Patent and Copyright Policies
We encourage faculty, staff and students to familiarize themselves with the Inventions and Patent Policies of Wake Forest University (Inventions and Patent Policy - WFU) and Wake Forest School of Medicine (Inventions and Patent Policy - WFSM), and the Copyright Policies of Wake Forest University (Copyright Policy - WFU) and Wake Forest School of Medicine (Copyright Policy - WFSM). A printer-friendly version of the policies can be found by following the pdf-links below:
WFU Inventions and Patent Policy
1. Purpose.
The Inventions and Patent Policy of Wake Forest University is intended to:
1.1 Encourage research and the development of ideas and inventions by rewarding the developers of inventions, assisting them in implementing their ideas, and by providing a system for the encouragement of research;
1.2 Serve the public interest by providing means through which inventions and discoveries which arise in the course of the University's research may be made available to the public through established channels of commerce; and
1.3 Protect the interests of the University and its employees and students with regard to inventions developed at the University.
2. Definition of Inventions.
“Inventions” are tangible or intangible inventions, discoveries or other innovations, whether or not patentable or reduced to practice. Inventions include “device-like” software or other “device-like” copyrightable material, that like a device, is intended and likely to result in the accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product, such as data text, a physical object, or more software. Device-like software or material acts as a tool or building block in the accomplishment of such a task or in the creation or management of such a product or result. Inventions do not include “informational” software or other ”informational” copyrightable material, which may be interactive, to the extent it is intended to inform or educate the user. In the case of software or other copyrightable material that is both device-like and informational, appropriate distinctions will be made in accordance with the principles of this policy.
3. Administrative Responsibilities.
3.1 Authority of the President.
The President of the University is responsible for administrative matters relating to inventions and patents. The President may delegate authority to another individual or individuals to carry out these responsibilities in whole or in part.
3.2 The Patent Advisory Committee.
3.2.1. The President or his designee will establish a University Patent Advisory Committee (the "Committee"). The Committee will:
3.2.1.1 Provide advice on the appointment of the Patent Administrator;
3.2.1.2 Meet at least once each semester, receive current summaries of the activities of the Patent Administrator, oversee the implementation of the program, and report its findings to the President or his designee(s) from time to time;
3.2.1.3 Advise the Patent Administrator on issues of program implementation and specific cases where guidance is sought; and
3.2.1.4 Review situations where problems arise in the implementation of this policy or the execution of the invention and patent program.
3.2.2 The Committee will consist of six faculty members, at least four of whom are engaged in scientific research, including one member from the management disciplines, appointed by the President for staggered three-year terms. In addition, the General Counsel, the University Controller, the Controller of Wake Forest University Health Sciences, the Dean of the Graduate School, the Director of Research and Sponsored Programs, the Senior Associate Dean for Research Development [now the “Associate Dean of Research”] and the Patent Administrator will be ex officiomembers. The President will appoint a chairman from among the membership. All members of the Committee will be voting members. The ex officio members, with the exception of the Patent Administrator, may designate an alternate with the approval of the chairman of the Committee.
3.3 The Patent Administrator.
The President will appoint the Patent Administrator with the advice of the Committee.
3.4 Program.
The Patent Administrator, in consultation with the Committee, will develop and implement a patent and licensing program ("the Program"), revised from time to time as necessary, to carry out the following functions:
3.4.1 Evaluation.
Inventions within the scope of this policy will be evaluated in order to determine whether they have sufficient promise to justify marketing and/or patenting.
3.4.2 Patenting.
Patent protection will be sought for inventions determined to be sufficiently promising to justify the effort and expense.
3.4.3 Marketing.
The Program for the sale or licensing of inventions and/or discoveries will be implemented so as to provide maximum return for the University and the inventors.
3.4.4 Sponsored Research.
The Patent Administrator will assist the appropriate University office(s) in the identification of industrial sponsors for research and in the negotiation of research agreements related to inventions.
3.4.5 Dissemination of Policy.
This policy and the implementing Program (and succeeding changes) will be brought to the attention of University employees and students. Contracts of employment and attendance as a student will be made subject to its provisions (including revision of existing contracts to the extent that is possible). Appropriate procedures will be adopted to fully protect the interests of the University and its employees and students in all sponsored research agreements. The provisions of this policy may be modified from time to time, and no employee or student of the University has a right to their continuation unmodified (but this does not affect rights to inventions or payments already established).
3.4.6 Accountability.
The Patent Administrator will from time to time inform the Committee on patent disclosures, developing markets, and other activities. The Committee will evaluate the effectiveness of the Program in achieving the stated purpose of the policy and recommend such changes as they believe appropriate.
3.5 Implementation of the Program.
In implementing the Program, the Patent Administrator may utilize full- or part-time University employees, independent contractors, or companies or organizations providing such services; or a combination of them, as the Patent Administrator determines to be appropriate with regard to a particular invention and within approved budgetary limits.
4. Ownership of Inventions.
4.1 Inventions Developed by an Employee or a Student.
Inventions developed:
4.1.1 in the course of an individual’s employment or, in case of a student, in the course of his/her academic program;
4.1.2 within or useful within the individual’s normal field of employment; or
4.1.3 with the use of University funds or University facilities,
are the property of the University.
4.2 Individual Work.
4.2.1 Inventions resulting from research or other work conducted by University employees;
4.2.1.1 wholly on their own time;
4.2.1.2 outside their normal field of employment; and
4.2.1.3 without the use of University funds or facilities (or with insignificant use of University funds or facilities)
are the property of the individual employee and not subject to this policy unless assigned by the inventor to the University under an agreement satisfactory to the Patent Advisory Committee. The Committee will develop policies with regard to what constitutes “insignificant” use of University funds or facilities. (The term “facilities” in this document include all types of real and personal property.)
4.2.2 To make clear what is individual work, the employee must request approval in advance for specific consulting or contractual arrangements which may result in an invention. The appropriate Dean will review and approve these requests in a manner consistent with the policies of each campus of the University.
4.3 Research Sponsored by Third Parties.
The ownership of Inventions arising out of research or work undertaken under sponsorship by a third party (including government or private grants, sponsorship of targeted research, consulting arrangements, or otherwise) will be presumed to be the property of the University unless the terms of the contract, grant or other agreement with the sponsor modify those provisions. Each employee proposing to begin such an agreement must submit the proposed agreement to the Patent Administrator. The Patent Administrator, in consultation with appropriate academic officials, will determine if the proposed agreement will foster the research and educational purposes of the University and protect its interests as well as the interests of its employees. The Patent Administrator will seek the advice of the Committee in situations of an unusual or precedent-setting nature.
5. Resolution of Disputes.
In cases where there is a difference of opinion on ownership of inventions, division of proceeds, or other provisions of this policy, the Committee will recommend to the President a final disposition. The President's decision is binding on all parties.
6. Division of Proceeds.
6.1 Division Schedule and Recovery of Expenses.
When an invention is patented (or patent protection is sought) and/or marketed by the University (whether owned by it, assigned, or subject to the provisions of an agreement for sponsored research), the gross proceeds arising from the invention will be distributed as follows:
Before Recovery of Specific Expenses:
35% Inventor
65% Wake Forest University until Specific
Expenses associated with the invention
are fully recovered
After Recovery of Specific Expenses:
35% Inventor
10% Inventor’s Department until $1,000,000 is
received by the Department
55% Wake Forest University Research
After $1,000,000 Received by Dept.:
35% Inventor
65% Wake Forest University Research
Gross proceeds include equity, the acquisition and disposition of which will be governed by a University policy approved by the President. Any consideration received for the performance of research is not to be defined as part of gross proceeds.
6.2 Provisions Relating to Allocation of the University’s Share.
6.2.1 The University’s share of proceeds from an invention made by an employee or student of the University will be allocated to the Reynolda Campus budget or to the School of Medicine budget, according to the inventor's place of employment or academic program. In the case of joint appointments or academic programs, proceeds shall be distributed according to the portion of the inventor's time designated to research at each campus. This will be determined by the Patent Administrator after careful consultation with the appropriate Controller(s) when a disclosure is filed.
6.2.2 The February 5, 1993 policy is applicable to all disclosures made prior to February 5, 1999. If inventions are not yet generating proceeds, inventors may request that their inventions fall under this policy. This will be determined by the Patent Administrator after careful consideration with the appropriate Controller(s) upon receipt of the request. (5/26/06)
6.2.3 The University's portion (whether to the Reynolda Campus or to Wake Forest University Health Sciences) will be utilized for the support of research as determined by the Reynolda Campus or Wake Forest University Health Sciences. Research will be defined broadly and may include support for peer-reviewed basic and clinical research programs, invention commercialization, and Technology Transfer Service operations.
6.2.4 The allocation of the University's share to the inventor's department may be modified by the Board of Trustees if the Board judges that existing circumstances warrant such action.
6.3 Transferability of the Inventor’s Share.
The Inventor’s allocated share of the proceeds under this policy is transferable by assignment, will, or intestate succession. The University will incur no liability for payment in accordance with the inventor’s last assignment sent to the University. Notice of assignment should be sent to the Controller’s Office, Wake Forest University Health Sciences, or the Reynolda Campus Controller’s Office, whichever is appropriate, with a copy to the Patent Administrator.
(2/5/99)
WFU Copyright Policy
1. Purpose
The Copyright Policy of Wake Forest University is intended to:
a. Encourage research and teaching by rewarding the authors of intellectual works, assisting them in implementing their ideas, and by providing a system for the encouragement of scholarship and creative activity;
b. Serve the public interest by providing means through which intellectual works may be made available to the public; and
c. Protect the rights of the University, its faculty, its staff, and its students with regard to intellectual works developed at the University.
2. Definitions of copyrightable works
Copyrightable works can be divided into two categories: "device-like" and "informational." These categories are defined as follows, taken from the Inventions and Patents Policy adopted by the Board of Trustees in February, 1999:
"Inventions" are tangible or intangible inventions, discoveries or other innovations, whether or not patentable or reduced to practice. Inventions include "device-like" software or other "device-like" copyrightable material that, like a device, is intended and likely to result in the accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product, such as data text, a physical object, or more software. Device-like software or material acts as a tool or building block in the accomplishment of such a task or in the creation or management of such a product or result. Inventions do not include "informational" software or other "informational" copyrightable material, which may be interactive, to the extent it is intended to inform or educate the user. In the case of software or other copyrightable material that is both device-like and informational, appropriate distinctions will be made in accordance with the principles of this policy.
Device-like works are governed by the existing Inventions and Patent Policy and are not the subject of this policy. This policy only addresses "informational" works.
3. Ownership and disposition of informational works
Copyright ownership of all informational works by faculty, other employees, or students shall vest in the Author except under any of the following circumstances:
a. Subordination to Other Agreements: Copyright ownership of all material that is developed in the course of or pursuant to a sponsored research or other agreement to which the University is a party shall be determined in accordance with the terms of the sponsored research or other agreement. In the absence of terms specifically assigning ownership, the copyright shall become the property of the University only if the terms of such agreement directly or indirectly create University obligations as to intellectual property developed thereunder or if ownership is conferred upon the University by operation of another provision of this Policy.
b. Work for Hire: The copyright of material that is created pursuant to a specific direction or assigned duty (other than the teaching of courses) from the University or any of its units shall be the property of the University. However, the author will retain ownership of informational works in which he or she contributed substantially to the key creative and intellectual content.
c. Use of University Resources: Copyright ownership of works that are developed with the "Substantial Use" of University resources, funds, space, or facilities shall reside in the University. For purposes of this Policy, University resources include grants, contracts or awards made to the University by extramural sponsors. The use of University resources is "Substantial" when it entails the use of University resources not ordinarily used by, or available to all, or virtually all, members of the faculty. At the time of formulation of this policy, such ordinarily available resources include office space and personal office equipment, office computer workstations, library and other general use information resources, and the means of network access to such resources. Incidental involvement of students receiving funding from the University or of Academic Computing Specialists are also excluded from the definition of "Substantial Use". However, ownership of scholarly papers will reside with the author, even if developed with substantial use of University resources.
4. Students
Works created by students are additionally subject to the following rules:
a. The University makes no claim to copyright ownership of works created by students working on their own, i.e. not within the scope of an employment relationship with the University or with one of its employees, and not making Substantial Use of University resources.
b. Students working on a project governed by a contract or agreement to which the University is a party shall be bound by the terms of that contract or agreement.
c. Students who are hired to perform "specific tasks" that contribute to a copyrightable work will ordinarily have no rights to ownership of that work, regardless of the source of funds from which they are paid. In such cases, the party who owns the copyright of the rest of the work will ordinarily retain copyright ownership of the portion contributed by the student.
d. Students working collaboratively with faculty or other employees on projects that result in informational copyrightable work may be granted the same rights and obligations of copyright ownership as would another academic employee working collaboratively on the project. Students and academic employees are encouraged to establish these rights at the outset of their collaboration.
5. Resolution of Disputes
The President or his designate shall appoint a Copyright Review committee composed of faculty from both campuses, and including one faculty member from the law school. If a question as to whether a title is in the Author or the University arises with respect to works falling into the three categories described in paragraphs 3. a-c, the issue shall be promptly disclosed in writing to the Legal Department for an opinion. In cases where there is a difference of opinion on ownership of informational materials or other provisions of this policy, the Committee will recommend to the President a final disposition. The President's decision is binding on all parties.
6. Recognition of Author's Desire for Intellectual Control
In recognition of the Author's desire to maintain intellectual control of his or her work, the University will give consideration to views of the Author as to disposition of intellectual property rights when it takes title to a copyrightable work under this Policy. Where the University owns a copyright under this Policy, the Author will be permitted to continue to use the work for his or her own noncommercial purposes. Distribution, if any, to academic colleagues outside of the University will be permitted under approved written agreements obtained from the Office of the University Counsel.
7. Assignment to Author
In cases where the University has copyright ownership of a work under this Policy, the University may, upon request and for good cause shown, assign copyright ownership to the Author subject to a perpetual royalty free license to the University to use the work for its own purposes. Such requests should be submitted to the applicable Dean of the School or College.
8. Requirement of Disclosure
Works potentially falling into the three categories described in section 3 above shall be promptly disclosed by the author in writing to the Office of the University. Counsel for a determination as to whether title is in the Author or the University. To determine whether a work described in section 3 is patentable, it should be submitted to the Office of Technology Asset Management for an evaluation.
9. Independent Contractors
Under current law, ownership of works created by outside consultants and independent contractors could reside in such individuals and not in those hiring them to perform the work at issue. Therefore, those hiring outside consultants and independent contractors should observe the precaution of having a written agreement including an assignment of copyright. Students and nonacademic employees working outside the scope of University employment should be considered independent contractors for such purposes. Assistance in drafting such agreements can be obtained from the Office of University Counsel.
10. Copyright Royalties
Except in the case of Works for Hire, described in paragraph 3. b. above, royalty income received by the University through the sale, licensing, leasing or use of copyrightable material, which the University owns pursuant to any section of this policy shall be distributed in accordance with the distribution provisions of the University's Inventions and Patents Policy, as amended from time to time. In the case of such intellectual property owned by the University pursuant to paragraph 3. b., that share of royalties which would ordinarily be distributed to the creator under the Inventions and Patent Policy will be deposited in a pool to be used to support additional research and creative activity.
11. Responsibilities of Parties
It is the responsibility of the University and all members of the University community to ensure adherence to this Policy. Academic staff and other Authors governed by this Policy shall have the obligation to:
a. Make themselves aware of and adhere to restrictions on or rights in copyrightable material deriving from agreements between the University and contracting or granting agencies or other interested third-parties, or deriving from any University interest pursuant to this Policy. The University Office of Sponsored Programs shall assist Authors to be aware of their responsibilities.
b. Inform the Office of Technology Asset Management of material that should be copyrighted in the name of the University pursuant to the provisions of this Policy, and to cooperate with the University in obtaining such copyright protection.
c. Obtain permission from appropriate University authorities to publish, in journals or other media, materials to which the University owns the copyright pursuant to this Policy, such permission not to be unreasonably withheld.
d. Ensure that students or contractors and other faculty and staff working collaboratively or under their direction (whether or not for pay) on projects which may result in copyrightable material have signed appropriate agreements concerning the assignment of copyright to the Author or to the University, or such other disposition of rights to copyright as shall be appropriate pursuant to this Policy. Such agreements shall also clarify to students their rights to include or copyright any part of the work that they may wish to include in theses or dissertations. Upon request, the University Counsel shall assist Authors in this regard.
University officers have the obligation to respond in a timely fashion, normally within forty-five days, to written requests pursuant to this Policy.
The University shall, furthermore, use reasonable efforts to promote works to which the University owns the copyright under this Policy.
12. Copyright Agreements
The policies set forth above constitute an understanding that is binding on the University, and on its academic and nonacademic employees, students, and others as a condition of their participating in University research programs or their use of University resources. The University may require formal copyright agreements to implement the policy as appropriate, but the absence of such executed agreements shall not invalidate the applicability of this policy.
Appendix: Illustrative examples of ownership
a. A faculty member writes a book in her office during normal working hours using her university-provided word processor. Since the work is "informational" and does not involve "substantial use" of university resources (i.e., above those normally available to faculty), she owns the work.
b. A faculty member collaborates with an academic computing specialist to develop software to interactively teach a topic in chemistry. Since the work is "informational" and does not involve "substantial use" of university resources, the faculty member and academic computing specialist jointly own the work, with ownership share in proportion to the contribution of each.
c. A faculty member writes an article, which includes several illustrations prepared by the institution’s media department and paid for by the faculty member’s discretionary funds. At this point, the faculty member holds the copyright to the illustrations. Upon submitting the article for publication, the faculty member assigns the copyright for the illustrations to the publisher. If the faculty member wishes to use these illustrations in another publication, he/she must obtain permission from the copyright holder (publisher).
d. A staff member is directed to develop an online system for managing housing on campus. Since this qualifies as "work for hire," the university owns the work.
e. A faculty member develops a program similar to Course Info that enables faculty to easily put courses online. This software is "device-like" in that it is a tool for creation and presentation of informational content, rather than informational in itself. Thus, this software does not fall under this policy. Instead, it is an "invention," and falls under the Inventions and Patent Policy. Ownership resides with the university, with the author receiving a share of all revenues as specified in the Inventions and Patent Policy.
f. A scientist uses extraordinary University laboratory facilities to conduct research that is reported in a scholarly publication. Although this involves substantial use of University resources, the work is a scholarly paper and is thus excluded from the provisions of paragraph 3-C of the above section on ownership. The author owns the paper, not the University.
WFSM Inventions and Patent Policy
The Inventions and Patent Policy of Wake Forest School of Medicine is adopted as a policy of Wake Forest University Health Sciences. That policy is as follows:
1. Purpose
The Inventions and Patent Policy of Wake Forest University is intended to:
1.1 Encourage research and the development of ideas and inventions by rewarding the developers of inventions, assisting them in implementing their ideas, and by providing a system for the encouragement of research;
1.2 Serve the public interest by providing means through which inventions and discoveries which arise in the course of the University’s research may be made available to the public through established channels of commerce; and
1.3 Protect the interests of the University and its employees and students with regard to inventions developed at the University.
2. Definition of Inventions
“Inventions” are tangible or intangible inventions, discoveries or other innovations, whether or not patentable or reduced to practice. Inventions include “device-like” software or other “device-like” copyrightable material that like a device, is intended and likely to result in the accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product, such as data text, a physical object, or more software. Device-like software or material acts as a tool or building block in the accomplishment of such a task or in the creation or management of such a product or result. Inventions do not include “informational” software or other “informational” copyrightable material, which may be interactive, to the extent it is intended to inform or educate the user. In the case of software or other copyrightable material that is both device-like and informational, appropriate distinctions will be made in accordance with the principles of this policy.
3. Administrative Responsibilities
3.1 Authority of the President.
The President of the University is responsible for administrative matters relating to inventions and patents. The President may delegate authority to another individual or individuals to carry out these responsibilities in whole or in part.
3.2 The Patent Advisory Committee.
3.2.1 The President or his designee will establish a University Patent Advisory Committee (the “Committee”). The Committee will:
3.2.1.1 Provide advice on the appointment of the Patent Administrator;
3.2.1.2 Meet at least once each semester, receive current summaries of the activities of the Patent Administrator, oversee the implementation of the program, and report its findings to the President or his designee(s) from time-to-time;
3.2.1.3 Advise the Patent Administrator on issues of program implementation and specific cases where guidelines is sought; and
3.2.1.4 Review situations where problems arise in the implementation of this policy or the execution of the invention and patent program.
3.2.2 The Committee will consist of six faculty members, at least four of whom are engaged in scientific research, including one member from the management disciplines, appointed by the President for staggered three-year terms. In addition, the General Counsel, the University Controller, the Controller of Wake Forest University Health Sciences, the Dean of the Graduate School, the Director of Research and Sponsored Programs, the Senior Associate Dean for Research Development [now the “Associate Dean of Research”] and the Patent Administrator will be ex officio members. The President will appoint a chairman from among the membership. All members of the Committee will be voting members. The ex officio members, with the exception of the Patent Administrator, may designate an alternate with the approval of the chairman of the Committee.
3.3 The Patent Administrator.
The President will appoint the Patent Administrator with the advice of the Committee.
3.4 Program.
The Patent Administrator, in consultation with the Committee, will develop and implement a patent and licensing program (“the Program”), revised from time to time as necessary, to carry out the following functions:
3.4.1 Evaluation.
Inventions within the scope of this policy will be evaluated in order to determine whether they have sufficient promise to justify marketing and/or patenting.
3.4.2 Patenting.
Patent protection will be sought for inventions determined to be sufficiently promising to justify the effort and expense.
3.4.3 Marketing.
The Program for the sale or licensing of inventions and/or discoveries will be implemented so as to provide maximum return for the University and the inventors.
3.4.4 Sponsored Research.
The Patent Administrator will assist the appropriate University office(s) in the identification of industrial sponsors for research and in the negotiation of research agreements related to inventions.
3.4.5 Dissemination of Policy.
This policy and the implementing Program (and succeeding changes) will be brought to the attention of University employees and students. Contracts of employment and attendance as a student will be made subject to its provisions (including revision of existing contracts to the extent that is possible). Appropriate procedures will be adopted to fully protect the interests of the University and its employees and students in all sponsored research agreements. The provisions of this policy may be modified from time to time, and no employee or student of the University has a right to their continuation unmodified (but this does not affect rights to inventions or payments already established).
3.4.6 Accountability.
The Patent Administrator will from time to time inform the Committee on patent disclosures, developing markets, and other activities. The Committee will evaluate the effectiveness of the Program in achieving the stated purpose of the policy and recommend such changes, as they believe appropriate.
3.5 Implementation of the Program.
In implementing the Program, the Patent Administrator may utilize full- or part-time University employees, independent contractors, or companies or organizations providing such services; or a combination of them, as the Patent Administrator determines to be appropriate with regard to a particular invention and within approved budgetary limits.
4. Ownership of Inventions.
4.1 Inventions Developed by an Employee or a Student.
4.1.1 Inventions developed:
4.1.1.1 in the course of an individual's employment or, in the case of a student, in the course of his/her academic program;
4.1.1.2 within or useful within the individual's normal field of employment; or
4.1.1.3 with the use of University funds or University facilities,
are the property of the University.
4.2 Individual Work.
4.2.1 Inventions resulting from research or other work conducted by University employees:
4.2.1.1 wholly on their own time;
4.2.1.2 outside their normal field of employment; and
4.2.1.3 without the use of University funds or facilities (or with insignificant use of University funds or facilities)
are the property of the individual employee and not subject to this policy unless assigned by the inventor to the University under an agreement satisfactory to the Patent Advisory Committee. The Committee will develop policies with regard to what constitutes “insignificant” use of University funds or facilities. (The term “facilities” in this document includes all types of real and personal property.)
4.2.2 To make clear what is individual work, the employee must request approval in advance for specific consulting or contractual arrangements, which may result in an invention. The appropriate Dean will review and approve these requests in a manner consistent with the policies of each campus of the University.
4.3 Research Sponsored by Third Parties.
The ownership of Inventions arising out of research or work undertaken under sponsorship by a third party (including government or private grants, sponsorship of targeted research, consulting arrangements, or otherwise) will be presumed to be the property of the University unless the terms of the contract, grant or other agreement with the sponsor modify those provisions. Each employee proposing to begin such an agreement must submit the proposed agreement to the Patent Administrator. The Patent Administrator, in consultation with appropriate academic officials, will determine if the proposed agreement will foster the research and educational purposes of the University and protect its interests as well as the interests of its employees. The Patent Administrator will seek the advice of the Committee in situations of an unusual or precedent-setting nature.
5. Resolution of Disputes.
In cases where there is a difference of opinion on ownership of inventions, division of proceeds, or other provisions of this policy, the Committee will recommend to the President a final disposition. The President's decision is binding on all parties.
6. Division of Proceeds.
6.1 Division Schedule and Recovery of Expenses.
When an invention is patented (or patent protection is sought) and/or marketed by the University (whether owned by it, assigned, or subject to the provisions of an agreement for sponsored research), the gross proceeds arising from the invention will be distributed as follows:
Before Recovery of Specific Expenses:
35% Inventor
65% Wake Forest University until Specific
Expenses associated with the invention
are fully recovered
After Recovery of Specific Expenses:
35% Inventor
10% Inventor’s Department until $1,000,000 is
received by the Department
55% Wake Forest University Research
After $1,000,000 Received by Dept.:
35% Inventor
65% Wake Forest University Research
Gross proceeds include equity, the acquisition and disposition of which will be governed by a University policy approved by the President. Any consideration received for the performance of research is not to be defined as part of gross proceeds.
6.2 Provisions Relating to Allocation of the University's Share.
6.2.1 The University’s share of proceeds from an invention made by an employee or student of the University will be allocated to the Reynolda Campus budget or to the School of Medicine budget, according to the inventor's place of employment or academic program. In the case of joint appointments or academic programs, proceeds shall be distributed according to the portion of the inventor's time designated to research at each campus. This will be determined by the Patent Administrator after careful consultation with the appropriate Controller(s) when a disclosure is filed.
6.2.2 The February 5, 1993 policy is applicable to all disclosures made prior to February 5, 1999. If inventions are not yet generating proceeds, inventors may request that their inventions fall under this policy. This will be determined by the Patent Administrator after careful consideration with the appropriate Controller(s) upon receipt of the request.
6.2.3 The University's portion (whether to the Reynolda Campus or Wake Forest University Health Sciences) will be utilized for the support of research as determined by the Reynolda campus or Wake Forest University Health Sciences. Research will be defined broadly and may include support for peer-reviewed basic and clinical research programs, invention commercialization, and Technology Transfer Service operations.
6.2.4 The allocation of the University's share to the inventor's department may be modified by the Board of Trustees if the Board judges that existing circumstances warrant such action.
6.3 Transferability of the Inventor's Share.
The Inventor's allocated share of the proceeds under this policy is transferable by assignment, will, or intestate succession. The University will incur no liability for payment in accordance with the inventor's last assignment sent to the University. Notice of assignment should be sent to the Controller's Office, Wake Forest University Health Sciences, or the Reynolda Campus Controller's Office, whichever is appropriate, with a copy to the Patent Administrator.
(Approved by the Board of Trustees of Wake Forest University, February 5, 1999). (03/11/02)
WFSM Copyright Policy
Note: This policy may be superseded by a University-wide policy.
I. PURPOSE
The Copyright Policy of Wake Forest School of Medicine is intended to:
A. Encourage research and teaching by rewarding the Authors of intellectual works, by assisting them in implementing their ideas, and by providing a system for the encouragement of scholarship and creative activity;
B. Serve the public interest by providing means through which intellectual works may be made available to the public; and
C. Protect the rights of the University, its faculty, its staff, and its students with regard to intellectual works developed at the University.
II. DEFINITIONS OF COPYRIGHTABLE WORKS
Copyrightable works can be divided into two categories: “device-like” and “informational”. These categories are defined as follows, taken from the Inventions and Patents Policy adopted by the Board of Trustees in February 1999:
“Inventions” are tangible or intangible inventions, discoveries, or other innovations, whether or not patentable or reduced to practice. Inventions include “device-like” software or other “device-like” copyrightable material that like a device, is intended and likely to result in the accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product, such as data text, a physical object, or more software. Device-like software of material acts as a tool or building block in the accomplishment of such a task or in the creation or management of such a product or result. Inventions do not include “informational” software or other “informational” copyrightable material, which may be interactive, to the extent it is intended to inform or educate the user. In the case of software or other copyrightable material that is both device-like and informational, appropriate distinctions will be made in accordance with the principles of this policy.
Device-like works are governed by the existing Inventions and Patent Policy and are not the subject of this policy. This policy only addresses informational or “instructional” works.
III. OWNERSHIP AND DISPOSITION OF INFORMATIONAL WORKS
Subject to a perpetual royalty-free license to the University to use such works for purposes related to the furtherance of its mission, copyright ownership of all informational works by faculty, other employees, or students shall vest in the Author except under any of the following circumstances:
A. Subordination to Other Agreements - Copyright ownership of all material that is developed in the course of or pursuant to a sponsored research or other agreement to which the University is a party shall be determined in accordance with the terms of the sponsored research or other agreement. In the absence of terms specifically assigning ownership, the copyright shall become the property of the University only if the terms of such agreement directly or indirectly create University obligations as to intellectual property developed there under or if ownership is conferred upon the University by operation of another provision of this Policy;
B. Work for Hire - The copyright of material that is created pursuant to a specific direction or assigned duty from the University or any of its units shall be the property of the University; and
C. Use of University Resources - Copyright ownership of works that are developed with “more than incidental use” of University resources, specialized equipment, funds, space, time, or facilities shall belong to the University. “More than incidental use” of University resources would include, but is not limited to: the use of research-related facilities, equipment, or supplies provided by the University for academic or research purposes; use of “on-the-job” time, personnel, or student employees; or any use of funds or research-related materials of the University or administered by or on behalf of the University. The following would typically not constitute “more than incidental use” of University resources: use of routinely available, office-type equipment, including desktop computers and commercially-available software, reference material or other reference resources collected on the University campus, and which are generally available to the public in non-University locations. However, ownership of scholarly academic papers will reside with the Author, even if developed with substantial use of University resources.
IV. STUDENTS
Work created by students is additionally subject to the following rules:
A. The University makes no claim to copyright ownership of works created by students working on their own (i.e. not within the scope of an employment relationship with the University or with one of its employees, and not making “more than incidental use” of University resources);
B. Students working on a project governed by a contract or agreement to which the University is a party shall be bound by the terms of that contract or agreement;
C. Students who are hired to perform “specific tasks” that contribute to a copyrightable work will ordinarily have no rights to ownership of that work, regardless of the source of funds from which they are paid. In such cases, the party who owns the copyright of the rest of the work will ordinarily retain copyright ownership of the portion contributed by the student; or
D. Students working collaboratively with faculty or other employees on projects that result in informational copyrightable work may be granted the same rights and obligations of copyright ownership as would another academic employee working collaboratively on the project. Students and academic employees are encouraged to establish these rights at the outset of their collaboration.
V. RESOLUTION OF DISPUTES
If a question as to whether a title is in the Author or the University arises with respect to works falling into the three categories described in paragraphs IIIA-C, the issue shall be promptly disclosed in writing to the Legal Department for an opinion. In cases where there is a difference of opinion on ownership of informational materials or other provisions of this policy, the Dean may refer the issue to an ad hoc committee which will recommend to the Dean a final disposition. The Dean’s decision is binding on all parties.
VI. RECOGNITION OF AUTHOR’S DESIRE FOR INTELLECTUAL CONTROL
In recognition of the Author’s desire to maintain intellectual control of his or her work, the University will give consideration to views of the Author as to disposition of intellectual property rights when it takes title to a copyrightable work under this Policy. Where the University owns a copyright under this Policy, the Author will be permitted to continue to use the work for his or her own non-commercial purposes. Distribution, if any, to academic colleagues outside of the University or to institutions will be permitted under approved written agreements.
VII. ASSIGNMENT TO AUTHOR
In cases where the University has copyright ownership of a work under this Policy, the University may, upon request and for good cause shown, assign copyright ownership to the Author subject to a perpetual royalty free license to the University to use the work for its own purposes. Such requests should be submitted to the Dean.
VIII. REQUIREMENT OF DISCLOSURE
If the faculty member makes a reasonable determination that a work described in paragraphs IIIA-C is patentable, or is copyrightable software, the Author should disclose the work to the Office of Technology Asset Management for an evaluation.
IX. INDEPENDENT CONTRACTORS
Under current law, ownership of works created by outside consultants and independent contractors could reside in such individuals and not in those hiring them to perform the work at issue. It is important to note that students and non-academic employees working outside the scope of University employment may be considered independent contractors for such purposes. Therefore, those hiring outside consultants and independent contractors should observe the precaution of having a written agreement including an assignment of copyright. Assistance in drafting such agreements can be obtained from the Legal Department.
X. COPYRIGHT ROYALTIES
Except in the case of Works for Hire, described in paragraph IIIB above, royalty income received by the University through the sale, licensing, leasing, or use of copyrightable material, which the University owns pursuant to any section of this policy, shall be distributed in accordance with the distribution provisions of the University’s Inventions and Patents Policy, as amended from time to time.
XI. RESPONSIBILITIES OF PARTIES
It is the responsibility of the University and all members of the University community to ensure adherence to this Policy. Students, faculty and staff have the obligation to:
A. Make themselves aware of and adhere to restrictions on or rights in copyrightable material deriving from agreements between the University and contracting or granting agencies or other interested third-parties, or deriving from any University interest pursuant to this Policy. The Office of Research will assist Authors concerning their responsibilities;
B. Inform the Office of Technology Asset Management of material that should be copyrighted in the name of the University pursuant to the provisions of this Policy, and to cooperate with the University in obtaining such copyright protection;
C. Obtain permission from the Dean’s office to publish, in journals or other media, materials to which the University owns the copyright pursuant to this Policy, such permission not to be unreasonably withheld; and
D. Ensure that students or contractors working collaboratively or under their direction (whether or not for pay) on projects that may result in copyrightable material, have signed appropriate agreements concerning the assignment of copyright to the Author or to the University, or such other disposition of rights to copyright as shall be appropriate pursuant to this Policy. Such agreements shall also clarify to students their rights to include or copyright any part of the work that they may wish to include in theses or dissertations. At the request of the Dean, the Legal Department will assist Authors in this regard.
XII. COPYRIGHT AGREEMENTS
The policies set forth above constitute an understanding that is binding on the University, and on its academic and non-academic employees, students, and others as a condition of their participation in University research programs or their use of University funds, time, facilities, and resources. The University may request formal copyright agreements to implement the policy as appropriate, but the absence of such executed agreements shall not obviate the applicability of this Policy.
APPENDIX: ILLUSTRATIVE EXAMPLES OF OWNERSHIP
A. A faculty member writes a book in her office during normal working hours using her university-provided word processor. Since the work is “informational” and does not involve “more than incidental use” of university resources, she owns the copyright in the work.
B. A faculty member collaborates with an academic computing specialist to develop software to interactively teach a topic in pathology. Since the work involves “more than incidental use’ of University resources, the faculty member and the University jointly own the work, with ownership share in proportion to the contribution of each.
C. A faculty member writes an article, which includes several illustrations prepared by the institution’s media department and paid for by the faculty member’s discretionary funds.
At this point, the faculty member holds the copyright to the illustrations. Upon submitting the article for publication, the faculty member assigns the copyright for the illustrations to the publisher. If the faculty member wishes to use these illustrations in another publication, he/she must obtain permission from the copyright holder (publisher).
D. A faculty member develops a program that enables faculty to easily put courses online. This software is “device-like” in that it is a tool for creation and presentation of informational content, rather than informational in itself. Thus, this software does not fall under this Policy. Instead, it is an “invention,” and falls under the Inventions and Patents Policy. Ownership resides with the University, with the Author receiving a share of all revenues as specified in the Inventions and Patents Policy.
E. A scientist extensively uses laboratory resources to conduct research that is reported in a scholarly publication. Although this involves “more than incidental use” of University resources, the work is a scholarly paper and is thus excluded from the provisions of paragraph IIIC of the above section on ownership. The Author owns the paper, not the University.
F. A faculty member uses an unpaid student assistant to take photographs to illustrate an instructional CD-ROM the faculty member is creating, using “more than incidental” University resources. Because of the “more than incidental” use of University resources, the University owns the portion of the work created by the faculty member, but the student also has the copyright in the resulting multimedia work. Such joint ownership may make it difficult to market the CD-ROM.
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