JOURNAL OF THE FACULTY SENATE
The University of Oklahoma (Norman campus)
Regular session - November 8, 1999 - 3:30 p.m. - Jacobson Faculty Hall 102
office: Jacobson Faculty Hall 206 phone: 325-6789 FAX: 325-6782
e-mail: email@example.com web site: http://www.ou.edu/admin/facsen/
The Faculty Senate was called to order by Professor Hugh Benson, Chair.
PRESENT: Abraham, Beasley, Bemben, Benson, Blank, Brown, Butler, Cline, Cox, DeBacker, Deming, Durica, Edwards, Eliason, Engel, Fleener, Gilliland, Gollahalli, Greene, Gross, Hart, Horton, Houser, Karriker, Kenderdine, Knapp, Kunesh, Kutner, Mau, McInerney, Murphy, Nelson, Newman, Okediji, Pailes, Russell, Scherman, Schwarzkopf, Sutton, Swindell, Watts, Weston
Provost's office representative: Mergler
PSA representatives: Morren
UOSA representatives: Dixon, Shankle
ABSENT: Agrawal, Harrison, Hofford, Kennison, Kudrna, Osisanya, Patterson, Robson, Trafalis, Van Gundy
TABLE OF CONTENTS
Dedication of George Lynn Cross Faculty Senate Reading Room
State of the University address by President David Boren
Revisions in committees
Patent and copyright policies
APPROVAL OF JOURNAL
The Senate Journal for the regular session of October 11, 1999 was approved.
DEDICATION OF GEORGE LYNN CROSS FACULTY SENATE READING ROOM
Prof. Benson welcomed the members of the Braden Cross family and past Senate chairs to the dedication of the George Lynn Cross Faculty Senate Reading Room to honor former President Cross for his contributions to the Faculty Senate. Two plaques and a photograph of Dr. Cross will be hung in the room, which is the foyer outside the Faculty Senate office on the second floor of Jacobson Faculty Hall. The plaques read:
The Faculty Senate
In January 1942, President Joseph A. Brandt, taking up the suggestion of a group of faculty members, proposed to the Board of Regents the creation of a faculty senate. The move was intended by President Brandt to replace a rather autocratic system of permanent deans and department heads with a far more representative and democratic means for discussing and fashioning University policy. The Regents, led by their chair, Lloyd Noble of Ardmore, approved the idea and the Faculty Senate met for its first time in March 1942. Ten years later, President George Lynn Cross decided that the Senate should no longer be chaired by the University's president, but a faculty member elected by colleagues from across the campus.
Since that time, hundreds of members of this faculty, chosen by their associates, have considered, debated, and offered recommendations over every significant aspect of the University's life. A staunch defender of academic freedom, a consistent voice for sound educational practices, an interested participant in discussions over budget allocation, the Senate has vigorously spoken the views of the faculty on the countless issues that confront a modern research university. Although the Senate's view has not always prevailed, in the bast majority of cases its judgments have been taken seriously and have established or modified the official policies of the University of Oklahoma. In the process, the Faculty Senate has served as a model of democratic procedure, spirited and honest debate, and loyal devotion to the best interests of The University of Oklahoma.
George Lynn Cross, President of The University of Oklahoma, 1944-68
The small college that George Lynn Cross found here, he guided--with wisdom, energy, patience, and good humor--along the path toward becoming an important American university. His many contributions have been appropriately noted and celebrated across the campus. Those who dedicate this small room in his honor, however, wish to commemorate in particular his ceaseless devotion to academic freedom, faculty governance, and administrative consultation with the men and women who taught here. Throughout the period of his leadership, he practiced these high principles with consistent grace and steadiness, and he defended them, whenever necessary, with consistent courage. He has thereby placed every present and every future member of this faculty deeply in his debt.
Prof. Benson invited the group to view the display case devoted to President Cross in the reading room. The Senate approved the following resolution on a voice vote, and a copy was presented to the Cross family:
On the occasion of the dedication of the George Lynn Cross Faculty Senate Reading Room, the Faculty Senate wishes to acknowledge and record, by means of this resolution, the debt of gratitude owed to George Lynn Cross by the members of the University of Oklahoma faculty.
For a quarter of a century, as president of the University (1943-1968), Dr. Cross was a champion of faculty rights and prerogatives in two crucial respects. First, in managing the relations of the University with outside constituencies, he was a consistent defender of academic freedom. Through tactful diplomacy, patient reasoning, and steadfast courage, he upheld the twin rights of free inquiry and the freedom to teach, against all those who wished to silence members of the faculty with whom they disagreed. And second, within the University itself, President Cross was a firm believer in genuine faculty participation in the governance of the institution and in the importance of regular and serious consultation with the faculty over academic policy. His recommendation in 1952, that the Faculty Senate should no longer be chaired by the University President, but by a faculty member elected by his or her colleagues, is only one indication of his belief in the value of a strong, independent and democratic faculty voice in the governance of the University.
The Faculty Senate gratefully recognizes these contributions of George Lynn Cross and is proud to participate in naming the Faculty Senate Reading Room in his honor.
STATE OF THE UNIVERSITY ADDRESS BY PRESIDENT DAVID BOREN
President Boren commented that he had a number of discussions with Dr. Cross on the role of the Faculty Senate and faculty governance. He said he thought it was appropriate that the Faculty Senate had recognized the role of Dr. Cross. Dr. Cross was President Boren's role model, and seeing the difference Dr. Cross made as president made President Boren want to come here. When asked which president Mr. Boren should view as a role model, Dr. Cross suggested President Brandt because he accomplished a lot. During President Brandt's time, the deans had lifetime appointments, presidents could not dismiss deans, and there was no review by faculty of the performance of deans. President Brandt took on that entrenched system and brought into being the Faculty Senate. What developed over time was a partnership between the faculty and president, but that partly led to President Brandt's departure. Dr. Cross told President Boren to listen to the Faculty Senate. Administrators and students come and go, but the faculty is permanent and is at the center of maintaining standards, providing sound direction, and providing the quality for the institution.
President Boren distributed charts that he put together for the regents' retreat this year. To utilize our resources to accomplish our central academic mission, we need to keep administrative costs under control. Using state regents' figures, OU is below 6%, which is by far the lowest in the state system, and we aspire to stay that way. However, we cannot cut administrative costs much further without cutting into the support base necessary for faculty and others to perform their missions. We made some cuts in administrative areas this year in order to come up with the 3% salary increase. Academic areas were exempt.
In the last five years, the increase in library funding has been about 10% per year. President Boren proposed to the regents a $1 million a year increase in the base budget of the library. We have almost $4 million in our private endowment. These improvements have helped us move from last place in library funding to the middle of the Big 12.
We are in the top six states in the percentage increase in appropriations for higher education. The cumulative faculty salary increase from FY 1995 to FY 2000 is 22%. OU ranks fourth in the Big 12 in terms of average faculty salaries, including benefits and cost-of-living adjustment. President Boren's goal is to be in the top three in compensation. Our emphasis in private fund raising has been on faculty. We now have 257 endowed faculty positions and about 82% of the endowed chairs and professorships in the state matching system. These endowed positions are not necessarily distributed evenly among our colleges. There are several areas that we need to improve.
Faculty FTE has grown over the last five years as enrollment has grown. We made a slight improvement in the student/faculty ratio. Enrollment should stabilize as the new admissions standards begin next year. The acceptance rate for admissions has been higher than expected. This year, our goal for new freshmen was 3000, but we are at 3300. Our goal is to level out student enrollment so we will not continue to put pressure on faculty in terms of the number of students and size of classes. Quality continues to go up. OU was overwhelmingly the choice of state regents' scholars, students who are in the top one-half of one percent on the SAT and ACT and are graduates of Oklahoma high schools.
U.S. News rankings do not use ACT and SAT scores of the top quartile of the student body, and they include only the headcount of contributors to the University, not the size of the endowment, where we rank in the top 20 nationally. The graduation rate within six years counts about 30% of the ranking. A change in methodology was the only reason we dropped from the second quartile. The retention rate for freshmen was 82% in 1997-98 and is going up. We lose students, however, in the third and fourth year. Free transfer between state institutions lowers the retention rate for all Oklahoma schools. Retention is one of the areas of concern.
Faculty and staff giving grew from $33,000 in FY1992 to $671,000 last year. That really sends a message about the commitment of our faculty and staff. President Boren said he deeply appreciates it, and it is making a huge difference. Endowment funds have grown to $491 million. We should be able to go over the half billion mark this year. According to the Chronicle of Higher Education, we ranked 16th last year in private endowment per capita. The number of alumni contributors has gone from 17,000 to 61,358 in the last five years. We have had 46 gifts above a million dollars in the past four years.
Since 1990, research expenditures have grown over 100%. OU has about $150 million in externally-sponsored programs and research. Texas A & M has about $230 million. Per capita, we actually lead them. That is quite an achievement. We are not where we want to be, but we are making some solid progress.
President Boren then discussed goals for the next five years. The top goal is to stay the course on faculty compensation. He said he would not be satisfied until we are in the top three in the Big 12 in faculty compensation and firmly in the ranks of the finest comprehensive public universities in the country. The second goal is to improve the library. Being ranked fifth or sixth in the Big 12 is not good enough. We are making improvements in library technology, but we need to invest more in that area. That is true across the board. The Director of Computing and Telecommunication Services position has been renamed Chief Information Officer and raised to a vice presidential level. All three of the final candidates have very strong academic experience. Research space and equipment are at a premium. At the top of our list of facilities is a multi-purpose research facility on the south base. It would be under the control of the University, not a department, so the areas can shift over time. The $40 million appropriation for the Meteorology facility is moving through Congress. The Physics expansion is nearing completion. We need to finish the Fine Arts renovations. The Business School is bulging at the seams. Additional space will be freed up once the College of Arts & Sciences moves to Ellison Hall and if we are able to move Meteorology. We desperately need a bond issue from the legislature this year to help alleviate our space problems. President Boren said he would like to expand the program of visiting professorships and raise private funds to endow the program so that a minimum of four visiting professors of international stature would visit here each year. One of the cottages at OCCE has been renovated to house two visiting professors. Another high priority is more and better-funded graduate fellowships. This is not a complete listing, but a few ideas that merit our attention. We are at about $350 million in the Reach for Excellence campaign, and have a good chance of reaching $400 million, if not $500 million, in the remaining 11 months.
President Boren said it had been a nostalgic weekend with the commemoration of five years at the University. Twenty-five years ago, he was elected governor. He said he was grateful that he had the opportunity to come here, and it has been the best five years of his life. He thanked the faculty for its help and advice. He said it was appropriate to start the next period by reaffirming Dr. Cross's strong support of faculty governance and collaboration. He pointed out that the Senate Executive Committee brings issues to him regularly. For example, he is aware of the concerns about the patent and copyright policies. He assured the Senate that he would not present a proposal to the regents until it had the approval of the Faculty Senate.
Prof. Russell said he was astounded by the growth in research expenditures and external funding. He suggested a comparison among the Big 12 universities of the research that faculty brings in versus the M&O support from the state. Faculty here could do a lot more with additional M&O support. President Boren said his point was well taken and that the new Vice President for Research, Lee Williams, would keep that issue before us. We have made some modest improvements but not nearly what we need. Prof. Russell said he tells state leaders that state funds help train graduate students who will then be available to the work pool. A recent study showed that graduates tend to stay in the geographic area where they received their final degree. President Boren said the exception was in science and engineering. He thanked the Faculty Senate for its encouragement and for its good ideas.
REVISIONS IN COMMITTEES
See 10/99 Senate Journal (http://www.ou.edu/admin/facsen/minutes/1099jrn.htm). The revisions in the Bass Memorial Scholarship Committee, Campus Security and Crimestoppers Board, and Campus Disciplinary Councils (Appendix I) were approved on a voice vote.
PATENT AND COPYRIGHT POLICIES
See 10/99 Senate Journal (http://www.ou.edu/admin/facsen/minutes/1099jrn.htm). The policies approved by the Faculty Senate last spring are at http://www.ou.edu/admin/facsen/patent.htm and http://www.ou.edu/admin/facsen/copyright.htm.
Dr. Skip Porter, Vice President for Technology Development, and Ms. Connie Armentrout, Director of Technology Development, were present to answer questions. A draft dated November 8, 1999 was distributed at the meeting and is attached (Appendix II). Prof. Benson noted that at the last meeting, he asked senators to submit concerns by October 25. The Senate Executive Committee boiled down the concerns into three or four basic concerns. (1) In the preamble, the role of intellectual property development in the University's mission was clarified. The change is also reflected in a few other places. (2) Faculty involvement in oversight of the policy was raised in connection with the make-up of the advisory committee, appeals, and oversight of the growth fund. (3) In the copyright policy, it could have been difficult for faculty members to get their research published by major journals if the University kept the right to distribute the material. In the revised document, the University could keep the right as long as it did not interfere in the normal course of traditional publication. The modifications Prof. Benson made to address these issues and other concerns have been supported by President Boren, Vice President Porter and Ms. Armentrout.
Prof. Hart pointed out that section 3.1 of the copyright policy states that ownership of copyrights will remain with the faculty member unless the works are sponsored/contracted works or specifically assigned by the University. He asked for clarification of what sponsorship meant. Ms. Armentrout responded that the intent was to capture those things that are done under a sponsored research agreement with specific terms and conditions or in special cases when there is a specific agreement in place. Prof. Hart asked whether general support for research projects that are not part of a specific contract, such as the summer faculty fellowships, would be considered sponsored works. Vice President Porter said it would depend on whether the grant was to do scholarly work or a specific thing.
Prof. Sutton asked for an explanation of the changes in the revenue distribution. Vice President Porter said it is difficult to know what kind of real dollars we will generate until we get some experience. The proposed distribution would give us an aggressive recruiting and retention tool because the inventor gets 35% of gross. If we do not generate enough excess resources, we may have to revise this section. The remaining 65% would go toward expenses. As soon as those costs are recovered, 15% goes to the Office of Technology Development (OTD). If the OTD is under-funded when we are trying to get it started, then the other percentages will be a percentage of zero. Because of the Senate's concern, 5% would be given to the Vice President for Research to sustain the classical, traditional mission of the institution. Prof. Benson clarified the changes in the distribution. In the previous document, the department would have received 15% and the college would have received 5%. In this document, the college would receive 20% and the department would receive half of that. The other change is the Vice President for Research would receive 5% instead of 10% and the OTD would receive 15% instead of 10%. Vice President Porter said the rationale for the change was that faculty in colleges that had not been successful yet could request start-up funding from the growth fund. This iteration has led to a stronger, more balanced document. There is a mechanism for review and for appeals.
Prof. Russell said his concerns about oversight had been addressed. The flow of money will be transparent, and the Patent Committee will oversee the activities of the OTD. He moved to accept the policy. Prof. Murphy pointed out that the last two paragraphs of section 3.1 of the Patent Policy should be changed to (F) and (G). She suggested that the last sentence in section 3.3 of the Patent Policy be revised to read that the rights shall revert to the inventor. Dr. Porter said the proposed language was intended to let the inventors decide whether they want the rights then. Prof. Murphy suggested the language, "...shall revert to the inventor if so requested." Prof. Okediji said she thought 3.3 was meant to deal with the problem of the University opting not to pursue a patent. Not every invention will be worth pursuing by the University. In that case, the inventor can have the right to pursue a patent independently. The way it has been rewritten suggests that if the office chooses not to patent the invention but wants to market it, the office can do so. "Shall" makes it easier for the inventor to know it is his and that the University cannot sit on an invention. Ms. Armentrout replied that at the end of six months, the OTD will tell faculty members everything that has been done and give them choices of what the OTD can do to continue. If rights automatically revert to the inventors, then they cannot take advantage of other options. Prof. Benson suggested "...shall revert to the inventor(s) upon his/her request." Then it would not look like the OTD could sit on it. Ms. Armentrout said they did not intend to sit on an invention. Prof. Sutton asked about pursuing foreign patents. Ms. Armentrout said the OTD would not let any patent rights be lost. Prof. Okediji whether the OTD would finance options less than patentability. Ms. Armentrout said the faculty member would have a large say in the way the OTD pursues an invention. There is always the possibility of licensing know-how. Vice President Porter said the investment of resources would be driven by the belief that it would return something. Prof. McInerney asked whether students were covered by this patent policy if they were involved in the invention process and whether there would be protection for their dissertation publication. Dr. Porter said they would be covered. For the purpose of licensing the technology, there could be a 3-6 month delay in the publishing. Ms. Armentrout added that new guidelines just went to graduate students to explain how the process works.
Prof. Schwarzkopf noted that University policy limits external compensation to 25%. His understanding is that the University intends to lift that restriction for this income. Provost Mergler said this kind of income would be exempt. Dr. Porter commented that some very interesting opportunities were being negotiated. This policy would speak well of this campus and the academic community.
Referring to section 3.1 of the Copyright Policy, Prof. Durica remarked that copyright ownership to traditional works resides in the creator, yet courseware falls under the Patent Policy. He said traditional works become difficult to define with new media like CD-ROM or the Internet. Dr. Porter said that issue relates to the question about targeted grants. If the University decides to put extraordinary resources toward a certain objective, such as the development of courseware, that goes beyond the traditional. Prof. Durica asked whether it is defined in terms of independence. Vice President Porter answered that independently funded courseware/software would be outside the realm of the policy. However, if it is institutionally targeted and resources have been added that might have been used otherwise, then it would fall under this policy, and there is a chance that everybody could benefit on the return. He said it was likely that this kind of issue would have to be resolved through the grievance procedure. Prof. Benson said the intent was to make clear that a traditional work of scholarship in which the medium is non-traditional would still be considered a traditional work. Prof. Kutner said if that was the intent, then the language would need to be changed. The Intellectual Property Task Force intended that traditional scholarship, even though it might be called courseware, software, or CD-ROM, would fall under the same policy as books and articles. Because of the changes made in the policy, it now varies according to form. Courseware/software falls under the Patent Policy unless it is associated with traditional materials. A CD-ROM not fully associated with something traditional is patentable, even if the University did not put in any more resources than it put into a book or an article. Prof. Benson asked Ms. Armentrout and Prof. Okediji to work out the language. Prof. Okediji said it was possible to patent software or keep it as a copyright. That is a decision that the OTD will make depending on the subject matter. Ms. Armentrout said those decisions will be made based on what is reported to the OTD. [Note: Ms. Armentrout and Prof. Okediji revised sentence one of 3.1 as follows:
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) software and other computer materials when they are works of artistry or scholarship, 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.]
Prof. Kenderdine commented that we would never create a perfect document. Throughout this process, there has been a strong feeling of goodwill and collegiality in coming up with a document we can live with. Second, we cannot anticipate the future. Five years ago, nobody was issuing software patents. Finally, we have a vehicle for making changes--the Patent Committee--which is well balanced and includes the Faculty Senate Chair to break ties. He suggested that we try the policy for awhile and then see where it needs to be tweaked. Prof. Beasley said he was glad to have the services of the OTD in a situation in which he was involved. He pointed out that we do not have to legalize everything. Prof. Cline asked whether there would be any objection to a review of the document in 3-5 years. Ms. Armentrout said this would be a living document for some time. As we work through these issues, we will need to make some revisions. Vice President Porter added that a vehicle for review is in place. Prof. Russell said we need this policy to deal with the real life issues going on.
The Intellectual Property Policy, with the revisions in 3.3 of the patent policy and 3.1 of the copyright policy, was approved on a voice vote.
The meeting adjourned at 5:20 p.m. The next regular session of the Senate will be held at 3:30 p.m. on Monday, December 13, 1999, in Jacobson Faculty Hall 102.
Sonya Fallgatter, Administrative Coordinator
William H. Sutton, Secretary
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.
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.
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
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; ...
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.
University of Oklahoma
THE BOARD OF REGENTS OF THE UNIVERSITY OF OKLAHOMA
INTELLECTUAL PROPERTY POLICY
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 concert with, but subject to, the University's principal 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:
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. Appeals of such determinations may be made to the Faculty Appeals Board.
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.
2.1 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:
20% to originating
department(s) college(s), half of which to go to the originating department
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:
10% to originating college(s)
10% 5% to President's discretionary fund
5% to Vice President for Research
10% 15% to OTD to
cover overall office apply to operational expenses
to be applied to the Growth Fund maintained for each originating campus
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 target 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 in consultation with the University Patent Committee.
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.
3.1 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;
(F) 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
(G) 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 marketing and/or protecting 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 may shall revert to the inventor(s) upon his/her request.
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.
4.1 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.
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. UNIVERSITY PATENT COMMITTEE
The Advisory Committee for the Office of Technology Development shall be appointed by the University Vice President for Technology Development and The University shall have a Patent Committee (for each Campus) that shall consider and investigate disputes among administrators, faculty, or staff and shall recommend appropriate solutions to the President. It shall be convened as needed, but not less than three times per academic year. This committee will consist of one student member appointed by the Graduate Student Senate for one year, two staff members, one appointed by the President and one appointed by the Staff Senate, and five faculty members, three appointed by Faculty Senate and one each by the President and The Vice President for Technology Development. All staff and faculty appointments are for three-year terms.
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.
8.1 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.
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.
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:
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.
3.1 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) software and other computer materials when they are works of artistry or scholarship, 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. Upon request by the University, the creator(s) will grant University a nonexclusive, free of cost, world wide right and 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 creator to have the work published or distributed. 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.
5.1 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, unless to do so would impair the ability of the creator to have the work published or distributed. If a use of the work by the University is reasonably determined by the creator to impair the exercise of such rights as transferred in the agreement, the University shall discontinue the impeding use but otherwise shall remain free to use the work as provided in this Paragraph 5.1.
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.