Intellectual Property Rights - Exceptions
When any one of the following Exceptions applies to a Work, then faculty members and students who participate in the creation of the Work will retain the following "Faculty/Student Minimum Rights": the right to make and retain a reproduction; the right to include that reproduction in their portfolio; and the non-transferable right to copy, use, display, and distribute that reproduction for non-commercial purposes. Such Faculty/Student Minimum Rights are in addition to any interest of the creator set forth in Royalties (Section III).
Exception 1: Outside Sponsored Research/Activities
Exception 1 applies to Works created as part of activities sponsored by an outside sponsor. "Sponsored Research" is used here to mean all research or activities for which financial support or contribution has been received from an external organization or sponsor, including commercial establishments ("Outside Sponsor").
If the activities meet any of these conditions, then
at the outset, the activity will be identified as falling within Exception 1 under the Policy, so that student and faculty members know in advance of the terms of this Exception and its applicability; and
with knowledge of the terms of this Exception, each student and faculty member will have the option not to participate in the activity; and
each student and faculty participant will enter into a written agreement, when appropriate, with the University and/or Outside Sponsor specifying the Intellectual Property Rights to be transferred to the University and/or Outside Sponsor and other terms; and
the sponsored activity must be approved by the Provost or the Provost's designee. In all cases under Exception 1, students and faculty shall retain Faculty/Student Minimum Rights. All other Intellectual Property Rights retained by the students and faculty and all Intellectual Property Rights transferred to the University and/or Outside Sponsor will be governed by the provisions of the agreement with the University and/or Outside Sponsor. The University may transfer some or all of its Intellectual Property Rights to the Outside Sponsor. Any revenue received by the University from commercialization of the Intellectual Property Rights will be distributed as set forth in Royalties (Section III).
Exception 2: University Commissioned or Sponsored Activities
Exception 2 applies to activities or Works which are commissioned or sponsored by the University. A University commissioned activity or Work is one in which the University specifically commissions a faculty member or student to create a Work which will be either covered by the "work for hire" doctrine or the subject of a separate agreement, such as an agreement with respect to a faculty development grant or other type of grant. An activity or Work is sponsored by the University when University support makes the Work possible or when the University provides exceptional support, either with money, facilities, equipment or staff, for the development or production of a Work that is to be introduced commercially. In such instances, if a Work developed or produced by means of such University support is introduced commercially, it is reasonable for the University to participate in the fruits of the enterprise and/or to be reimbursed for the University's extra or special costs, and the University will be entitled to do so. Use of library facilities and facilities available to the general public, occasional use of office equipment and office staff, and works created during the course of classroom instruction will not ordinarily be considered the basis of University sponsorship of a project.
The University may designate certain University resources (i.e., facilities, equipment, funding) (the "Designated Facilities") in which the University (i) has made an exceptional investment and (ii) has recognized at the outset that the use of such Designated Facilities may give rise to a commercially viable product. The Provost will create and revise the list of Designated Facilities as necessary, after consultation with an advisory group composed of members of the University community including faculty members.
Students or faculty who create Works through the use of any Designated Facilities are responsible for disclosing such Works to the University. Such disclosure shall be made when it can be reasonably concluded that the Works have been created, and sufficiently in advance of any publications, presentation, or other public disclosure to allow time for possible action that protects the Intellectual Property Rights for the creator and the University. Failure to make such disclosure is a violation of University Policy. At any time after disclosure, the University may agree in writing to waive its rights to participate under this Exception. Faculty members or students may seek exemption from the terms of this Exception and from University participation.
Faculty members will not be considered to have made the requisite use of Designated Facilities if the faculty member receives advance written approval of the proposed use from the Department Chair on one of the following grounds: (i) the Work to be produced through the use of the Designated Facilities or equipment is for academic purposes only and the faculty member does not use any University-provided funds or University-administered funds in connection with the activity; or (ii) the faculty member compensates the University for the fair market value of the Designated Facilities used for the project.
Students will not be considered to have made the requisite use of Designated Facilities if (i) the student receives advance written approval of the proposed use from the Department Chair; or (ii) the student does not use any University-provided funds or University-administered funds in connection with the activity. Projects which are exempted for one of the foregoing reasons shall be reported to and reviewed by the Provost.
In all cases under Exception 2, students and faculty shall retain Faculty/Student Minimum Rights. Any revenue received by the University from commercialization of the Intellectual Property Rights will be distributed as set forth in Royalties (Section III).
Exception 3: Student or Faculty Initiated Agreements
Exception 3 applies to Works created by a student or faculty member where the student or faculty member either:
seeks and receives assistance from the University with obtaining intellectual property protection (i.e., getting a patent) or assistance with an agreement or with commercialization of a Work; or
seeks permission and the University, in its sole discretion, grants permission to use one of the University's names, trademarks or other University intellectual property rights in connection with a Work.
Faculty members and students must obtain the University's approval before using one of the University's names or trademarks in connection with a Work. When either (1) or (2) is the case, then the student or faculty member shall enter into an agreement whereby the University, or affiliate of the University, will provide such assistance or an agreement whereby the University will provide such permission to use the name or trademark. The agreement will establish the structure and goals of the initiative, and it will outline the obligations of each party contributing to it.
In all cases under Exception 3, the student or faculty member shall retain Faculty/Student Minimum Rights. The agreement will allocate Intellectual Property Rights and compensation among the parties in light of, among other things, the contribution of each party to the initiative, the rights that the parties may require to perform their roles within the initiative, or the scope of use of the University's name or trademark. Any revenue received by the student or faculty member from commercialization of the Intellectual Property Rights or use of the University's name or trademark will be distributed as set forth in Royalties (Section III).
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