JOURNAL OF THE FACULTY SENATE
The University of Oklahoma (Norman campus)
Regular session - October 11, 1999 - 3:30 p.m. - Jacobson Faculty Hall 102
office: Jacobson Faculty Hall 206 phone: 325-6789 FAX: 325-6782
e-mail: facsen@ou.edu web site: http://www.ou.edu/admin/facsen/
The Faculty Senate was called to order by Professor Hugh Benson, Chair.
PRESENT: Abraham, Agrawal, Beasley, Bemben, Benson, Blank, Brown, Cline, DeBacker, Deming, Durica, Edwards, Eliason, Engel, Fleener, Gilliland, Gollahalli, Greene, Gross, Harrison, Hart, Hofford, Horton, Kennison, Knapp, Kutner, Mau, McInerney, Murphy, Newman, Okediji, Osisanya, Pailes, Robson, Russell, Scherman, Schwarzkopf, Sutton, Swindell, Trafalis, Van Gundy, Watts, Weston
Provost's office representative: Mergler
PSA representatives: Morren
UOSA representatives: Dixon, Lehman, Shankle
ABSENT: Butler, Cox, Houser, Karriker, Kenderdine, Kudrna, Kunesh, Nelson, Patterson
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TABLE OF CONTENTS
Announcements:
Academic goals and post-tenure review dossier
Issues and concerns identified by Faculty Senate
Senate Chair's Report:
Retirement
Searches
Draft patent and copyright policies
Revisions in committees
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APPROVAL OF JOURNAL
The Senate Journal for the regular session of September 13, 1999 was approved.
ANNOUNCEMENTS
The 1999-2000 academic goals for the Norman campus and a sample post-tenure review dossier are available in the Faculty Senate office.
The attached list of the issues and concerns identified by the Faculty Senate (Appendix I) was distributed at the meeting. This list has been sent to the president, provost, appropriate vice presidents, and appropriate committee chairs for their information and possible action.
SENATE CHAIR'S REPORT, by Prof. Hugh Benson
One of the items on the list of concerns was the condition of the state teachers' retirement system. The Senate Executive Committee raised that issue with the President and Provost. They understand the concern. The President plans to meet with every member of the legislature this fall, and that will be one of the issues he discusses with them. Any specific concerns about retirement may be forwarded to the Executive Committee. The Provost asked the Senate to focus on one particular aspect of retirement this year.
At the next meeting, the President will give his State of the University address, the Senate will dedicate the George Lynn Cross Faculty Senate reading room, and discussion will continue of the proposed intellectual property policy and revisions in various committees.
Three candidates were interviewed for the Vice President for Research and Graduate Dean position. The search committee made a recommendation to the President, and the President hopes to present a recommendation to the regents at their October meeting. Dr. Eddie Carol Smith, the current Vice President for Research and Graduate Dean, will be stepping down as of October 31. The search for a Chief Information Officer (CIO) is going on. The Executive Committee will meet with four candidates. Prof. Hofford asked whether the CIO was a vice presidential level appointment. Prof. Benson replied that the position had been elevated to a vice president. Prof. Murphy asked whether the CIO candidates would meet with the faculty. Prof. Benson answered that no meetings had been set up, but senators could ask the Executive Committee to bring up any particular issues. The search for a Business dean is under way.
Prof. Greene asked whether the Senate would discuss the list of issues and concerns. Prof. Benson explained that the list was sent to all the relevant people, the Executive Committee will take the issues into account in terms of its agenda, and the senators can share them with their colleagues.
PATENT AND COPYRIGHT POLICIES
For background information, see 1/99 Senate Journal, page 3, and 3/99 Senate Journal, page 2. Prof. Benson commented that the Executive Committee received a draft of the patent and copyright policies proposed by Dr. Skip Porter, Vice President for Technology Development, and referred the draft to the Senate's intellectual property task force. The draft being discussed at this meeting (Appendix II) was worked out between the task force and Vice President Porter. Prof. Benson said the purpose of this meeting was to get clear on the policies and ask questions. Additional concerns should be forwarded to the Executive Committee by October 25. Vice President Porter also will be at the November meeting for a more detailed discussion.
Vice President Porter introduced Ms. Connie Armentrout, Director of Technology Development, who joined OU two months ago. Dr. Porter said he had been here just over a year. He was president of a Houston research center, professor of Electrical Engineering at Rice and Texas A&M, and director of the Texas Engineering Experiment Station. Much of what he tried to present in the policy was how to best position the university to benefit the taxpayers and help the economy of the state.
Dr. Porter said the University has a responsibility to the society that supports it to try to get intellectual property to the market. If we can get it to the market, we ought to get something back, for example: (1) a licensing fee that is associated with the expenses incurred; (2) royalty revenue--a percentage of what the seller makes--which is usually a short-term return; (3) equity ownership, which is a long-term return; (4) R&D contract, which will go back into research to fund the team that created the intellectual property. Getting more contracts from the private sector will support our graduate students and our faculty. One of the reasons equity is important to the state is that the owner has more influence and can locate the company in Oklahoma. We need this diversified economic base in our state. It is a catch-22. We cannot get companies to move to Oklahoma because we do not have the talent, and our graduates will not stay here because we do not have any jobs. State questions 680 and 681 made it legal for the University and for the faculty member to take an equity position. That they were approved by 71% of the voters is evidence that the citizens of the state want this institution to be engaged in the commercialization of intellectual property. We can expect to see more incentive for the private sector to bring its best and brightest into our research park and thereby diversify and strengthen the economy. The former policy called for the inventor to get 40% of net proceeds. This proposed policy would give 35% of the gross to the inventor. After costs are recovered, 15% goes to the department of the inventor. Of the remaining 50%, 10% funds the Office of Technology Development (OTD), 10% goes to the Vice President for Research, 20% to the growth fund, which is available for all faculty, 5% to the dean, and 5% to the president's fund.
Prof. Van Gundy noted that the faculty member's share of the revenue would increase his/her income. He asked whether that would affect the 25% restriction on external compensation. Prof. Mergler explained that this would be non-OU revenue, so 25% of one's time would be the limiting factor. Pay received through OU is limited to 25% of one's base salary. For an external source, the limit has always been 25% of one's time. Vice President Porter said there is no cap on the revenue.
Prof. Schwarzkopf asked about the mechanism for paying the 35%. He said the payment should not be from state money. Ms. Armentrout said she was working with Financial Support Services and outside tax consultants to make sure that this works well and that faculty would be exempt from higher tax rates. Prof. Murphy pointed out that MIT and Stanford have more of a bias toward the unit and college level than the distribution proposed in this policy. She asked Vice President Porter to justify the growth fund. Vice President Porter answered that the growth fund is intended to help colleges that are not already getting some money back to develop ideas. His plan is to ask faculty members who have been successful to form a committee to provide input about which proposals have merit. Prof. Murphy pointed out that units that access the growth fund are expected to repay the fund at two times the amount awarded. Vice President Porter said the growth fund would need to be replenished.
Prof. Fleener asked about the difference between the 20% for the growth fund and the 10% for the Vice President for Research. Vice President Porter said the task force made an appeal to give something back to the Vice President for Research. Prof. Pat Weaver-Meyers, Chair of the task force, explained that the mission of the Vice President for Research is slightly different than the mission of the Vice President for Technology Development. The task force believed the Vice President for Research might support some area because it was more in line with the general research mission, not just because it generated technology development. Vice President Porter said he was responsible for technology transfer on all three OU campuses. He commented that we are worried about something that has not happened yet. The Technology Development Council serves as an advisor to Vice President Porter.
Prof. Beasley said he was concerned about impediments to developing an idea. Vice President Porter said the Norman campus OTD should have a budget of about $1 million a year. He wants faculty members to get something out of their effort. Prof. Cline remarked that most of the funds of the Vice President for Research are handled by the Research Council, and many of the proposals have nothing to do with making money or technology development. The missions of the two vice presidents are fairly distinct. On the other hand, the University should not neglect either one. Vice President Porter said he did not want the tail wagging the dog, and he does not want to disturb the mission of teaching, research, and service. He thinks we should add a fourth: technology development and transfer. Oklahoma ranks 50th in median family income. The citizens of this state are asking this flagship university for help. If we do not get involved, there is not going to be any money for teaching, research, and service.
Prof. Schwarzkopf said he thought it would take everything we generated in the next five years just to run the office. He said his concern was the mechanism for revisions and the determination of the uses of the money over the long term. Vice President Porter said the faculty and administration would have ongoing discussions. We must also consider the value of that knowledge to society and OU's reputation.
Prof. Harrison commented that faculty who access the growth fund would have to pay back twice the amount, which would cause faculty to be in debt. Vice President Porter explained that it is a forgivable debt. When an individual is successful, s/he should be prepared to be generous. Greed kills these deals. The payback could be three times or one time, but his preference is two times. The growth fund cannot dry up. Venture capitalists pick one discovery/invention out of 100, and then only ten percent of those are successful. Dr. Porter suggested that we see how the figure works and then change it if we do not like it.
Prof. Horton asked whether the OTD could help develop feature films from scripts written by students as an assignment. Vice President Porter said he could. Prof. Engel asked whether the OTD could help someone who was not connected to the university. Vice President Porter said we could partner with them and do a joint venture. It is important to create an environment on campus to stimulate inventors.
Prof. Okediji asked about the requirement to disclose sub patentable ideas. Ms. Armentrout said it was difficult to decide what was patentable until a patent had been filed. The federal government and others require inventions to be recorded, and very few places distinguish between patentable and unpatentable. Prof. Okediji said that the requirement is applicable only to funding from the government. Ms. Armentrout responded that the government says we cannot treat people differently. Prof. Okediji asked whether the rights to an unpatentable idea would belong to the inventor. Ms. Armentrout noted that know-how had been added to the policy. Within six months after marketing the idea, the OTD would notify the faculty member what the office planned to do next. If the OTD did not pursue the idea, then it would be released to the faculty member. Prof. Okediji asked how trade secrets would be handled and whether faculty members would have the discretion to choose the regime of protection. Ms. Armentrout responded that the OTD would leave it to the faculty member as to whether information would be published. Prof. Okediji asked about the ownership of trademarks. Ms. Armentrout said the mark would be owned by the University if it was created as part of one's employment for the University. An item created outside would belong to the creator. Prof. Okediji said the trademark provision states that in order for the trademark to belong to the University, it has to be affiliated with the actual idea or patent. She asked what would happen to a name that was created later than the idea. Ms. Armentrout said she would want to check with Legal Counsel; however, in her view, if the trademark stemmed from an intellectual property that was owned by OU, then the trademark also would be owned by the University. Prof. Okediji asked whether the assignment of intellectual property would be an ex ante or ex post condition of employment. Ms. Armentrout said it would be ex ante.
Prof. Sutton asked where the break-off would occur between subsequent development done in the company as opposed to the University when faculty members are asked to spin off companies. Vice President Porter said the equity position of the University in the spin-off company and/or royalty would solve that problem. As an example, the recent technology developed by Meteorology is in the public domain, but the know-how is protected.
Prof. Benson reminded the senators to contact the Executive Committee with any questions or concerns by October 25. At the November meeting, any additional concerns can be expressed. Vice President Porter noted that the policy was due to the state regents December 15. Prof. Benson thanked the task force for its help.
REVISIONS IN COMMITTEES
Prof. Benson reported that the proposed revisions in the charges of three committees came with the recommendation of the Senate Executive Committee (Appendix III). He explained that the faculty on the Bass Memorial Scholarship Committee would be nominated by Economics and Political Science rather than the Faculty Senate. The faculty for the Campus Disciplinary Councils would be nominated by the Faculty Senate rather than chosen from the Faculty Appeals Board. The Campus Security and Crime Stoppers Board would be eliminated since the board has been superseded by a new committee: the Community Policing Committee. The Senate will vote on these proposed revisions at the November meeting.
ADJOURNMENT
The meeting adjourned at 5:05 p.m. The next regular session of the Senate will be held at 3:30 p.m. on Monday, November 8, 1999, in Jacobson Faculty Hall 102.
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Sonya Fallgatter, Administrative Coordinator
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William H. Sutton, Secretary
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Appendix I
Faculty Senate Issues and Concerns, Fall 1999
I think an interesting issue is continuing use of office and university e-mail by retired professors who occasionally teach courses after retirement. Right now, they are being unceremoniously booted out.
I would suggest that some of the more pressing issues for Faculty Senate to consider include questions of recruitment and retention, improvement of graduate programs, and reevaluation of library resources.
Could our library do without the rule that books can be renewed only three times? If this is possible, then a further change will be very helpful, that is, whenever I renew one book, all the other books on my account are also renewed to the same due date. Thus, I will have only one due date to remember, instead of many due dates to (fail) to remember, as is the case now. What I suggested is the practice at the library where I graduated. I hope the OU library will do the same thing, so that it will be convenient to everybody.
A new Internet venture called studentu.com is hiring students to take lecture notes and post them to the web. So far, only four classes at OU have notes posted, but there have already been some serious repercussions, particularly from faculty who teach courses where they share their thinking on new ideas and research that they are doing or where they express professional opinions about geopolitical situations. The issue is who owns the intellectual property rights to class notes, to what extent we give students a license to use those notes, and how far that license may go.
Condition of the state teachers' retirement system. By the year 2010, our retirements will be in serious jeopardy. We should work cooperatively with our administration, other state colleges and universities, and public schools. A standing or special committee should look into what we might do with colleagues around the state and encourage the legislature to address the issue as soon as possible. When the cap is removed in 2002, we will pay 7% on all our earnings.
Faculty have to pay to use Huston Huffman, but students get in free.
Unionization of graduate students.
The regents' decision to cut funding for minority scholarships.
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Appendix II
University of Oklahoma
DRAFT (10/7/99)
THE BOARD OF REGENTS OF THE UNIVERSITY OF OKLAHOMA
INTELLECTUAL PROPERTY POLICY
PREAMBLE
The people of the State of Oklahoma may reasonably expect that their investments in the University of Oklahoma will create new industry and enhance existing industry within the State and Nation. Such new industry creates greater employment opportunities for citizens of the State and the Nation and an improvement in their standard of living.
The creation and development of intellectual property at the University encourages new business and is key to creating strong University and industry partnerships. It is the responsibility of University employees to disclose intellectual property and to foster an entrepreneurial attitude within the work force by involving students in the creation of intellectual property. Intellectual property development shall be pursued in conjunction with the University’s principle responsibilities of education and knowledge creation.
Therefore, it is in the best interest of the University to adopt a policy that encourages disclosure of discoveries and inventions and rewards such creative activity. To do so, the University policy must insure inventors a share in any financial success enjoyed by the University through the creation and commercialization of intellectual property. The basic objectives of the University’s policy concerning discoveries and inventions include the following:
PATENTS
1. OWNERSHIP
1.1 All discoveries and inventions, whether patentable or unpatentable, and including any and all patents (domestic and foreign) based thereon and applications for such patents, which are made or conceived by any member of the faculty, staff, or student body of The University of Oklahoma, either in the course and/or scope of employment for The University of Oklahoma or substantially through the use of facilities or funds provided by or through the University shall be owned by and be the property of the Board of Regents of the University of Oklahoma except as described below.
1.2 The University Vice President for Technology Development may negotiate ownership of discoveries/inventions with research sponsors when it is in the best interest of the University to do so. Otherwise, all rights are as described below.
1.3 Faculty having rights to discoveries/inventions prior to employment at the University of Oklahoma should notify the Office of Technology Development of such intellectual property so that ownership to any further development of that same intellectual property at the University of Oklahoma may be established, by written agreement, with the University Vice President for Technology Development.
1.4 In the event faculty or staff make discoveries or inventions outside the course of and/or scope of employment and using no University facilities, equipment, or supplies, or if using such reimburses the University for this use in accordance with a prior written agreement with the University and in accordance with University policy, title to such discoveries or inventions shall remain in the inventor, provided the University Vice President for Technology Development determines that the discovery or invention was made under these conditions. The inventor shall nonetheless submit a disclosure form to the Office of Technology Development. This disclosure shall contain sufficient information to enable the University Vice President for Technology Development to make a determination. If confidential information is required the University will sign a nondisclosure agreement for purposes of this review. Should the University Vice President for Technology Development determine that the University does have a proprietary interest, a more complete disclosure may be required. If it is determined that the University has an interest, the provisions of this policy shall then be applicable.
1.5 All rights in and to discoveries and inventions described in Paragraph 1.1 shall be disclosed to and assigned to the Board of Regents of the University of Oklahoma as a specific condition of employment with the University and admission to and/or attendance at the University. Faculty, staff and students shall execute any and all documents the University deems reasonably necessary to evidence such ownership, meet its legal obligations and effect patent protection, domestic and foreign, for the University or its nominee. All costs involved in obtaining and maintaining patent protection shall be borne by the University or its nominee.
1.6 The University agrees to act in good faith with respect to the determination of ownership.
2. REVENUE
2.1 The gross revenues (which shall include but not be limited to, cash and equity) received by the University from the licensing, sale, or commercialization of a University discovery or invention as described in section 1, will be distributed among the discoverer(s)/inventor(s), his/her/their primary department(s) and the University, in accordance with the following formula:
35% of gross revenues to the discoverer(s)/inventor(s) (as submitted on the Invention Disclosure Form);
The remaining 65% to be used to reimburse the University for out-of-pocket expenses that it has or shall incur in connection with, but not limited to, patent filing, prosecution, maintenance, and defense;
After expenses have been recouped, the remaining 65% will be distributed as follows:
15% to originating department(s)
50% to the originating campus’ Office of Technology Development.
It is recommended that the 50% distributed to the Office of Technology Development be further distributed as follows:
5% to originating college(s)
5% to President’s discretionary fund
10% to Vice President for Research
10% to OTD to cover overall office expense
20% to be applied to the Growth Fund
Distribution(s) of the campus allocation may vary from campus to campus but will be determined by the University Vice President for Technology Development in consultation with appropriate campus officers. Priority will be given to cover the costs of administering the intellectual property program and fostering technology development. Revenues may also be allocated to support the general research and educational missions of the University.
Stock certificates issued to the University shall be held by the Controllers Office of the Norman Campus.
The right to receive such royalty revenue shall be extended to the inventor(s) in the event that the inventor is no longer an employee or student of the University. Such right shall also accrue to the estate of the inventor(s). Inventor(s) and/or their successors or assigns shall have the responsibility to provide the Office of Technology Development of the respective campuses with all the necessary information to make payments to the appropriate parties, including without limitation, current addresses; provided, failure to keep the University so informed shall permit the University to hold all such revenue for such parties for a reasonable time or until the lawful beneficiaries make claim thereto.
The University Vice President for Technology Development shall establish and maintain a "Growth Fund" to be used to stimulate general faculty intellectual property disclosures as well as technology development and transfer. The fund will be used to further stimulate researchers within the University to make proposals when there is a need for additional funding to provide prototypes, additional research results, and/or "gap" funding to keep a program in place during transition. Those accessing the Fund will be expected to repay the fund at a minimum rate of two times the amount awarded from the fund. This fund will be administered under guidelines consistent with the research and scholarly missions of the University with recommendations for projects to be funded coming from a committee chaired by the appropriate University Vice President for Technology Development.
2.2 When there are two or more discoverers/inventors, each shall share equally in the inventor’s share unless all discoverers/inventors agree in writing to a different distribution of such share. Such originally-signed agreement shall be filed with the Office of Technology Development of the respective campuses of the discoverer(s)/inventor(s). No distribution of cash revenues will be made until this issue is resolved by the discoverer(s)/inventor(s) or their successors in interest.
2.3 The discoverer(s)/inventor(s) and his or her college shall be paid their share of the cash prior to November 1 of each calendar year and will be furnished with a statement of revenue derived from the commercialization of the invention at the time of payment. In the event of any litigation, actual or imminent, regarding patent rights, the University may withhold distribution until resolution of the particular matter.
2.4 The University does not act as a fiduciary for any person relating to consideration received under the terms of this policy.
3. ADMINISTRATION
3.1 The University Vice President for Technology Development shall determine the disposition of University discoveries and inventions described in paragraph 1.1 as deemed prudent and consistent with the University’s mission to ultimately convey the benefits of its research to the public for the general welfare of the State and Nation. In determining the proper disposition of University discoveries and inventions, the University Vice President for Technology Development shall consult as necessary with scientific and/or technical and/or business subject matter experts in fields appropriate to the discovery or invention under consideration. Among other choices, the University Vice President for Technology Development may:
(A) License the discovery and/or invention to third parties to provide for the further development and/or commercialization of the property;
(B) Transfer the discovery and/or invention for commercialization by entering into commission agreements with third parties to identify potential licensees to further develop and commercialize the property;
(C) Transfer rights to the property to a patent service organization to further develop and commercialize the property;
(D) Allow rights (U. S. and foreign) to the discovery or invention to revert back to the Federal agency that funded the development of the discovery;
(E) Transfer rights (U. S. and foreign) to the discoverer(s)/inventor(s) if requested by the discoverer(s)/inventor(s), and the University Vice President for Technology Development determines that the discovery/invention will not be pursued further by the Office of Technology Development.
(1) If Federal funds where used in the development of the discovery/invention, such transfer of rights are subject to a reversionary right in the Federal government as described in 37CFR401.
(2) Such transfer also shall be subject to an irrevocable, non-exclusive, royalty-free, and world-wide right and license in the University to make, use and/or practice the discovery or invention for University education, research and/or service purposes. The University also reserves the right to publish and or present information and data obtained in the research project resulting in the discovery or invention being transferred, assuming such rights do not jeopardize the discoverer’s/inventor’s patent rights. Faculty, staff and students shall execute any and all documents, as the University deems reasonably necessary to confirm or enforce such reserved right and license.
(3) Such transfer shall be limited to the discovery or invention duly disclosed to the University, in writing, as of the time the transfer is requested by the discoverer/inventor;
(E) Transfer rights to the discovery and/or invention to the person(s) or entity sponsoring the research in the course of which the discovery or invention was made if such action is required under the terms of the research agreement or is required by law; or
(F) Transfer the discovery and/or invention into the public domain through publication of the invention by the discoverer/inventor.
3.2 All transfers of University discoveries or inventions shall be subject to and contingent upon any rights in third parties as may be governed and/or required by, among other things, sponsored research agreements, other third-party contracts, or law.
3.3 The University Vice President for Technology Development shall be responsible for administering the patent affairs of the University in a manner consistent with this Policy. The University Vice President for Technology Development shall cooperate to establish written policies to be approved by the President and distributed to the faculty, staff and students of the University, governing procedures to be followed in processing discoveries and inventions generated within the University. The Office of Technology Development shall provide information regarding disposition of specific discoveries/inventions to the inventor(s) no later than six (6) months from the date the discovery/invention is marketed by the Office. If the Office of Technology Development is not going to pursue patenting of the invention, the inventor(s) shall be given the opportunity to request that the University waive its rights in and to the discovery/invention.
3.4 When it is in the best interest of the University to get its technology into the marketplace, when the longer term opportunity for returns to the University and the State exceed the short term value of not taking equity, then the University Vice President for Technology Development will approve taking equity. As a matter of principle some equity is desirable in all transactions to create the best opportunity for the University and the State of Oklahoma to get a fair return on the technologies transferred from the University to the marketplace.
4. DISCLOSURE
4.1 It is the responsibility of faculty, staff or students of the University of Oklahoma to report all inventions they may develop during their term of employment or registration as a student.
4.2 Any discovery/invention, whether or not patentable must be reported to the University by filing an Invention Disclosure Form with the appropriate technology development office. Such Invention Disclosure shall provide sufficient information so that the Office of Technology Development, in conjunction with others, can determine its commercial potential and patentability. Although the maintenance of the laboratory notebooks that describe the discovery/invention is the responsibility of the discoverer/inventor, the Office of Technology Development may require access to such notebooks at any time throughout the prosecution and maintenance stage of patenting the discovery/invention.
5. TERM
The terms of this Patent Policy are a part of any contractual relationship of the University of Oklahoma with any member of the faculty, staff or student body. This Policy, as amended from time to time, shall be deemed to be part of the conditions of employment of every University employee or a part of the conditions of enrollment and attendance of every student at the University. Any licensing revenues received throughout the duration of such license shall be distributed in accordance with the distribution policy in effect at the time of the signing of such license and can only be changed through mutual agreement of the parties receiving portions of such revenue.
6. COMMITTEE
The Advisory Committee for the Office of Technology Development shall be appointed by the University Vice President for Technology Development and convened as needed, not less than three times per academic year. This committee will consist of the Faculty Senate Chair (or his/her designated representative), selected faculty, staff, and students with experience in intellectual property matters. Priority for appointment will be to faculty, staff, and students who have received patents and have been engaged in technology transfer activities. This Committee will assist the University Vice President for Technology Development in setting policy and procedures that will be implemented on a daily basis by the Office of Technology Development staff. The Committee will provide a forum for faculty, staff, and students to present any issues such as, but not limited to, revenue sharing, ownership, etc. The Committee will make recommendations to the University Vice President for Technology Development for the handling of these issues. The Director of the Office of Technology Development, the Vice Presidents for Research, and University Counsel shall serve as ex-officio members of the Committee.
7. USE OF FACILITIES
As outlined in the Oklahoma Technology Transfer Act of 1998, use of the facilities of the University by a business enterprise or private business entity is allowed when that project involves the research or development of a University technology, whether or not the technology is protected pursuant to federal or state law governing intellectual property, the results of which have potential economic and academic value for the University. Such use of University facilities must be on a "space-available" arrangement in which normal University activities are not displaced. The use of such facilities by a business enterprise or private business will be done on a fee-for-service contract and in conjunction with projects where the University has a vested interest in the outcome of the transfer of University technology, through research and development of a discovery/invention for commercialization purposes, scholarly
rewards, or furthers the University’s educational, research, or public service missions.The University may take an equity stake in such business enterprises or private businesses in consideration for the use of such facilities and/or the development of University discoveries/inventions which shall be managed in accordance with the University’s policies on stock acquisition and management. Any cash revenues received from the sale or trade of such equity stocks shall be distributed as if received as royalty income. If the equity interest is acquired through an exchange of value other than money and the exchange of value is made in connection with the development of technology by the private business enterprise through the use of the facilities or resources or both of an institution within The Oklahoma State System of Higher Education, acquisition of an equity interest shall be permissible through the use of the facilities, premises or assets of an institution within The Oklahoma State System of Higher Education through the use of faculty expertise or student expertise, including the value of time expended by faculty or students upon developing a technology in connection with a private business enterprise or private business entity. No state appropriated monies shall be used or obligated to acquire an ownership interest in a private business enterprise except as authorized by the provisions of this section.
8. BACKGROUND
8.1 A patent is a grant issued by the U. S. Patent and Trademark Office (PTO) that provides the assignee of the patent the right to keep others from practicing or using its patented invention. Patents are issued for inventions that are novel (not published, sold, or utilized for more than one year), useful, and non-obvious to others equally skilled in the art. (In almost all foreign countries, to be patentable, an invention requires complete novelty. In others words, it cannot have been published, used, sold, or bartered publicly prior to the filing of a patent application either in the country itself or in the United States PTO.)
8.2 U. S. Patent Law has maintained the first-to-invent rule. What this means is that the first person to conceive and reduce to practice the invention shall be entitled to the patent. Foreign countries rely on the first-to-file concept in issuing patent rights. In the case of U. S. law, the laboratory notebooks of the discoverer(s)/inventor(s) may be crucial to the overall outcome of to whom the patent is issued. Laboratory notebooks should be bound notebooks where corrections are readily identifiable. The pages of the notebooks should be signed, dated, and witnessed on a daily basis and stored in a secure location. The term of patent applications filed in recent years is twenty years from the date of application. The laboratory notebooks should be maintained at least for that period of time.
TRADEMARKS
A trademark identifies an item of intellectual property or an educational or training service. The University owns all right and title to any trademarks related to any item of intellectual property owned by the University. Any cash revenues received in exchange for the commercial use or sale of such trademark shall be distributed as those cash revenues received for discoveries/inventions.
COPYRIGHT
1. PREFACE
Copyrights are created by the Constitution and the laws of the United States to promote the progress of science and the useful arts by securing for limited times to authors the exclusive rights to their works and writings. The basic objectives of the University’s policy concerning copyright include the following:
2. POLICY
It is the policy of the Board of Regents of the University of Oklahoma that all rights in copyright shall remain with the creator of the work unless the work is created with substantial use of University resources, is specifically assigned or commissioned by the University, is subject to non-University contractual or legal obligations, or is a "work made for hire" as that term is defined by U.S. Copyright Law.
3. OWNERSHIP
3.1 Scholarly/Aesthetic Works.
In keeping with traditional academic practice and policy, ownership of copyrights to works of artistry or scholarship in the creator’s professional field such as textbooks, course materials, scholarly papers and articles, (and the software that may be associated with these traditional works) novels, poems, paintings, musical compositions or other such works of artistic imagination produced by University employees who have a general obligation to produce such works where the specific choice, content, course and direction of the effort is determined by the employee without direct assignment or supervision by the University shall reside in the creators and the works shall not be deemed "works made for hire" under this policy unless they are also sponsored/contracted works or specifically assigned by the University. Copyrighted courseware and/or software that are not associated with traditional works as described above shall fall under and are subject to the Patent Policy. The general obligation of faculty to produce scholarly works does not constitute specific assignment. Such exempt works of artistry or traditional scholarship shall be subject to an irrevocable, non-exclusive, free of cost and worldwide license in the University to exercise all copyright rights in and to the work, except the right to commercially display, use, perform or distribute copies of the work, unless to do so would impair the ability of the creator to commercially or professionally exploit the work. If a use of the work by University is reasonably determined by the creator to impair the exercise of such rights, the University shall discontinue the impeding use but otherwise shall remain free to use the work as provided in this Paragraph 3.1. Subject to the approval of the Vice President for Technology Development, the University will assist any University employee wishing to commercially exploit a scholarly/aesthetic work falling under this paragraph, through its Office of Technology Development. In such cases, the University will normally own the work and the provisions of the Patent Policy shall apply.
3.2 Personal Works.
Ownership of copyrights to works prepared outside the course and scope of University employment and without the substantial use of University resources (equipment, facilities, services or funds (regardless of source) administered by and/or under the control of the University) shall reside with the creators; provided, the provision of office facilities, limited secretarial assistance, library facilities for which special charges are not normally made or other resources which are made available to the public without charge, shall not be considered substantial use of University resources.
3.3 Sponsored Works.
Ownership of copyrights to works produced by or through the University in the performance of a written agreement between the University and a third-party/sponsor shall be governed in accordance with the agreement. If the agreement is silent in that regard, ownership shall be governed by the other provisions of this policy.
3.4 Commissioned Works.
Ownership of copyrights to works produced for University purposes by persons not employed by the University or by University employees outside their regular University employment (commissioned works) normally shall reside with the University. In all cases, copyright ownership shall be specified in a written agreement approved by University legal counsel signed by the parties. Any commissioned work agreement which provides for ownership by other than the University shall also provide, to the fullest extent possible, that the University will have an irrevocable, free-of-cost, non-exclusive, world-wide license to exercise all copyright rights in and to the work, except the right to commercially display, use, perform or distribute copies of the work unless to do so would impair the ability of the University employee creator to commercially or professionally exploit the work. If a use of the work by University is reasonably determined by the University employee creator to impair the exercise of such rights, the University shall discontinue the impeding use but otherwise shall remain free to use the work as provided in this Paragraph 3.4.
3.5 University Works.
Except as otherwise provided in this Policy, the University shall own all copyrights to works made by University employees in the course and scope of their employment and shall own all copyrights to works made with the substantial use of University resources. Provided, University shall give due regard to the creator’s interests in the quality and integrity of the work and where appropriate grant recognition for creation of the work. To the extent consistent with University rights under the U.S. copyright law, nothing herein shall be construed to prevent the creator from using his/her knowledge, expertise, research and creative achievement in other employment.
3.6 Student Works.
Ownership of copyrights to works produced by enrolled students without the use of University funds (other than Student Financial Aid), that are produced outside any University employment and are not sponsored or commissioned works, shall reside with the student creator(s). Provided however, in all cases a student’s graduate thesis or dissertation shall be deemed a student work under this policy but as a condition of enrollment and awarding a degree, the University reserves an irrevocable, non-exclusive, free-of-cost and world-wide right to reproduce in any media and distribute to the public, on a non-commercial basis, copies of said theses and dissertations, unless to do so would impair the ability of the creator to commercially or professionally exploit the work. If a use of the work by University is reasonably determined by the creator to impair the exercise of such rights, the University shall discontinue the impeding use but otherwise shall remain free to use the work as provided in this Paragraph 3.6
3.7 Jointly Originated Works.
Ownership of copyrights to jointly originated works shall be determined by separately assessing the category of work of each creator under this Section 3. Rights between joint owners of a copyright shall be determined pursuant to copyright law or by agreement between the owners of the work.
4. REVENUE SHARING
4.1 The University may assign or license its copyrights to others. The University shall share royalty revenue derived from such assignment or license (excepting commissioned works and sponsored research funding) which it receives through copyrights with the creators, as provided for in the Patent Policy above.
4.2 Notwithstanding the above or anything else to the contrary herein, staff employees are not eligible to share revenues received from University owned copyrights where such employees create copyrightable works as a part of their normal responsibilities of University employment. Provided, a staff employee may apply to the appropriate Provost to be treated as a faculty member for purposes of revenue sharing for a work resulting from a specific project upon a showing that his/her duties and responsibilities in that project are, in practical effect, substantially the same as those of a faculty member.
5. ADMINISTRATION
5.1 Release to the Creator. An individual creator of a University owned work may seek transfer of the University owned copyright to him/herself by making written request to the appropriate Provost. If the University decides not to exploit such work, then it may transfer the copyright, by written agreement, to the individual creator to the extent consistent with any applicable third-party agreement or law. Provided, such transfer shall be subject to an irrevocable, non-exclusive, free-of-cost and world-wide license in the University to exercise all rights under the copyright in the work except the right to publicly distribute copies for commercial purposes or such other conditions as may be agreed upon in writing between the individual creator(s) and the Provost.
5.2 Disclosure and Protection. An individual creator of a University owned copyrightable work shall protect the work by placing the following statutory copyright notice on all copies thereof ("Copyright [insert year produced, e.g., 2000], the Board of Regents of the University of Oklahoma."). If the creator believes the work may have commercial value, he/she shall promptly provide written disclosure of the work to the appropriate Provost.
5.3 Legal Compliance-Any work created by a University employee or student, to the best of his/her knowledge and informed belief, shall not infringe on any existing copyright.
5.4 Creators of copyrightable works subject to this policy and the University shall cooperate as reasonably necessary to effect the terms of this policy. For example, if copyright to a work of scholarship vests in the University by law, the University will, upon request and to the extent consistent with its legal obligations to third parties, promptly execute such documents as will transfer copyright to the faculty creator(s).
5.5 The Provosts, Norman Campus and the Health Sciences Center, shall be responsible for administering the copyright affairs of the University in a manner consistent with this policy. The Provosts shall cooperate in consultation with the Copyright committee on each campus to establish written directives to be approved by the President of the University and distributed to the employees and students of the University, which shall govern the procedures to be followed in processing copyrighted works created within the University.
5.6 The University does not act as a fiduciary for any person concerning consideration received under the terms of this policy.
5.7 The University Vice President for Technology Development may negotiate ownership of copyrighted works with research sponsors when it is in the best interest of the University to do so. Otherwise, all rights are as described above.
5.8 Faculty having rights to copyrighted works prior to employment at the University of Oklahoma should notify the Office of Technology Development of such intellectual property so that ownership to any further development of that same intellectual property at the University of Oklahoma may be established, in a written agreement with the University Vice President for Technology Development.
6. CONTRACTUAL TERM
The terms of this copyright policy are a part of any contractual relationship of the University with any member of the faculty, staff or student body. This policy, as amended from time to time, shall be deemed to be a part of the conditions of employment of every University employee and a part of the conditions of enrollment and attendance of every student at the University.
7. RESOLUTION OF CONFLICT
Should disputes arise relative to the ownership of copyright between the creator and the University, the matter will be referred to the Copyright Committee, which will make recommendations to the President for proper resolution of the disputes. Either the University or creator may contact the Provost to arrange to have the Copyright Committee meet to consider such disputes.
8. UNIVERSITY COPYRIGHT COMMITTEE
a) The University shall have a Copyright Committee for each Campus that shall consider and investigate disputes among administrators, faculty, or staff and shall recommend appropriate solutions to the President. The Committee's responsibilities shall include, but not be limited to, disputes concerning:
1) Ownership of copyright; and
2) Terms of commissions.
b) The Copyright Committee of each campus shall have as its members:
Each member of the Committee shall have one vote. The Committee shall keep its own records, determine its own procedures, and elect its own chair who shall report to the President. The Committee also may review this policy from time to time and may recommend changes to the President.
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Appendix III
PROPOSED REVISIONS IN COMMITTEE CHARGES (Fall 1999)
BASS MEMORIAL SCHOLARSHIP COMMITTEE
Proposed Committee Membership:
1 Faculty member from Division Department of Economics, elected by the Faculty Senate and forwarded to the president for official appointment.
1 Faculty member from Department of Political Science, elected by the Faculty Senate and forwarded to the president for official appointment.
Rationale:
This scholarship is awarded to outstanding students in economics or political science. In the past, the Faculty Senate had to ask the respective departments to recommend faculty members to serve on this committee. The proposed change would eliminate the Senate from the process. The Arts & Sciences Dean and OU Foundation Director have agreed to this change.
CAMPUS SECURITY AND CRIMESTOPPERS BOARD
Eliminate this board.
Rationale:
The Campus Security and Crimestoppers Board was established by the Department of Public Safety in 1994. In 1998, DPS formed a Community Policing Committee in an effort to involve the University and community. The Faculty Senate Chair is a member of the committee. The CSCB has not met in two years, and the DPS Director has requested that the board be abolished.
STUDENT CODE REVISION
Proposed Reading:
Title 13 The University Discipline System:
3. Campus Disciplinary Councils:
1.b. Two (2) CDC's shall be established. Each shall be composed of seven (7) members. Three (3) faculty randomly selected from the Faculty Appeals Board appointed by the Faculty Senate, one of whom shall be a qualified attorney; ...
Rationale:
In addition to the appointment requirements for the Campus Disciplinary Councils, Title 13.3 also requires that the CDC's select a presiding officer at the beginning of each academic year and that they establish and publish rules of procedure for conducting hearings that are identical for both CDC's. The recommended revision reflects the current practice of appointing faculty so that the membership of the council remains consistent through the academic year. The Student Code Revision Committee approved this change.