer. If and to the extent permitted by state law and other
46  University policies, those procedures may include: (a) a mechanism by which
47  the inventor(s) may personally pay patenting costs; (b) the formation of a commercial
48  enterprise to pursue commercialization; and, under very rare circumstances,
49  (c) the transfer, for appropriate consideration, of the patent rights to the
50  inventor(s). These procedures shall be implemented at the discretion of the
51  Vice Provost for Intellectual Property and Technology Transfer.
52 
53</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">Although all inventions and discoveries must be reported to the Office of Intellectual
54  Property and Technology Transfer, there are instances when the University may
55  choose not to assert ownership. The University will not require assignment of
56  interests for any invention for which no equipment, supplies, facilities, or
57  trade secret information of the University was used and which was developed
58  entirely on the employee's own time, unless (a) the inventions related (i) directly
59  to the business of the University, or (ii) the University's actual or demonstrably
60  anticipated research or development, or (b) the invention results from any work
61  performed by the employee for the University.</font></p>
62<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
63</li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Research funded wholly or in part by an outside sponsor is subject to this
64  policy as modified by the provisions of the agreement covering such work. Employees
65  engaged in sponsored research are bound by the provisions of the agreement between
66  the University and the sponsor. Title to any inventions conceived or first reduced
67  to practice in the course of research supported by Federal agencies, industry,
68  or other sponsors shall generally vest in the University. In rare cases, an
69  industrial sponsor may possess a dominant patent position in a certain technology
70  area so that any patent the University might seek would be of little or no value.
71  For this or other reasons, an exception to the University title policy may be
72  approved by the University's Office of Intellectual Property and Technology
73  Transfer when to do so will honor the general principles of this policy, protect
74  the equities involved, and satisfy the requirements of the parties.</font></li>
75<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
76<li><font font="" face="Arial, Helvetica, sans-serif" size="2"> Industry supported research is valued by the University when it embraces
77  a proper balance between the University's educational mission and industry's
78  quest for the development of commercial products, processes, and services. Interaction
79  with industry may take any of several forms, including grants, contracts, consortia
80  agreements, and affiliate programs. Industry sponsors may be assured of at least
81  a non-exclusive license to inventions conceived or developed with their support.
82  Where the sponsor uses the invention entirely within its own operations, the
83  license may be royalty-free. Where the sponsor, or a third party, manufactures
84  and sells products, services, or processes based on the invention, reasonable
85  royalty payments to the University, or its assignee, are required. If necessary
86  for the effective development and marketing of a University invention, an exclusive
87  license may be granted, usually for a limited time period. Where an invention
88  is not identifiable in advance, the University may grant the sponsor an option
89  to an exclusive license if the sponsor agrees to finance the cost of the University's
90  patent application and observe certain diligence requirements that will assure
91  promptly bringing the invention into public use. The patent financing may be
92  treated as an offset against royalties payable when the invention is marketed.</font></li>
93<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
94<li><font font="" face="Arial, Helvetica, sans-serif" size="2">The University retains the right to file patents itself or to use other
95  patent management firms. The University has agreements with the Washington Research
96  Foundation, Research Corporation Technologies of Tucson, Arizona and Battelle
97  Development Corporation in Columbus, Ohio as patent and license agents.</font></li>
98<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
99<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Both the University and the inventor are entitled to a share of income from
100  licensed inventions; the University on the basis of salary and facilities support
101  for the inventor and the cost of patent or license administration; and the inventor
102  on the basis of creative activity, documenting the invention, and assisting
103  as necessary with commercialization. Thus, the University allocates a share
104  of income to the inventor. The remainder is dedicated to further research by
105  allocating shares to the college/department (or other unit) in which the invention
106  was conceived or first reduced to practice and to the Office of the Provost.</font></li>
107<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
108<li><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="h"></a>The University may take an equity position in a company
109  whether or not license fees or royalties are paid to the University as part
110  of a negotiated agreement. A typical circumstance under which the University
111  might receive equity would be as part of an agreement licensing University-developed
112  technology to a start-up or developing business venture. Another example might
113  occur when an employee of the University utilizes the expertise and/or technology
114  he or she has developed in the course of University employment and assists a
115  business venture in the commercialization of an idea. (A business venture includes
116  corporations, partnerships, or other commercial enterprises.) Such a commercial
117  association with the University and its employees adds both value and credibility
118  to the new business venture. To assure a balance of interests for the business
119  venture as well as for the University, the University will generally require
120  that it receive an equity position in such circumstances. </font></li>
121<font font="" face="Arial, Helvetica, sans-serif" size="2"> 
122</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">The University's equity interests are managed and disposed of in accordance
123  with guidelines established by the Treasury Office in consultation with the
124  Office of the Provost and the policies and procedures stated in the <i>University
125  Handbook</i> and <i>Administrative Policy Statements</i>. University employees
126  may be eligible to receive a portion of the University's equity interest in
127  accordance with the policies and procedures described in the University's <i>Administrative
128  Policy Statements</i> and as allowed under state law and University conflict
129  of interest policies. When such equities are liquidated, the net proceeds, after
130  recovery of all University costs and after any distributions to eligible recipients,
131  accrue to appropriate University accounts and are administered by the Provost
132  to promote research and technology transfer across the entire University. If
133  the proceeds from the disposition of a particular equity interest are unusually
134  large, the Provost shall confer with the University Budget Committee, the Research
135  Advisory Board, or other appropriate faculty bodies, on alternative uses for
136  amounts in excess of a base figure (set at $3 million in 2000 dollars).</font></p>
137<font font="" face="Arial, Helvetica, sans-serif" size="2"> 
138</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">There may be situations in which both the University and its employees separately
139  own equity interests in a business venture. In such circumstances, the employee's
140  equity interest is considered to be independent of the University's equity interest
141  and is not held, managed, disposed of, or distributed by the University. An
142  example would be a case in which the University receives an equity interest
143  in a business venture as a result of licensing certain intellectual property
144  developed by one of its employees and in which the same employee also owns a
145  equity interest as a result of being a founder of the business venture receiving
146  the license. In this example, the employee's equity interest is not held or
147  managed by the University, but rather by the employee, and the employee's status
148  as a founder having an ownership stake in the business venture renders the employee
149  ineligible to receive a distribution of a portion of the University-owned equity.</font></p>
150<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
151<li><font font="" face="Arial, Helvetica, sans-serif" size="2">As a public institution, the University should undertake sponsored research
152  only when the results can be published. Publication may be deferred for a reasonable
153  time during which the University and the sponsor review the feasibility of patent
154  coverage or other protection on an invention described in the publication. Likewise,
155  graduate student theses or dissertations containing invention details may be
156  withheld from the Library shelves for a limited period while this evaluation
157  process is conducted. Some research agreements may involve University access
158  to a sponsor's proprietary data subject to a clause defining the conditions
159  under which such data will be identified, accepted, and used. Students should
160  be able to participate in such research in a meaningful way without access to
161  proprietary data. When publication of the research involving proprietary data
162  is contemplated, the University may agree to provide the sponsor with advance
163  copy prior to submission for publication to allow the sponsor an opportunity
164  to identify any inadvertent disclosure of proprietary data.</font></li>
165<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
166<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Employee consulting with commercial enterprises can be of significant benefit
167  to the University, the employee, the commercial entity, and the general public.
168  However, such involvements include the potential for conflicts of interest,
169  for the inhibition of the free exchange of information, and for interference
170  with the employee's primary allegiance to the University. University employees
171  should be guided in these arrangements by the policy stated in Volume Four,
172  Part V, Chapters <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-02.html">2</a> and <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-06.html">6</a> 
173  of the <i>University Handbook</i>. Invention clauses in consulting agreements
174  must be consistent with the policy of the University and with University commitments
175  under sponsored research agreements. Questions concerning potential conflicts
176  should be referred to the University's Office of the Provost and the Office
177  of Research.</font></li>
178<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
179<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Conflicts of interest are of prime concern when a faculty member is involved
180  in "deeper than consulting" arrangements with business ventures. Although the
181  faculty member may hold an equity interest or a management position in a business
182  venture, he or she must do so consistent with the principles and procedures
183  of Executive Order 57 (<i>University Handbook</i>, <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-06.html">Volume
184  Four, Part V, Chapter 6</a>, Section 6, Involvement with Commercial Enterprise,
185  Deeper than Consulting). In situations where the employee is a board member,
186  manager, or receives shares of stock, the option to purchase stock, or other
187  equity interest in return for the use of his or her services and/or inventions
188  in a business venture, approval by the Office of the Provost (after review by
189  the dean and the chair) is required. The primary focus of the review by the
190  Office of the Provost will be to ensure that potential conflicts of interest
191  and exposure to liability are properly managed. For example, the interests of
192  the graduate students involved in such cases must be protected, there must be
193  no direct managerial involvement of the faculty member in the business venture,
194  there must be an arms-length relationship between the faculty member's responsibilities
195  to the business venture and the faculty member's academic responsibilities,
196  and mechanisms must be in place to ensure that the research program of the faculty
197  member is not distorted by his or her interests in the business venture.</font></li>
198<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font></ol>
199
200<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor2"></a><b>Section 2. Copyright Policy</b></font></p>
201<ol type="A">
202
203<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Background.</font></li>
204<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The University encourages the publication of scholarly works as an inherent
205  part of its educational mission. In this connection, the University acknowledges
206  the right of faculty, staff, and students to prepare and publish, through individual
207  initiative, articles, pamphlets, and books that are copyrighted by the authors
208  or their publishers and that may generate royalty income for the authors.</font></p>
209<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The variety and number of copyrightable materials that may be created in the
210  university community have increased significantly in recent years as have the
211  author-university- sponsor relationships under which such materials are produced.
212  Therefore, the following statement of University policy on ownership and use
213  of copyrightable materials is provided to clarify the respective rights of individuals
214  and the University in this increasingly important area. The policy will be administered
215  by the University's Office of Intellectual Property and Technology Transfer.</font></p>
216<p></p>
217<li><font font="" face="Arial, Helvetica, sans-serif" size="2">General Statement of University Policy on Ownership and Use of Copyrightable
218  Materials</font></li>
219<p><font font="" face="Arial, Helvetica, sans-serif" size="2">University faculty, staff, and students retain all rights in copyrightable
220  materials they create, including scholarly works, subject to the following exceptions
221  and conditions:</font></p>
222<ol type="1">
223<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Grant and Contract Limitations. Conditions regarding rights in data or restrictions
224    on copyright privileges contained in sponsored grants, contracts, or other
225    awards are binding on the University and on faculty, staff, or student authors.
226    Copyright works, with the exception of routine progress reports, prepared
227    as required elements of such sponsored grants, contracts, or other awards
228    shall be reported to the Office of Intellectual Property and Technology Transfer
229    for review prior to any external dissemination of the work. If necessary to
230    fulfill grant and contract limitations, authors shall execute an appropriate
231    written assignment of copyrights to the University.</li>
232        </font><p></p>
233<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>University-Owned Materials. Materials shall be "University-owned" within
234    the meaning of this policy statement if the work is a "work for hire" under
235    copyright law or the author was commissioned in writing by the University
236    (or one of its colleges, schools, departments, or other divisions) to develop
237    the materials as a part of the author's regularly compensated duties, as for
238    example, released time arrangements in the case of faculty members. As to
239    a faculty member, "commissioned in writing" specifically does not refer to
240    his or her general obligation to produce scholarly works.</li>
241        </font><p></p>
242<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>University-Sponsored Materials. Materials shall be "University-sponsored
243    materials" within the meaning of this policy statement if the author developed
244    the materials in the course of performance of his or her normal duties and
245    utilized University staff, resources, or funding to develop the work. As to
246    a faculty member, "normal duties" does not include his or her usual scholarly
247    activity unless it involves extensive uncompensated use of University resources.</li>
248        </font><p></p>
249<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Written Agreements. It is desirable to reach agreement in writing as to
250    the rights of the University and of participants before work begins whenever
251    (1) a question exists as to whether the materials will be University-owned
252    or University-sponsored, or (2) copyrightable materials are likely to result
253    from the joint efforts of persons in academic departments and University service
254    departments. As to jointly-developed materials, determination of rights in
255    written form shall be accomplished no later than prior to sale of the materials
256    in question. Questions concerning the interpretation and administration of
257    this policy shall be resolved in accordance with Section 3.</li>
258        </font><p></p>
259<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Proportional Ownership. In case of materials developed in substantial part
260    under commission and in substantial part through other means, the materials
261    shall be regarded as "University-owned" in an appropriate proportion. In the
262    case of materials developed in substantial part during the course of normal
263    duties and with use of University staff, resources, or funding the materials
264    shall be regarded as "University-sponsored" in an appropriate proportion.</li>
265        </font><p></p>
266<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Royalty-Free Privileges to University. The University retains a right to
267    royalty-free use of any copyrightable materials developed by University employees
268    (other than books and materials available from a publisher through normal
269    distribution channels) when the development of such materials was advanced
270    through the use of University facilities, supplies, equipment, or staff services.
271    This right exists even though the materials do not constitute University-owned
272    or University-sponsored materials as defined above (e.g., where use of facilities
273    by a faculty member was not extensive).</li>
274        </font><p></p>
275<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Student Writings. Students employed by the University in any capacity are
276    covered by the terms of this policy. In addition, where a student receives
277    financial aid or remuneration under a sponsored research, training, or fellowship
278    program, his or her rights in copyrightable materials are limited by the terms
279    of the University agreement with the sponsoring agency. The University has
280    no ownership rights in copyrightable materials developed by students who are
281    not employees of the University or in materials unrelated to their employment.</li>
282</font></ol>
283<p></p>
284<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Types of Materials.</font></li>
285<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The types of materials to which this policy is intended to apply include:</font></p>
286<ol>
287<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Video and audio recordings, tapes, and cassettes.</li>
288  <li>Film, film strips and other visual aids.</li>
289  <li>Books, texts, study guides and similar published materials.</li>
290  <li>Computer programs and software when copyright rather than patent or trade
291    secret protection is relied upon as the primary source of legal protection.
292    (When the primary commercial value of a computer program lies in its transfer
293    in limited quantities under arrangements of confidentiality, it shall be treated
294    as unpatented technology and be subject to the University Patent and Invention
295    Policy.)</li>
296  <li>Musical or dramatic compositions.</li>
297  <li>Internet-based productions and multimedia products.</li>
298  <li>Other copyrightable materials.</li>
299</font></ol>
300<p></p>
301<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Rights Involved in use of University-Owned or University- Sponsored Materials.</font></li>
302<p></p>
303<ol>
304<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Two categories of use are differentiated for purposes of this policy:  internal
305    use and external use. Internal use refers to use by any unit of the University
306    for instruction, research, or other educational purposes. External use refers
307    to use by other educational institutions, government and other nonprofit institutions,
308    and use resulting from lease or other contractual arrangements for commercial
309    distribution of the materials.</li>
310        </font><p></p>
311<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Use of University-owned or University-sponsored materials under this policy
312    shall be subject to the following conditions:</li>
313        </font><p></p>
314<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><ol type="a">
315<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>Internal use</li>
316        </font><p></p>
317<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><ol type="1">
318<li><font font="" face="Arial, Helvetica, sans-serif" size="2"> Each instance of use of such materials within
319    the University requires the approval of the author and the department or college
320    unless advance approval is waived through a prior written understanding or
321    the author's consent is implicit in the terms of the grant or contract supporting
322    the work. Internal uses of such materials will not involve a transfer of funds
323    between departments unless the lending department incurs incremental costs
324    in order to make the materials available.</font></li>
325<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><p></p>
326<li><font font="" face="Arial, Helvetica, sans-serif" size="2">As long as the author or producer of such
327    materials remains an employee of the University, the author may: (a) request
328    reasonable revisions of the materials prior to any instance of internal use,
329    or (b) ask that the materials be withdrawn from internal use if revisions
330    are not feasible.</font></li>
331<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><p></p>
332<font font="" face="Arial, Helvetica, sans-serif" size="2">    In cases where the University has invested significant funds in the production
333    of the materials and the author/producer is unable to agree with the department
334    head on appropriate revision or withdrawal of materials, the question will
335    be referred to the dean of the school or college for mediation.
336        </font><p></p>
337<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>If the author or producer terminates employment
338    with the University, then the University retains the right to continue internal
339    use of the material unless the author/producer and the University agree in
340    writing on special conditions for subsequent internal use of the materials
341    and the procedures for their revision.</li>
342        </font></ol>
343<p></p>
344<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>External use</li>
345        </font><p></p>
346<font font="" face="Arial, Helvetica, sans-serif" size="2">    Licensing or sale of University-owned or University- sponsored materials for
347    external use shall be preceded by a written agreement between the University
348    and the author or producer specifying the conditions of use, and including
349    provisions concerning the right of the author or producer to revise the materials
350    periodically, or to withdraw them from use-- subject to existing agreements--in
351    the event revisions are not feasible.
352</font></ol>
353</ol></ol>
354<p>
355</p><ol start="5" type="A">
356<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Division of Royalties.
357</font><p>
358</p><ol>
359<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>General Policy on Royalties. As to University-owned materials, all royalties
360    and income should inure to the University and its schools, colleges, and departments
361    as such materials are prepared in exchange for agreed compensation. As to
362    University-sponsored materials, a sharing of royalties and income is appropriate
363    because of the author's provision of creative efforts on the one hand and
364    the University's provision of salary, facilities, administrative support,
365    and other resources.</li>
366        </font><p></p>
367<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Royalties on Sales to Outside Users. Where University-owned or University-sponsored
368    materials are to be sold or rented to outside users, the following guidelines
369    pertaining to financial arrangements should be observed (subject to any limitations
370    specified by granting agencies):</li>
371        </font><p></p>
372<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><ol type="a">
373<li><font font="" face="Arial, Helvetica, sans-serif" size="2">All incremental expenses related to the distribution of copies will be
374    recovered from each sale or rental. Original costs for production of the materials
375    shall be recovered only if and as agreed to in writing prior to preparation
376    of the materials by the author and the academic departments and/or other University
377    units which incur those costs.</font></li>
378<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><p></p>
379<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In the case of University-owned materials, royalty and other income from
380    sale or use of the materials (after recovery of costs as specified in 1.)
381    shall be divided one-half to the University and one-half to the school/college/department
382    of the author or authors. The University share shall be used to promote research
383    across the whole University and shall normally be administered by the Office
384    of Research. The school/college/department share shall be allocated to the
385    dean of the college or school, and may be used for research, education, and
386    communications. At least 75% of this share should normally go to the author's
387    department for use there according to departmental and college goals. The
388    dean should have discretion in distributing the remaining 25% to promote activities
389    according to the nature and needs of the college or school in question.</li>
390        </font><p></p>
391<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In the case of University-sponsored materials, royalty and other income
392    from the sale or use of materials (after recovery of costs as specified in
393    a.) shall be divided according to the Administrative Policy Statement 59.4,
394    "Technology Transfer." In any given case covered by this subsection, the author
395    may dedicate all or any portion of his/her allocation to the school/college/department,
396    the Office of Research, or other administrative unit, subject to the provisions
397    of Administrative Policy Statement 59.4).</li>
398        </font><p></p>
399<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In certain instances it may be advantageous to market University-owned
400    or University-sponsored materials through outside commercial sources or the
401    University Press. Net royalty income from such sources shall be divided as
402    specified in b. and c.</li>
403        </font><p></p>
404<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>Royalty and other income from updating and revision of University-sponsored
405    materials shall be treated as income and royalty from such University-sponsored
406    materials, unless otherwise agreed to in writing by the author/producer and
407    the University before preparation of the original materials. The net income
408    from such upkeep or revision shall be separately computed on an annual basis
409    for the purpose of applying the distributions referenced in paragraph c.</li>
410</font></ol></ol>
411<p>
412</p></li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Protection and Liability.
413</font><p>
414</p><ol>
415<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Protection. The Office of Intellectual Property and Technology Transfer
416    shall investigate allegations of unauthorized use or copyright infringement
417    of University-owned and University-sponsored materials and shall recommend
418    appropriate action. If such action is started by the University, all costs
419    of such action shall be borne by the University. All proceeds in excess of
420    such costs shall be shared as provided in Subection F. (subject to sponsoring
421    agency limitations if a grant or contract is involved).</li>
422        </font><p></p>
423<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Liability. When there are allegations of violation of personal or property
424    rights by the University, or by the author or producer of University-owned
425    or University-sponsored materials copyrighted by the University, the University
426    shall assume responsibility for the defense of any action and the satisfaction
427    of any judgment rendered against the University or the author or producer.</li>
428</font></ol></li></ol>
429
430<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor3"></a><b>Section 3. Interpretation and Administration of Policy.</b></font></p>
431<ol type="A">
432
433<li><font font="" face="Arial, Helvetica, sans-serif" size="2">The President has designated the Vice Provost for Intellectual Property and
434  Technology Transfer as the officer of the University to administer, apply, and
435  interpret the provisions of this policy. The Vice Provost shall have the authority
436  to determine whether the facts of a given case merit special consideration.</font></li>
437<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
438<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Committee. The President of the University will appoint an Intellectual Property
439Management Advisory Committee to review periodically the policy set forth in this
440statement and recommend such changes to the President as the Committee deems desirable.
441The Committee will also advise on broader intellectual property issues that arise
442in the promotion and protection of research. The Committee will report to the
443Vice Provost for Intellectual Property and Technology Transfer and consist of
444no fewer than five members, a majority of whom shall be chosen from the faculty.
445</font><p></p>
446<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font></li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Distribution of Statement. When this statement becomes effective as University
447    policy, the President's office shall see that all departments and administrative
448    offices of the University are properly informed. Thereafter, the Vice Provost
449    for Intellectual Property and Technology Transfer shall remind deans and department
450    heads periodically of the existence of the policy, inform them about any significant
451    interpretations of the policy, and invite comments or questions regarding
452    it.</font></li>
453<font font="" face="Arial, Helvetica, sans-serif" size="2">     </font><p></p>
454<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Duties of Vice Provost for Intellectual Property and Technology Transfer.
455    The Vice Provost for Intellectual Property and Technology Transfer shall manage
456    the Office of Intellectual Property and Technology Transfer, which will represent
457    the University in negotiating agreements with inventors, authors or producers,
458    or licensees pursuant to this policy. She or he may consult also with department
459    heads and the heads of production units involved in a specific technology
460    transfer transaction, and she or he shall sign or recommend all agreements
461    for signing consistent with delegated authority. Where copyright coverage
462    should be obtained on University-sponsored or University-owned materials,
463    the Office of Intellectual Property and Technology Transfer will facilitate
464    the copyright application. The faculty or staff member who is the author of
465    University-owned or University-sponsored materials shall execute a written
466    transfer of copyright to the University when necessary or appropriate.</li>
467        </font><p></p>
468<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Inquiries on Status of Materials. Any faculty or staff member who has a
469    question as to whether or not particular materials will be considered University-owned
470    or University- sponsored should initiate an inquiry to the Office of Intellectual
471    Property and Technology Transfer as to their status. This inquiry, with all
472    relevant facts, should be forwarded via the author's department head. Thereafter,
473    the Vice Provost for Intellectual Property and Technology Transfer shall advise
474    the author or producer as promptly as possible as to whether or not it appears
475    that the materials should be regarded as University-owned or University-sponsored
476    within the meaning of this policy. The Vice Provost for Intellectual Property
477    and Technology Transfer's decision in such cases will be considered as an
478    advisory opinion subject to final clarification when the work is completed.
479    At that time, the faculty or staff member should either (1) indicate concurrence
480    in the original decision, or (2) request that the question of rights be submitted
481    for decision to the Vice Provost for Intellectual Property and Technology
482    Transfer. In the latter case, the decision of the Vice Provost will be final
483    unless the faculty or staff member requests arbitration of the question.</li>
484        </font><p></p>
485<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Arbitration. In the event of any differences between faculty or staff members,
486    on the one hand, and the Vice Provost for Intellectual Property and Technology
487    Transfer, on the other hand, and when the questions cannot be reconciled by
488    direct negotiation, the matter shall be submitted for binding arbitration
489    either to a single arbitrator agreed on by all parties or to a special three-person
490    panel consisting of one person representing the faculty or staff member, one
491    person representing the University, and a third person designated by the first
492    two. Knowledgeable members of the University community will normally be chosen
493    for such panels in order to expedite a decision and minimize cost. In the
494    event costs are incurred, they shall be divided equally between the faculty/staff
495    member and the University. Decisions of the panel will be binding on both
496    parties. The panel shall have full access to any pertinent records over which
497    the faculty/staff member or the University has jurisdiction.</li>
498</font></ol>
499<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><i>BR, March 1969; Executive Order No. 36 of the President, June 1, 1972; revised
500  October 3, 1977; September 26, 1983; September 21, 1992; May 2, 2000, December
501  20, 2000; October 27, 2003.</i></font></p>
502</body></html>
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