Intellectual Property Rights Policy Lebanon Valley College A. Policy Statement Lebanon Valley College encourages the production of creative and scholarly research, works, and inventions, known broadly as intellectual property, among faculty, students, and staff. The College invests in this endeavor by making available its own facilities, equipment, personnel, and information resources. The creation of this intellectual property may create rights and interests on behalf of the creator, author, inventor, sponsor, and Lebanon Valley College. The purpose of this policy is to support and reward research and scholarship, and help faculty, students, and staff identify, protect, and administer intellectual property matters and define the rights and responsibilities of all involved. B. Purpose of the Policy Promote and encourage the advancement of knowledge and the social good; Protect the traditional rights of scholars with respect to scholarly works; Set forth mechanisms for determining ownership rights in intellectual property and for resolving disputes with respect to such property; Set forth guidelines for how the College and members of the College community will share income resulting from the development of intellectual property; Retain for the College the right to use certain works developed by faculty, staff, and students within the responsibilities of their employment and education; Protect the College s interest in work products developed for the College by outside consultants and independent contractors; Ensure compliance with applicable laws and regulations. C. Applicability These policies and procedures apply to all intellectual property created by employees of the College within the responsibilities of their employment (including full-time, part-time and adjunct faculty members, administrative and support staff, and students employed by the College). They also apply to independent contractors and consultants engaged by the College, and to anyone using College facilities or resources under the supervision or with the permission of College personnel, including volunteers, 1
interns, etc. Uncompensated activities of students in furtherance of their degrees, however, do not fall within the scope of this policy. D. Definitions 1. Creator For the purposes of this policy the creator is the author or inventor of the intellectual property. 2. Copyrightable Works Copyright is a legal term describing rights given to creators for their literary and artistic works. The kinds of works covered by copyright include but are not limited to: literary works, novels, poems, plays, reference works, journal articles, newspapers, computer programs, databases, films, musical compositions and choreography, artistic works such as paintings, drawings, photography and sculpture, architectural works, advertisements, maps, and technical drawings. The creators of original works are protected by U.S. copyright laws for their lifetime plus 70 years and international copyright laws. They have exclusive right to use or authorize others to use the work on agreed terms. They can prohibit or authorize: Its reproduction in various forms, including printed publication or sound recording; Its public performance, as in the case of a play or musical work; Its recording, for example, on compact disc, cassette, or videotape; Its broadcasting, whether by radio, cable, or satellite; Its translation into other languages, or its adaptation, such as that of a novel into a screenplay. 3. Patentable Works A patent is an exclusive right granted for an invention, which is a product or a process that provides a new way of doing something, or offers a new technical solution to a problem. Patentable works can include inventions, discoveries, trade secrets, industrial designs and similar works protected under U.S. patent laws. Generally, the term of a new patent is 20 years from the date on which the application for the patent was filed in the United States. 4. Trademarks A trademark represents recognized goods or services created by a specific person or entity. A trademark can be in many forms, such as words, names, symbols, logos, domain names, slogans, audio, smell, colors, and more. 5. Substantial Resources of the College Resources supplied by the College that exceed the funds, facilities, supplies or opportunities routinely available to a faculty member or student for research or teaching will be considered substantial resources. 2
Examples of routinely available resources include normally available lab space and equipment; funds available as part of internal College grant programs (such as the Arnold fund, or the President s Innovation Fund); sabbatical and other widely available leave. 6. Work for Hire Under copyright law, when an employee creates a copyrightable work at the direction of his or her employer, it is considered work for hire, and the copyright belongs to the employer, not the creator. However, in keeping with longstanding academic tradition, Lebanon Valley College seeks to secure copyright with the creator in most cases. Thus, not all work done by College employees is considered work for hire, even when that work is carried out by the employee on behalf of the College. To clarify, we categorize the work of faculty and staff as follows: Scholarly work: Any work done by a faculty member (or by other employees in conjunction with a faculty-directed scholarly project) in the pursuit of research or scholarship is deemed scholarly work. Examples include scholarly papers, articles, books, and presentations; software developed as part of a research project; textbooks; pedagogical or curricular materials developed for new courses (i.e., courses not currently offered at the College). Academic work: Any work done by a faculty member (or by other employees in conjunction with a faculty member) in conjunction with a course currently offered at the College is deemed academic work. Examples include course assignments and handouts, prepared lecture notes, electronic class presentations, software developed for use by students in the course. Administrative work: Work done by College employees (faculty, staff, or otherwise) is deemed administrative work when it is created to complete an administrative assignment. Examples include committee reports, assessment reports, advertising copy or brochures, policy proposals, self-evaluations, department evaluations, gradebooks and syllabi. Directed work: Work (which may fall into one of the above categories as well) that the employee is specifically instructed to create by a supervisor on behalf of the College is directed work. An example would be the creation of new course materials, developed by a faculty member as the result of a direct and specific request by the Vice President of Academic Affairs/Dean of the Faculty. For work to be directed, the instruction must be precise. For instance, while faculty members are generally expected to prepare course materials for their classes, unless they are specifically instructed to produce a particular document, the work is not considered directed. 3
E. Ownership and Use 1. Written Agreements Written agreements entered into between a creator and the College take precedence over the following policies. Individuals who anticipate creating copyrightable or patentable works are encouraged to work with the Vice President for Academic Affairs/Dean of the Faculty to create a written agreement before the work is done, so as to eliminate the potential for ambiguity, misunderstanding or disagreement concerning the ownership of the work. 2. Copyrightable Works a. Except as stated below, creators will own the copyright to all work made or developed by them. b. If a copyrightable work is also patentable, then the policies governing patentable works apply. c. If the work was funded by a sponsor external to the College and subject to any agreement that restricts ownership of the copyright to that work, then that agreement will govern. Note that in most cases the College must approve the agreement beforehand. d. The College owns the copyright to administrative works and directed works as defined above in section D, part 6, or if the work was created using substantial resources of the College. e. The copyright to academic and scholarly works remains with the creator. f. Creators grant to the College a non-exclusive, royalty-free, perpetual license to copy, display or distribute their academic works, where that use clearly furthers the academic mission of the College. Any other use requires the prior consent of the creator. This license continues even if the creator leaves the employ of the College. g. When the College owns the copyright to the work of an employee, the College grants that employee a non-exclusive, royalty-free, perpetual license to use (i.e., to display, edit, distribute, or create derivative works from) that work. This license continues even if the employee leaves the employ of the College. h. Creators have the obligation to inform the College of works that should be copyrighted in the name of the College, and to cooperate with the College in obtaining copyright protection. If the creator wishes to publish copyrighted work which is owned by the College, the creator must first obtain written permission from the College. i. Creators must ensure that students and independent contractors working collaboratively or under their direction (whether or not for pay) on projects that may result in copyrightable work have signed appropriate agreements concerning the assignment of copyright to the creator or the College, as appropriate. 3. Patentable Works a. Except as stated below, the creators will own all patentable work made or developed by them. 4
b. If the work was funded by a sponsor external to the College and subject to any agreement that restricts ownership of the patent, then that agreement will govern. Note that in most cases the College must approve the agreement beforehand. c. The College will own a patentable work if: The work was created pursuant to an agreement that allocates rights to the College; The work was created using substantial resources of the College; The work was created as part of administrative work or directed work, as defined in in section D, part 6. d. Since a patent application must be filed within one year of public disclosure, the creator/inventor shall make such disclosure to the College when it is reasonably concluded that patentable subject matter has been created, and sufficiently in advance of any publications, presentations, or other disclosure to allow time for possible action that protects rights to the intellectual property for the creator/inventor and the College, usually within 30 days of the discovery or creation. The Vice President for Academic Affairs/Dean of the Faculty will authorize the engagement of legal professionals once a decision has been made to seek legal rights. e. If the College determines that it wishes to pursue commercial development of any patentable work that is owned by the College, it shall share the net revenues received with its creator. The revenues received will first be used to cover expenses incurred by all the parties associated with that particular patentable work (for example, expenses to prosecute and maintain a patent, including legal expenses related to intellectual property agreements as well as other expenses associated with the creation of the patentable work). After payment of such expenses, net revenues will be allocated 30% to the College and 70% to the creator. 4. Request for College to Release Its Ownership Rights A creator of College-owned intellectual property (whether a copyrightable work or a patentable work) may file a written request with the Vice President for Academic Affairs/Dean of the Faculty that the College release its ownership rights to such intellectual property. After consideration, the Vice President for Academic Affairs/Dean of the Faculty shall notify the creator of the College s decision whether to release its ownership rights in such property. If the College decides to release its ownership rights, it may condition such release to the creator s agreement to pay the College up to 10% of all revenues and other monetary or financial consideration which may result from the commercialization of the College-owned intellectual property for a period of 50 years. 5. Trademarks Trademarks that are created or commissioned by the College and/or used to identify the College, its programs, services, products and property are owned solely and exclusively by the College. All revenues derived from the College s trademarks shall be retained by the College. Trademarks that are owned by the College cannot be used without prior written permission from the College. 5
6. Ownership of Intellectual Property in Student Work a. Generally students shall own any intellectual property that they make, discover, or create in the course of their research unless: The student has received financial support from the College in the form of wages, salary, stipend or grant funds for the research; The student used substantial resources of the College (as defined in section D, part 5) in connection with the research; If the work was funded by a sponsor external to the College and subject to any agreement that restricts ownership of the copyright to that work, then that agreement will govern. Note that in most cases the College must approve the agreement beforehand. b. Student Theses and Dissertations The texts of all student theses and dissertations, and works derived from such works, are considered exempted scholarly works. Therefore, the student will own the copyright in such scholarly work subject to a royalty-free license to the College to reproduce, publish, digitize, or distribute the work. Students are normally allowed to publish their theses and dissertations unless they have agreed in writing to restrictions that preclude or delay publication. 7. Other ownership options Upon mutual agreement, a creator/inventor may assign intellectual property he or she would otherwise own under this policy to the College to be managed by the College. F. Administration 1. General This Policy shall be administered by the Vice President for Academic Affairs/Dean of the Faculty who shall interpret its terms and provisions in consultation with the Intellectual Property Review Committee, other College governance bodies, or legal counsel as necessary. This policy shall not supersede or negate any existing written agreements between the College and individual faculty, staff, or students regarding the disposition of inventions or other marketable items that were made prior to the adoption of this policy. 2. Intellectual Property Review Committee a. The Committee will periodically review this policy and recommend changes and amendments to the Vice President for Academic Affairs/Dean of the Faculty. It will serve as a non-binding advisory body in case of any disputes, and review other issues as requested by the Vice President for Academic Affairs/Dean of the Faculty. b. The Committee shall consist of two (2) faculty members (appointed by the Faculty Steering Committee), two (2) administrators (below the Vice President level) (appointed by the Vice President for Academic Affairs/Dean of the Faculty), one (1) 6
student (nominated by the Student Government), and the Vice President for Academic Affairs/Dean of the Faculty or a designee (non-voting, ex-officio). 3. Dispute Resolution If a creator of intellectual property objects in writing to a determination of the Vice President for Academic Affairs/Dean of the Faculty within 30 days of being notified of that determination, the creator and the Vice President for Academic Affairs/ Dean of the Faculty will provide all relevant information to the President of the College. The President or his/her designee shall be empowered and authorized after reviewing the case to accept or reject the determination of the Vice President for Academic Affairs/Dean of the Faculty. The President shall thereafter provide to the creator and the Vice President for Academic Affairs/Dean of the Faculty the President s determination. The President s determination shall be final and binding on the parties. 4. Changes to the Policy This policy should be periodically reviewed by the Intellectual Property Review Committee and the Faculty and Student Policies Committee (FSPC). Changes to this policy must be brought by the FSPC to the faculty for vote, and require the approval of the Vice President for Academic Affairs/Dean of the Faculty and the President. 5. Technology Transfer Mechanism The College may contract with a consultant or independent contractor to handle technology transfer issues and arrangements. 7