of Ethics Online Collection:None
Personal Rights and Responsibilities
Policy 3.8
College Personnel Rights and Responsibilities in College-supported Inventions and Materials
Introduction
In an effort to encourage faculty, staff, and students to utilize the most modern teaching methods and techniques, many institutions of higher education, especially the community colleges, have moved to deliberately support the development and utilization of instructional technology. It is the continuing policy of Harper College to encourage creativity and increased productivity among its College personnel, and the use of improved communication techniques in their instructional activities. A number of College supported services and programs assist the College personnel 'in the development and improvement of instruction.
The College recognizes the significant merit of improved instructional materials as developed by the College personnel and is mindful of increased effectiveness, extension of resources and productivity they afford. Such contributions will be taken into account when such matters as salary, faculty rank, fringe benefits and load are considered.
A number of reasons exist why the College must place increasing
emphasis on the development of instructional materials:
A. The application of new technology to instruction often requires expensive and complex equipment that could not be operated economically, or owned, by individual College personnel.
B. There is a growing recognition that the development and production of -many materials require special equipment and skills, and the body of data about the learning process, teaching models, and educational design is growing very rapidly.
C. Many faculty seek the assistance of the College supported services and their specialist staffs.
D. Materials frequently reflect a joint creative and collaborative effort involving one or more faculty members as well as other individuals and units of the College.
Various levels of College personnel participating with the College in the development of materials seek to improve the quality and versatility of instructional practice. Such participation raises problems concerning the ownership, development, production and use of these materials in which the College may have become a partner through the investment of materials, facilities, and staff. There is a need for College policy and procedures to govern the ownership, internal and external use, revision, and equity in income produced by use and distribution of these inventions and materials. It is the purpose of this policy and procedure 1.) to clarify and protect the respective rights and responsibilities of individual College personnel, and Harper College in the light of encouraging the development of new educational materials by College personnel, and 2.) to develop between Harper College and the College personnel an understanding of the policies and procedures which will govern the determination of the ownership, equity and use of all inventions and materials, whether instructional or non-instructional, originating with College personnel.
Definitions
As used in this policy and procedure, the following terms have the meaning indicated:
Inventions All devices, discoveries, processes, methods, uses, products or combinations, whether or not patented or patentable at any time under the Federal Patent Act as now existing or hereafter amended or supplemented.
Written Materials All instructional, literary, art, dramatic, and musical materials or works and all other materials, published or unpublished whether or not copyrighted or copyrightable.
Recorded Materials All sound, visual, audiovisual, films or tapes, videotapes, computer programs, kinescopes or other recordings or transcriptions, published or unpublished, whether or not copyrighted or copyrightable.
Materials Written materials and recorded materials.
College Personnel Part-time and full-time members of the faculty, staff, all other agents and employees, and students of the College.
Classroom(s) All physical spaces and environments under the jurisdiction of the College that are assigned, scheduled, or otherwise designated as instructionally related facilities of the College.
Commissioned College personnel are considered commissioned when they are authorized in writing to perform a specific assignment, and are relieved of all their normal duties and responsibilities during the time specified in the commission as defined in the policies and procedures.
2 Inquiry to the Copyrights and Patents Committee
To ascertain whether any inventions or materials College personnel are planning to prepare, preparing, or have prepared, after the effective date of the policy, will be considered College supported, as set forth in Policy 3.8.3 and in the appropriate procedures ("Powers and Procedures of the Committee"). College personnel will initiate an inquiry to the College Committee on Copyrights and Patents, hereafter called the "Committee" (which shall have the powers and responsibilities as described in the Procedures) to which the Committee will respond.
Ownership and Equity (See Chart)
A. As a basic principle, Harper College recognizes that
Ownership of materials and inventions and the royalties resulting
therefrom, normally belong to the College personnel, except
as otherwise provided for in this policy.
B. The College further recognizes that copyrightable and patentable items may be prepared by College personnel for which he/she has been given approval for release time, grant money, or other material or financial assistance. When there has been no prior arrangement for use of the equipment, materials, and/or services, or reimbursement for use of equipment, materials, and/or services to the College by the College personnel, the following guidelines will be used by the Committee regarding the ownership of and equity in inventions and materials as supported by any College administered funds:
1. Twenty percent (20%) of all royalties or other proceeds from the sale or licensing of College supported written materials or inventions will go to the College, and eighty percent (80%) will be retained by the originating College personnel.
2. All recorded materials developed by College personnel are property of the College. As owner, the College is free to distribute them internally and to other educational institutions as part of any reciprocal exchange agreement. If the College licenses an external agency to reproduce and sell the materials or sells or otherwise transfers rights to the external agency, the terms of any agreement or sale shall be negotiated between the College personnel involved in the creation of these recorded materials, the College, and the external agency, and the income therefrom shall be divided between the College personnel (20%) and the College (80%), unless otherwise determined by the Committee in accordance with the provision of the Procedure.
If the College markets the materials itself, the income derived
from such sales after direct marketing costs, will be divided
between the College personnel (20%) and the College (80%),
'unless otherwise determined by the Committee in accordance
with the provisions of the Procedure.
C. When the College commissions the development work, the College shall have all rights to and equity in inventions and materials.
Inventions and Materials Developed by Consulting Work
Inventions and materials made or developed solely in the
course of consulting work performed by College personnel for
outside organizations for which the approval of the President
of the College or his designated representative, has been
obtained shall not be considered as having been College supported
or College commissioned, and all rights to such inventions
and materials, other than those involving the substantial
use of College funds or facilities, shall remain with the
individual, unless otherwise provided in the President's approval.
College Use of Income From Copyright and Invention Equity
The College's share of income derived from equity in any materials and inventions will be applied to the educational fund. At least 50% of this income will be utilized to finance educational research and College supported services and programs that assist College personnel in the development and improvement of instruction.
Releases
College personnel shall be responsible for obtaining appropriate
written releases from individuals identifiable in, or in some
manner requested to participate in the creation of College
supported materials. Written statements shall also be obtained
from appropriate College personnel indicating that to the
best of his/her knowledge, any of the materials developed
do not infringe on existing copyrights, or other legal rights.
Transfer of Rights
The College may at its discretion assign, transfer, lease or sell all or part of its legal rights in inventions and materials.
8 Legal Limitations
Any law as now existing or hereafter enacted, amended
or supplemented, will take precedence over this policy.
9 Amending Policy
This policy may be amended or rescinded in whole or in
part at any time by the Board of Trustees of Harper College
provided however that such change will not affect vested rights.
Procedures
College Personnel Rights and Responsibilities in College-Supported
Inventions and Materials
1.0 Coverage
These procedures will govern the ownership equity and use of in~lentions and materials originating with college personnel.
2.0 Copyright and Patent Committee
2.1 Organization
The Committee* will consist of twelve members. There will
be three ex-officio members; the Vice President of Business
Affairs, the Director of Planning Development, and Student
Senate Representative. There will be nine voting members appointed
from the College personnel by the President for terms of three
years each; three of these will be appointed upon the recommendation
of the Faculty Senate. The terms of all the members will be
staggered to provide that three new members per year will
be added. The term of the Senate members will be staggered
to provide one new member per year. The chairman and secretary
of the Committee will be selected by the voting members which
will elect such other officers as it deems necessary.
2.2 Powers
The Committee will have the following powers:
A. To receive inquiries from College personnel and to determine
if the submitted materials or inventions are (1) College supported,
(2) College commissioned, or (3) not College supported or
commissioned.
B. Make the determinations required of it by the related procedures findings as to ownership, equity, and use; appoint such subcommittees and consult with such experts as it may deem necessary in connection therewith provided, however, the Committee is not authorized to commit Harper College to the expenditure of funds
*NOTE: The initial nine voting committee members will be appointed; three for one year, three for two years, three for three years, to be determined by drawing of lots among the members. The three members recommended by the Faculty Senate will have staggered terms of one year, two years, and three years without the College's approval in writing; and consult with the officers of the College concerning the implementation of such determinations.
C. Adopt administrative regulations governing matters under its jurisdiction not inconsistent with the Policy and these related procedures.
D. Review from time to time this policy and related procedures and recommend changes to the President.*
B. With written approval of the Board of Trustees of Harper College, see Procedure 2AD, the Committee may choose a variation in the determination of policy, depending upon the circumstances of each individual case and may waive or release any or all of the rights of the College in appropriate cases.
C. The Committee will consider in each case:
1 . The extent, if any, to which the invention or material was made or developed by College personnel partially outside the course of employment by the College.
2. The extent, if any, to which the College's funds or facilities contributed to the discovery or development.
3. Such other factors as the committee considers relevant and material.
D. Division of Equities Among College Personnel. If the Committee determines that more than one individual is entitled to an equity in any inventions or materials, the Committee will determine the manner in which the equity award to College personnel will be distributed, in the absence of an agreement between such personnel.
2.4 Procedures of the Committee
A. Initiating inquiry as to the Status of College Supported
Materials - When it is obvio6s that there is no College support,
an inquiry is not required. In all other circumstances, College
personnel will initiate an inquiry to the Committee as to
whether particular inventions or materials he/she is planning
to prepare, is preparing, or has prepared* will be considered
College supported, see Policy 3.8.2 and 3.8.3 and Procedure
2.2A.
B. Report of Inventions and Materials-All inventions and materials which come under the provisions of this procedure and related policy will be promptly reported in writing by the College personnel concerned through the division chairman or appropriate supervisor to the Committee. If more than one individual participated in the discovery or development, the report should be signed by all such participants The report should be a full and complete disclosure of the subject' matter of the discovery or development and identity of all persons participating therein. The participants will furnish such additional information and execute such documents from time to time as the Committee may request.
*NOTE: During the initial year, the Committee will monitor its proceedings in order to make recommendations regarding the implementation of appropriate forms and letters which would standardize the routine of its procedures.
*After the effective date of the policy.
C. Action by the Committee -The Committee will consider all
reports of inventions and materials, and dated written acknowledgments
of receipt by the Committee secretary will be forwarded to
the inquirer. The Committee will determine if the material
or invention are College supported, College commissioned,
or not College supported or commissioned and will make findings
of ownership and equities within sixty calendar days of receipt
by the Committee secretary. The College personnel involved
will be entitled to appear before the Committee and present
evidence with respect to the report. The Committee's determination
will be made in writing and will contain a statement of its
findings and grounds of decision; and copies will be submitted
to the President, division chairman or appropriate supervisor,
and College personnel involved.
D. Review of Committee Action-The President of the College may review any determination of the Committee, and he will do so at the request of any interested College personnel. He may refer the matter to the Board of Trustees of the College for final determination with his recommendations. If the Committee, see Procedures 23B, thinks it will or has determined in any particular case that the College should have less than the predetermined ownership or equity in college supported or commissioned inventions and materials (see Chart 3.0) such determination will be referred to the Board of Trustees through the President of the College, and the action of the Board of Trustees will be final. The determination of the Committee, the President of the College, or the Board of Trustees of the College, as the case may be, will be final and conclusive and binding upon the College personnel involved, as well as upon the College.
3.0 ownership
Legal title to inventions and written materials will be
held by the College personnel as defined in the Policy 3.83A
and 3.8.3131. Legal title to recorded materials and commissioned
works will be held by the College as defined in the policy
3.8.3132 and 3.83C.
4.0 internal College Use
internal use of College supported or commissioned inventions
or materials will be without charge to the College. The College
personnel involved in the production of College supported
materials should have his/her contribution explicitly recognized
and noted by the user.
External Use
External use of College supported materials will be subject to the following conditions:
A. The College may distribute college supported materials on temporary loan basis to other non-profit organizations, educational institutions or consortia as part of any reciprocal exchange agreement.
B. College commissioned materials or inventions may be distributed or used externally at the discretion of the College.
6.0 Revision
During the first three years after production, requests
to revise College, supported materials in cases which require
substantial College resources may be initiated by the College
or by the College personnel directly concerned, but revisions
not requiring substantial College resources may be made at
any time by College personnel involved.
7.0 Transfer of Rights to College Personnel
if the College discontinues regular use of the materials
in their existing form for more than 24 months, the College
may relinquish to the originating College personnel all rights
thereto except in cases where it may be determined that materials
have an historical or archival value, provided that the College
personnel will be required to pay all costs associated with
the transfer.
8.0 Protection and Liability
8.1 Protection
A. The Dean of Learning Resources will investigate allegations of unauthorized use of copyright. infringement of College supported materials and will recommend appropriate action. If such action is started by the College, acting alone or in concert with the College personnel, all costs of such action (including attorney's fees) will be borne by the College. All proceeds in excess of such costs will be shared as per the policy 3.8.3 by the College and the College personnel.
B. If the College decides not to act on alleged unauthorized use of inventions and materials, the College personnel may initiate action, and the College will assign to him/her such rights as are necessary for him/her to pursue redress. Costs of such action (including attorney's fees) will be borne by the College personnel and he/she will have the right to all recoveries resulting directly from the action.
8.2 Liability
A. The College personnel responsible for the creation
of College supported inventions and materials shall be responsible
for obtaining appropriate written releases from individuals
identifiable in, or in some manner requested to participate
in the creation of College supported materials. The College
personnel who anticipate copying another's material should
be aware of the limitations and restrictions within which
he/she can copy without infringing on the rights of others.
If an individual may have his/her privacy or legal rights
infringed upon by the commercial use of his/her name or picture,
or through the use of audio or visual media, a signed release
must be obtained.
B. Before any use is made of College supported materials, the College personnel and producer will certify in writing to the Dean of Learning Resources that to the best of his/her knowledge the materials do not infringe on any existing copyright, legal or privacy rights of others.
9.0 Copyright and Patent Application Procedures
A. In the instances where the ownership of materials and
inventions have been determined to reside with the College,
appropriate application forms and assignments will be completed
by the originating College personnel in the development of
the materials and forwarded to the President's office for
proper legal action.
B. In the instances where the ownership of materials and inventions
has been determined to reside with the College personnel,
they will be solely responsible to file appropriate applications
and all costs will be borne by such personnel.
Appendix
Report by the Harper College
Ad Hoc Committee on Copyrights and Patents
George Voegel, Chairman
Anton Dolejs
Marguerite Ewald
Marshall Fisher
Sander Friedman
Pauline Jenness
Larry Kent
John Knudsen
John Morrow
Robert Pasen
Margaret Pike
Donald Sedik
Fred Vaisvil
October 1973
Contents
1. Summary Report on Activities and Findings 2. Ownership
and Equity: Illustrative Examples 3. Committee on Copyrights
and Patents: Organization and Procedures Chart
Committee Activities
The Ad Hoc Committee on Copyright and Patents was created by Dr. Schauer, Vice President of Academic Affairs, for the purpose of investigating the development of and recommending a policy and related procedures. The following is a brief overview of the process and workings of the committee in development of its policy and procedure recommendation:
1972 Nov.-Dec. National Association of College and University Business Officers (NACUBO) Copyrights at Colleges and Universities guidelines and other resource materials were reviewed. A brief questionnaire was developed and sent out to all Illinois higher education institutions plus others around the country. It was also decided to hold a series of "hearings" in which various directors, etc. of service units (computer center, duplicating, bookstore, television, graphics, etc.) would tell the committee of the needs and problem areas related to copyrights in their units.
1973 Jan.-Feb. "Hearings" were conducted and questionnaire survey returns (see Table 1) were analyzed by sub-groups of the committee and summarized for the full committee.
March-April Worked on policy statement and developed related procedures. Forwarded recommenclations.
May Board reviewed the policy and procedures and recommended that the document be referred to a patent attorney for review and suggestions.
July Patent attorney's suggestions and rationale were discussed by the committee and recommended that more time was needed.
August Status report of progress was given to the Board.
Sept. Committee met and made minor revisions in various sections.
A sub-committee was formed to relate to the next feedback
from the patent attorney.
October Sub-committee met and suggested changes to the full committee. Changes were made and the final document was sent forward.
Nov.-Dec. Reviewed by Board of Trustees. General faculty meeting with panel of the committee members for review of document.
A total of 26 meetings were held during this time period with 'the sessions averaging about two hours each.
Committee Findings
The "hearings" revealed that the various service
directors on campus were concerned about their liability and
so forth, in reproducing copyrighted materials and they felt
that any policy statement should take that into consideration.
The committee members looked over the questionnaire survey results in light of the NACUBO eight "guideline" areas and tried to find statements that would be relevant to Harper College. About 120 letters were sent out to 101 institutions with a return of 89 from 22 different states and Canada. Fifty-one institutions checked off Yes, they had a policy, and 38 said No, they had nothing. Many of the so-called policy statements were either so broad as to be meaningless, or were so narrow or limiting as to be nearly useless for our purposes. Many statements only dealt with copyright limitations and a few had complex policies related to patents and research. Of the 38 that said No, more than half said they were very concerned but had not done anything about it. A number of these colleges wanted to keep in touch with us to see what we were doing about a policy. Almost 50% of the community colleges returning the survey had no statement of any kind, while only about 35% of the universities had no policy of any kind.
The Harper policy compares favorably with policies of Purdue and M.S.U. and measures up in all areas of the guidelines. It exceeds other colleges in the procedure area. While the split or ratio of equity is different for each college, the Harper policy allows for immediate sharing of any income without any complicated development cost recovery procedures. It also provides consideration as to the general budget area that the college income should be utilized.
Example #1 No College Support
3.8.3A No college support of inventions and materials,
all equity and ownership resides with the individual creator.
Case A Assistant Professor X, who has spent her last eight summers in Wisconsin, writes and gets published a book on her favoriie topic entitled "The Ecology of the Wisconsin Stone Fly."
Case B Graphic artist Y, who has his own studio "pad"
in Buffalo Grove, does his artistic thing there, and receives
great acclaim for some of his arty work and wins several cash
prize awards
Case C Maintenance man Z has always tinkered and puttered in his garage workshop, One night, while tinkering around with some old pipes he got from a junk yard, "invents" a left-downward low pressure steam by-pass loop, which is a great improvement over the currently used right-upward ones.
Example #2 College Support
3-8.313 (1) Some college support of written materials
and inventions, the individual receives 80% of income from
equity and the college receives 20% income from such equity.
Ownership resides with the individual creator.
Case A Associate Professor Z receives three semester hours release time to put together a "booklet" and is duplicated on campus for student use as part of the learning activities in that class. A publisher then wants to market it as a lab manual.
Case B Instructor Y with a normal teaching load develops a series of learning modules for her course and uses the services of LRC graphics, word processing (typing pool), and duplicating. A new educational materials company wants to market these as a series.
Case C Custodian X has an idea for a new style broom, does most of the work at home but uses a few college tools and some broom materials on campus after working hours.
Example #3 College Support
3.8.313 (2) Some college support of recorded materials,
the individual receives 20% of income from equity and the
college receives 80% income from such equity, ownership resides
with the college.
Case A Assistant Professor X develops a slide-tape presentation in conjunction with appropriate LRC services. It is a success with students and a national firm wants to market it for the community college field.
Case B Instructor Y, a part-time faculty member develops a new computer program and an orientation videotape to accompany it. A leading computer company wants to market these through its regional sales offices.
Case C Foreman Z, after trying several different ways to clean a floor, feels he has developed the most effective way and has LRC make a videotape. It is effective, and a leading producer of floor cleaning supplies wants to market it along with their industrial products line.
Example #4 College Support - Commissioned
3.83C All College support of materials and inventions.
All income received from equity goes to the college. Ownership
resides with the college.
Case A A television grant is received to do a career program series a la Children's Workshop (Sesame Street) style. The appropriate production team of graphic artists, faculty, TV crew, etc. are given written assignments to produce the series to the exclusion of all other duties during the time period of the grant. It is a success and a final version is sold to several colleges and Cable TV stations.
Case B A women's lib senior citizen person is hired for six
weeks to do a short 3 part videotape and slide series with
an accompanying brochure on the identity problem of the "little
Old Lady in Sneakers." Other suburban area colleges,
schools, and agencies want to buy sets of these.
Case C Assistant Professor X is commissioned during the summer to develop a slide-tape series with associated handouts and student response sheets on the Reconstruction Era. Many university and college history and art departments purchase sets of these.
Committee on Copyrights and Patents
A. Organization of 12 members (appointed by President,
3 of which are recommended by Faculty Senate)
3 Ex-Officio a V.P. Business Affairs
b Director of Planning and Development
c Student Representative
9 Voting Members with staggered three year terms
B. Procedures
written acknowledgment of receipt
C( initiates io via Division 0 Committee
Personnel inquiry Chairman or Supervisor makes
written decision within 60 days
Review Action
a President may review, or b at request of any interested
college personnel may be referred
Board of Trustees *
c If committee determines that the college should have
less than the predetermined owners of equity as established
policy will be referred
William Rainey Harper College
Standing Copyrights and Patents
Committee
Donald Sedik, Chairman
Pauline Jenness, Secretary
Marguerite Ewald
Marshall Fisher
John Knudsen
Roger Mussell
Vivian Stewart
Calvin Stockman
Andrew Suk
Donovan Wachlin
John White
April 1974
