||Provost and Library Director
|Date of Approval:
||April 24, 2012
|Date of Last Revision:
||April 24, 2012
|Next Review Date:
The following Policies deal with the relative rights and responsibilities among Heritage University’s (Heritage) students, faculty, staff, administrators, and Heritage, regarding intellectual property rights in works authored, created, invented, discovered or developed by students, faculty, staff, administrators, alone or in cooperation with, or the assistance of, others and regardless of whether those others be faculty members, students, or other employees of the University.
| The Policies are divided into seven sections, namely:
||Definitions and Information
||Certain Policies applying to All Intellectual Property Matters
||Effective Date and Amendments
Reason for Policy/Purpose
Who Needs to Know this Policy
Heritage faculty, staff, and administrators.
Website Address for this Policy
Vice President for Academic Affairs/Provost
Creators: Are defined as the individual or groups of students, faculty, staff, and administrators of Heritage, whether full or part time, permanent, visiting or adjunct, who during the period they are enrolled (students) at Heritage or employed (faculty, staff, and administrators ) by Heritage, author, invent, create or discover works that are capable of being copyrighted or patented. A Creator of copyrightable works is sometimes referred to as the Author, Inventor or Owner.
Heritage: refers to Heritage University and includes all of its programs, wherever located or however delivered.
Institutional Works are defined as works that are produced
- At the instigation of Heritage,
- Either as the result of the specific direction of heritage personnel, or as the result of performing those duties that one would reasonably expect to be performed by persons within and include “other duties as assigned” as part of the job description of the Creator,
- For Heritage’s use,
- By a person (or persons) acting within the scope of his/her or their employment.
Instructional Works (a sub set of Institutional Works) are defined as Institutional works prepared by or at the direction of a faculty member for the presentation of assigned courses. Such works would include course syllabi, course outlines, lecture notes, tests, study guides and similar materials intended to be delivered online, face to face, in blended formats or through other non-traditional modes as when a work satisfies both the definition of “Institutional works” and of “Instructional works” it shall be considered an “Instructional Work”.
Traditional Works of Scholarship are defined as works that do not meet the definition of institutional works, that reflect research or creativity which, within Heritage and/or within the post secondary education academic community generally, are considered evidence of professional advancement or accomplishment. Such works include scholarly publications, journal articles, research bulletins, monographs, books, course materials developed for traditional modes of delivery, plays, poems and other works of art. Such works also include “Information software” as hereinafter defined but does not include “Device type software” as hereinafter defined.
Applicable Intellectual Property is defined as any work produced by a Creator that does not meet the definition of Institutional Works or Instructional Works or Traditional Works of Scholarship.
Heritage Resources are defined as all tangible resources provided by Heritage to Creators and includes, but is not limited to: office, lab and studio space and equipment, computer hardware, computer software, computer program support, secretarial service, research, teaching and lab assistants, supplies, utilities, funding for research and teaching activities and travel, and other funding or reimbursements. The term does not include salary, insurance or retirement plan contributions made by Heritage to or for the benefit of Creators.
Information Software is defined as software primarily intended to provide information to the user similar to a textbook or encyclopedia
Device like Software is defined as software primarily intended to accomplish a task or to produce, manage or manipulate a product.
Software Copyright Infringement is defined as the reproduction/use of any software, applications, passwords, databases, program codes or scripts that are the property of or licensed to Heritage.
Royalty Rights are defined herein as any financial benefit accruing to the Owner of a copyright or patent as a result of the commercial exploitation of the copyright, trademark, or patent.
Intellectual Property Committee is defined as the Committee that administers Heritage Intellectual Property matters and recommends to the President of Heritage the disposition of Intellectual Property rights under this Policy. The seven (7) Person Committee consists of:
Four (4) Faculty Members: (two each from the Colleges of Education and Psychology and of Arts and Sciences) appointed by the Vice President for Academic Affairs with the concurrence of the respective Deans.
Two (2) Senior Administrators, (the Vice Presidents for Academic Affairs and of Support Services/CFO).
One (1) appointee of the College President.
Intellectual Property as used herein, refers to the legally recognized rights in works that may be suitable for copyright registration or works that possess the potential for being Patented, or owned as a Trademark under the laws of the United States.
Copyright refers to the exclusive right to reproduce the work, prepare derivative works, distribute by sale or otherwise, and display or perform the work publicity. Under federal Copyright law, Copyright exists in ‘original works of authorship’ fixed in any tangible medium of expression, from which the work can be communicated in some manner.
It is important to note that copyright interests begin the moment the work is fixed and does not have to be registered. However, the work must be creatively original and cannot be a duplication or aggregation of data or like information.
Copyright does not protect mere ideas, concepts, procedures, systems, methods or principles. Copyright does protect the expression of ideas, concepts etc. in the forms of literary works, musical work, computer program, video, motion picture or sound recording, photograph, sculpture, and so forth. The exclusive rights enumerated above are subject to certain statutory limitations…1 This statement is meant to be a general description and is not intended as comprehensive statement of the attributes and limitations of Copyrights, or the legally recognized exceptions to use of copyrighted works.
Statutory copyright protection occurs as soon as an original work is fixed in tangible form, whether published or unpublished. (17 USC 102)
Copyright Notice: Copyright protection can be lost if a work is published without copyright notice. Heritage personnel who prepare original materials for local distribution (e.g. students) may protect them against unauthorized duplication by including a notice of copyright.
||Form of Notice. — If a notice appears on the copies, it shall consist of the following three elements:
|| the symbol Ⓒ (the letter C in a circle), or the word “Copyright”, or the abbreviation “Copr”; and
||the year of first publication of the work; in the case of compilations or derivative works incorporating previously published material, the year date of first publication of the compilation or derivative work is sufficient. The year date may be omitted where a pictorial, graphic, or sculptural work, with accompanying text matter, if any, is reproduced in or on greeting cards postcards, stationery, jewelry, dolls, toys, or any useful articles; and
||the name of the owner of copyright in the work, or an abbreviation by which the name can be recognized, or a generally known alternative designation of the owner. Usually this notice is placed on the title page. (17 USC 401).
Copyright registration: Unpublished as well as published work may be registered within the U.S. Copyright Office. Such registration increases the owner’s control and improves the prospects of recovering damages in case of unauthorized (infringement) acts. \
Patents: “A patent is an intellectual property right granted by the Government of the United States of America to an inventor “to exclude others from making, using, offering for sale, or selling the invention throughout the United States or importing the invention into the United States” for a limited time in exchange for public disclosure of the invention when the patent is granted.” (http://www.uspto.gov/patents/index.jsp)
To qualify for U.S. Patent protection, an invention must comprise a machine, article of manufacture, process, composition of matter, or some improvement of those. It must be deemed useful, novel, and non obvious to one skilled in the art, and must not have been in public use or on sale in the United States.”2 An Inventor may lose his/her right to patent the invention by certain disclosures made thereof prior to filing a patent application.
Required Disclosure: Premature disclosure of potentially patentable material can result in loss of patent rights. Thus, Heritage has an interest in protecting the form and timing of the results of potentially patentable work in which it has an intellectual property interest, and the Policy requires Heritage personnel to fill out an invention disclosure. For the purpose of determining employer or employee rights and in an effort to avoid subsequent ownership disputes, Washington statute law3 requires all employees “at the time of their employment or thereafter” to disclose to their employer all inventions being developed by the employee, for the purpose of determining employer or employee rights.
Distribution of Publication of Works identifying Heritage Affiliation: (prior approval required)
Regardless of the ownership of intellectual property in a work, Heritage has an interest in preventing Heritage being inappropriately identified as the sponsor, employer of the author(s), or otherwise being affiliated with any work in a manner that might reasonably be construed as indicating Heritage’s authorization, sponsorship, or other approval of the contents of the work. Accordingly, no Heritage employee shall publish or broadly distribute any work outside the Heritage Campus communities which indicates or infers Heritage sponsorship of the work or of the author(s), or approval of the contents of the work, which has not been submitted to and approved by the Academic Vice President. It is the policy of the Academic Vice President not to review or approve such a work for publication or distribution outside the Heritage campus community without first obtaining, where applicable, the recommendation of the Dean of the program in which the Author4 has a faculty, staff, or administrative appointment.
Works funded wholly or partially from extramural sources:
Copyright or Patent right ownership of all material that is developed pursuant to sponsored research funded in whole or in part by extramural sources, or is pursued under any agreement with extramural sources to which Heritage is a party, shall be determined in accordance with the terms of the sponsoring grant or other agreement or applicable laws and regulations.5. In the absence of contrary terms in said grants or agreements, specifying the ownership and/or disposition of Intellectual Property rights: (a) as between Heritage and Heritage’s employees and students this policy shall determine the disposition of such rights and (b) as between Heritage and the extramural sponsor or agency, applicable Intellectual Property law, including statute law, shall determine such disposition.6
It shall be the responsibility of all Heritage employees who negotiate agreements with any extramural sources which may reasonably be expected to result in the development of intellectual property to include in such agreements provisions addressing the ownership and disposition of such developed property between the contracting partners, and to obtain the approval of the Vice President of Support Services or the President to such provisions prior to committing the University.
It shall be the obligation of all Heritage employees involved in writing and securing of grants or other sponsorship agreements containing provisions regarding rights in Intellectual Property to call such provision to the attention of the academic departments assigned any part of the work covered by the sponsorship. It is the further responsibility of the Deans and Department and/or Program Heads of such departments to notify the faculty and, where appropriate, the students involved, of such provisions.
Ownership and Royalty Rights
The assignment of Ownership and Royalty Rights on all copyrightable works originated by Heritage personnel are as follows:
Description: Works funded wholly or partially by extramural sources.
Ownership & Royalty rights: Determined by specific policy set forth in section II-B “Works Funded wholly or partially from extramural sources.”
Description: Works not created in the course of employment at Heritage and not through the use of any Heritage resources.
Ownership: In the Creator
Royalty rights: In the Creator
Description: Institutional Works (See Definitions Section)
Royalty Rights: Heritage
Documentation: Upon being so requested by Heritage, the Creator shall execute an Assignment Agreement and such other appropriate documentation as may be reasonably required to clarify Heritage’s ownership.
Retained rights of Creator: The Creator retains a non-exclusive and royalty free right in perpetuity to the use of such institutional works. Such retained right includes the development of related and derivative works and intellectual materials such as software. Such retained right does not include the right to authorize the use of the work by persons not employed by Heritage.
Description: Instructional Works (see Definitions Section)
Use rights: Shared between Heritage and Creator
Rights of Heritage: Heritage is vested with a non-exclusive and royalty free right to make use of these works (including reproduction of the same) in perpetuity in carrying out its educational mission. Said retained right includes the development of related intellectual property. Said rights include the rights to authorize the use of the work by Heritage employees, students, and any persons retained by Heritage as a consultant or independent contractor. Said rights includes the right to release such works for royalty- free use by the general public.
Rights of Creator: The Creator retains a non-exclusive and royalty free right in perpetuity to use of Instructional Works. Such retained right includes the development of related works and derivative works.
Description: “Traditional Works of Scholarship” (See Definitions Section)
Ownership: The Creator
Royalty rights: The Creator
Description: Applicable Intellectual property. All works by a Creator except Category 1 and Category 2 works and Institutional Works (Category 3) and Instructional Works (Category 3-A) and Traditional works of Scholarship (Category 4)..
Ownership: Shall be determined by the Heritage Intellectual Property Committee.
Royalty Rights: Shall be determined by the Heritage Intellectual Property Committee.
Documentation: Determinations by the Heritage Intellectual Property Committee will be reduced to writing, and signed by the Chair of the Committee, and delivered to the President of Heritage as the recommendation(s) of the committee. The President is responsible for the final determination of the disposition of applicable Intellectual Property. Subject to the alternative dispute procedures hereinafter provided, Wwhen approved by the President of Heritage (or the President’s designee for such purpose), said committee determination shall be final and binding on Heritage and all of its employees and students, . To the extent that the final committee determination requires or reflects additional documentation the same shall be prepared for and signed by the interested parties.
Criteria to be applied by the Intellectual Property Committee in making its recommendations and by the President in making the final decision concerning disposition of Copyrightable material shall be as set forth in Appendix 2 hereof.
PATENT POLICY REGARDING POTENTIALLY PATENTABLE INVENTIONS AND DISCOVERIES
Potentially Patentable Ideas, Discoveries and Invention Existing at the Time of Employment by Heritage:
Prior to employment, all Heritage employees are expected to report prior inventions, potentially patentable discoveries and inventions of which the continued research and development may reasonably be expected to be continued during the time of their employment. The purpose of this required disclosure is to avoid in so far as practical future conflicting claims of ownership. This disclosure shall be made by written memorandum to the Vice President for Support Services. The Vice President of Support Services shall be responsible to see that the memorandum is placed in the affected employee’s personnel file and that a copy is delivered to the Intellectual Property Committee. The Committee shall maintain a permanent file of all employees completing such a prior invention memorandum. All such disclosures shall be confidential and are to be made without waiver of any rights of the employee in the potentially patentable works.
Potentially Patentable works developed during the course of employment at Heritage:
All Heritage employees and students are required and expected to complete an invention Disclosure document (substantially in the form of Appendix 1) for potentially patentable works developed in the course of employment or enrollment at Heritage. The Term “developed in the course of employment” as used herein is defined as a work produced at the instigation of Heritage, either as a result of the specific direction of Heritage, or as the result of performing those duties that Heritage would reasonably expect to be performed by persons with the job description of the employee. Said form shall be completed and delivered to the Vice President for Support Services as soon as reasonably practical after the employee or student becomes aware that the work may be potentially patentable. Upon being satisfied with the completeness (truthfulness??)of the disclosure the Vice President for Support Services shall deliver the Disclosure form to the Intellectual Property Committee.
Ownership And Royalty Rights Potentially Patentable Works:
The Intellectual Property Committee will be responsible to review and report in writing to the President its recommendations concerning the ownership and disposition of all intellectual property rights in potentially patentable material developed by Heritage employees in the course of their employment at Heritage or students during the time of their enrollment… The term “developed in the course of their employment or enrollment” as used herein is defined as a work produced at the instigation of Heritage, either as a result of the specific direction of Heritage, or as the result of performing those duties that one would reasonably expect to be performed for the benefit of Heritage by persons with the job description of the employee or the enrollment status of the student. Such work will normally involve, but does not necessarily require, the significant use of Heritage resources. The President is responsible for the final determination of the disposition of potentially patentable intellectual property developed by Heritage employees in the course of their employment or students during the time of their enrollment. Such determination by the President shall be binding on Heritage and its employees and students, but shall be subject to appeal in accordance with the dispute resolution procedures in Section V, below.
CRITERIA TO BE APPLIED DISPOSTION OF POTENTIALLY PATENTABLE WORKS
Criteria to be applied by the Intellectual Property committee in making its recommendations and by the President in making the final decision concerning disposition of such potentially patentable works are set forth on Appendix 2 hereof.
The Procedures for the functioning of the Intellectual Property Committee and the President called for by this policy shall be as set forth in Appendix 3 hereof.
APPEAL TO DISPUTE RESOLUTION PROCESS
Any Heritage employee or student believing that his/her rights in any intellectual property have not been fairly and equitably determined and disposed of by the Decision of the President, may require the matters in dispute be submitted to binding arbitration in the manner provided by Appendix 4 hereof.
Effective date and Amendments
Effective date: These Policies shall become effective on adoption by the Board of Directors of Heritage. The College shall inform all persons subject to this policy of its terms as soon as efficiently possible after its adoption and at regular intervals thereafter.
Amendment: The Policies including the Appendixes may be amended at any time by action of the Board of Directors of Heritage.
he following Appendixes may be amended from time to time in such manner as may be agreed upon by the President and the Intellectual Property Committee.
Appendix I. Heritage Invention Disclosure Form.
Appendix II. Criteria to be applied by Intellectual Property Committee and the President in recommending and deciding the disposition of intellectual property rights of Heritage employees and students.
Appendix III. Administrative Procedures for the functioning of Intellectual Property Committee and the President in carrying out the Heritage Intellectual Property Policy.
Appendix IV: Dispute Resolution Process7
Said amendments shall be effective upon adoption and shall be reported by the President to the Board of Directors of Heritage at the next scheduled meeting of the Executive Committee or Plenary meeting of said Board, and shall be deemed permanent until modified by action of the Board of Directors.
6.3 Appendix I. Heritage Invention Disclosure Form.
6.3 Appendix II. Criteria to be applied by Intellectual Property Committee and the President in recommending and deciding the disposition of intellectual property rights of Heritage employees and students.
6.3 Appendix III. Administrative Procedures for the functioning of Intellectual Property Committee and the President in carrying out the Heritage Intellectual Property Policy.
6.3 Appendix IV: Dispute Resolution Process7
Related Policies and Resources
Heritage University Library
1 The quote is from the Intellectual Policy of Washington University in St. Louis effective July 1, 1998.
3 RCW 49.44.150
4 Each academic unit of the university may develop reasonable procedures for the presentation of such work for departmental review and prior approval. Such procedures must be approved by the Academic Vice President before being promulgated.
5 Many Heritage activities are funded with Federal, foundation, or state funds, and Intellectual property matters arising out of such activities may be subject to statutes, governmental regulations, or foundation contractual provisions pertaining to the use of such funds.
6 Heritage’s policy clearly and unequivocally recognizes that the terms of any grant or sponsored work or research will control over any provision of the Heritage Policy and procedures related to Intellectual Property.
7 The Dispute Resolution Procedures will be approved by the Board of Directors and may not thereafter be amended other than by Board action.