For IP developed before the adoption of this policy, the Employee(s) has (have) the option to (1) continue under the policies and agreements existing at the time of he/she undertook the work that led to the creation of the IP, or (2) submit a written request to the University to have his/her/their work approved and governed by this Policy.
The following definitions apply to certain terms used in this Policy.
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Intellectual Properties (IPs):
Intangible properties protectable as to ownership under the laws of patent, copyright, trademark, or trade secret.
i. Patentable Inventions
An invention may be a design, process, code, biological material, or device that shows novelty, usefulness, and non-obviousness. A patent is a contract between the inventor and the government to allow the inventor exclusive rights to make, sell, or use the invention for a definite period of time. For further information about patents, refer to the U.S. Patents and Trademarks Office at US Patents and Trademarks Office.
ii. Copyright-Protected Material
Copyright-Protected Material includes but is not limited to
A. Scholarly material
B. Educational material
C. Art works
D. Film, video or other media productions
E. Musical compositions
F. Dramatic and nondramatic literary works
For further information, refer to the U.S. Copyright Office at Library of Congress Copyright website for further information.
iii. Trademarks
Trade or service marks are words, phrases, symbols or designs and colors that in specific combination identify and distinguish one entity or its products from those of others. They are registered with the United States Patent and Trademark Office. Refer to US Patents and Trademarks Office for more information.
iv. Trade Secrets
A "trade secret" is information, including a formula, program, device, method, technique, or process that:(i) derives independent economic value from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use, and (ii) is the subject of efforts that are reasonable under the circumstances to maintain its secrecy
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Employee:
"Employee" is defined under this Policy as including any person receiving compensation for service, or any person volunteering services for the benefit of, the University, whether or not that person is deemed an "employee" for wage or hour or other employment law purposes. Employees shall include, but not be limited to, faculty, administrative and professional personnel, exempt and classified staff, staff assistants, and all other student employees. "Faculty" shall be defined as permanent and temporary teaching, research, service, extension, library, graduate teaching and research assistants, visiting scientists, and researchers. Students are not considered employees unless and to the extent to which they are hired by the University for specific tasks.
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Normal and Customary Supported Works:
Those works developed with no more than the normal support provided to employees and students of the university: general computer support, email, library resources, office space, secretarial support, laboratory use as part of a regular instructional experience, etc. The use of these resources that are ordinarily available to any employee in their defined duty to the University shall be regarded as normal and customary support. The University will not construe the provision of personal office, departmental facilities, library, laboratory, word processing, data processing, or computation facilities, or the payment of salary, as solely of themselves constituting more than "Normal and Customary Support".
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University:
Walla Walla University
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University-assigned Works:
Those works that are explicitly out of the norm of regular duties as per job description and practice. They are the result of a specific and temporary re-assignment for an employee. In general, the University will have supported this work by reassigned time, special funding of equipment, etc., and such support will be documented in a specifically negotiated agreement/contract. Such assignment does not fall under the category of "other duties as assigned" as referred to in many employees' job descriptions
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University-sponsored works:
Works resulting almost wholly from University support of equipment, facilities such as laboratories or media production studios, supplies, etc., that are beyond that which would be defined as normal and customary. As a general rule, such works would rely heavily on the expertise and/or facilities provided by the University.
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Works-for-hire (corporate authorship):
Works qualifying as "works made for hire" under the Copyright Act of 1976, as amended, codified at 17 U.S.C. 101 as well as manuscripts, software, patent-able inventions or creations, or other materials produced by persons whose primary employment by the University is specifically to produce such works (e.g., graphic designers, marketing personnel, television producers). Controversies which arise under this distribution are subject to arbitration as defined in this Policy.
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Outside Agency Funding and Work:
Outside Work is work which involves external (outside agency) sources of funding and/or compensation. In this policy three distinctions are made: IP development resulting from consultancy, from external grant funding, and from commercial involvement.
i. Consultancy
Consultancy is compensated work performed for any entity other than the University which is of limited scope and short-term duration - usually less than two years, and is engaged in without impact on time or workload at the University.
ii. External Funding of IP
External Funding of IP is work done for the benefit of an external agency and/or for the production of specific IP. It may impact workload and time at the University.
iii. Commercial Involvement Deeper than Consultancy
Work performed for a for-profit entity which involves substantial time and constitutes an at-risk financial stake for the employee. Managerial duties to an outside agency will also be taken to constitute Commercial Involvement Deeper than Consultancy.
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Net Revenues
"Net revenues" are defined as gross revenues, derived by a WWU faculty member from a particular intellectual property product, less actual costs for legal, patent, copyright, and licensing related fees and expenses, compensation to sponsors and consultants pursuant to prior agreements, reimbursement of state funded incremental costs, and other expenses incurred during the intellectual property, commercialization, and production process.
Appendix B: Ethical Standards
In particular but not exclusively, the following standards apply:
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The Employee discloses the full nature of his personal involvement and compensation from any external funding or consultancy to the office of their immediate Vice President and it is not objected to on ethical grounds. Controversies arising from decisions are resolved according to the arbitration process detailed in this Policy.
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Any funds the Employee receives for IP development are accounted for at the responsibility of the Employee. Records are kept with the Financial Administration Accounting Office. The Employee or any commercial interest in which the Employee stands to profit, or any relative of the Employee, may not act as the vendor of any supplies or equipment purchased with such funds. The University receives a copy of the final accounting at the office of the supervising Vice President.
- In consultancy the Employee may consult outside of their official duties only if all of the following are true:
i. The outside consulting is bona fide and work under the engagement is actually performed.
ii. The outside consulting is neither within official University duties nor under one's supervision.
iii. The outside consulting does not involve assisting others in transactions with the University in which the employee has participated.
iv. The outside consulting is not for an organization or person from whom the law prohibits receipt of gifts.
v. The outside consulting is not under a grant or contract created by the University employee.
vi. The outside consulting is not one which results in the unauthorized disclosure of confidential information or unapproved transfer of University intellectual property.
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In Commercial Activity Deeper Than Consultancy the University has the responsibility to evaluate carefully the benefits and costs of its employee's deeper involvement. All employees must disclose to their immediate Vice President any involvements with such enterprise. The following activities trigger a more in-depth review:
i. Extensive consulting with a for-profit business venture, with a start-up company, with a company in a developmental phase, or with prospective investors in any of these
ii. Ownership of substantial equity in a commercial enterprise that carries on activities closely related to the employee's area of academic work
iii. Holding of a line management position in a commercial enterprise
iv. Participation in the day-to-day operations of a commercial enterprise
v. Assumption of a key, continuing role in the scientific and technical effort of a commercial enterprise
In submitting requests to pursue such activity the Employee shall disclose fully the following aspects of the affiliation:
i. Nature of the relationship
ii. Short and long-term commitment of time and effort
iii. Financial aspects, including the extent of compensation, equity, and indirect and/or potential economic value
iv. Expected benefit to the enterprise
v. Expected benefit to the employee and to the University
In evaluating such requests, the Vice President, seeking necessary input from supervisors, chairs and deans, shall consider the following items:
i. There should be prospective benefits to the employee and the University, especially in the context of teaching, research, and public service.
ii. The relationship should not interfere with the employee's primary obligation to his or her University appointment, nor should it undermine the morale or academic integrity of the University. There should be no conflict of interest as defined in University rules.
iii. There must be no anticipated distortion of academic programs or student direction. Special attention must be given to protecting the intellectual property of students.
iv. There must be free access to the results of all research conducted at the University.
v. Holding of a line management position, participation in day-to-day operations within a commercial enterprise, or assumption of a key, continuing role in the scientific and technical efforts of a commercial enterprise should not be approved for full-time faculty, librarians, or other academic personnel. The only condition under which the employee might normally remain at the University while carrying out such activities is if his or her appointment is reduced by a fraction consistent with the level of activities. Even in such circumstances, however, the employee's ethical obligations to the University and responsibilities under the University policies remain undiminished.