Intellectual Property Transfer

Policy 207

1 Introduction

Appalachian State University (hereinafter also referred to as "the University") encourages participation by faculty, staff and students in scholarly research and creative activities that create knowledge, support and enhance teaching, and are consistent with its public service mission to contribute to the economic development of North Carolina. While research conducted by the University is aimed first at creation, discovery and dissemination of knowledge, rather than profit from commercial application, the University recognizes that public benefit may result from commercial applications of technology developed with University resources. The University seeks through adoption of these policies and procedures to balance the interests of the public, the University and respective inventors, authors, or artists in intellectual property arising from research and creative activities conducted by employees and students.

Consistent with policies adopted by the Board of Governors of The University of North Carolina, these policies and procedures are intended to:

• provide appropriate incentive for creative intellectual effort by faculty, staff, students, and others associated with the constituent institutions of the University;
• establish principles for determining the interests of the constituent institutions, inventors, and sponsors in regard to inventions and/or discoveries;
• enable University officials to develop procedures by which the significance of inventions and/or discoveries may be determined and brought to the point of commercial utilization;
• provide the means for placing in the public realm the results of research, while safeguarding the interests of the University, inventor, and sponsor; and recognize the right of the inventor to financial benefits from the invention or discovery

2 Scope

This statement of policy and procedures applies to all persons employed by the University, to all students and to any other person or entity using facilities, staff or funds subject to control or supervision by the University. This document, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee, including student employees, and of the conditions of admission, enrollment and attendance by every student of the University. Unless otherwise excepted by the provisions hereof, this policy shall apply to intellectual property of all types (including any invention, discovery, trade secret, technology, scientific or technological development, computer software, conception, design, creation or other form of expression of an idea) regardless of whether such property is subject to protection under patent, trademark, or copyright laws, or other constitutional, statutory or common law.

The provisions of this document shall be interpreted and applied in conformity with UNC Policies.

3 Definitions

3.1 Copyright

The exclusive right to make copies, license, and otherwise exploit a literary, musical, or artistic work, whether printed, audio, video, etc. Such rights in a work created on or after January 1, 1978, generally endure for a term consisting of the life of the author and 70 years after the author's death.

3.2 Directed Works

"Directed works" include works that are specifically funded by, or created at the direction of, or created pursuant to contract with, the University (including, but not limited to, works for hire by faculty or other EPA employees).

3.3 Exceptional Use of Institutional Resources

"Exceptional use of institutional resources" means institutional support of traditional works with resources of a degree or nature not routinely made available to faculty or other EPA employees in a given area. In keeping with academic tradition, the University will not construe the provision of office, laboratory, studio or library facilities as constituting "exceptional use of institutional resources," as that phrase is used in UNC Policies. Exceptional use of institutional resources does include, without limitation, those situations where funds are paid (as salaries, wages or otherwise), atypical reassigned time (more than 3 semester hours per semester) is granted to a faculty member or other resources are provided specifically to support the development of copyrightable materials.

3.4 Patent

The exclusive right granted by a government to an inventor to manufacture, use, or sell an invention for a certain number of years. To be patentable, the invention or discovery must have utility, novelty, and be non-obvious. The US Patent & Trademark Office has determined that software which meets certain technical and legal criteria may be patentable. In the event that software originally disclosed as a Copyrightable Work is subsequently determined to be patentable subject matter, and ASU chooses to seek patent protection for the software, such software shall be managed under this policy as patentable Intellectual Property.

3.5 Research Data; Records and Materials Related to the Intellectual Property

As used herein, the terms "research data? and/or ?records and materials related to the intellectual property? includes, but is not limited to, any recorded information, regardless of the form or media on which it may be recorded, writings, films, sound recordings, pictorial reproductions, drawings, designs, or other graphic representations, procedure manuals, forms, diagrams, work flow charts, any tangible product (e.g., equipment, furniture, sculpture or a model thereof) and its description, data files, data processing or computer programs (software), statistical records, laboratory notebooks or worksheets, field notes, edited and categorized observations, interpretations, analyses, derived reagents and vectors, tables, charts and other records, cells and cell lines, cell products, organisms, tissues, animals, synthetic compounds, samples, and any other information or materials that may aid in evaluation, use or commercialization of, or otherwise relate in any way to, such intellectual property.

3.6 Shop Right

The right of an employer to use an employee?s invention or other work without compensating the employee for the use, in cases where the invention or other work was made at the place of and during the hours of employment.

3.7 Sponsored or Externally Contracted Works

A "sponsored or externally contracted work" is any type of copyrighted work developed with funds supplied under a contract, grant, or other arrangement between the University and third parties, including sponsored research agreements.

3.8 Traditional Works or Non-Directed Works

A "traditional work or non-directed work" is a pedagogical, scholarly, literary, or aesthetic (artistic) work originated by a faculty or other EPA employee resulting from non-directed effort. (Such works may include textbooks, manuscripts, scholarly works, fixed lecture notes, distance learning materials not falling into one of the other categories of this policy, works of art or design, musical scores, poems, films, videos, audio recordings, or other works of the kind that have historically been deemed in academic communities to be the property of their creator.)

3.9 UNC Policies

Policies adopted by the Board of Governors of The University of North Carolina, including, but not limited to, The University of North Carolina Policy Manual, Section 500.2, and applicable federal and state laws and regulations.

3.10 Work Made for Hire

A "work made for hire" is--

• a work prepared by an employee within the scope of his or her employment; or
• a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. See 17 U.S.C. § 101(definition of "work made for hire")