CaliforniaStateUniversity,LongBeachPolicyStatement
07-05
March19,2007
POLICYONINTELLECTUALPROPERTY:INVENTIONSANDDISCOVERIES
(SupersedesUniversityPolicyStatement95-08)
ThisrevisedpolicywasrecommendedbytheAcademicSenateonFebruary8, 2007 andapprovedbythePresidentonMarch8, 2007.
Theprimarypurposesof CaliforniaStateUniversity, LongBeach(University)aretoteach,toexpandknowl- edgethroughscholarlystudiesandresearch,todisseminatetheresultsof suchstudiesandresearch,andtoperformcommunityserviceconsistentwiththemissionof theUniversity.Fromtimeto timeintheconductoftheseactivitiesfacultymembers,staff,andstudentsmaymakediscoveriesorinventnewandusefuldevices, processes,etc., ofapatentableandofamarketablenature.Thispolicystatementdescribesprinciplesand processesofthedispositionof propertyrightsto suchformsof intellectualproperty.
Fullprotectionof thetraditionalrightsof employeescholarshipandproductivityisintendedinthispolicy.The requirementfor scholarlyproductivityasarequisitefor retentionorpromotionwillnotbeinterpretedasthe solenecessaryfactorconveyingproprietaryrightstotheUniversityfortheproductsofthatscholarship.
OWNERSHIPOFDISCOVERIESANDINVENTIONS
Ownershiprightsto discoveriesandinventionsrest entirelywiththeinventors,exceptwhentheshopright1oftheUniversityisapplicableandestablishesproportionalrightsinthediscoveryorinvention.
TheUniversityreservestherightto transferits rightsindiscoveriesandinventionsto theCaliforniaState Uni- versityLongBeachFoundation(Foundation)withinstructionsto theFoundationto patent(orhavepatented) discoveriesandinventionsandmake(orhavemade)goodfaithefforts toreduceconceptsto practiceandar- rangeforproductionandsale.
Intheeventof adeterminationthat theUniversityhasnointerestinadiscovery, invention,orpatent,oronly asmallinterest(typicallyonetoosmallto justifytheexpenseofpursuingtheinterest),it willprovidethedis-
covererorinventorswithareleaseofUniversityinterestwhichentitlestheemployeestopursuepatentat their owninitiativeandexpense.
TheUniversityshallnotrelinquish withoutcompensation amajorityorothersubstantialinterestinadiscovery,invention,orpatentto anemployeeorthirdparties.However, theinventorsand/ortheUniversitymaywishtodeclareaninventionordiscoverytobeinthepublicdomain.Bothpartiesmust agreetosuchadeclaration. Withoutsuchanagreement,thepartieswillconcludeanagreementinwhichtheUniversityiscompensated forits interestintheinventionordiscovery.
Provisionsrelatingto ownershipof discoveriesandinventionsinvolvingexternalfundingagencies,Federal andothers,aresubjecttofrequentchange.AppendixAto thisdocumentdiscussesthesematters.
Allotherprovisionsnotwithstanding,employeesmakingdiscoveriesandinventions,regardlessof whether patentedornot, whicharemarketedcommerciallyandwhichproduceataxableincome,mustassurerepay- menttotheStateofCaliforniaforallcostsincurredbytheUniversityinsupportoftheresearchleadingtothe discoveryorinvention,patentapplication,production,marketing,orsalesof productsincorporatingthedis- coveryorinvention.
1Universityshopright(shopright)establishestheinterest of theUniversityintheintellectualpropertybased ontheuseof Universityfunds(includingallresearchandcreativeactivitiesgrantprograms),facilities(includ- ingcomputertimeandutilities),equipment,orsuppliesat anytimeintheprocessof discoveryorinventionor reductionto practiceof suchadiscoveryorinvention.Universityshoprightmaybesharedwithindividualsor externalfundingagencies.
DISCLOSUREOFDISCOVERIESANDINVENTIONS
Employeesarerequiredto discloseto theUniversityallpatentablediscoveriesorinventionsmadebythem whileunderhireorcontractfor employmentintheUniversity, whetherornotintheperformanceof theirregu- lar and special assignments in the University. In the event that University support in the form of financial assistance,theuseofphysicalfacilities,orotherfactors establishingUniversityshoprightisprovided,theUni- versitymayhaveanequityinterestinanyincomederivedfrom suchactivity.
Aformalinventiondisclosureisacompletedescriptionof adiscoveryorinvention,completedbytheinventor on the attached form and delivered to the Office of University Research.Aformal invention disclosure is most importantto aninventorinestablishingpriority.
Discoverersandinventorsshouldbeableto providepropernotebookentries,sketches,descriptions,andbe ableto demonstratetheexerciseof diligenceindevelopingtheconceptsthroughsuccessivestages,if pos- sible the eventual reduction to practice of the invention, and finally the preparation of drawings, specifications and claims as a part of the disclosure and preparatory to the filing of patent applications or the making of a requestto anappropriateagencytodoso.Theinventiondisclosureshouldbesignedanddated.
ADVISORYCOMMITTEEFORPATENTSANDCOPYRIGHTS(ACPC)
Thereviewof individualcaseswiththepotentialfor patentsandcopyrights2shallbeconductedbyasix-mem- berAdvisoryCommitteefor PatentandCopyrights(ACPC).TheAcademicSenateNominatingCommittee shallrecommendthreefacultymemberstotheAcademicSenatefor appointmenttotheACPC,andtheChair oftheScholarlyandCreativeActivity CommitteeinconsultationwiththeDirectorofResearchshallappoint threemembers,atleastoneofwhichmustbeacurrentmemberoftheScholarlyandCreativeActivityCom- mittee.
EmployeesshouldconsultwiththeACPCwheneverthereisanyquestionaboutpoliciesorprocedures.
Authority
TheACPCischargedto:
(1)revieweachdisclosureof discovery, invention,orcopyrightablematerialsubmittedundertheprovisions ofthispolicybyaUniversityemployee;
(2)formulatearecommendationto theProvostregardingtheUniversity’sinterestbasedontheemployee’s useof Universityfacilitiesandequipment;and
(3)asnecessary, makerecommendationsconcerningUniversitypoliciesondiscoveries,inventions,and patentandcopyrightmattersforreviewbytheScholarlyandCreativeActivityCommitteeandAcademic Senate.
AllACPCrecommendationsregardingindividualcasesofinvention,discovery, andotherforms of scholarly productivitywillbesentto theProvost, whowillinturnconferwiththePresidentof theUniversityonthose itemsrequiringassertionof Universityrightstointellectualproperty.
Inthosematters whereactionisrequiredasaconsequenceofadecisiontoproceedwithlegalpatentor copyrightactivity, theVicePresidentforAdministrationandFinanceshallprovideapatentbusinessplan.The PresidentmayproceedonbehalfoftheUniversityandwhereappropriateonbehalfof thediscovererorin- ventor;orhemayrecommendassignmentof theUniversityrightsto theUniversityFoundationwhichwillsub- sequentlycontinuetoact onbehalfoftheUniversity, theauthororinventor, andanyinvolvedsponsors.
BUSINESSAGREEMENTSWITHUNIVERSITYEMPLOYEES
The realization of profits from patents is problematic and occurs over long periods of time.Each patent ad- ministeredbytheUniversityFoundationonbehalfof theinventorandtheUniversitywillhaveuniquecircum- stancesrelatingto theapplication,perfection,andextensionofthepatentaswellasthecostsof patenting, reducingtopractice,commercialization,andnegotiationofroyaltyrates.
Royaltieswillbepaidto inventorsinaccordancewiththeFoundationpatentbusinessplanpolicyandto the extentof inventor’srightsinthediscoveryorinvention,takingintoconsiderationtheformaladviceof the ACPC.
All income in excess of that used to recover costs of patent application and management of defined costs in thebusinessplanshallbeassignedtotheUniversityandbedirectedto supportof research,scholarship,and creativeactivities.TheVicePresidentforAdministrationandFinancewillreportannuallyto theAcademic Senateconcerningsuchfunds.
APPENDIXA--InvolvementofExternalFundingAgencies ATTACHMENT-- Disclosureof DiscoveryorInventionForm
2Asreferredtointhisdocument,copyrightisincludedasapossibleoutcomefor thosesituationswhichmay,underthedevelopmentof legalprecedent,nowbeorbecomeambiguous,suchascomputersoftware.This documentisnotintendedtogoverncopyrightof intellectualpropertyinnon-ambiguouscases,likebooks,films, videos, etc.
APPENDIXA
INVOLVEMENTOFEXTERNALFUNDINGAGENCIES
UnderconditionsimposedbyFederal,State,andotherpublicgrantandcontractfundingagencies,Univer- sityemployeesmay, asaconditionoffunding,enter(beentered)intoagreementsto assigninventionsto the Universityorto thefundingagencyinconformancewiththesponsoringagency’spolicy.
AllFederalgrantsandcontractsrequiredisclosureof inventionsanddiscoveriesto thefundingagency andconveyarestrictedrighttouseof theinventionordiscoveryto theU.S. government.
IndustrialSupport
Inacceptingfundingfromindustryforthepurposeofresearch,itisthegeneralpolicyoftheUniversitythatthefundingbeusedfor educationalpurposes,publicservice,and/ortheextensionof theboundariesof knowl- edge.If theUniversityacceptsfundingfrom anindustrialcorporationfor thesepurposes,it shallbewiththe followingwrittenunderstandings:
Agreementscoveringsuchprojectsshallstate thefollowing:
“ItisunderstoodbytheSponsor(industrysupportingtheresearch)thatanyinventions,patentableor otherwise,conceived orfirstreducedtopracticeinthecourseofthesponsored activitybyUniversityem- ployeesshallbegovernedbyUniversitypatentpolicywhichrequiresthat titletoanyofsaidinventions bevestedinCaliforniaStateUniversity, LongBeachoritsdesignee,whichdesignationmust behandled speciallyandinaccordancewiththeaforesaidUniversitypatentpolicies.”
Ifanoutsideindustrialsponsorproposesaprocedureat variancewiththat outlinedinpreviouspara- graphs,theDirectorof UniversityResearchisauthorizedto reachanagreementwiththesponsorandUniver- sityemployeeswhichwillnotviolatethegeneralprinciplesset forthhereandwhichwillprotecttheequities andsatisfytherequirementsofallinvolvedparties.
Thosesponsoredprojectsinvolvingtestingof materials,compounds,orapparatusshouldbespecially handled.Amongtheadditionalspecialprovisionswhicharerecommendedfor thosesponsoredprojects,in additiontothepatentprovisionasset forthabove,thecoveringagreementshouldstatethefollowing:
“CaliforniaState University,LongBeachdoesnotacceptanymaterials,compounds,and/orapparatus hereunderorinformationwithrespecttheretounderanyrestrictionswhatsoever. It isassumedbythe University that to the degree that the Sponsor’s intent is to file patent applications on said materials, compounds,and/orapparatussuppliedhereunder,theSponsorwillhavedonesopriortothedeliveryofthesameto UniversityemployeesorUniversityproperty.
“TheSponsorherebyagreesthat he/sheshallnotuseinformationderivedbytheUniversityoritsem- ployeesinpursuanceoftheworkof thesponsoredprojectintheprosecutionof apatentapplicationin either the United States Patent Office or that of other jurisdictions without the written permission of the University.”
In agreements between business firms and the University covering work not of a predominately research nature in which the sponsoring firm bears a major portion of the cost, the patent policy of the University shall apply.
Conflicts
Conflicts involving patentable inventions and discoveries may arise when employees of the University enter into agreements to do private consulting for firms and organizations outside the University. Such agree- mentsfrequentlycontainprovisionsasto thelicensingorassignmentof theconsultant’sinventionsand patents.Unlessthisprovisionisnarrowlyworded,it usuallywillincludeareasinwhichtheconsultant’sUni- versity work lies and thus comes into conflict with the obligations of the University employees under the main bodyofthispolicy,eitherwithrespecttotherightsof theUniversityitself,theemployeeinhis/herinvention,or the rights of a sponsor of research in the same field of subject matter.
Because of the possibility of such conflicts and of future misunderstanding, litigation, or embarrassment, it is urgedthat, withthispointinmind,Universityemployeescarefullyexamineconsultingagreementsbeforethey signthem.Ifproblemsariseortheissuesarenotclear, Universityemployeesareurgedto consultwiththe DirectorofUniversityResearch.
Thecontributionof ideasandassistanceto Universityemployeesfrom sourcesoutsidetheUniversitycan leadto subsequentproblemsof equityif patentableconceptsevolve.
CALIFORNIASTATEUNIVERSITY,LONGBEACH
DisclosureofDiscoveryorInvention
TO:Director, Office of University Research
FROM:
(address)
(telephone)
ThisistoinformyouthatI (we)haveproduced/discovered/invented:(describe,givingaformaltitleto thema- terialorconcept)
Ifcopyrightable,thematerialswerecompletedon If patentable, the discovery or invention was first conceived on; developedduringtheperiodto;
andreducedto practiceon.
Description:
Classifythework;if adiscoveryorinvention,pleaseindicatewhethertheconceptis“anewprocess,”“acom- positionofmatter,” “adevice,”“oneormoreproducts,”“anewuseorimprovementto anexistingproductor process.”
Describethebasiccharacteristics:
(attachadditionalsheetsasnecessary)
Commentonpossibleusesfor thematerials,discoveryorinvention:
Describetheresourcesandcircumstancesof theiruseintheproduction,discovery, orinvention(including University and third party funds identified by grant, contract, or award).
IunderstandthatadditionalinformationmayberequiredbytheUniversityto resolvequestionsofownership, equity,andto providefor copyrightorpatentapplications.
signature(s)date